01-001 Agriculture - General

Chapter 1 Rules of Procedure Governing Pesticide Hearings (Note: Chapter 1 a joint rule with 01-026.)(Repealed; see filing 96-230)

Code Me. R. 01-001 Ch. 1 Rules of Procedure Governing Pesticides Hearing {#sec-01-001-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 1}

1. Scope

These rules of procedure shall be applicable to public hearings before the Commissioner of Agriculture and the Board of Pesticides Control on the following subjects:

A. Determination by the Commissioner of Agriculture, pursuant to the Maine Pesticide Control Act of 1975 , as amended, 7 M.R.S.A., §601, et seq . and approval of such determinations by the Board of Pesticides Control, pursuant to 22 M.R.S.A. §1471, et seq ., relating to the refusal to register or renew registration, the cancellation, suspension, or limitation of registration of any pesticide registered or proposed to be registered for use in the State of Maine; and

B. The terms and conditions that the Board of Pesticides Control, pursuant to 22 M.R.S.A., §1471-A, et seq ., considers necessary to place on licenses to apply pesticides which the Commissioner proposes to regulate pursuant to section I (A).

These rules of procedure shall not be applicable to emergency rule-making procedures on any of the foregoing subjects.

2. Definitions

A. The term "Commissioner" shall mean the Commissioner of the Maine Department of Agriculture, Conservation and Forestry or a designee of the Commissioner.

B. The term "Board" shall mean the Maine Board of Pesticides Control.

C. The term "Department" shall mean the Maine Department of Agriculture, Conservation and Forestry.

D. Other terms used in these rules of procedure shall have the same meanings as defined by the Maine Pesticide Control Act of 1975 , as amended 7 M.R.S.A. §601, et seq . and 22 M.R.S.A. §1471-A, et seq . unless more specially defined herein or the context of these rules of procedure requires a different meaning.

3. Procedures for Initiating Rule-Making

A. By the Commissioner: The procedure for proposing determinations by the Commissioner which are the subject of Section 1 (A) of these rules of procedure shall be for the Commissioner to publish notice of a proposed determination and a public hearing thereon pursuant to Section 4 hereof.

B. By the Board

1. The procedure, for action by the Board on proposed determinations by the Commissioner which are within the scope of Section 1 (A) of these rules of procedure shall be for the Board to publish notice of a public hearing on any proposed determination by the Commissioner pursuant to Section 4 of these rules.

2. The procedure for proposed rules by the Board which are within the scope of Section I (B) of these rules of procedure shall be for the Board to publish notice of a public hearing on any proposed license terms and conditions, pursuant to Section 4 of these rules.

C. By Petition: Any person may petition the Commissioner or the Board for the adoption or modification of a rule which is within the scope of these rules of procedure in accordance with the rules of the Department entitled "Petition for Agency Rule-Making".

D. Upon receipt of a petition to initiate rule-making proceedings, the Commissioner or Board shall forward a copy of the petition to the registrants of the product which is the subject of the petition.

4. Notice

A. Notice of a public hearing within the scope of these rules shall be given at least twenty (20) days prior to the date of the hearing to:

1. The registrant or proposed registrant of the pesticide which is the subject of the hearing;

2. Any person who has filed with the Department or Board a written request for notice of rule-making on this subject within the past year;

3. Any trade, industry, professional, environmental, interest group or regional publication that the Department or the Board deems effective in reaching the persons affected; and

4. The Secretary of State for publication in accordance with 5 M.R.S.A. §8053.5.

B. In the case only of a proposed determination by the Commissioner to refuse registration, or to cancel or suspend registration of a pesticide, pursuant to 7 M.R.S.A. §609, notice shall be delivered to the registrant or proposed registrant by registered mail, return receipt requested. In all other cases, notice shall be delivered by first class mail to the last known address of the person or group to be notified.

C. The notice shall specify:

1. The statutory authority pursuant to which hearings will be held;

2. The time and place of the public hearing;

3. The manner and time within which data, views or arguments may be submitted for consideration by the Commissioner and the Board, including the requirements and time limits for filing pre-filed testimony;

4. The express terms of any Proposed rule of the Commissioner or the Board, or a summary thereof, stating the subjects and issues involved and indicating where a copy of the complete text of the proposal can be obtained;

5. The time period during which applications for intervenor status must be filed; and

6. The time of the prehearing conference.

7. Presiding Officer

A. The Commissioner and the Board may jointly authorize, subject to Subsection B hereof, any one of the following to act as presiding officer of a hearing which is the subject of these rules of procedure;

1. the Commissioner,

2. the Chairperson of the Board,

3. a member of the Board,

4. an employee of the Department or the Board, or

5. a representative of the Commissioner or the Board.

B. If the presiding officer is the Commissioner or an employee of the Department or representative of the Commissioner, all acts of the presiding officer must receive the concurrence of the Chairperson of the Board, or a member, employee or representative of the Board designated by the Board for such purposes. Likewise, if the presiding officer is the Chairperson of the Board, or a member, employee, or representative of the Board, all acts of the presiding officer must receive the concurrence of the Commissioner, or a representative of the Commissioner or employee of the Department designated by the Commissioner for such purposes. In the absence of concurrence, disagreement shall be noted on the record and the evidence which is excluded or admitted over the objection of the non-concurring party shall be separately taken into account by the Commissioner and the Board in their separate determinations as provided by these rules.

C. Whenever a presiding officer is disqualified or unable to continue the hearing, another presiding officer may be assigned as a substitute to continue with the hearing.

D. Subject to the provisions of subsection B hereof, and any limitation set by the authorization of the presiding officer to act as such, the presiding officer shall have the authority to:

1. administer oaths and affirmations;

2. rule on the admissibility of evidence;

3. regulate the course of the hearings, set the time and place for continued hearings and fix the time for filing of evidence, briefs and other written submissions;

4. rule on applications for intervenor status, subject to the provisions of Section 8 hereof;

5. permit deviations from these procedural rules as provided for in Section 7 hereof; and

6. take such other action authorized or contemplated by these rules of procedure or as may be ordered by the Commissioner or the Board that is necessary for the efficient and orderly conduct of the hearing.

7. Bias of Presiding Officer or Board Member

A. Hearings shall be conducted in an impartial manner. Upon the filing in good faith by a party of a timely charge of bias or of personal or financial interest, direct or indirect, of a presiding officer or a member of the Board in the proceeding requesting that such person disqualify himself, that person shall determine the matter as a part of the record.

B. The person involved may consult with private counsel or the Attorney General's Office concerning any such charge.

7. Deviation from Rules

The Commissioner and the Board, together or through the presiding officer, may permit deviation from these procedural rules when necessary or helpful to the achievement of the objectives of the hearings which are the subject of these rules of procedure.

8. Intervention; Pre Filed Testimony

A. Upon application in accordance with the time limits specified in the notice of the hearing, the presiding officer may designate intervenors in any hearing which is the subject of these rules of procedure.

B. Intervenors may include organizations and agencies of federal, state or local government and shall, upon proper application, include registrants.

C. The presiding officer shall allow to intervene any person who shows that he/she is or may be, or is a member of a class which is or may be, substantially and directly affected by the proceeding and possesses an ability to participate actively and fully in the proceedings in accordance with subsection F hereof.

D. The presiding officer may also allow any other interested person to intervene or participate as a full or limited party to the proceeding. This subsection shall not be construed to limit public participation in the proceeding in any other capacity.

E. Where appropriate, the presiding officer may require consolidation of presentations of evidence, cross-examination and argument by members of the class entitled to Intervene under subsection B & C, or by persons allowed to intervene under subsection D hereof. In determining that any party shall be required to consolidate its presentation, cross-examination and argument, the presiding officer shall consider the number of parties, the interests of each party, whether they propose to offer testimony or participate only by cross-examination, and the nature and extent of their proposed testimony. No party shall be required to consolidate where it is clear that the party will, as a consequence of the consolidation, be unable to make an adequate presentation of that person's position.

F. All persons designated as intervenors shall be required to:

1. Prepare or present any and all direct testimony and evidence in writing in advance of the time when the testimony is to be given, at the time specified in the notice of the hearing.

2. File with the Commissioner and the Board, ten copies of each written document presented to the Board and Commission and serve one copy of any written document presented to the Commission and the Board on all other designated intervenors.

3. Participation by Staff

Staff of the Commissioner and the Board may appear and participate in the hearings. Evidence which the Commissioner or members of the Board wish to place in the record may be presented by staff. Staff shall not be subject to the pre-filed testimony requirements of Section 8 (F) hereof, but shall make any documentary evidence to be presented available for inspection and copying to interested persons, including intervenors, in advance of the hearing if possible.

10. Public Testimony

A. At an appropriate time during each session of the hearing, members of the public wishing to make statements shall be given the opportunity to do so.

B. The procedure for the testimony from the public shall be as follows:

1. At the beginning of each session, the presiding officer may announce the concerns which are expected to be covered by that session. The concerns may include, but are not limited to:

a. potential health risks posed by the pesticide;

b. agricultural uses of the pesticide;

c. silvicultural uses of the pesticide;

d. the utility of the pesticide in integrated pest management; and

e. viable alternatives to use of the pesticide.

2. The presiding officer will make available a sign-up sheet for those members of the public wishing to present their views on these concerns.

3. At an appropriate time during the session, the presiding officer will announce the time of day when the public testimony may be given and the period of time to be allowed for each person so testifying.

4. Pre-Hearing Conference

The presiding officer may, at such time as specified in the notice of the hearing, hold a pre-hearing conference for the following purposes:

A. Ruling on applications for intervenor status which have not yet been determined;

B. Ruling on other motions;

C. Formulating or simplifying issues;

D. Marking exhibits;

E. Limiting the number of witnesses and consolidating the presentation of evidence, cross-examination of witnesses, and arguments of parties, and

F. Providing for procedures to be followed at the hearing and for any other purpose that may expedite the orderly conduct and disposition of the proceeding.

12. General Conduct of Rearing

A. Opening Statement: The presiding officer shall open the hearing by describing in general terms the purpose of the hearing and the general procedure governing the conduct.

B. Transcription of Testimony: All testimony at a hearing shall be recorded and, if necessary, transcribed.

C. Witnesses: Witnesses shall be sworn. Witnesses will be required to state for the record their name, residence and who they represent, if anyone, for the purpose of the hearing.

D. Testimony: All persons offering testimony in written form may offer a brief oral summary of the writing.

All persons offering testimony in written form may be subject to questioning. This sub-section D shall not be construed to prevent oral testimony at a scheduled hearing by any member of the public who requests and is granted time to testify.

13. General Evidence

A. Admissibility: Evidence which is relevant and material to the subject matter of the hearing and is of the type which reasonable persons are accustomed to rely upon in the conduct of serious affairs shall be admissible. Evidence which is irrelevant or unduly repetitious shall be excluded.

B. Official Notice

1. The Commissioner and the Board may, at any time, take official notice of any facts of which judicial notice could be taken, and of general, technical or scientific matters within their specialized knowledge and the statutes, regulations and non-confidential agency records.

2. Notwithstanding subsection 1 hereof, both the Commissioner and the Board may rely upon their experience, technical competence and specialized knowledge in the evaluation of evidence presented to them.

C. Documentary and real evidence

1. All documents, materials and objects offered in evidence as exhibits shall be numbered or otherwise identified. The presiding officer may require that any person offering any documentary or photographic evidence shall provide the Commissioner and the Board with a specified number of copies of such documents or photographs in advance of the hearing, unless they are determined to be of such form, size of character as not to be reasonably susceptible of reproduction.

2. All written testimony and documents, materials and objects admitted into evidence shall be made available during the course of the hearing for public examination and also available for public examination at the offices of either the Commissioner or the Board in Augusta during normal business hours.

3. Documentary evidence may be received in the form of excerpts if the entire document from which a portion is excerpted is available for inspection by the Commission, the Board and parties at the hearing.

D. No sworn written testimony may be admitted unless the author is available for cross-examination, except for good cause shown. Documentary evidence, in the form of scientific or technical reports, articles books and other publications and reports, may be admitted into evidence, even though the author is unavailable for questioning subject to exclusion by the presiding officer on the basis of the nature of the material submitted or the availability of the author.

E. All objections to rulings of the presiding officer regarding evidence, procedure and the grounds therefore shall be timely stated during the course of the hearing. If, during the course of or after the close of the hearing and during its deliberations, the Commissioner or the Board determines that a ruling of the presiding officer was in error, it may reopen the hearing or take such other action as it deems appropriate to correct such error.

14. Testimony

In the absence of an indicated procedure to the contrary, direct testimony shall be offered in the following order:

A. Staff and consultants of the Commissioner and the Board;

B. Where the hearing is conducted in response to a petition, the person who filed the petition;

C. Registrants;

D. Other intervenors; and

E. Members of the public.

15. Questions

A. The Commissioner, members of the Board, staff, consultants and counsel for the Commissioner and the Board may ask questions at any time.

B. Persons generally will be permitted to present questions in the same order as specified for direct testimony, subject to the provisions of subsections C and D hereof.

C. Cross-examination by registrants and other intervenors shall be limited to:

1. Areas relevant to the subject matter of the proceeding which are not repetitious of written or oral questions asked by others, and

2. Questions which will not unduly extend the proceedings.

D. A person who is not an intervenor may ask questions only after he/she has received the presiding officer's permission to do so. The presiding officer may place conditions upon such questioning, including the provision that such questions be submitted in writing to and asked by the presiding officer.

16. Continuance

All hearings conducted pursuant to these rules of procedure may be continued for reasonable cause and reconvene from time to time and from place to place by the presiding officer as circumstances require. All orders for continuance shall specify the time and place at which such hearings shall be reconvened.

17. Subpoenas

A. Any person may request the issuance of a subpoena by the Commissioner or the Board to compel the attendance of witnesses and the production of books, documents and records anywhere in the State in any hearing which is the subject of these rules of procedure, provided that only the Board may issue a subpoena when it relates to the subjects described in Section 1 (B) of these rules of procedure.

B. Subpoenas will be issued only when the testimony or documents sought by subpoena are relevant to any issue of fact in the proceeding.

C. Subpoenas will be issued in accordance with the following procedure;

1. Subpoenas requested may only be issued when request therefore is made to the Commissioner of the Board at least ten (10) days prior to the date for the hearing, unless good cause is shown why such request could not have been made at such time.

2. The form of the subpoena shall be similar to that used in civil cases before the courts. Witnesses subpoenaed shall be paid the same fee for attendance and travel as in civil cases before the court and such fees shall be paid by the person requesting the subpoena.

3. Conclusion of the Hearing

A. At the conclusion of the hearing, no other evidence or testimony will be allowed into the record, except as provided by subsection B or section 19 of these rules.

B. Written statements and briefs concerning the proposed rule, as well as proposed findings of fact and conclusions of law, may be filed with the Commissioner or Board within 10 days after the close of the public hearing, or within such longer time as the agency may direct.

19. Reopening of Record

At any time prior to a final decision, the Commissioner or the Board may reopen the record for further proceedings, consistent with these rules and procedures provided that the Commissioner and the Board shall provide timely notice of such further proceedings prior to such proceedings.

20. Record

A. The record shall consist of:

1. all applications, pleadings, notions and preliminary rulings and orders;

2. evidence received or considered;

3. all staff memoranda submitted to the Commissioner or members of the Board, by Board staff or the Commissioner's staff in connection with their consideration of the case, except memorandum of counsel of the Commissioner or the Board;

4. the determination of the Commissioner; and

5. the decision of the Board.

B. The Commissioner and the Board shall make a copy of the record, including a recording of the testimony in a form susceptible to transcription, available at the office of the Board in Augusta, for inspection by any person during normal business hours, and shall make copies of the record, including copies of recordings or transcriptions of recordings, available to any person at actual cost, which shall be deemed to be 10¢ a page in cases of photocopying. Notwithstanding the provisions of this sub-section, the Board or the Commissioner may withhold, obliterate or otherwise prevent the dissemination of any portions of the record which are made confidential by State or Federal statute.

C. The decision by the Commissioner and the Board shall be limited to a consideration of the record.

21. Decisions

A. The Commissioner shall render his determination on proposals which are the subject of section I (A) of these rules of procedure prior to any, determination by the Board.

B. Within seven (7) days of the date when the Commissioner's determination has been mailed to each party to the proceedings, any such party may file a supplemental brief to the Chairman of the Board setting forth such party's views as to why the Board should or should not approve the Commissioner's determination. Such briefs may also include arguments in support of any motion to re-open the record in view of the determination of the Commissioner.

C. Decisions of the Commissioner and the Board made at the conclusion of these procedures shall be in writing and shall include the factual and policy basis for the determination. The Board shall maintain a record of the vote of each member of the Board with respect to the Board's decision. A copy of the decisions shall be delivered or promptly mailed to each party to the proceeding or his representative of record.

22. Time Calculations

In computing any period of time prescribed by these rules of procedure or otherwise specified in the course of the hearing by the presiding officer or otherwise, the day of the act or event after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, a Sunday, or a holiday. When the period of time prescribed or specified is less than 7 days, intermediate Saturdays, Sundays and holidays shall be excluded in the computation.

For the purpose of this section, legal holidays shall include days on which the Chief Justice of the Supreme Judicial Court specifically orders the Clerk's office closed.

History

• STATUTORY AUTHORITY: 5 M.R.S.A. §8051 et seq.; 7 M.R.S.A. §§ 601 - 610; 22 M.R.S.A. §§ 1471-A, 1471-B, 1471-C, 1471-D, 1471-M.
• EFFECTIVE DATE: October 27, 1978
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 8, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 2 Rules for Adoption of Market Orders Affecting Agricultural Commodities

Code Me. R. 01-001 Ch. 2 Rules for Adoption of Market Orders Affecting Agricultural Commodities {#sec-01-001-ch.-2 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 2}

1. Definitions

Unless otherwise provided in these rules, all terms shall have the meanings indicated in the Agricultural Commodities Marketing Act , 7 M.R.S.A. §423. In addition, the following terms shall have the following meanings for purposes of these rules and any market order adopted hereunder except as otherwise specified in a particular market order or unless the context otherwise requires.

A. Act means the Agricultural Commodities Marketing Act , 7 M.R.S.A. §§ 421-430.

B. Agricultural commodity means an agricultural commodity, as defined in the Act, which is covered by a market order adopted under the Act.

C. Commodity area , for purposes of §425 of the Act, means the entire State of Maine, except as a particular market order may specify one or more counties or areas of the State to which that market order is limited in effect.

D. Commercial Pack means a container of an agricultural commodity, packaged for shipment or sale to a consumer, wholesaler, retailer or other purchaser.

E. Initial Referendum means the referendum ratifying the market order pursuant to the Act.

F. Market or Marketing. means the act or process of selling, purchasing, offering or holding for sale, shipping, storing, packing or branding for sale, advertising or otherwise dealing in an agricultural commodity produced in Maine, regardless of destination.

G. Marketing year means the year beginning with the date of harvest of an agricultural commodity and extending until the date of the harvest of that commodity in the following year. The particular beginning and ending dates of a marketing year may be established by each market order.

H. Packing means packaging or placing in commercial packs.

I. Participated in the Referendum , for purposes of §425 of the Act, means filed a qualifying and properly completed ballot in the initial or any subsequent referendum, including both affirmative and negative ballots.

J. Persons affected , for purposes of §425 of the Act, shall include all non-exempt producers of the agricultural commodity covered by a market order; provided that a particular market order may include within this term others involved in marketing an agricultural commodity.

2. Exemptions.

A market order shall not apply to any of the following:

A. Producers or handlers who market agricultural commodities in an amount or of a type which is exempt under an applicable market order.

B. Agricultural commodities sold at markets which are exempted by an applicable market order.

C. Others who apply for and receive a written waiver from the Commissioner if provided for under an applicable market order. The Commissioner shall grant such a waiver only upon written application of the person involved demonstrating to the Commissioner's satisfaction that the agricultural commodity at issue will be sold only to small local markets in the area, and that granting the waiver will not adversely affect the markets or best interests of the industry involved. The waiver shall be for such time period and on such conditions as the Commissioner may specify.

3. Referendum Procedures

A. Adoption by the Commissioner. After public hearing and the close of time for submission of written comments on any proposed market order, the Commissioner may, upon finding that the market order will effectuate the legislative policy of the Act, adopt such order with such amendments as are deemed appropriate.

B. Distribution of Ballots. Upon adoption of a market order, referendum ballots shall be distributed by the Commissioner to all persons affected by the market order, as specified therein. The Commissioner shall use due diligence to determine such names but shall not be responsible for failure to send ballots to those whose names are not known to the Commissioner, and the effectiveness of the market order shall not be affected thereby.

C. Return of Ballot. Persons receiving ballots shall return the same within the time specified thereon. On the ballot, the person shall indicate his/her/its name, address, the volume of agricultural commodity, in terms as specified in the market order or on the ballot, which was marketed during the preceding marketing year, and an affirmative or negative vote on the proposed market order. Anyone voting on behalf of a corporation or business association shall indicate the authority to do so. All ballots shall be signed and certified as to their truth.

D. Validity of Ballots. The referendum ballots shall be considered by the Commissioner if they are received within the specified period. The Commissioner shall not consider a referendum ballot which is determined not to be properly completed and signed.

E. Criteria for Passage. The referendum shall be deemed to have passed if the Commissioner determines that 66 2/3% or more of those participating in the referendum have voted in favor of the market order and that the affirmative vote represents at least 51% of the quantity of the agricultural commodity subject to the market order that was marketed in the preceding marketing year by those participating, as reflected by the ballots submitted; or, in the alternative, if the Commissioner determines that 51% or more of those who participated in the referendum have voted in favor of the market order and that the affirmative vote represents at least 66 2/3% of the quantity of the agricultural commodity subject to the market order that was marketed during the preceding marketing year by those participating, as reflected by the ballots submitted.

F. Certification. If the market order is ratified, the Commissioner shall certify the results of the referendum to the Attorney General and shall file the market order with the Secretary of State.

4. Marketing Committee

A. Membership. The number of members of the Marketing Committee, together with the interests which they represent, shall be established in accordance with the market order. One member shall be the commissioner or his designee, who shall be an ex-officio, non-voting member of the Committee.

B. Initial Appointments. Unless otherwise specified in a market order, the members of the initial Marketing Committee, other than the ex-officio member, shall be selected and appointed by the Commissioner from nominations made through the following procedure:

*1. As soon as possible following the adoption of the market order, the Commissioner shall cause to be held a meeting of persons affected thereby, including persons otherwise eligible to serve on the committee, at which time those in attendance shall nominate as many persons from the industry as they wish.

*2. In making initial appointments to the Committee, the Commissioner shall consider those nominated and shall select a group which he considers to be equitably representative of those affected, subject to section 4A hereof. In order to achieve this end, he may consider and appoint persons who have not been nominated.

*3. Initial appointments made by the Commissioner shall be for a term of not more than one year, or until replaced by elected members.

C. Election Procedures. Unless otherwise specified in a market order, the following election procedures shall be employed in electing members of the Marketing Committee to replace those initially appointed by the Commissioner:

*1. During the marketing year following adoption of the market order, an annual meeting of persons affected by the market order, and others as specified in the order, shall be held for the purpose of electing members of the Marketing Committee for terms beginning the year following the initial appointments.

*2. Election of the Committee members shall be conducted by written ballot and be subject to the approval of the Commissioner.

D. Term of Office. Unless otherwise specified in the market order members of the Marketing Committee shall serve for the following periods:

*1. Elected members shall serve three year terms; except that, of those initially elected, one third shall serve a one year term, one third shall serve a two year term, and one third shall serve a three year term.

*2. In all cases, members of the Committee shall serve upon qualification by being sworn to office by a Justice of the Peace and by filing a written acceptance with the Secretary of State following being notified of selection.

*3. Elected members shall serve not more than two consecutive terms.

*4. Notwithstanding the terms of office provided for herein, members shall continue to serve until a successor has been elected and qualified.

E. Vacancies. In the event of the failure by an initially appointed or subsequently elected member to qualify or in the event of the death, removal, resignation or disqualification of any member, a successor for the unexpired term shall be appointed by the Commissioner in such manner as he deems appropriate with the advice of the existing members of the Committee.

F. Duties. The Marketing Committee shall advise and assist the Commissioner in all matters pertaining to the operation of the market order. Such duties may include any or all of the following:

*1. The recommendation to the Commissioner of rules and regulations relating to the market order;

*2. The recommendation to the Commissioner of such amendments to the market order as seem advisable;

*3. The preparation and submission to the Commissioner of the estimated budget required for the proper operation of the market order;

*4. The recommendation to the Commissioner of methods for assessing fees and for collecting the necessary funds;

*5. The assistance to the Commissioner in the collection and assembling of information and data necessary to the proper administration of the market order;

*6. The performance of such other duties in connection with the market order as the Commissioner considers appropriate.

G. Meetings. Meetings of the Committee shall be held periodically, no less often than annually, at the call of the chairman elected by the Committee, any three voting members of the Committee or the Commissioner. A majority of voting members shall form a quorum for purposes of the Committee's taking formal action.

H. Officers. The Committee shall elect officers to include chairman, vice chairman and secretary, and shall keep minutes of all meetings and records of its activities.

5. Purposes of the Market Order.

The market order may specify one or more of the following functions as its purposes:

A. Promotion. Provide for advertising, promotion, and publicity programs that will maintain or enhance present markets or create new markets for the agricultural commodity involved in the market order. However, no such advertising, promotion or publicity program shall be conducted with reference to any particular private brand or trade name and no such program shall disparage the quality, value, sale or use of any other agricultural commodity.

B. Marketing and Product Research. Provide for marketing and/or product research believed to be beneficial to the industry.

C. Information Services. Provide for information services designed to keep the industry informed of such factors as crops, packs, storage facilities, marketing and product research, promotion, advertising and publicity programs, and similar information useful to the industry.

D. Standards. Provide for appropriate standards of quality, grade, condition, size, storage, shipment, maturity or commercial pack for the agricultural commodity subject to the market order, or for other handling procedures of such commodity. The Marketing Committee shall assist the Commissioner in developing such standards and in providing for appropriate inspection, including mandatory inspection if specified in the market order, and enforcement necessary to the purposes of the order.

E. Other. Such other purposes which are consistent with the Act.

6. Budget and Assessment.

All commodity producers, handlers and/or other persons affected by the market order shall be subject to any assessment levied in accordance with the market order, all in accordance with this section and any pertinent provisions of the order.

A. Budget. The Marketing Committee shall estimate a budget necessary for the administration and enforcement of the order and for carrying out the program created thereunder for each marketing year. Based upon such recommendations of the Committee and such other factors as he deems appropriate, the Commissioner shall determine the budget for the marketing year.

B. Assessment. Consistent with the budget established pursuant to subsection A, if assessments are provided for under the market order, the Commissioner, with the advice of the Marketing Committee, shall fix rates of assessment to provide adequate funds to defray expenditures in the budget. The assessment rate shall not exceed that which is established under the market order and, in any case, shall not exceed the maximum statutory rate.

7. Reporting.

If provided by the market order, persons affected by the market order shall report on a periodic basis information regarding production, sales and other relevant data. With advice from the Marketing committee, the Commissioner shall determine the types of information to be provided.

8. Collection

A. Liability. Subject to the terms of the market order, each producer, handier or other person affected by the order shall be responsible for proper accounting and payment of the proper assessment on the agricultural commodity which is marketed for or on behalf of that producer, handler, or other person.

B. Payment Schedule. Persons required to pay assessments shall make remittance and accounting of the proper assessment to the Commissioner or his designated fiscal agent on dates as specified by the market order. Payment shall be made at that time or times for the assessment levied on all of the agricultural commodity marketed by or on behalf of that person during the preceding marketing period.

C. Late Charge. Persons who do not timely remit and account for assessments in accordance with these rules and the order shall pay an additional assessment of 10% of the amount owed plus interest thereon computed at the rate of 12% per annum together with any civil penalty imposed under the law; provided that the Commissioner may waive these additional charges in cases involving good cause.

D. Payment Arrangements. For any producer for whom a broker or other agent markets the commodity, the broker or agent shall, at the producer's option, deduct from moneys owed to the producer the proper assessment on the commodity marketed and shall pay the same to the Commissioner; provided that a broker or agent's failure to do so shall not release the producer from his responsibility for the assessment.

9. Termination

A. By the Commissioner. The Commissioner may terminate a market order in the manner provided in §429 of the Act whenever he determines that the provisions of the market order do not effectuate legislative policy.

B. By Petition. The commissioner shall terminate the market order if he has received a properly completed Petition for Termination and has determined that termination is favored by at least 51% of the persons affected by the market order as specified therein, who marketed at least 51% of the quantity of the agricultural commodity subject to the order in the immediately preceding marketing year. Petitions and termination procedures shall be governed by the following provisions:

*1. A petition for termination shall provide that its signatories favor termination of the existing market order. Each person signing shall certify that he was a person affected by the order, as specified therein, during the immediately preceding marketing year and shall certify the quantity of the agricultural commodity marketed by him.

*2. A petition for termination shall be considered properly completed only if it contains a sufficient number of signatures to represent at least 25% of the persons affected by the market order who marketed at least 25% of the quantity of the agricultural commodity subject to the order in the immediately preceding marketing year.

*3. Upon receipt of a petition for termination, the Commissioner shall distribute and tabulate termination ballots in the same manner as referendum ballots pursuant to section 3 herein.

C. Amendments to these Rules or to the Market Order. Except as otherwise provided therein, amendments to the terms set forth in the market order itself shall require a new referendum. Amendments to these rules may be promulgated by the Commissioner by rulemaking under the Administrative Procedure Act , but without referendum. Any inconsistency between these rules and any market order shall be resolved in favor of the latter with respect to the subject matter of that order.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 421-430.
• EFFECTIVE DATE: July 8, 1983
• AMENDED: August 11, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): Roman numerals changed to Arabic numerals
• CONVERTED TO MS WORD: August 8, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 3 Temporary Emergency Food Assistance Program

Code Me. R. 01-001 Ch. 3 The Emergency Food Assistance Program {#sec-01-001-ch.-3 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 3}

POLICY STATEMENT

The purpose of these rules is to implement Title II of the Emergency Jobs and Humanitarian Aid Programs Bill, the Temporary Emergency Food Assistance Program Act of 1983 , Public Law 98-8, as amended (“Act”). The Act establishes a program through which surplus agricultural commodities are made available to food insecure persons through emergency feeding organizations. Federal funds have been appropriated for the cost of storage and distribution of these commodities. These rules also implement the Emergency Food Assistance Program Fund as established by 12 M.R.S. § 5018 and as augmented by 36 M.R.S. § 5293.

DEFINITIONS

1. “Act” means Title II of the Emergency Jobs and Humanitarian Aid Programs Bill, the Temporary Emergency Food Assistance Program Act of 1983 , Public Law 98-8, as amended.
2. “Commissioner” means the Commissioner of the Department of Agriculture, Conservation and Forestry.
3. “Department” means the Department of Agriculture, Conservation and Forestry.
4. “Distributing Agency” means the Department due to its selection by the Governor of the State or the State legislature, to distribute donated foods in the state, in accordance with an agreement with the Food and Nutrition Service of the Department of Agriculture.
5. “Distribution site” means the site at which USDA Foods are distributed to persons for household use by the emergency feeding organization.
6. “Eligible household” means a household that qualifies for the program under Section 3(2)(A).
7. “Emergency feeding organization” means an eligible recipient agency that provides nutrition assistance to relieve situations of emergency and distress through the provision of food to food insecure persons, including low-income and unemployed persons.
8. “Eligible Recipient Agency” or “ERA” means a food pantry, soup kitchen, or other organization that provides nutrition assistance to low-income Maine people and has a contract with a Distributing Agency to receive USDA foods.
9. “Food assistance program” means the Temporary Emergency Food Assistance Program established under the Act, also referred to as TEFAP.
10. “Fund” means the Emergency Food Assistance Program Fund.
11. “Grantee” means an Eligible Recipient Agency awarded a grant from the Fund.
12. “Grant Selection Committee” means a committee designated by the Commissioner to review and make recommendations regarding grant applications.
13. “Household income” means total cash receipts from all sources before taxes.
14. “USDA” means the United States Department of Agriculture.
15. “USDA Foods” means commodity foods, provided at no cost, that are 100% American-grown and provided by the USDA.
16. “Value of commodities distributed” means the USDA’s cost of acquiring USDA Foods for distribution under the Act.
17. “Household” means: 1. An individual living alone; or 2. An individual living with others, but customarily purchasing food and preparing meals for home consumption separate and apart from the others; or 3. A group of individuals living together who customarily purchase and prepare meals in common for home consumption.

FOOD ASSISTANCE PROGRAM

1. Administration 1. The Department shall have the following duties and responsibilities. The Department shall: 1. Request the USDA Foods promptly as required. 2. Request USDA Foods made available to the State of Maine that can be utilized without waste in the food assistance program and distribute to the emergency feeding organizations all the USDA Foods that have been delivered to the State. 3. Ensure that no emergency feeding organization receives USDA Foods in excess of its anticipated use or in excess of its ability to accept and store such USDA Foods. 4. Be responsible for intrastate handling, storage, transportation, and the charges associated therewith, which are required to place the USDA Foods in the hands of the emergency feeding organizations. 5. Develop and provide the application and any other forms required by these rules or the sub-grant agreement between the Department and the emergency feeding organizations or approve any such forms developed by the emergency feeding organizations and submitted as part of its distribution plan. 6. Monitor emergency feeding organizations for compliance with the Act, federal and state regulations, and their agreements with the Department in accordance with the Department’s Distribution Plan for the Emergency Food Assistance Program as approved by the Federal Office of Food and Nutrition Services. 7. Provide technical assistance to any emergency feeding organization that is experiencing difficulties in administering the program. 8. Comply with the provisions of the Act, 7 CFR Part 251 The Emergency Food Assistance Program and 7 CFR Part 250 Donation of Foods for Use in the United States, Its Territories and Possessions and Areas Under Its Jurisdiction, and other associated regulations as applicable. 2. Emergency feeding organizations shall have the following duties and responsibilities. Emergency feeding organizations shall: 1. Distribute all USDA Foods made available to them by the Department, except any USDA Foods that are determined to be unfit for human consumption because of spoilage or damage, which shall be disposed of only in accordance with instructions from the Department. 2. On forms provided by the Department or Distributing Agency, request USDA Foods in sufficient quantities to meet the needs of the eligible households in its service area. 3. Not diminish their normal expenditures for food because of receipt of USDA Foods. 4. Immediately report to the Department any loss or damage to USDA Foods. 5. Provide facilities for the proper care, handling, storage, and distribution of the USDA Foods accepted. An emergency feeding organization must enter into an agreement with all municipalities and other sub-distributing entities that have responsibility for the distribution of USDA Foods. Full restitution shall be made to the Department for any loss or damage to USDA Foods resulting from failure to provide such facilities or from any acts of negligence on the part of the emergency feeding organization or sub-distributing entity. 6. Maintain complete and accurate records as required by the Department, including, but not limited to, records: 1. To document the receipt, disposal, and inventory of USDA Foods received under the food assistance program, including, but not limited to, the name, address, and size of the household of all eligible households to whom USDA Foods were distributed; 2. To document the receipt and disbursement of funds arising from the operation of the food assistance program; 3. To show the data and method used to determine the number of eligible persons served by the emergency feeding organization; and 4. To document the number of eligible households that did not receive USDA Foods because of insufficient supply, to the extent feasible.

All such records shall be made available for inspection by the USDA, General Accounting Office, the Department or their authorized representatives and shall be retained for three years from the close of the federal fiscal year to which they pertain.

• • 1. To ensure that each distribution site shall keep accurate and complete records showing the data and method used to determine the number of eligible households served at that site. Each distribution site shall collect from each household participating in the program the name of the household member receiving USDA Foods, the address of the household (to the extent practicable), the number of persons in the household, and the basis for determining that the household is eligible to receive USDA Foods. Emergency feeding organizations shall report to the State agency no later than thirty days following the end of the quarter to which such data pertain, as well as household participation figures that have been collected in accordance with this section. 2. Complete and submit in a timely manner all reports required by the Department or by USDA. 3. Cooperate with any monitoring visits or investigations made by the Department or by USDA. 4. Make available to an auditor all materials and documentation necessary to permit a conclusion by the auditor on the allowability of expenditures. 5. Comply with all provisions of the Act; 7 CFR 251 and 7 CFR 250, as applicable; these rules; any agreements entered into with the Department; and the Department’s Distribution Plan. 6. Comply with the procedures and policies regarding claims as prescribed by the Department and USDA. 7. Maintain adequate insurance to cover any injury suffered by emergency feeding organization personnel, volunteers, or clients involved in the distribution. 8. Ensure that activities conducted at distribution sites and unrelated to TEFAP do not interfere with the operation of the distribution and, further, that such activities are clearly not endorsed by the State or USDA. Ensure that persons conducting activities at distribution sites shall make clear that cooperation is not a condition of the receipt of USDA Foods. Cooperation includes contributing money, signing petitions, or conversing with the persons.

1. Eligibility and Documentation 1. A household is eligible for the food assistance program if either: 1. A member of the household participates in any of the following federal or state programs: 1. HEAP (Home Energy Assistance Program); 2. Supplemental Nutrition Assistance Program (SNAP, formerly food stamps); 3. Medicaid; 4. Supplemental Security Income (SSI); 5. Low Cost Drugs for the Elderly or Disabled (DEL) Program; or 6. Special Supplemental Nutrition Program for Women, Infants and Children (WIC). 2. The annual household income is less than or equal to 185% of the federal poverty guidelines or less than or equal to the percentage of the federal poverty guidelines as reflected in the most current State of Maine TEFAP Distribution Plan. 2. The household must demonstrate its eligibility in one of the following ways: 1. Complete the application form, providing: 1. The number and names of all household members; 2. The household address; 3. A statement that the household participates in one of the programs set forth in Section 3(2)(A)(1) or that the household income is at or below the allowable amounts set forth in Section 3(2)(A)(2). If the household participates in one of the eligible programs, the emergency feeding organization shall request but not require proof of such participation. 3. Members of the household must be residents of the State of Maine. Proof of residency may be required by the emergency food organization. 4. No person shall be denied participation in the food assistance program because of race, color, national origin, sex (including gender identity and sexual orientation), disability, age, or reprisal or retaliation for prior civil rights activity. 5. Under no circumstances will recipients of USDA Foods be required to make any payments in money, materials, or services for or in conjunction with the receipt of USDA Foods, nor shall voluntary contributions of any kind be solicited from recipients in connection with the receipt of USDA Foods.
2. Distribution 1. Notwithstanding any provision of law, USDA Foods distributed under these rules shall not be considered income or resource for any purposes under any federal, state, or local law. 2. None of the USDA Foods distributed under the food assistance program shall be sold or otherwise disposed of in commercial channels in any form.
3. Confidentiality and Complaints 1. All information about applicants shall be considered confidential and shall not be released to any person or agency not directly involved in the administration or auditing of the food assistance program except with the express written consent of the applicant. 2. Complaints 1. Complaints from recipients or denied applicants, or complaints of other sources of poor administration of the program, including but not limited to duplication or fraud; complaints of failure to provide assistance; or any other complaint shall be made in writing to the Department and/or the appropriate emergency feeding organization. 2. If the Department determines that the complaint would be more appropriately handled by the emergency feeding organization, it shall refer the complaint accordingly. 3. The Department or the emergency feeding organization will immediately investigate any such complaints and provide the complaining party with the results in writing of the investigation of the complaint.

THE EMERGENCY FOOD ASSISTANCE PROGRAM FUND GRANT

1. Purpose 1. Emergency Food Assistance Program Fund, as established by P.L. 2021, ch. 437, § 1, is a non-lapsing fund to support TEFAP as administered by the Department. The objective of the Fund is to provide financial support for Eligible Recipient Agencies through a competitive grant program. 2. The grant program will help finance eligible purchases and projects that allow ERA’s to increase their capacity to meet the nutrition assistance needs of their clientele. 3. Eligible grant uses of the Fund include the following: 1. Infrastructure-related projects or items that are solely intended to increase the infrastructure capacity of an ERA to meet the nutrition assistance needs of the ERA’s clientele: the design, construction, renovation, or improvements to existing buildings or systems; critical cooling or freezing equipment, storage improvements such as shelving; and storage and distribution-related equipment such as trailers, carts, and pallet jacks. 2. The purchase of food for distribution to the ERA’s clientele .
2. Grant Amount 1. The grant program is funded through annual State income tax return donations, as detailed by 36 M.R.S. § 5293 (2023), and the funding balance will, by its nature, fluctuate depending on the amount of donations received. The Department will determine the timing of the grant program and the maximum grant amounts based on the funds available. 2. When a grant is awarded, the Department may impose conditions and requirements designed to provide for accountability and achievement of program objectives.
3. Application Process 1. The Department shall issue a grant application solicitation request in accordance with departmental rule chapter 001-00x (Rules for Grant Administration and Appeals). 2. Grant applications must be submitted in accordance with the instructions and criteria included in the grant solicitation. At a minimum, the grant solicitation will require applicants to include the following information and descriptions: 1. Scope of work 2. Budget and budget narrative 3. Impact on operational capacity 4. Community need 5. Community collaboration
4. Administration and Scoring 1. Criteria for the Department’s evaluation of applications consistent with this rule will be set forth in the grant solicitation. 2. The Commissioner shall make the final decision on grant awards based on recommendations from the Grant Selection Committee.
5. Appeals 1. Award decisions may be appealed. Department rule Chapter 8 shall apply (Rule for Grant Administration and Appeals).

History

• STATUTORY AUTHORITY: P.L. 1991, ch. 591, § P-17; 12 M.R.S. § 5018(3).
• EFFECTIVE DATE: February 9, 1984 (EMERGENCY)
• EFFECTIVE DATE: May 7, 1984 (PERMANENT RULE)
• AMENDED: January 9, 1985-- Section 1-6
• AMENDED: April 7, 1985 - Section 1
• AMENDED: September 16, 1985 - Section I
• AMENDED: January 1, 1987
• AMENDED: October 26, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 5, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February 2014 – agency names, formatting
• REPEALED AND REPLACED: March 2, 2025 – filing 2025-041
• REPEALED AND REPLACED: Note: Following a March 24, 1997 memo from Linda L. Sears, Chief Counsel for the Maine State Housing Authority, this chapter has been transferred from the Department of Human Services (now Department of Health and Human Services) to the Department of Agriculture, Food and Rural Resources (now Department of Agriculture, Conservation and Forestry).
• ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK: October 7, 2025
• AMENDED: October 12, 2025 – filing 2025-192
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 4 Rules for Adoption of Apple Market Orders and Apple Market Agreements

Code Me. R. 01-001 Ch. 4 Rules for Adoption of Apple Market Orders and Apple Market Agreements {#sec-01-001-ch.-4 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 4}

1. DEFINITIONS

Unless otherwise provided in these rules, all terms shall have the meanings indicated in the Agricultural Commodities Marketing Act , Title 7 M.R.S.A. §423. In addition, the following terms shall have the following meanings.

A. Act means the Agricultural Commodities Marketing Act , Title 7 M.R.S.A. §§ 422-430.

B. Apples means all apples produced in the State of Maine for the purpose of sale.

C. Apple Marketing Committee means the Committee established pursuant to section 3 herein.

D. Apple producer means any person who produces or causes to be produced apples in quantities equal to or greater than 3,000 first sale units as defined in subsection G.

E. Commodity area for purposes of §425 of the Act, shall mean the State of Maine.

F. Districts mean the geographical divisions of apple production areas in the State as follows:

(1) Western District - Oxford County; Cumberland County; York County; and that portion of Androscoggin County west of the Androscoggin River.

(2) Central District - Franklin County; Sagadahoc County, that portion of Androscoggin County east of the Androscoggin River; that portion of Kennebec County west of the Kennebec River; and that portion of Somerset County west of the Kennebec River.

(3) Eastern District - Aroostook County; Hancock County; Knox County; Lincoln County; Penobscot County; Piscataquis County; Waldo County; Washington County; that portion of Kennebec County east of the Kennebec River; and that portion of Somerset county east of the Kennebec River.

G. First sale unit means the traditional unit of sale of apples of between 32 to 44 pounds of apples sold for fresh market use in boxes, cartons, baskets, or other containers. When applied to bulk apples for fresh sales, a first sale unit shall mean 40 pounds of apples.

H. Initial referendum means the referendum establishing an apple market order pursuant to the Act, based upon statistics regarding the 1981-82 season.

I. Marketed within the State for purposes of §429 of the Act , means any apples marketed for fresh market use by Maine apple producers, regardless of destination.

J. Marketing means the act or process of selling or purchasing in a market and includes advertising, promotion, or publicity of apples or apple products as well as the research and data collection necessary to facilitate any of these efforts.

K. Marketing season means the period beginning July 1 of any year and extending through June 30 of the following year.

L. Participated in the referendum , for purposes of establishing compliance with §425 of the Act, shall mean filed a properly completed ballot concerning the apple market order, including both affirmative and negative ballots.

M. Persons to be affected , for purposes of §425 of the Act, shall include apple producers as defined in subsection D.

N. Preceding marketing season , for purposes of 5425 of the Act in the initial referendum, shall mean the 1981-82 marketing of the 1981 apple crop.

2. REFERENDUM PROCEDURES

A. Adoption by the Commissioner. After public hearing and the close of time for submission of written comments on any proposed market order, the Commissioner may, upon finding that the market order will effectuate the legislative policy of the Act, adopt such order.

B. Distribution of ballots. Upon his adoption of a market order referendum ballots shall be distributed by the Commissioner to all producers whose names appear on the lists of apple producers maintained by the Maine Pomological Society and whose names may otherwise have been made known to the Commissioner in response to the notice of the hearings concerning the market order,, or as a result of other inquiries.

C. Return of ballots. An apple producer shall return the referendum ballot within the time specified, indicating the producer's name, address, the volume of apples marketed for fresh market use during the preceding marketing season, and an affirmative or negative vote. Any person voting on behalf of a producer which is a corporation or business association shall indicate his authority to so vote. All ballots shall be signed and certified as to their truth. The volume of apples marketed for fresh market use shall be indicated in boxes, provided, however, that a ballot shall not be invalid if volume is otherwise indicated; pounds shall be converted by the Commissioner to boxes at a rate of 40 pounds per box.

D. Validity of ballots. The referendum ballots shall be considered by the Commissioner if they are received no later than 20 days after the date on which they were originally mailed by him. The Commissioner shall not consider a referendum ballot which he determines is riot properly completed and signed.

E. Results of the referendum. The Commissioner shall determine whether 66 2/3% of the apple producers who participated in the referendum have voted in favor of the market order and whether that affirmative vote represents 51% of the quantity of apples marketed during the preceding marketing season by those participating in the referendum; or, in the alternative, whether 511 of the producers who participated in the referendum have voted in favor of the market order and whether that affirmative vote represents 66 2/3% of the quantity of apples marketed during the preceding marketing season by those participating in the referendum.

F. Certification. The commissioner shall certify the results of the referendum to the Attorney General and shall file the order with the Secretary of State.

3. ESTABLISHMENT OF THE APPLE MARKETING COMMITTEE

A. Membership and representation. The membership of the Apple Marketing Committee shall be as defined in the Apple Market Order. one member shall represent the Eastern District, two members the Western District, and two members the Central District, providing not more than one member shall be from any single grower operation.

B. Initial Appointments. The apple producer members of the initial Apple Marketing Committee shall be selected and appointed by the Commissioner from nominations made through the following procedure.

(1) The Commissioner shall cause to be held a meeting or meetings of apple producers at which time the producers in attendance shall nominate a total of eleven growers to be eligible for appointment to the Apple Marketing Committee.

(2) Of the eleven nominees, four shall be growers whose orchards are principally located in the Western District, four shall be growers whose orchards are principally located in the Central District, and three shall be growers whose orchards are principally located in the Eastern District.

(3) The first meeting of growers for the purpose of nominating members of the marketing committee shall be held not later than August 15, 1983.

C. Election Procedures. The following election procedures shall be instituted.

(1) The initial Apple Marketing Committee shall cause an election to he held to, select subsequent members of the Apple Marketing Committee. Beginning in calendar year 1984, an annual meeting shall be held between January I and August 15 for the purpose of nominating members of the Apple Marketing Committee. Nominations of apple producers for the Apple Marketing Committee election shall be as provided in subsection B.(2).

(2) Election of members shall be conducted by written ballot and subject to the approval of the Commissioner.

D. Term of Office. Members of the Apple Marketing Committee shall serve at the pleasure of the Commissioner for the following periods.

(1) Any person selected for appointment by the Commissioner pursuant to subsection B or elected pursuant to subsection C shall qualify by being sworn to office by a Justice of the Peace and by filing a written acceptance with the Secretary of State within 30 days of being notified of selection.

(2) The Commissioner in making initial appointments pursuant to subsection 13 shall appoint two members for terms of three years, two members for terms of two years, and one member for a term of one year. Subsequent terms of office except appointments to fill vacancies pursuant to subsection E shall be filled pursuant to subsection C and shall be for three years each.

(3) No member shall serve for more than two consecutive terms.

(4) In all cases, members shall continue to serve until a successor has been appointed and qualified.

E. Vacancies. Vacancies in the Apple Marketing Committee shall be filled by the Commissioner consistent with the following guidelines.

(1) To fill any vacancy caused by the failure of any initial appointment to qualify or in the event of the death, removal, resignation or disqualification of any member, a successor for the unexpired term shall, if possible, be selected by the Commissioner from the previously unselected nominations made pursuant to subsection B.

(2) in the event of any other failure of apple producers to provide the requisite nominations or elected representatives, or in the event of other vacancies, the Commissioner shall make the necessary appointments in such manner as he determines appropriate with the advice of the existing members of the Apple Marketing Committee.

(3) In all cases, the geographic representation established in subsection A and the staggered terms established pursuant to subsection D shall be maintained.

F. Duties. The Apple Marketing Committee shall advise and assist the Commissioner in all matters pertaining to the operation of the Apple Market Order, subject only to the limitations of §427 of the Act. Such duties may specifically include any or all of the following:

(1) the recommendation to the Commissioner of administrative rules and regulations relating to the marketing order;

(2) the recommendation to the Commissioner of such amendments to the marketing order as seem advisable;

(3) the preparation and submission to the Commissioner of the estimated budget required for the proper operation of the marketing order;

(4) the recommendation to the Commissioner of methods for assessing members of the industry and methods for collecting the necessary funds;

(5) the provision of assistance to the Commissioner in the collection and assembling of information and data necessary to the proper administration of the order;

(6) the performance of such other duties in connection with the marketing order as the Commissioner shall designate.

4. PURPOSES OF EXPENDITURES UNDER THE APPLE MARKET ORDER

The Apple Marketing Committee and the Commissioner may expend funds obtained pursuant to the Apple Market Order for the following purposes.

A. Promotion. The Apple Marketing Committee, with the approval of the Commissioner, may carry out such advertising, promotion and publicity programs as they believe will maintain or enhance present markets or create new markets for apples and/or apple products. However, no such advertising, promotion or publicity programs shall he conducted with reference to any particular private brand or trade name and no such program shall disparage the quality, value, sale or use of any other agricultural commodity.

B. Marketing and product research. The Apple Marketing Committee, with the approval of the Commissioner, may carry out such marketing and/or product research as they believe to be beneficial to the Maine apple industry.

C. Information services. The Apple Marketing Committee, with the approval of the Commissioner, may establish mechanisms to provide for information services designed to keep producers informed of such factors as apple crop, pack, storage holdings, marketing and product research, promotion, advertising and publicity programs, and similar information relevant to the Maine apple industry.

5. BUDGET AND ASSESSMENTS

All apple producers shall be subject to the assessment levied under the Apple Market Order pursuant to this section.

A. Budget. During each marketing season, and not later than August 15, the Apple Marketing Committee shall estimate a budget necessary for the administration and enforcement of the order and for carrying out the programs created thereunder. The total amount budgeted for administrative costs shall not exceed 5% of the total budget.

B. Assessment

(1) Consistent with the budget established pursuant to subsection A, the Commissioner shall announce rates of assessment to provide adequate funds to defray expenditures in the budget. The assessment rate shall not exceed the rate set in the Apple Market Order and, in any case, shall not exceed the maximum statutory rate.

(2) An increase in the rate of assessment above 5 cents shall occur only after a referendum pursuant to procedures established in section 2.

6. REPORTING

Reports are required to facilitate factual and accurate informational services and to provide a basis for budget estimation and adjustment. Not later than December 1 of each marketing season, each apple producer shall file with the Apple Marketing Committee, on forms prescribed and supplied by that Committee, a declaration of harvested crop which shall declare the number of first sale units of apples harvested and the disposition of same to processors, cold storage, and/or other destinations.

7. COLLECTION

A. Liability of the producer. Each apple producer shall be responsible for proper accounting and payment of the proper assessment upon the apples which he produces and markets.

B. Payment arrangements. For each grower for whom a broker or other agent sells or otherwise transfers apples, said broker may, at the grower's option, deduct from monies owed to the grower the proper assessment on the first sale units sold or otherwise transferred from storage.

C. Payment schedule. All growers, grower sales cooperatives, and/or grower sales agents shall make remittance and accounting of the proper assessment to the Commissioner or his designated fiscal agent not later than the 15th of each of the months of November, February, May, and August. Such quarterly remittance and accounting shall be inclusive of all sales of apples and/or removal of apples from storage through the end of the month just preceding the months herein designated.

8. TERMINATION

A. By the Commissioner. The Commissioner may terminate a market order in a manner provided by 5429 of the Act whenever he determines that the provisions of the order do not tend to effectuate legislative policy.

B. By petition. The Commissioner shall terminate a market order at the end of the fiscal year if he has received, prior to April 15 of that year, a properly completed petition for termination and has determined, prior to June 15th of that year, that termination is favored by at least 50% of the producers who produced at least 51% of the volume marketed as required by §429 of the Act. Petitions and termination procedures shall be governed by the following provisions.

(1) A petition for termination shall provide that its signatories favor termination of the existing market order. Each person signing shall certify that he was a producer engaged in the production of apples for market during the preceding marketing season and shall certify, in boxes, the volume of apples marketed.

(2) A petition for termination shall be considered properly completed only if it contains a sufficient number of signatures to represent 25% of the producers who marketed 25% of the volume of apples.

(3) Upon receipt of a petition for termination, the Commissioner shall distribute and tabulate termination ballots in the same manner as referendum ballots pursuant to Section 3 herein.

C. Producers and volume specified. For purposes of 5429 of the Act, the Commissioner determines that the volume of apples marketed during the 1981-82 marketing season was 89 million pounds, and that the number of producers was 225. Upon receipt of a petition pursuant to subsection B, or at an earlier time, the Commissioner shall determine the volume of apples marketed and the number of producers for the preceding marketing season.

D. Five year mandatory review. At least once during each five-year period that the order is in effect, the Apple Marketing Committee shall conduct a referendum of apple producers in the commodity area to substantiate approval of the order, the first such five-year period to commence September 1, 1983. In the event of suspension or a petition to terminate, a new five-year period will begin, effective the first of July following the date of certification of approval of the order by the Commissioner.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 421-430
• EFFECTIVE DATE: April 21, 1982
• EFFECTIVE DATE OF AMENDMENT: June 15, 1983
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 8, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 5 ) Maine Potato Council: Financial Reports and Out-of-State Travel

Code Me. R. 01-001 Ch. 5 Maine Potato Council: Financial Reports and Out-of-State Travel {#sec-01-001-ch.-5 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 5}

SUMMARY:

The following procedures shall apply regarding Financial Reports and Out-of-State Travel of the Maine Potato Council

1. FINANCIAL REPORTS

A. The Maine Potato Council shall submit to the Commissioner prior to the beginning of any fiscal year, a budget showing, for funds anticipated under 36 M.R.S.A. §4571, 1‑A, estimated amounts to be expended by category for that fiscal year. Following the closing of books at the end of a fiscal year, the Maine Potato Council shall submit financial statements showing actual and budgeted receipts and expenditures for that fiscal year; additionally, the Maine Potato Council will furnish the Commissioner a copy of their independent auditor's report when available.

2. OUT-OF-STATE TRAVEL

A. Out-of-state travel for which reimbursement pursuant to 36 M.R.S.A.§4571.1-A is anticipated shall require the prior approval of the Commissioner. Request for approval shall be made on state form BP-14 7/79 at least three weeks prior to departure and shall include justification for travel; provided that the Commissioner may waive the three week period whenever scheduling exigencies so require.

B. The Travel and Expense Account Voucher (Form BP22 8/79) shall be used to claim all out-of-state travel related expenses and must be signed by the traveler and the Executive Vice-President of the Council. No expenses shall be reimbursed pursuant to §4571.1-A until the Commissioner has approved their payment. Approval shall be governed by the provisions of Section 40 of the State Manual of Financial Procedures which procedures are incorporated herein by reference.

History

• STATUTORY AUTHORITY: 36 M.R.S.A., section 4571.1-A
• EFFECTIVE DATE: August 4, 1980
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 8, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 6 Petition for Agency Rulemaking

Code Me. R. 01-001 Ch. 6 Petition for Agency Rulemaking {#sec-01-001-ch.-6 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 6}

1. FORMS

A. Petition shall be made on forms developed by the Secretary of State and adopted by the Department, which forms shall be supplied by the Department in sufficient number to any person requesting them.

NOTE: A copy of the petition form(s) now in use is attached hereto.

B. It is anticipated that multiple petition forms may be circulated as part of any one petition. The petitioner shall complete page one of the petition form and attach it to each petition copy before circulating for signatures.

2. CERTIFICATION OF PETITIONS.

The petition must be verified and certified according to procedures defined by Title 21, Section 494, sub-section 7, prior to presentation to the Department.

3. SUBMISSION OF PETITION AND TEXT OF PROPOSED RULE

Petitions shall be submitted to: Commissioner, Department of Agriculture, Conservation and Forestry, Augusta, Maine 04333. All petition forms which are part of any one petition shall be submitted simultaneously.

4. ACTION ON PETITION

A petition may be submitted with or without accompanying signatures.

A. If the petition is submitted containing less than 150 signatures, and is in accordance with paragraphs 1, 2, and 3 herein, the Department may initiate appropriate rule-making proceedings but is not required to do so. If the Department does initiate appropriate rule-making proceedings, it shall send a copy of the notice of rulemaking to the person designated as the petitioners' representative. If the Department declines to initiate appropriate rule-making proceedings, it shall notify the designee, in writing, of its denial and state the reasons therefor. The Department shall initiate appropriate rule-making proceedings or send its written notice of denial, as the case may be, within 60 days after receipt of the petition.

B. If a petition is submitted containing 150 or more signatures in accordance with paragraphs 1, 2, and 3 herein, the Department shall initiate appropriate rule-making proceedings within 60 days after receipt of the petition. The Department shall send a copy of the notice of rule-making hearing to the designee of the petitioner(s) and any other person having requested such notice.

History

• STATUTORY AUTHORITY: 5 M.R.S.A. §8055(2)
• EFFECTIVE DATE: October 5, 1980
• AMENDED: April 25, 1982
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 8, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): STATE OF MAINE
• APAO ACCESSIBILITY CHECK (Word): PETITION TO REQUIRE AGENCY RULEMAKING
• APAO ACCESSIBILITY CHECK (Word): We, the undersigned qualified voters of the State of Maine, hereby
• APAO ACCESSIBILITY CHECK (Word): petition the ______________________________________________
• APAO ACCESSIBILITY CHECK (Word): (Name of Agency)
• APAO ACCESSIBILITY CHECK (Word): pursuant to 5 M.R.S.A. §8055 to: (check one)
• APAO ACCESSIBILITY CHECK (Word): □ Adopt a □ Modify □ Repeal
• APAO ACCESSIBILITY CHECK (Word): New Rule Chap.______ Sec._______ Chap._______ Sec._______
• APAO ACCESSIBILITY CHECK (Word): The proposed change would ______________________________________________________
• APAO ACCESSIBILITY CHECK (Word): (Summarize content and impact of proposal)
• APAO ACCESSIBILITY CHECK (Word): The text of the new or modified rule would read:
• APAO ACCESSIBILITY CHECK (Word): For purposes of communication with the agency concerning this petition, the petitioners designate as their representative the following individual:
• APAO ACCESSIBILITY CHECK (Word): __________________________ FOR AGENCY USE
• APAO ACCESSIBILITY CHECK (Word): (Name)
• APAO ACCESSIBILITY CHECK (Word): __________________________ Completed petition was received by
• APAO ACCESSIBILITY CHECK (Word): Mailing Address) _____________________________
• APAO ACCESSIBILITY CHECK (Word): __________________________ (Agency)
• APAO ACCESSIBILITY CHECK (Word): (Phone) _____________________________
• APAO ACCESSIBILITY CHECK (Word): (Signature)
• APAO ACCESSIBILITY CHECK (Word): Use additional page(s), if necessary
• APAO ACCESSIBILITY CHECK (Word): SIGNATURESTREET ADDRESS(Not P.O. , Box or R.F.D.TOWN OF CITYWhere Registered to VoteNAME PRINTED1.2.3.4.5.6.7.8.9.10.11.1213.14.15.16.17.18.19.20.21.22.23.24.25.26.27.28.29.30.31.32.33.34.35.36.3738.39.40.41.42.43.44.45.46.47.48.49.50.
• APAO ACCESSIBILITY CHECK (Word): STATE OF MAINE
• APAO ACCESSIBILITY CHECK (Word): AUTHENTICATION OF PETITIONS FOR RULEMAKING
• APAO ACCESSIBILITY CHECK (Word): CIRCULATOR'S VERIFICATION
• APAO ACCESSIBILITY CHECK (Word): I, , hereby swear or affirm that the signatures to this petition were made in my presence and that to the best of my knowledge and belief each signature is that of the person it purports to be and each petitioner is a resident of the State of Maine.
• APAO ACCESSIBILITY CHECK (Word): ____________________
• APAO ACCESSIBILITY CHECK (Word): (Signature of Circulator)
• APAO ACCESSIBILITY CHECK (Word): Subscribed and sworn before me on___________________
• APAO ACCESSIBILITY CHECK (Word): (Date)
• APAO ACCESSIBILITY CHECK (Word): _______________________
• APAO ACCESSIBILITY CHECK (Word): (Signature of Notary Public)
• APAO ACCESSIBILITY CHECK (Word): ___________________________________________________________________
• APAO ACCESSIBILITY CHECK (Word): REGISTRAR/BOARD OF REGISTRATION CERTIFICATE
• APAO ACCESSIBILITY CHECK (Word): I, Registrar of Voters/Member, Board of
• APAO ACCESSIBILITY CHECK (Word): Registration of Voters for certify
• APAO ACCESSIBILITY CHECK (Word): (Name of Municipality)
• APAO ACCESSIBILITY CHECK (Word): that EACH of the name of the foregoing petitioners numbered (CIRCLE EACH OF THE
• APAO ACCESSIBILITY CHECK (Word): NUMBERS CORRESPONDING TO THE SIGNATURES BEING CERTIFIED)
• APAO ACCESSIBILITY CHECK (Word): 1234567891011121314151617181920212223242526272829303132333435363738394041424344454647484950
• APAO ACCESSIBILITY CHECK (Word): appear on the voting list of this municipality as qualified voters. The total number of signatures certified is .
• APAO ACCESSIBILITY CHECK (Word): _________________
• APAO ACCESSIBILITY CHECK (Word): (Signature) (Date)

Chapter 7 Adoption of Agricultural Land Interest Form

Code Me. R. 01-001 Ch. 7 Adoption of Agricultural Land Interest Form {#sec-01-001-ch.-7 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 7}

1. Definitions

A. AFIDA - Agricultural Foreign Investment Disclosure Act .

B. Agricultural land - any land in Maine which is used or capable of use without substantial modification for production of agriculturally related products including, but not limited to, crops, livestock, poultry, dairy products and sod.

C. Interest in land - all forms of direct or indirect ownership of land except:

a. contingent future interests

b. noncontingent future interests which do not become possessory upon the termination of the present possessory estate

c. surface or subsurface easements and rights-of-way used for a purpose unrelated to agricultural production.

2. Report Required

A. Conditions requiring report. Any corporation or partnership which, on its own behalf or acting as a fiduciary or trustee on behalf of another, holds, acquires or transfers any interest in agricultural land shall submit an annual report to the Commissioner not later than 90 days after January 1st, or the date of that acquisition or transfer, whichever is earlier.

B. Information required by statute includes:

a. The legal name and address of the corporation or partnership filing and type of legal entity;

b. the nature of the interest in agricultural land which that corporation or partnership has acquired or transferred and the date of that activity;

c. the legal description and acreage of the agricultural land;

d. the use of the agricultural land at the date of acquisition or transfer and the use to which the land shall be put by the person acquiring it;

e. the appraised value of the agricultural land and the consideration given;

f. the name, address and type of legal entity of the person from whom acquired or to whom transferred.

C. Information required by the Commissioner of Agriculture includes:

a. the type of activity;

b. the relationship of the producer to the owner of the land,

c. (if applicable) the rental agreement; and

d. if the producer on this tract is the same producer as when the tract was acquired or is a new person.

3. Form

A corporation or partnership shall file such report to the Commissioner on the attached form or may fulfill its requirement by filing a copy of its AFIDA report.

AGRICULTURAL LAND INTEREST ACT REPORT

Maine Department of Agriculture, Conservation and Forestry

State House Station 28

Augusta, Maine 04333

Any corporation or partnership which, on its own behalf or acting as a fiduciary or trustee on behalf of another, holds, acquires or transfers any interest in agricultural land shall submit an annual report to the Commissioner of Agriculture, Conservation and Forestry, not later than 90 days after January 1st or the date of that acquisition or transfer, whichever is earlier. A corporation or partnership may fulfill this reporting requirement by submitting a copy of its federal AFIDA report.*

Name of Corporation or Partnership

Nature of Interest in land Acquired/Transferred

fee interest (ownership) whole

fee interest (ownership) partial

life estate

trust beneficiary

option

purchase contract

other (explain)

Address (Street, City, State) Tel:

Type of Entity

Corporation

Partnership

Tract Location & Legal Description

Type of Activity Date:

---

County Number of Acres

land holding

land acquisition

land disposition

land use change to agriculture

land use change to non-agriculture

(specify)

• Family farm corporations and farm partnerships as defined below are exempt from filing this report. A family farm corporation is a corporation founded for the purpose of farming and the ownership of agricultural land, the majority of the voting stock must be held by, and a majority of the shareholders must be persons or the spouses of persons related to each other within the 3rd degree of kindred and at least one of the related persons must reside on or actively operate the farm; and none of the shareholders must be a corporation. A family corporation does not cease to qualify as such by reason of any bequest of voting stock. A farm partnership is an association of 2 or more individuals formed for the purpose of farming.

A corporation or partnership owning less than 10 acres of land, which Is the subject of a single acquisition or transfer, is not obliged to comply with this reporting requirement.

Current Land Use or Land Use at Date of

Acquisition /Transfer

Relationship of Producer to Owner.

Producer is (check one):

acres

pasture

Crop (specify by acres below)

other agriculture

other non-agriculture

total

owner

manager

tenant/sharecropper

Rental Agreement is (check one):

a crop share

cash or fixed rent

Is the producer on this tract:

Intended Use as of This Date

same producer as when the tract was acquired

a new person

no change

other agriculture

other non-agriculture

Appraised Value of the Land and if Disposition the Selling Price

Use this section for additional comments.

Name and Address of Person from Whom Acquired or to Whom Transferred and Type of Entity

COMPLIANCE: Any corporation or partnership subject to this chapter which violates this law or the regulations adopted thereunder or which submits a report which contains Information that is false or misleading shall be subject to a civil penalty, payable to the State, of not more than $50 for each day of the violation. A corporation or partnership subject to this chapter which does not comply with the law In a timely fashion shall first receive a written warning from the Department of Agriculture, Conservation and Forestry which will require presentation of the information within 30 days. After the 30-day notice period is expired, penalties described above shall be imposed.

CERTIFICATION: I certify that the Information entered above is complete and correct. I understand that violation of this law or falsification of reporting is subject to a civil penalty, payable to the State of Maine, of not more than $50 for each day of the violation.

Signature (owner or legally authorized representative)

TITLE:

DATE:

History

• STATUTORY AUTHORITY: Sec. 17 M.R.S.A. c.2
• EFFECTIVE DATE: March 24, 1984
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 9, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 8 Rules for Department Grant Awards and Appeals

Code Me. R. 01-001 Ch. 8 Rules for Departmental Grant Awards and Appeals {#sec-01-001-ch.-8 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 8}

Summary: This chapter defines the procedures and criteria to be used in all of the Department of Agriculture, Conservation and Forestry grant program awards, including those funded through emergency relief funds, bequests, gifts, or contributions from any person, corporation, or government, for the purpose of economic opportunity, business growth, and other strategic investment. The chapter describes procedures to be used in grant solicitations, award procedures, hearings and appeals, and how appellants will be notified of final agency action pursuant to 5 M.R.S. §§ 9051–9064.

Section 1. DEFINITIONS

1. GRANT SOLICITATION: Means a formal solicitation for a grant application to accomplish specific program or emergency relief objectives, and that indicates the estimated amount of funds set aside.

2. REVIEW COMMITTEE: Means the committee that reviews grant applications and ultimately scores and recommends grant awardees to the Commissioner of the Department. Review committee members shall attest on forms provided by the Department that they do not have a conflict of interest with the applicants.

3. GRANT: Means an award, typically financial, given by the State to an individual or a company to facilitate performance of an activity that furthers particular goals of the State. Grants shall include those funded through emergency relief funds, bequests, gifts, or contributions from any person, corporation, or government, including for the purpose of economic opportunity, business growth, and other strategic investment.

4. HEARING OFFICER: Means an individual appointed by the Commissioner of the Department, who must not have a direct or indirect personal, professional, or financial conflict of interest in the appeal and cannot be an employee of the bureau or program overseeing the grant.

5. AGGRIEVED PERSON: Means a person who applied for but did not receive a grant award and who is adversely affected financially, professionally, or personally by that decision.

6. DEPARTMENT: Means the Department of Agriculture, Conservation and Forestry.

7. COST BENEFIT RATIO: Means the expected value (benefit) of a particular grant application compared to the amount requested.

Section 2. GRANT SOLICITATION PROCEDURE

All grant programs within the Department shall follow a grant solicitation process. Criteria and individual scoring metrics shall be determined by the Department as specified in the grant solicitation. To the extent that existing grant program rules have different requirements than this chapter, the rules for that grant program shall control.

At a minimum, the grant solicitation documentation must contain a clear scope of the grant, defined terms, eligibility criteria (including budget), evaluation criteria, and relative scoring weights to be applied, the application deadline, and the agency contact person. Where specific criteria for any particular grant program is required by new statute or other rule, those criteria shall control.

1. When applicable, in instances of emergency funding for relief activities or other time-sensitive programming (including but not limited to weather-related events, crop disease, etc.), the Department may determine that only eligibility and evaluation criteria are necessary to dispense with the funding and that scoring weights are not relevant for such grant solicitations. The Department shall clearly document that only the eligibility and evaluation criteria shall be utilized in such instances.

Grant solicitations must be publicly posted and available online. The Department shall publicly notice, either through newspaper publication or other method reasonably calculated to provide notice to persons who are likely to want to file grant applications, the issuance of the grant solicitation at least fourteen (14) calendar days prior to the application submittal opening date.

Applicant conferences are allowed but not required. These conferences are used to ensure that all applicants have an equal understanding of the grant program’s scope, eligibility, and evaluation criteria.

1. If held, applicant conferences must be referenced in the grant solicitation, including date, time, and location (including virtual). The conference(s) must be scheduled a minimum of two weeks prior to the deadline for submitting a grant application.
2. If held, applicant conferences must be open to the public, questions raised must be documented in writing, and responses must be written and publicly posted at least seven (7) calendar days prior to the grant submission deadline. The grant solicitation shall include the website to access the written responses.

When applicable, the Department may utilize a third-party grant administrator to help manage the grant solicitation and management process. In all instances, award decision-making rests with the Department, as outlined in Section 3.

Section 3. AWARD PROCEDURE

The Review Committees for grant programs within the Department shall be responsible for reviewing all grant applications based on the criteria established within the grant solicitation. Review Committees shall document the scoring and the substantive information that supports the scoring and provide the Commissioner with recommendations on grant awards.

1. Written records must be kept by each person reviewing or ranking applications. These records must be made available upon request, subject to applicable confidentiality and Maine Freedom of Access Act rules and regulations.

Final decision-making authority for awarding grants rests with the Commissioner, based upon the grant criteria set forth by the grant solicitation and the recommendations of the Review Committee.

The Review Committee or the Commissioner may reopen the record where new information relevant to the application is obtained (e.g., litigation, financial default, etc.). The applicant shall have the opportunity to discuss this information with the Review Committee and/or Commissioner before a final decision is made.

The issuance of a grant solicitation or any grant award decision does not obligate the Department to make any award. Nor does it obligate the Department to make an award in the amount requested, provided that in such instances where the amount awarded is different than what was sought by the applicant, the Department will provide a written explanation for the record.

Grant applicants will be informed in writing of the final grant award decisions.

Section 4. APPEALS PROCEDURE

All Department grant programs shall follow the appeals process set forth in this rule chapter.

APPEAL REQUEST: An aggrieved person (hereinafter the “petitioner”) may request an appeal hearing on a grant award decision by submitting a request for appeal to the Commissioner, in writing, no later than fifteen (15) calendar days from the date of the award decision. The written request for appeal must describe the specific nature of the grievance, including the Appeal Criteria as defined in Section 5, Subsection 2 of this rule. The Commissioner shall grant an appeal hearing unless it is determined that:

A. The petitioner is not an aggrieved person; or

B. The written request for appeal was submitted more than fifteen (15) calendar days after notification of award.

3. NOTIFICATION: Notice of the appeal proceeding shall follow the requirements of 5 M.R.S. § 9051-A(2) and be provided to those entities as determined applicable by the Commissioner. The notification must include the date and location of the hearing and the name of the Hearing Officer. Appeal proceedings may be held in person, virtually, or in a hybrid format at the discretion of the Hearing Officer. Failure to appear for a scheduled hearing may be grounds for default.

Section 5. APPEAL HEARINGS

1. HEARING OFFICER: The Hearing Officer shall preside over the appeal hearing and shall control all aspects of the hearing, rule on points of order, rule on all objections, and may question witnesses.

2. APPEAL CRITERIA: The burden of proof within the hearing of appeal lies with the petitioner. The evidence presented must specifically address and be limited to one or more of the following:

A. Violation of law;

B. Irregularities creating fundamental unfairness; or

C. Arbitrary or capricious award.

Evidence of any type that cannot be related to this criteria may be ruled inadmissible by the Hearing Officer.

In the event multiple appeal hearing requests are granted on a single grant award, the Commissioner may assign the Hearing Officer to hear all petitioners within the same hearing as a combined appeal. Notwithstanding a combined appeal hearing process, the Hearing Officer may still decide each petitioner’s appeal separately based solely on the evidence presented by each respective petitioner.

3. PARTICIPANTS: The petitioner may participate alone or be represented by an attorney. The Department may be represented by staff and/or its attorney. Other parties of interest may petition to intervene. Such petition shall be presented in writing to the Hearing Officer, who shall determine and allow or disallow participation in writing within seven (7) calendar days of receipt of the request to intervene. Copies of this notification shall be sent to the petitioner and the Department.

4. PRESENTATION OF EVIDENCE: The petitioner must present evidence to substantiate the specific grievances stated in the appeal. The evidence shall be confined to the record upon which the Commissioner’s decision was based. The burden is on the petitioner to prove one or more of the appeal criteria under Section 5, Subsection 2 by clear and convincing evidence. Brief opening statements may be made by the petitioner, the Department, and any intervenors, in that order. All testimony shall be under oath.

A. The petitioner shall present evidence first, using exhibits and witnesses who may be cross-examined by the Department and the intervenors. Re-direct questioning related to issues raised during cross-examination only may be done by the petitioner, followed by re-cross-examination by the Department and intervenors.

B Witnesses may be called who can present factual information related directly to the appeal. All witnesses shall be sworn. Testimony of any witness may be pre-filed in written form. If used, pre-filed testimony must be made available to the Department, the Hearing Officer, and all intervenors a minimum of two (2) business days prior to the hearing. Every such witness must be present at the hearing and shall be subject to cross-examination.

C. EXHIBITS: Exhibits relating to any issue of fact in the proceeding may be presented. Documentary evidence may be incorporated into the record by reference when the materials so incorporated are made available for examination by the parties before being received in evidence.

(1) COPIES: A petitioner must furnish copies of all documentary evidence to the Hearing Officer, Department, and all intervenors, in all cases, no less than two (2) business days prior to the hearing. Any costs associated with this subparagraph are the responsibility of the petitioner and shall not be recovered by any judgment of the Commissioner.

5. DEPARTMENT/INTERVENOR EVIDENCE: The Department and all intervenors shall have the opportunity to submit evidence relevant to the appeal through witnesses and exhibits. The procedures for presenting this evidence are the same as those for the petitioner.

A. The order of examination and cross-examination when the Department presents evidence is as follows: Department, all intervenors, and the petitioner.

B. The order of the examination and cross-examination when an intervenor presents evidence shall be as follows: remaining intervenors (if any), the Department, and the petitioner.

6. RECORD: A recording of the appeal hearing shall be made by audio tape or other media. All evidence received or considered shall be part of the record. Evidence shall be admitted if it is the kind of evidence upon which reasonable persons are accustomed to rely in the conduct of serious affairs. The Hearing Officer may exclude irrelevant or unduly repetitious evidence. No sworn written evidence shall be admitted unless the author is available for cross-examination or subject to subpoena, except for good cause shown.

Section 6. APPEAL DECISIONS AND ACTIONS

1. DECISION: The Hearing Officer shall make the final decision after consideration of the evidence in the record. The Hearing Officer shall look for clear and convincing evidence that one or more of the standards set forth in Section 5, Subsection 2, of these rules has been proven by the petitioner.

2. NOTIFICATION OF FINAL AGENCY ACTION: The Hearing Officer must issue a timely written decision and the reasons that support the decision. Such notification shall include the decision, an explanation of the reasons for the decision, and an explanation of the petitioner’s right to judicial review of final agency action.

A. This notification is considered final agency action.

History

• STATUTORY AUTHORITY: 7 M.R.S. § 12; 12 M.R.S.A. § 5012
• EFFECTIVE DATE (NEW): August 18, 2024 – filing 2024-182
• ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 9 Rules Requiring Use of Best Management Practices for Growing Crops to Minimize Cross Contamination

Code Me. R. 01-001 Ch. 9 Rule Requiring Use of Best Management Practices for Growing Crops to Minimize Cross Contamination {#sec-01-001-ch.-9 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 9}

Section 1. summary

This rule requires all persons planning to grow any crop to follow best management practices in order to maintain the integrity of all crops and minimize potential conflict between farmers. It also describes several best management practices a person must consider in planning and producing the crop.

SECTION 2. DEFINITIONS

As used in this chapter, the following terms have the following meanings.

1. Best management practices (BMPS) – means those practices that are determined by the Commissioner of the Maine Department of Agriculture, Conservation and Forestry to be a preferred method or practice based upon best reasonably available and economically feasible methods and technologies that are technically and environmentally sound. BMPs are those practices best suited to preventing, reducing or correcting agriculture-related problems.

2. Cross-contamination – means the unintentional transfer and incorporation of genetic material between a genetically engineered crop, by cross-pollination or other means, and a non-genetically engineered crop or a wild population.

3. Genetically engineered (GE) – meansthe application of in vitro nucleic acid techniques, including recombinant deoxyribonucleic acid and direct injection of nucleic acid into cells or organelles, or the fusion of cells beyond the taxonomic family, that overcome natural physiological reproductive or recombinant barriers and that are not techniques used in traditional breeding and selection.

4. Seed dealer - means a person who cleans, processes, sells or offers for sale a genetically engineered plant part, seed or plant in the State.

5. Manufacturer - means a person that produces or commercializes a genetically engineered plant part, seed or plant, not including a farm operation for the purposes of Title 17, section 2805.

Technology use agreement – means an agreement between a manufacturer and a farmer that controls the right to plant a given genetically engineered plant part, seed or plant on a specific area of land for a certain period of time.

SECTION 3. REQUIREMENT TO FOLLOW BEST MANAGEMENT PRACTICES (BMPs)

Any person planning to grow crops must follow best management practices in selecting fields and cultivating the crop in order to maintain the integrity of all crops and minimize potential conflict between farmers.

Any person planning to grow a GE crop must also verify the type of seeds to be planted, read and understand the licensing agreement issued by the biotech seed supplier, follow all planting instructions, retain copies of any licensing agreements, and know the distance pollen is likely to travel.

Any person planning to grow a GE crop must also comply with the applicable Board of Pesticides Control regulations in Chapter 28 – Notification Provisions for Outdoor Pesticide Applications , and if it contains a plant incorporated pesticide, comply with Chapter 41- Special Restrictions on Pesticide Use .

The BMPs described in this rule were developed based on advice from a working committee composed of University of Maine Cooperative Extension scientists, conventional growers and organic growers. They were selected not only because they represent best available technology but also because they make both economic and environmental sense by providing the most benefit for the least cost. Furthermore, the BMPs may be revised over time as new research proceeds and agricultural knowledge is expanded.

SECTION 4. BEST MANAGEMENT PRACTICES (BMPs)

Know your neighbors and neighboring crops

A. Crop growers must be proactive and visually inspect both the fields they intend to plant and any adjacent land to see if there are any fields that could potentially be at risk from pollen transfer. Equally, the person concerned about cross-pollination or outcrossing must be proactive and seek to know when a person is growing a crop that could affect his/her crop.

B. Crop growers concerned about pollen transfer who see that there are adjacent fields managed by other farmers must initiate conversations with these neighbors to determine what crops they will be growing and discuss how to preserve the integrity of their crops before they are planted. These actions will minimize concerns over cross pollination and further the Department’s goal of co‑existence.

1. If there are conflicts or concerns about communication, the Department, the Board of Pesticides Control or Cooperative Extension may be able to help identify issues and possible solutions. A formal mediation process is also available and details may be found in the Department’s Manual of Best Management Practices.

Employ the protective procedures most appropriate for the crop and the characteristics of the site after considering the following:

A. Plant sensitive crops as far as possible from neighbors who grow these crops;

B. Understand the differences between wind-pollinated, insect pollinated or self-pollinated crops and that the type of pollination will result in very different buffer and setback distances;

1. Establish setbacks of 300 feet for corn, yellow crookneck squash and zucchini and note that none are needed for alfalfa, canola, potatoes, sugar beets and tomatoes;

D. Create a time separation by planting crops at least ten days apart from the date your neighbor plants the same crop to minimize potential crop contamination;

E. Be aware of the direction of prevailing winds and the likelihood of pollen drift;

F. Separate fields, or change their orientation to minimize common borders;

G. Arrange the design of any required refuge area to minimize the opportunity for pollen drift onto an adjacent crop;

H. Be aware that large fields next to large fields have more chance of cross-pollinating;

I. Destroy border rows because most contamination happens at the edges and this action helps minimize the possibility of contaminated seed crops;

J. Utilize natural buffers, and if there are ongoing problems, plant a hedge or some other kind of buffer to minimize conflict over the longer term noting that the taller or thicker the barrier between fields, the less chance of cross-contamination; and

K. Recognize line of sight issues and be aware that if you can see your neighbor’s field there is a higher chance of pollen or bees moving between the fields.

Learn more about the development of this rule and additional details about GE crops by reviewing the Department’s Manual of Best Management Practices.

As the Department identifies additional resources and approaches to this issue, those resources will be added to the Department’s Manual of Best Management Practices for Maine Agriculture which may be downloaded from the Department’s website.

SECTION 5. COMPLAINTS THAT BEST MANAGEMENT PRACTICES NOT FOLLOWED

Any person who believes that a grower is not following best management practices must notify the Department in writing and explain what practices are not being followed.

2. The Department will investigate and resolve any complaints according to the procedures established in applicable statutes and regulations.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. Chapter 1, §12 and 7 M.R.S.A. Chapter 103, §§ 1051 - §1054
• EFFECTIVE DATE: April 30, 2010 – filing 2010-112
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 10 Rules for the Agricultural Compliance Program

Code Me. R. 01-001 Ch. 10 Rules for the Agricultural Compliance Program {#sec-01-001-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 10}

4. INVESTIGATION OF A POTENTIAL THREAT TO WATER QUALITY FROM ANIMAL WASTE 9

1. summary

These rules establish procedures for conducting the Agricultural Compliance Program. This program handles complaints concerning farms and farm operations under 17 M.R.S.A. §§ 2701-B and 2805, and investigates threats to human and animal health and safety and to the environment under 7 M.R.S.A. §17 and 7 M.R.S.A. Chapter 747. The procedures outlined in various sections of these Rules are interrelated. Each element within these sections, if pertinent to the issue under consideration, must be evaluated for inclusion in any complaint resolution process. Likewise, all contributing factors to a complaint concerning a farm or farm operation must be investigated and evaluated in order that the issue may be fully resolved. Therefore, these rules outline a holistic and consistent approach to addressing these issues on Maine farms under the authority of these laws.

2. Definitions

3. Agricultural Compliance Officer – An employee of the Department including either an agricultural compliance supervisor or an agricultural compliance officer, responsible for responding to complaints concerning a farm or a farm operation.

4. Agriculture Related Problem – Any condition resulting from the failure to use appropriate best management practices on a farm or in a farm operation which causes an adverse impact to human or animal health; or to the quality of the environment, including water, air, soil, and the visual landscape; or to noise levels; or causes an unreasonable nuisance.

5. Aggrieved Party - Any complainant or responsible party who has received a decision from the Commissioner on a complaint involving a farm or a farm operation that is adverse, in whole or in part, to that party's interest in that matter.

6. Best Management Practices (BMPs) – Best management practices (BMPs) are those practices that are determined by the Commissioner to be a preferred method or practice based upon best reasonably available and economically feasible methods and technologies that are technically and environmentally sound. BMPs are those practices best suited to preventing, reducing, or correcting agriculture-related problems.

7. Best Professional Judgment -Any determination of an agricultural compliance officer that is based on the officer's investigation, his or her professional training and experience, and on the best information reasonably available to the officer at the time of the investigation.

8. Commercial Production - Production by a farm or farm operation of one or more farm products or services that are sold, bartered or otherwise exchanged for compensation and generates a cash or in-kind equivalent annual income of at least $2,000.

9. Commissioner – The Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

10. Complainant – A person who, either verbally or in writing, communicates a complaint to the Department concerning a farm, or a farm operation.

11. Complaint concerning a farm or farm operation - A verbal or written communication to the Department where the complainant is identified and there is an allegation of the existence of an agriculture-related problem.

12. Department – The Maine Department of Agriculture, Conservation and Forestry.

13. Emergency Agriculture Related Problem - An agriculture related problem that, in the determination of the agricultural compliance officer, poses an immediate threat to human or animal health or safety, or to the environment. An agriculture related problem shall be considered an immediate threat if it is not likely to be resolved quickly enough under the complaint investigation process or the problem solving process of these rules, as set forth in sections 3 and 5, so as to avoid detrimental impact to health, safety or the environment.

14. Farm - The land, buildings and machinery used in the commercial production of farm products.

15. Farm Operation - A set of conditions or activities that occur on a farm in connection with the commercial production of farm products including, but not limited to, operations giving rise to noise, odors, dust, insects, fumes, operation of machinery and irrigation pumps, ground and aerial seeding, ground spraying, aerial spraying, composting of material produced by the farm or to be used at least in part on the farm, disposal of manure, the application of chemical fertilizers, soil amendments, conditioners or pesticides and the employment and use of labor.

16. Farm products – Animals, as well as food, feed, fiber, forage and oilseed crops that are useful to humans, including but not limited to, forages and sod crops, grains and food crops, dairy products, poultry and poultry products, bees, livestock and livestock products, manure or compost, and fruits, berries, vegetables, flowers, seeds, grasses, fuel crops and other similar products.

17. Person – Any individual, partnership, association, firm, company, corporation, department, agency, group, including a city, town, county, state, federal or other government unit, or any entity responsible for an activity subject to these rules.

16 . Qualified Designee – Any person or entity who has appropriate training and experience to investigate agriculture related problems and who has been designated by the Commissioner or by the agricultural compliance officer responsible for the investigation to participate in the investigation.

17. Responsible Party – Any person who, alone or in conjunction with others, is responsible for the farm or farm operation that is the subject of a complaint.

18. COMPLAINT INVESTIGATION

19. Department Response to Complaints

Upon receipt of a complaint concerning a farm or farm operation an agricultural compliance officer shall be responsible for responding to the complaint, conducting an investigation into the complaint, opening and maintaining a case file throughout the complaint resolution process, making findings and recommendations concerning the complaint, and preparing an investigation report. The case file shall remain open until the matter has been resolved to the satisfaction of the Commissioner or has been referred for enforcement. A communication received by the Department concerning a farm or a farm operation will not be considered a complaint unless the complainant is identified by name and home address.

2. Contact with Person Responsible for the Farm Operation

As soon as practicable following the receipt by the Department of a complaint concerning a farm or farm operation, the Department shall make a good faith attempt to contact the responsible party, by telephone or in person, in order to provide notification of the complaint. In the event the department is unable to contact the responsible party by telephone or in person, the department shall provide written notification to the responsible party by certified mail to the last known address.

3. Notification Requirements

Notification to theresponsible party shall include at a minimum, the name of the complainant, the date the complaint was received, and the nature of the complaint. The Department shall, to the extent possible, provide information sufficient to allow the responsible party to identify and address any agriculture related problem or problems that are the subject of the complaint.

4. Investigation

The Department shall conduct an investigation into all complaints involving a farm or farm operation.

A. Scope of Investigation

(1) The initial investigation shall include an on-site inspection of the farm operation or operations pertinent to the complaint and a review of any relevant documents or records.

(2) The agricultural compliance officer may conduct interviews with the responsible party, the complainant, neighboring landowners, or any other person who may have information pertaining to the investigation.

(3) The agricultural compliance officer may conduct any additional investigation that he/she believes to be warranted including, but not limited to, additional site inspections.

(4) The agricultural compliance officer shall make reasonable efforts to confer and work with the responsible party in order to obtain relevant information and to develop best management practices (BMPs) that, in the agricultural compliance officer’s best professional judgment, are effective and efficient. In determining BMPs, the agricultural compliance officer shall take into consideration input from the responsible party to the greatest extent practicable.

(5) If during the investigation of a complaint, the agricultural compliance officer observes or otherwise becomes aware of any other agriculture related problem, the agricultural compliance officer shall have the authority to conduct an investigation into that agriculture related problem.

B. Duration of Investigation

The investigation shall continue until the agricultural compliance officer makes a determination whether an agriculture related problem exists, makes findings, makes recommendations if warranted, sends a letter to the responsible party pursuant to section 3.7(A)(2) and completes an Investigation Record pursuant to section 3.8. The agricultural compliance officer may reopen an investigation at any time if additional information concerning the case becomes available.

C. Site Inspection

The agricultural compliance officer, or a qualified designee, shall inspect any aspect of the farm or farm operation that in his/her best professional judgment relates to the complaint or to any other agriculture related problem the agricultural compliance officer is aware of .

D. Involvement of Technical Experts

The agricultural compliance officer may consult with and seek assistance from experts on any issue relevant to the complaint concerning the farm or farm operation, or any other agriculture related problem discovered during the investigation.

E. Follow-Up Visits

The agricultural compliance officer may make follow-up visits to the farm or farm operation to determine if best management practices have been implemented, and to determine if any further action related to the agriculture related problem(s) previously investigated will be required.

5. Determination, Findings and Recommendations

Prior to concluding the investigationthe agricultural compliance officer shall make a determination, findings and recommendations.

A. Determination

As part of an investigation the agricultural compliance officer shall make a determination as to whether an agriculture related problem exists on the farm.

B. Written Findings

Prior to concluding the investigation the agricultural compliance officer shall make written findings. The written findings shall include a description of the investigation, a description of the farm operations that relate to the complaint, a description of any other condition or activity on the farm that, in the best professional judgment of the agricultural compliance officer, is relevant to the investigation and the complaint, and whether an agriculture related problem exists on the farm or farm operation. Additional findings may include, but are not limited to:

(1) Whether the farm or farm operation is using and maintaining appropriate BMPs;

(2) Whether the farm or farm operation is causing, or may cause, an undue environmental impact;

(3) Whether the farm or farm operation is causing any undue adverse impact on neighboring residents and landowners.

C. Recommendations

If the agricultural compliance officer determines that an agriculture related problem exists, then the agricultural compliance officer shall make recommendations prescribing BMPs developed pursuant to section 3.6 of these rules, including a plan for implementing those BMPs. The recommendations shall be for the purpose of remedying any agriculture related problems determined to exist on the farm or that are part of the farm operations.

(1) The recommendations shall be based on the best professional judgment of the agricultural compliance officer, the findings of the investigation, and all reasonably available relevant information. The recommendations are not required to meet the satisfaction of the complainant or the responsible party;

(2) The recommendations shall state with reasonable specificity:

The BMPs, developed pursuant to section 3.6 of these rules, to be implemented;

The steps that the responsible party must take to implement BMPs;

Any requirements or restrictions as to how the steps for the implementation of BMPs must be taken;

The date by which those steps must be completed; and

Any follow up investigation that may be needed.

D. Referral

If in the judgment of the Commissioner the matter complained of, or any other matter discovered during the investigation, warrants referral to any other state agency or enforcement authority, or to any local or municipal body or enforcement authority, the Commissioner may refer the matter and provide all relevant information and materials within the custody and control of the Department as permitted by applicable laws.

6. Development of Recommended BMPs

Upon a determination that an agriculture related problem exists, the agricultural compliance officer, or a qualified designee, shall develop BMPs designed to address the agriculture related problem. The agricultural compliance officer shall be responsible for reviewing and approving any BMPs developed by a qualified designee.

A. BMPs Developed by Responsible Party

BMPs may be developed by the responsible party or a person designated by the responsible party. The responsible party shall provide the Department with any BMPs so developed. The agricultural compliance officer shall review such BMPs and determine whether they adequately address the agriculture related problem(s).

B. Site Specific BMPs

Recommended BMPs shall be chosen on a site-specific, case-by-case, basis. When developing BMP recommendations, the agricultural compliance officer, or the qualified designee, shall consider the farm, the farm operations and surrounding properties affected by the farm operations. In doing so, the agricultural compliance officer, or a qualified designee, shall include in his/her consideration relevant factors including but not limited to:

(1) The physical lay of the land;

(2) The natural resources present;

(3) The specific environmental conditions present on the farm and the surrounding or underlying areas such as wetlands, unique wildlife habitat areas, and sand and gravel aquifers;

(4) The type of crops or animals raised on the farm;

(5) The proximity of the farm operations to neighbors;

(6) Availability of other resources off the farm that may assist in reducing or alleviating any agriculture related problem;

(7) Reasonably available technologies and practices; and

(8) Other existing or potential problems on the site or that are part of the farm operation.

C. Exercise of Professional Judgment

The agricultural compliance officer, or the qualified designee, shall rely on his/her best professional judgment, when developing recommendations on which BMPs to adopt, to determine which factors apply and to what extent they must be considered for the site and the situation.

D. Source of BMPs

The agricultural compliance officer’s, or qualified designee’s recommendation regarding which BMPs to implement shall be based on the best available information concerning the farm operation, site conditions and off-site conditions, general BMPs as adopted by the Department^[1] and any data, research, studies, or other information pertaining to relevant agricultural BMPs.

7. Communication of Investigation Results

A. Communications with Person Responsible for the Farm Operation

(1) Verbal

After the agricultural compliance officer makes a determination as to whether an agriculture related problem exists, he/she shall contact the responsible party and verbally notify the responsible party of the determination and the findings of the investigation. In the event that the agricultural compliance officer determines that an agriculture related problem exists, he/she shall also convey the recommendations of the Department for resolving any agriculture related problem. The agricultural compliance officer may provide the notification either in person or by telephone, but in either case shall provide the responsible party an opportunity to respond and discuss the findings of the investigation and any recommendations of the Department.

a) If, after making reasonable efforts to comply with the provisions of this paragraph, the agricultural compliance officer is unable to verbally communicate with the responsible party, then the agricultural compliance officer may satisfy the requirements of this paragraph by sending a written communication, as described in paragraph 7(A)(2) below, by certified mail to the last known address of the responsible party.

(2) Written

In addition to the verbal notification required by paragraph 7(A)(1) above, after the agricultural compliance officer makes a determination as to whether an agriculture related problem exists, he/she shall send a letter to the responsible party setting out the determination, a brief description of the findings sufficient to explain the basis for any recommendations , and any recommendations.

B. Communications with Complainant

After the agricultural compliance officer makes a determination as to whether an agriculture related problem exists, he/she shall contact the complainant and verbally notify the complainant:

(1) That an investigation was completed by the Department;

(2) Of the determination as to whether an agriculture related problem exists; and

(3) If there is an agriculture related problem, that recommendations were made to resolve that problem.

8. Investigation Record

After completion of the investigation the agricultural compliance officer shall complete a written Investigation Record. The Investigation Record shall include:

A. Background Information

(1) At a minimum, the following information shall be included in the background information:

a) the name of the complainant;

b) the complainant’s address (if known);

c) the complainant’s phone number (if known);

d) the location of the complaint;

e) the date the complaint was received;

f) the nature of the complaint;

g) the date(s)of investigation;

h) the name of responsible party;

i) the phone number of responsible party; and

j) the address of responsible party.

B. The Written Findings; and

C. The Recommendation(s).

4. iNVESTIGATION OF a potential threat to water quality from ANIMAL WASTE

In the event the agricultural compliance officer observes a potential threat to water quality posed by the handling, storage or utilization of animal waste, the agricultural compliance officer may initiate an investigation under 7 M.R.S.A.§17 with or without having received a complaint. Should the agricultural compliance officer determine that a threat to water quality exists due to the failure to implement appropriate best management practices, the agricultural compliance officer may implement any relevant actions or procedures provided in these Rules.

5. EMERGENCY RESPONSE

Notwithstanding these rules, if the agricultural compliance officer determines that an emergency agriculture related problem exists he/she may, in his/her discretion, immediately determine the changes needed in the farm or farm operation to comply with best management practices, prescribe site specific best management practices for that farm or farm operation to remedy the problem and establish a timetable for the implementation of those best management practices by the farm or farm operation. If the person responsible for the farm or farm operation fails to implement the best management practices as prescribed by the agricultural compliance officer, the department may initiate a referral for an enforcement action as provided by 17 M.R.S.A. §§ 2701-b and 2805, as applicable.

6. NUTRIENT MANAGEMENT REVIEW BOARD

7. Appeals

The Nutrient Management Review Board shall hear appeals of decisions made by the Commissioner pursuant to the Right to Farm Law (17 M.R.S.A. §2805) or the Manure Handling Law (17 M.R.S.A. §2701-B) and may conduct information-gathering meetings for the purpose of facilitating a complaint resolution process under the Right to Farm Law as provided by section 6.3 below.

2. Membership

When the subject matter of an appeal or complaint resolution process under this section is other than manure or nutrient management, the commissioner may, as provided by 7 M.R.S.A. §4203(2-A), appoint up to 3 temporary board members for the purposes of the appeal or information-gathering meetings held for the purpose of facilitating the complaint resolution process under the Right to Farm Law. At least one temporary member must have expertise in the subject matter of the complaint and one temporary member must represent the agricultural sector involved. The terms for temporary members expire when the Nutrient Management Review Board determines that it has taken final action on the appeal or complaint resolution process.

3. Information Gathering Meetings

The Board may hold information gathering meetings in order to facilitate a resolution of a complaint when the responsible party and the Commissioner agree to request facilitation assistance from the Board. The Board shall advise the responsible party in writing that agreement to request Board facilitation shall constitute a waiver by the responsible party to an appeal to the board.

A. Timing of request

Board facilitation may occur only after the Department has completed its complaint investigation.

B. Goals of Board Facilitation

Board facilitation shall be for the purpose of assisting the parties with working through an impasse, or resolving a few distinct issues that are otherwise preventing the parties from implementing the recommendations of the Department.

C. Duties of the Board During Information Gathering Meetings

During an information gathering meeting held for the purpose of facilitating the resolution of a complaint the Board shall review the facts of the case, the findings of the Department, and the positions or arguments of both parties and shall attempt to facilitate a resolution of the matter or of distinct issues concerning the matter. The board may make recommendations for further investigation, study, involvement of experts or other actions that it determines may help to resolve the matter or any underlying issues. The board may also advise either party, in confidence and apart from the other party, of its assessment of that party's position. The Board shall not render an opinion or ruling in the matter.

D. Disqualification of the Nutrient Management Review Board from Hearing Appeal

The participation by the Board in an information gathering process held for the purpose of facilitation of the resolution of a complaint shall disqualify the Board from hearing an appeal in the same matter.

4. Appeal Hearings

A. A decision of the Commissioner on a complaint concerning a farm or farm operation may be appealed by an aggrieved party to the Nutrient Management Review Board by filing a notice of appeal with the Board.

(1) Notice of appeal requirements.

The notice of appeal must be in writing and must be received by the Board no later than thirty (30) days after receipt from the Commissioner of notice of the decision being appealed. The notice of appeal must contain:

a) Reference to the decision that is being appealed; and

b) A statement detailing the findings and/or recommendations the aggrieved party believes are in error and the reasons why.

(2) Hearing of Appeal by the Board

After receipt of a valid notice of appeal, as outlined in paragraph 4(A)(1) above, the Board shall hold a public hearing to consider any information presented by an aggrieved party related to a decision by the Commissioner that is the subject of the appeal.

(3) Decision of the Board

The Nutrient Management Review Board shall make a determination on the appeal and issue a written decision as expeditiously as possible. In making its decision, the Board may request such additional information as it deems necessary for the determination of the issue(s), and may affirm, amend or reverse a decision made by the commissioner. The Board’s decision shall be a final agency action.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §12; 17 M.R.S.A. §2701-B; 17 M.R.S.A. §2805
• EFFECTIVE DATE: December 6, 1982 – as “Definition of Generally Accepted Agricultural Practices”
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 8, 2005
• REPEALED AND REPLACED: May 27, 2007 – as “Rules for the Agricultural Compliance Program,” filing 2007-223
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): A list of General BMPs currently adopted by the Department, along with a description of the BMP and relevant sources is contained within the Manual of Best Management Practices for Maine Agriculture. ↑

Chapter 11 Rules of Procedure Governing Award of Dates for Agricultural Fairs

Code Me. R. 01-001 Ch. 11 Rules of Procedure Governing Award of Dates for Agricultural Fairs {#sec-01-001-ch.-11 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 11}

SUMMARY:

This chapter provides procedural guidelines for the conduct of adjudicatory hearings held by the Commissioner of the Department of Agriculture, Conservation and Forestry to gather information on the award of dates for agricultural fairs. The purpose of soliciting such information is so that assignment may be made to best benefit the individual fair associations and agricultural fairs generally.

1. Scope

These rules of procedure shall control in adjudicatory hearings on the subject of assignment by the Commissioner of Agriculture, Conservation and Forestry of dates for the operation of agricultural fairs by those licensed by the Commissioner under 7 M.R.S.A. §65.

2. Notice

Notice of an adjudicatory hearing within the scope of these rules shall be given as follows:

A. To all persons, agricultural societies, associations and corporations who have made timely application for a license to conduct an agricultural fair under 7 M.R.S.A. §65, by regular mail, sufficiently in advance of the hearing date to afford an adequate opportunity to prepare and submit evidence and argument; and

B. To all licensed pari-mutuel racing facilities and the Maine Harness Racing Commission; and

C. To the public sufficiently in advance of the hearing date to afford interested persons an adequate opportunity to prepare and submit evidence and argument, by publication, at least once in a newspaper of general circulation in the area of the state affected and in any other manner deemed appropriate by the agency.

3. Participation

A. All applicants filing a request to intervene shall be considered parties to the proceeding. The Commissioner may, by order, allow any other interested person, or any other agency of federal# state or local government, to intervene and participate as a full or limited party to the proceeding. This subsection shall not be construed to limit public participation in the proceeding in any other capacity.

B. Where appropriate the commissioner may require consolidations of presentations of evidence and argument by persons allowed to intervene under subsections A.

C. The Commissioner may allow any of his staff to appear and participate in the adjudicatory proceeding.

D. Opportunity for public testimony shall be provided.

4. Ex Parte Communications; Separation of Functions

A. Communication prohibited. In any adjudicatory proceeding, no presiding officer designated by the Commissioner to make findings of fact and conclusions of law and no other person in a policy making position in the Department as defined in the Maine Administrative Procedure Act shall communicate directly or indirectly in connection with any issue of fact, law or procedure, with any party or other persons legally interested in the outcome of the proceeding, except upon notice and opportunity for all parties to participate.

B. Communication permitted. This section shall not prohibit any presiding officer described in subsection A from:

1. Communicating in any respect with other members of the agency or other presiding officers; or 2. Having the aid or advice of those members of his own agency staff, counsel or consultants retained by the agency who have not participated and will not participate in the adjudicatory proceeding in an advocate capacity.

2. Opportunity to be Heard

A. Unless limited by Commissioner's order pursuant to section 3.B or unless otherwise limited by the Commissioner to prevent repetition or unreasonable delay in proceedings, every party shall have the right to present evidence and arguments on all issues and the right to cross examine all other parties and their witnesses. The opportunity to question other persons shall be provided within the discretion of the-presiding officer.

6. General Evidence and Testimony

A. Rules of privilege. The Commissioner need not observe the rules of evidence observed by courts, but shall observe the rules of privilege recognized by law.

B. Evidence. Evidence shall be admitted if it is the kind of evidence upon which reasonable persons are accustomed to rely in the conduct of serious affairs. The Commissioner may exclude irrelevant or unduly repetitious evidence.

C. Witnesses. All witnesses shall be sworn.

D. Written evidence - exception. No sworn written evidence shall be admitted unless the author is available for cross-examination or subject to subpoena, except for good cause shown.

E. Witnesses are encouraged to submit evidence and testify on the following factors:

1. A licensee's traditional agricultural fair dates;

2. Improvement of fair facilities made by the licensee;

3. Desirability of particular dates for promotion of specific agricultural program, products or ideals

4. Demonstration of economic damage due to competition from other agricultural fairs in geographic proximity operating on the same dates. Evidence shall include, but not be limited to, general trends shown by,

a. Gate receipts;

b. Attendance figures;

c. Number of entrants in events;

d. Midway profits; and

e. Premiums paid.

5. Demonstration of organizational difficulties due to competition from other agricultural fairs in geographic proximity operating on the same dates. Evidence shall include, but not be limited to,

a. Difficulty in scheduling events and shows; and

b. Contracting for midway, publication and constable services; and

6. Economic benefits and costs of a particular date

7. Fairs which have pari-mutuel harness racing dates may submit testimony on;

a. The impact on racing of those dates;

b. The handle which the fair has experienced over the last several years;

c. The racing facilities the conditions and improvement of those facilities;

d. Availability of horses; and

e. other information relevant to any possible conflict that the proposed dates may have with other fairs or

7. Official Notice

A. Official notice. The Commissioner may take official notice of any facts of which judicial notice could be taken, and in addition may take official notice of general, technical or scientific matters within his specialized knowledge and of statutes, regulations and nonconfidential agency records. Parties shall be notified of the material so noticed, and they shall be afforded an opportunity to contest the substance or materiality of the facts noticed.

B. Facts. Facts officially noticed shall be included and indicated as such in the record.

C. Evaluation of evidence. Notwithstanding the foregoing, the Commissioner may utilize his experience, technical competence and specialized knowledge in the evaluation of the evidence presented to him.

8. Conclusion of the Hearing

A. At the conclusion of the hearing, no other evidence or testimony will be allowed into the record except as provided in paragraph B.

B. Written statements or comments concerning the proposed dates may be filed with the Commissioner within ten (10) days after the close of the hearing, or within such longer time as the Commissioner may direct.

9. Record

A record shall be made consisting of:

A. All applications for licenses and date requests under 7 M.R.S.A. §65;

B. Evidence received or considered,

C. A statement of facts officially noticed;

D. Comments and statements submitted during the comment period; and

E. The determination of the Commissioner.

10. Decision

All material including records, reports and documents in the possession of the commissioner, of which he desires to avail himself as evidence in making a decision, shall be offered and made a part of the record and no other factual information or evidence shall be considered in rendering a decision.

The decision made at the conclusion of an adjudicatory proceeding shall be in writing or stated in the record, and shall include findings of fact sufficient to apprise the parties and any interested member of the public of the basis for the decision. A copy of the decision shall be delivered or promptly mailed to each party to the proceeding or his/her representative of record. Written notice of the party's rights to review or appeal of the decision within the agency or review of the decision by the courts, as the case may be, and of the action required and the tine within which such action must be taken in order to exercise the right of review or appeal, shall be given to each party within the decision.

11. Delegation

A. The Commissioner may authorize any agency member, employee or agent to act as a presiding officer in the adjudicatory hearing to conduct the hearing in his behalf according to these rules of procedure.

History

• STATUTORY AUTHORITY: 5 M.R.S.A. §9051 et seq.; 7 M.R.S.A. §§ 12, 61-75
• EFFECTIVE DATE: January 5, 1982
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: April 9, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 12 Agricultural Fairs - Licensing

Code Me. R. 01-001 Ch. 12 Agricultural Fairs - Licensing {#sec-01-001-ch.-12 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 12}

SUMMARY:

This chapter outlines the terms and procedures which will be utilized by the Commissioner in licensing agricultural fairs pursuant to 7 M.R.S.A.§65.

1. Definitions

As used in this chapter and unless the context otherwise indicates, the following words shall have the following meanings:

A. Agricultural fair. "Agricultural fair" means a bona fide exhibition designed to promote education and encourage improvement in agriculture and shall include, but not be limited to, the following components distributed throughout the duration of the exhibition:

1. Competition for premiums or purses on three or more species of livestock; "species' could be equine, bovine, poultry or other;

2. Display of and competition for premiums or purses on horticultural products of a variety and quality characteristic of the region and date; and

3. Presentation of activities and projects undertaken by agricultural youth organizations in the region.

B. Applicant. "Applicant" means the person, agricultural society, association or corporation applying for a license to conduct an agricultural fair pursuant to 7 M.R.S.A.§65.

C. Commissioner. "Commissioner" means the Commissioner of Agriculture, Conservation and Forestry or his authorized agent.

D. Licensee. "Licensee" means a person, agricultural society, association or corporation licensed pursuant to 7 M.R.S.A.§65 to conduct an agricultural fair.

2. Application for License

A. Any person, agricultural society, association or corporation intending to conduct an agricultural fair shall apply for a license therefor on a form prescribed by the Commissioner and accompanied by a $10 license fee.

1. Any application which the Commissioner determines contains insufficient information shall be returned to the applicant.

2. The applicant shall provide assurances of the nature and scope of the intended activities sufficient to satisfy the Commissioner that the applicant intends to conduct an agricultural fair.

3. The application shall be signed and sworn to by the person or executive officer of the agricultural society, association or corporation.

4. Award of Licenses

The Rules of Procedure Governing Award of Dates for Agricultural Fairs (01-001, Chapter 11) shall govern the awarding of licenses.

Pursuant to the amendments by Chapter 180, Public Laws 1983, Sections 3 and 4, all fair licenses shall be for a period of three calendar years following the date of the application. Applications for a license shall be submitted to the Commissioner not later than November 15th, prior to the period during which the fair is to be held. The application shall be submitted on a prescribed form provided by the Commissioner and he accompanied by a $10 application fee.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 12, 62, 65
• EFFECTIVE DATE: November 12, 1983
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 9, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 13 Agricultural Fairs Performance Evaluation

Code Me. R. 01-001 Ch. 13 Agricultural Fairs Performance Evaluation {#sec-01-001-ch.-13 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 13}

SUMMARY:

This Chapter outlines procedures and forms to be used by the Commissioner in evaluating the quality of Agricultural Fairs pursuant to 7 M.R.S.A. §62.

PURPOSE

The purpose of these regulations is to establish as objective a method as possible and a procedure for evaluating the quality of agricultural fairs. These rules clarify to all sponsors and operators of fairs the criteria used to evaluate the quality of agricultural fairs. It is intended that the criteria should be applied equitably to all fairs and that every fair be given the same opportunity to meet the standards established by the Commissioner.

FAIR EVALUATION COMMISSION

To advise him in evaluating the performance of agricultural fairs, the Commissioner shall establish an Agricultural Fair Evaluation Commission. It shall be composed of five members who are currently, or have been previously associated with the operation of a licensed agricultural fair. Terns shall be for three years except that of the initial appointees. of the initial appointees, two shall serve two years, two shall sever three years and one shall serve one year, as designated by the Commissioner at the time of appointment.

Commissioner shall appoint a chairperson. All determinations of the Commission shall be advisory to the Commissioner.

Members nay be reimbursed for expenses incurred in accordance with the reimbursement procedure and rules prescribed by Department of Finance and Administration.

EVALUATION PROCEDURES

All licensed Agricultural Fairs shall be evaluated annually. At least one month prior to the beginning of the first agricultural fair the Commissioner shall assign members of the committee to evaluate each fair. He may also assign Department staff to evaluate the fairs. Committee members and staff shall use forms established by these regulations.

EVALUATION REPORT

After discussion of all committee member's ratings of fairs, the committee shall submit its report to the Commissioner after the closing of the last fair in the season, no later than November 1. The committee's report to the Commissioner shall include a recommended rating of each fair according to the three categories. "Very Good", "Adequate", or "Poor". in cases where the rating is "Poor"# the committee will list its findings and recommend improvements to upgrade the rating for the following year. The Commissioner may also seek the recommendation of Department staff.

The Commissioner shall issue his report no later than November 15th. The Commissioner's report shall include a rating of each fair with his documentation of his reasons for rating a fair "Poor".

The evaluations and committee reports shall be kept on file in the Department of Agriculture for at least four years.

The Commissioner shall mail to each fair a copy of the Committee's fair evaluation report and a copy of his report, no later than November 30.

SATISFACTORY PERFORMANCE

A fair receiving a rating of "Very Good" and "Adequate" shall be deemed to be satisfactorily conducting an agricultural fair under the statute and, therefore, shall qualify to receive the proportional share of the stipend fund (7 M.R.S.A. §62).

A fair which receives a rating of "Poor" for three years -in a row will be considered not meeting the performance standards established by these regulations and, therefore, not satisfactory under the statute and not qualified to receive its share of the stipend fund.

If a fair does not qualify to receive a stipend in any year, it may still apply for and, if qualified, receive a license to conduct a fair in subsequent years, provided that the fair meets the requirement for an agricultural fair. (Departments' Regulation 01-001, Chapter 12.) If that fair is evaluated as "Adequate" or *Very Good" in any year, subsequent to the year it was disqualified for eligibility for the stipend, it will be again eligible to receive the stipend for that subsequent year.

APPEAL PROCESS

A fair which was disqualified from receipt of a stipend may appeal to the Commissioner for reconsideration within 15 days of receiving the ruling. The appeal shall set forth with specificity the reasons for disagreement with the findings of the Commissioner, using the Fair Evaluation Reports and Commissioner's reports of the three previous years, where appropriate.

The Commissioner may grant or deny the appeal or give notice of a hearing within ten (10) days of receipt of the appeal. The Commissioner's recommendations shall be based upon those factors which are appropriate for rating of agricultural fairs under these regulations.

EFFECTIVE DATE:

August 13, 1984

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

August 10, 2005

CORRECTIONS:

February, 2014 – agency names, formatting

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 8, 2025

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK (Re-check): July 10, 2025

APAO ACCESSIBILITY CHECK (Word):

April 17, 2026

EVALUATION RECORD FOR AGRICULTURAL FAIRS

(To be submitted to the Commissioner of Agriculture

in partial fulfillment of 7 MRSA 62 and associated rules.)

Name of sponsoring organization

Location

Date Inspected

Estimated Attendance

Dates of Fair

Weather Conditions

Name of Inspector

FINAL SCORES (Enter after completing other pages).

CRITERIA SCORE x WEIGHT = TOTAL

I. Management x 30 =

II. Standard Attractions x 20 =

Ill. Special Attractions x 10 =

IV. Physical Plant x 10 =

V. Agricultural Emphasis x 10 =

VI. Variety of Attractions x 20 =

TOTAL FAIR SCORE:

If the total fair score Is less than 200, the fair Is rated "Poor".

If the total fair score is 200 - 249, the fair is rated "Adequate".

If the total fair score Is 250 or more, the fair is rated "Very Good".

FAIR RATING:

INSTRUCTIONS FOR ALL RATERS

Judge the fair being evaluated according to each applicable criterion listed in the following pages.

If the fair's performance exceeds the standard of measurement, circle 3 for "Very Good" (VG).

It the fair meets the standard, but is not exceptional, circle 2 for "Adequate" (A).

If the fair's performance falls to meet the standard, circle 1 for "Poor" (P) and please write an explanation under that category. Attach additional sheets if necessary.

To arrive at your score for the category, average your rating by totaling the scores of items circled and dividing by the number of items you circled.

In order to arrive at the Index of Agriculture Emphasis, Box 5, page 9, you will need to indicate attractions scheduled even if you cannot rate them. We suggest placing a circled X in the appropriate category.

Comments will be carefully reviewed. Please use this page and back of cover sheet for additional comments. Thank you.

Enter the final scores on the cover sheet.

Comments:

I. MANAGEMENT

CRITERIA

STANDARD OF MEASUREMENT

RATING

VG

A

P

EFFICIENCY

Crowd Management

Timeliness

Provisions made to accommodate crowds with minimal delay and disruption.

Fair and events begin and end on schedule.

3

3

2

2

1

1

PERSONNEL

Assignment

Training

Conduct

Functions are covered by staff.

Staff know their responsibilities.

Staff conduct themselves in courteous, friendly manner.

3

3

3

2

2

2

1

1

1

ADMINISTRATION

Competition

Premiums

Management

Exercises supervision to assure fair competition in events.

Premiums are disbursed efficiently and fairly.

Fair administrators are present, accessible, in control, and capable.

3

3

3

2

2

2

1

1

1

PROMOTION

Fair Pamphlet

Advertisement

Signs

Adequate brochure showing scheduled events and competition.

Advertisement for fair is effective.

Directions to fair are visible and adequate in number.

3

3

3

2

2

2

1

1

1

SAFETY

Hazards

Security

Emergencies

Lost people

Fair is free of unnecessary hazards. Security personnel are adequate. Facilities and personnel are arranged for emergencies.

Provisions are made by which lost people can be easily located.

3

3

3

3

2

2

2

2

1

1

1

1

ATMOSPHERE

Wholesomeness

Friendliness

Public Attitude

All attractions promote high standard of conduct.

Neighborly community participation.

Public is enthusiastic.

3

3

3

2

2

2

1

1

1

Value of items circled divided by number of items circled = Average Score ____________

II. QUALITY OF STANDARD AGRICULTURAL ATTRACTIONS

A. Livestock

Event: SHOW EXHIBIT DEMONSTRATION PULLING

Standard: Animals are clean, Attractive display Activity is explain- Rules are

healthy, well pre- with labels and ed- ed, inspires viewer, implemented,

sented. Competi- ucational material meets the purpose public is

tion is fair & available. of the informed.

explained. demonstration.

Rating: VG A P VG A P VG A P VG A P

Horses & Ponies 3 2 1 3 2 1 3 2 1 3 2 1

Dairy Cattle 3 2 1 3 2 1 3 2 1

Beef Cattle 3 2 1 3 2 1 3 2 1

Oxen/Steer 3 2 1 3 2 1 3 2 1 3 2 1

Sheep 3 2 1 3 2 1 3 2 1

Goats 3 2 1 3 2 1 3 2 1

Poultry 3 2 1 3 2 1 3 2 1

Other 3 2 1 3 2 1 3 2 1

Other 3 2 1 3 2 1 3 2 1

Other 3 2 1 3 2 1 3 2 1

B. Horticultural, Home Arts and Crafts

Standard: Food products are fresh, without defect, and well presented. Attractions have educational value through labeling of varieties, information on growing, harvesting, preparation.

VG A P COMMENT

Vegetables, fruits, grains 3 2 1

Flowers 3 2 1

Home canned & cooked food 3 2 1

Dairy, poultry, or other products 3 2 1

4-H, FFA, and other clubs 3 2 1

Grange and other exhibits 3 2 1

C. Non-Food Attractions

Standard: Clean, well presented, and has educational value. Rating should consider the purpose of each attraction and how well the attraction meets that purpose. Demonstrations should be accessible and be clearly explained.

Event: EXHIBIT DEMONSTRATION COMMENT

VG A P VG A P

Mechanic Arts &Crafts 3 2 1 3 2 1

Photographs & Paintings 3 2 1 3 2 1

Energy Exhibit 3 2 1 3 2 1

Domestic & Fancy Needle Work 3 2 1 3 2 1

Other: 3 2 1 3 2 1

Other: 3 2 1 3 2 1

Value of items on pages 4 and 5 (A, B, and C) divided by number of items circled ________

divided by number of items circled = Average Score ___________

III. QUALITY OF SPECIAL ATTRACTIONS

ATTRACTION STANDARD VG A P

1. Agricultural Exhibit

(other than included in

section II, --

e.g. Farm Museum)

Well arranged, educational, accessible 3 2 1

(Same as above) 3 2 1

(Same as above) 3 2 1

2. Agricultural Events

Petting Zoos Safe, clean, healthy animals 3 2 1

Scrambles Safe, not harmful to animals 3 2 1

Woodsmen Days Safe, well managed 3 2 1

Sheep dog trails Safe, well managed 3 2 1

Tractor pulls Fair competition 3 2 1

3. Other Agriculture Attractions

Safe, creative, interesting 3 2 1

(Same as above) 3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

4. Agricultural Commercial

Exhibit

Type: Interesting, relevant to rural living 3 2 1

(Same as above) 3 2 1

5. Harness Racing Healthy horses, clean track, 3 2 1

efficient betting, security enforced.

6. Non Agricultural Commercial Relevant to rural living, attractive,

interesting. 3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

Type: (Same as above) 3 2 1

7. Carnival

Rides Safe, clean, supervised fair, 3 2 1

attractive, good quality, clean. 3 2 1

Games (Same as above) 3 2 1

Food (Same as above) 3 2 1

8. NonAgriculture Entertainment-Standard: Well managed, attractive, safe

ATTRACTION VG A P

Children's Area 3 2 1

Firemen's Muster 3 2 1

Musical Entertainment 3 2 1

Drag Races 3 2 1

Parades 3 2 1

Auctions 3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

3 2 1

Value of items circled divided by number of items circled = Average Score

IV. QUALITY OF PHYSICAL PLANT

CRITERIA STANDARD VG A P

ACCESS

Access to fair Safe and easy access in and out of fair. 3 2 1

Parking Sufficient parking within reasonable

distance. 3 2 1

CLEANLINESS

Incentive for cleanliness. Trash containers and clean up crews in 3 2 1

evidence.

BUILDINGS Buildings in good repair and condition, safe, 3 2 1

ventilated and capable of handling crowds.

GROUNDS

Layout Attractive, with vegetation, and capable of 3 2 1

handling flow of people.

Condition In good repair, walkways delineated, land- 3 2 1

scaped, dust kept to minimum.

FACILITIES

Participants Adequate space for exhibits and 3 2 1

demonstrations.

Rest-rooms Sufficient number of clean restrooms. 3 2 1

Special Facilities Special facilities for handicapped and 3 2 1

elderly.

Rest Facilities Sufficient rest facilities (benches, picnic 3 2 1

tables)

Emergency Facilities First aid and personnel available. 3 2 1

FOOD & DRINK

Food Food services adequate in number, clean, 3 2 1

good quality.

Drinking Fountains Adequate number available and accessible. 3 2 1

Value of items circled divided by number of items circled = Average Score ________

V. AGRICULTURAL EMPHASIS

Number of

attractions

in II. Standard

Agricultural

Attractions

---

Number of attractions in III. Special Attractions

1-4

---

=

Total number of agriculture events

---

Number of non-agricultural events in III. Special Attractions

5-8

---

=

Index of Agricultural Emphasis

---

SCORE

SCORE: If index is less than .5, score is 1.

If index is at least .5 but less than .7, score is 2.

If index is greater than .7, score is 3.

VI. VARIETY

SCORE

It the total number of agricultural events, Box 3 above, is less than .5, score is -6.

If the total number of agricultural events, Box 3 above, Is 5-10, score is 2.

If the total number of agricultural events, Box 3 above, Is 10 or more, score is 3.

Chapter 20 Apple Market Order

Code Me. R. 01-001 Ch. 20 Apple Market Order {#sec-01-001-ch.-20 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 20}

I. DEFINITIONS

Unless otherwise provided herein, all terms shall have the meanings indicated in Title 7 M.R.S.A. §423 or in the applicable rules of the Department, [01-001 CMR ch. 4].

II. APPLE MARKETING COMMITTEE

The Apple Marketing Committee shall be established consistent with the Agricultural Commodities Marketing Act and the rules of the Department pertaining to the adoption of Apple Market Orders and Market Agreements. It shall include 6 members, one of whom should be the Commissioner or his designee from the Department who shall serve ex-officio in an advisory non-voting capacity and five of whom shall be apple producers.

III. APPLE ASSESSMENT

The rate of assessment shall not exceed eight cents per first sale unit for fresh market use.

IV. PURPOSE OF EXPENDITURES

Expenditures of the assessment under this order shall be for the purpose of providing advertising, promotion, and publicity regarding apples, for obtaining market and product research, for providing informational services, and for such other purposes as may be determined by rule of the commissioner upon advice and consultation with the Apple Marketing Committee.

V. STATUTORY AUTHORITY: Title 7 M.R.S.A. §§ 421-430

VI. EFFECTIVE DATE: September 1, 1983

History:

EFFECTIVE DATE:

September 1, 1983

REPEALED AND REPLACED:

August 2, 1992

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

August 15, 2005

CORRECTIONS:

February, 2014 – agency names, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 17, 2026

APAO ACCESSIBILITY CHECK (Word):

April 17, 2026

Chapter 25 Rules for Adoption of Fresh Blueberry Market Orders

Code Me. R. 01-001 Ch. 25 Rules for Adoption of Fresh Blueberry Market Orders {#sec-01-001-ch.-25 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 25}

1. Definitions

Unless otherwise provided in these rules, all terms shall have the meanings indicated in the Agricultural Commodities Marketing Act , 7 M.R.S.A. §423. In addition, the following terms shall have the following meanings unless the context otherwise requires.

A. Act means the Agricultural Commodities Marketing Act , 7 M.R.S.A. §§ 421-430.

B. Blueberries means all so-called wild, low-bush blueberries produced in the State of Maine for purposes of sale on the fresh market.

C. Blueberry Marketing Committee means the Committee established pursuant to Section 3 herein.

D. Blueberry handler means any person engaged in packing blueberries, or any cooperative which is marketing blueberries packed by its producer-members.

E. Commodity area , for purposes of §425 of the Act, shall mean the entire State of Maine.

F. Consumer pack means a container of blueberries which is destined for sale to consumers and which is not greater than a liter in capacity.

G. Initial Referendum means the referendum ratifying the blueberry market order pursuant to the Act.

H. Marketed within the State , for purposes of §429 of the Act, means any blueberries marketed or destined for fresh market use, regardless of destination, by blueberry handlers.

I. Marketing means the act or process of selling, offering or holding for sale, shipping, packing or branding for sale, advertising or otherwise dealing in blueberries.

J. Marketing year means the calendar year.

K. Packing means packaging or placing in consumer packs destined for market.

L. Participated in the Referendum , for purposes of establishing compliance with §425 of the Act, means filed a qualifying and properly completed ballot in the initial referendum, including both affirmative and negative ballots.

M. Persons to be affected , for purposes of § 425 of the Act, shall include all blueberry handlers.

N. Pint(s) or equivalent means an amount of blueberries, whether or not packed in pint containers, which is quantified in terms of the number of pints therein.

O. Preceding marketing season , for purposes of §425 of the Act and the terms of these regulations means the preceding calendar year.

2. Exemptions

Neither these rules nor the Fresh Blueberry Market Order shall apply to any of the following:

A. Blueberry handlers who market less than 10,000 pints or equivalent of blueberries in the then current calendar year;

B. Blueberries sold at farmstands; or

C. Blueberry handlers who apply for and receive written waiver from the Commissioner. The Commissioner shall grant such a waiver only upon written application of the handler, demonstrating to the Commissioner's satisfaction that the blueberries at issue will be sold only to relatively small local markets in the area, and that granting the waiver will not adversely affect the blueberry industry. The waiver shall be for such time period and on such conditions as the Commissioner may specify.

3. Referendum Procedures

A. Adoption by the Commissioner. After public hearing and the close of time for submission of written comments on any proposed market order, the Commissioner may, upon finding that the market order will effectuate the legislative policy of the Act, adopt such order with such amendments as he deems appropriate in response to comments received.

B. Distribution of Ballots. Upon his adoption of a market order, referendum ballots shall be distributed by the Commissioner to all blueberry handlers, the names of which the Commissioner shall use due diligence to determine.

C. Return of Ballot. Blueberry handlers shall return the referendum ballot within the time specified thereon. On the ballot, the handler shall indicate its name, address, the volume of blueberries in pints or equivalent marketed in consumer packs during the preceding marketing season and an affirmative or negative vote on the proposed market order. Any person voting on behalf of a handler which is a corporation or business association shall indicate his authority to do so. All ballots shall be signed and certified as to their truth.

D. Validity of Ballots. The referendum ballots shall be considered by the Commissioner if they are received within the specified period. The Commissioner shall not consider a referendum ballot which he determines is not properly completed and signed.

E. Criteria for Passage. The referendum shall be deemed to have passed if the Commissioner determines that 66 2/3% or more of the blueberry handlers participating in the referendum have voted in favor of the market order and that the affirmative vote represents at least 51% of the quantity of blueberries marketed in the preceding marketing season, as shown on the ballots submitted by those participating in the referendum,- or, in the alternative, if the Commissioner determines that 51% or more of the blueberry handlers who participated in the referendum have voted in favor of the market order and that affirmative vote represents at least 66 2/3% of the quantity of blueberries marketed during the preceding marketing season, as shown on the ballots submitted by those participating in the referendum.

F. Certification. The Commissioner shall certify the results of the referendum to the Attorney General and shall file the order with the Secretary of State.

4. Establishment of the Blueberry Marketing Committee

A. Membership. There shall be six members of the Blueberry Marketing Committee. These members shall use their best efforts to represent the entire blueberry industry. Two members shall be blueberry producers who are not blueberry handlers. One member shall be the commissioner or his designee, who shall be an ex-officio , non-voting member of the Committee.

B. Initial Appointments. The members of the initial Blueberry Marketing Committee, other than the ex-officio member, shall be selected and appointed by the Commissioner from nominations made through the following procedure:

I. As soon as possible following the adoption of the Blueberry Marketing Order, the Commissioner shall cause to be held a meeting or meetings of blueberry handlers, at which time those in attendance shall nominate as many persons from the industry, including handlers and producers, as they wish.

II. In making initial appointments to the Committee, the Commissioner shall consider those nominated and shall select a group which he considers to be equitably representative of the affected industry. In order to achieve this end, he may consider persons who are not nominated by blueberry handlers, although not less than three of their nominees shall be appointed.

The persons initially appointed by the Commissioner to the Blueberry Marketing Committee shall continue in such capacity until replaced by elected members, but not later than July 1, 1986.

C. Election Procedures. The following election procedures shall be employed in electing members of the Blueberry Marketing Committee to replace those initially appointed by the Commissioner:

I. Beginning in the calendar year 1986, an annual meeting of all blueberry handlers shall be held between January 1 and June 1 for the purpose of electing members of the Blueberry Marketing Committee for the following year.

II. Election of the Committee members shall be conducted by written ballot and subject to the approval of the Commissioner.

D. Term of office. Members of the Blueberry Marketing Committee shall serve for the following periods:

I. A person selected for appointment by the Commissioner shall serve until replaced by an elected member as provided herein.

II. Elected members shall serve three year terms; except that, of those initially elected (in 1986), one member shall serve a one year term, two members shall serve a two year term, and two members shall serve a three year term.

III. In all cases, members of the Committee shall serve upon qualification by being sworn to office by a Justice of the Peace and by filing a written acceptance with the Secretary of State within 30 days of being notified of selection.

IV. Notwithstanding the terms of office provided for herein, members shall continue to serve until a successor has been elected and qualified.

E. Vacancies. In the event of the failure by the initially appointed or subsequently elected member to qualify or in the event of the death, removal, resignation or disqualification of any member, a successor for the unexpired term shall be appointed by the Commissioner in such manner as he deems appropriate with the advice of the existing members of the Committee.

F. Duties. The Blueberry Marketing Committee shall advise and assist the Commissioner in all matters pertaining to the operation of the Blueberry Market Order, subject only to the limitations of § 427 of the Act. Such duties may include any or all of the following:

I. The recommendation to the Commissioner of rules and regulations relating to the Market Order;

II. The recommendation to the Commissioner of such amendments to the Market Order as seem advisable;

III. The preparation and submission to the Commissioner of the estimated budget required for the proper operation of the Market Order;

IV. The recommendation to the Commissioner of methods for assessing fees and for collecting the necessary funds;

V. The provision of assistance to the Commissioner and the collection and assembling of information and data necessary to the proper administration of the Order;

VI. The performance of such other duties in connection with the Market Order as the Commissioner considers appropriate.

G. Meetings. Meetings of the Committee shall be held periodically, no less often than annually, at the call of the chairman elected by the Committee, any three voting members of the Committee or the Commissioner. Three members shall form a quorum for purposes of the Committee's taking formal action.

5. Purposes of the Blueberry Market Order

The Blueberry Marketing Committee, with the approval of the Commissioner, may expend funds and carry out the following functions in furtherance of the Blueberry Market order, the Act and the following purposes:

A. Promotion. The Blueberry Marketing Committee, with the approval of the Commissioner, may carry out such advertising, promotion and publicity program as they believe will maintain or enhance present markets or create new markets for blueberries. However, no such advertising, promotion or publicity program shall be conducted with reference to any particular private brand or trade name and no such program shall disparage the quality, value, sale or use of any other agricultural commodity.

B. Marketing and Product Research. The Blueberry Marketing Committee, with the approval of the Commissioner, may carry out such marketing and/or product research as they believe to be beneficial to the blueberry industry.

C. Information Services. The Blueberry Marketing Committee, with the approval of the Commissioner, may establish mechanisms to provide for information services designed to keep the industry informed of such factors as crops, packs, storage facilities, marketing and product research, promotion, advertising and publicity programs, and similar information useful to the industry.

D. Standards. The Blueberry Marketing Committee shall assist the Commissioner in the development of appropriate standards of quality, grade, condition, size, maturity or pack for blueberries, or for other handling procedures of such commodities. The Committee shall also assist the Commissioner and his representatives in providing for appropriate inspection necessary to enforcement of such standards.

6. Budget and Assessment

All blueberry handlers shall be subject to the assessment levied under the Blueberry Market order in accordance with this section.

A. Budget. The Blueberry Marketing Committee shall estimate a budget necessary for the administration and enforcement of the order and these regulations and for carrying out the program created thereunder for each calendar year. Based upon such recommendation of the Committee and such other factors as he deems appropriate, the Commissioner shall announce the final budget for the calendar year.

B. Assessment. Consistent with the budget established pursuant to subsection A, the Commissioner shall fix rates of assessment to provide adequate funds to defray expenditures in the budget. The assessment rate shall not exceed that which is established under the Market Order and, in any case, shall not exceed the maximum statutory rate.

7. Reporting

Reports by blueberry handlers are required to facilitate accurate information services and to provide a basis for budget estimation and assessment. Not later than October 1 of each calendar year, each blueberry handler shall file with the Blueberry Marketing Committee, on forms prescribed by that Committee, a declaration of the volume in pounds of blueberries packed and sold in such calendar year by such handler for fresh market purposes.

8. Collection

A. Liability of Handler. Each blueberry handler shall be responsible for proper accounting and payment of the proper assessment for the blueberries which he markets in consumer packs.

B. Payment Schedule. Blueberry handlers shall make remittance and accounting of the proper assessment to the Commissioner or his designated fiscal agent not later than October I of each calendar year. Payment shall be made at that time for the assessment levied on all blueberries marketed in consumer packs by blueberry handlers during the marketing year; provided that, for the first year, payment of the assessment and accounting therefor is due only for blueberries marketed in consumer packs between the effective date of this rule and October 1, 1985.

C. Blueberry handlers who do not timely remit and account for assessments in accordance with these rules shall pay an additional assessment of 10% of the amount owed plus interest thereon computed at the rate of 12% per annum together with any civil penalty imposed under the law; provided that the Commissioner may waive these additional charges in cases of excusable neglect.

9. Termination

A. By the Commissioner. The Commissioner may terminate a Market Order in the manner provided in 429 of the Act whenever he determines that the provisions of the Market Order do not effectuate legislative policy.

B. The Commissioner shall terminate the market Order on or before July 1 if he has received, prior to April 15 of that year, a properly completed Petition for Termination and has determined, prior to June 15 of that year, that termination is favored by at least 50% of the blueberry handlers who produced at least 51% of the volume represented by all blueberry handlers in the immediately preceding calendar year. Petitions and termination procedures shall be governed by the following provisions:

A Petition for Termination shall provide that its signatories favor termination of the existing Market Order. Each person signing shall certify that he was a blueberry handler engaged in the packing and marketing of blueberries &ring the preceding marketing year and shall certify the volume in pounds of blueberries marketed by him.

A Petition for Termination shall be considered properly completed only if it contains a sufficient number of signatures to represent at least 25% of the blueberry handlers who marketed at least 25% of the blueberries marketed by all blueberry handlers.

Upon receipt of a Petition for Termination, the Commissioner shall distribute and tabulate termination ballots in the same manner as referendum ballots pursuant to section 3 herein.

C. Amendments to These Rules or to the Market Order. Except as otherwise provided therein, amendments to the terms set forth in the Market Order itself (Chapter 26) shall require a new referendum; provided that amendments to these rules (Chapter 25) may be promulgated by the Commissioner by rulemaking under the Administrative Procedure Act, and with the recommendation or consent of the Blueberry Marketing Committee, but without further referendum.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 421-430.
• EFFECTIVE DATE: July 31, 1985
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 3, 1996
• CONVERTED TO MS WORD: August 15, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 26 Fresh-Pack Blueberry Market Order

Code Me. R. 01-001 Ch. 26 Fresh-Pack Blueberry Market Order {#sec-01-001-ch.-26 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 26}

1. Definitions and Exemptions

Provisions of the Rules for Adoption of Market Orders Affecting Agricultural Commodities, 01-001 of Maine Regulations Chapter 2, are incorporated herein with the following additions and/or revisions:

A. Definitions

1. Blueberries means fresh wild blueberries packed in Maine for the fresh market in consumer sizes (up to and including one-quart containers), subject to the exemptions in Subsection B below.

2. Blueberry handler means any person or organization (including cooperatives) engaged in packing blueberries for the fresh market, subject to the exemptions in Subsection B below.

3. Persons affected , for purposes of this Market Order, shall be all non-exempt blueberry handlers.

B. Exemptions. The Market order shall not apply to any of the following:

1. Exemptions Related to Volume and Market Area

A. Blueberry handlers who, in a calendar year, pack fewer than 5000 pints, or the equivalent in other consumer-size containers.

B. Blueberry handlers who, in a calendar year, pack more than 5000 pints, or the equivalent in consumer-size containers, but market fewer than 5000 pints beyond a 75 mile radius of their packing operation.

2. Organically-grown blueberries which are so described and labeled on the pack.

C. Marketing Committee. There shall be six members of the Fresh-Pack Blueberry Marketing Committee. One member shall be the Commissioner or his designee who shall be an ex officio, non-voting member of the Committee.

2. Blueberry Assessment

In order to pay the costs of carrying out the Order, the rate of assessment shall be established and may be amended from time to time by the Commissioner in accordance with Chapter 2. For purposes of the year 1987, beginning with the effective date hereof, the assessment shall be set at $.0075 per pint or equivalent of blueberries marketed in consumer packs by blueberry handlers. Payments of the amount of assessment due shall be made by each blueberry handler not later than October 1 of each calendar year, with payment based upon blueberries marketed during that marketing year.

3. Blueberry Packing, Grading and Labeling Standards

A. All blueberry handlers shall comply with the packing, grading and labeling standards set forth herein for all consumer packs of blueberries packed or otherwise handled by them.

B. Consumer packs of blueberries may not be held, stored, shipped or sold by blueberry handlers except with a label or labels prominently bearing the designation "Wild Maine Blueberries" and including the legible name and address of the handler or dealer and a conspicuous statement of the Maine Grade A, as provided below, of the blueberries therein.

C. All packed blueberries shall meet or exceed the standards established in this Market Order for Maine Grade A.

D. For purposes of the standards set forth herein, the following terms shall have the following meanings:

1. Clean means that the individual berries are free from dirt, grass or other foreign materials.

2. Well-colored means that not more than one-fourth of the surface of the individual berries is green.

3. Overripe means that individual berries are overmature and soft.

4. Wet means that individual berries are wet from blueberry juice or water moisture of any kind except natural condensation forming within the blueberry package.

E. All "Maine Grade A" blueberries shall meet the following requirements:

1. Except as allowed under the tolerances hereinafter provided, all blueberries shall be clean, well colored, not overripe, not wet, not affected by decay, and not containing defects or foreign materials of any kind.

2. "Maine Grade A" blueberries shall not exceed any of the following tolerances:

Defect Type Tolerance

(count per sample pint)

(a) sticks, leaves and other foreign materials,

except as provided in (i) below 2

(b) green berries (where more than one-fourth of the surface is green) 5

(c) broken skins, when caused by stem cracks, bird tears, punctures,

or other means 10

(d) shriveled skins when the skins is wrinkled and the shape of the

berry is distorted 10

(e) clusters (three or more berries not more than linked together one cluster

(f) wet berries, including water splits or crushed berries 20

(g) other foreign berries commonly known as hog berries, bunch

berries, chokeberries, chokepear or any other edible berry other

than blueberries 2

(in the aggregate)

(h) decayed, moldy, or mummified berries one of each

(i) insects none visible

F. For inspection and compliance purposes, tolerances shall be determined with respect to a single lot of blueberries by sampling at random as follows:

Number of U.S. Pints

(or equivalent) in Lot Number of Pint Samples Taken

up to 1,800 4

1,801 - 3,600 6

3,601 - 7,200 8

7,201 - 10,800 10

10,801 - 14,400 12

14,401 - 18,000 15

G. Individual pint samples taken shall have not more than one and one-half times any specified tolerance for Maine Grade A, provided that the averages of samples for the entire lot are within the tolerances specified for the grade. Where tolerances are exceeded as shown by sample, none of the lot shall be shipped, sold or offered for sale unless reworked by the handler and reinspected by an inspector of the Department.

4. Mandatory Inspection

A. Blueberry handlers shall not ship, sell or offer for sale blueberries in consumer packs, except following official inspection by a representative of the Department and the issuance by that representative of a federal/state inspection certificate or affixing a seal to the lot of blueberries so inspected. Blueberries which fail to meet grade requirements, as determined by the inspector, shall not be shipped, sold or offered for sale in consumer peeks on the fresh market until reworked by the handler and reinspected by the inspector.

B. In order to arrange for inspections, blueberry handlers shall give adequate notice to the Division of Quality Assurance at the Department or otherwise to the Department's authorized inspector. Inspection dates and times shall be scheduled by arrangement with the inspector involved.

C. All inspections shall be charged at a fee to the blueberry handler requesting the same. The fee shall be established by the Commissioner to cover the personnel, travel and administrative costs of running the inspection program. for blueberries. These fees may be established as an hourly rate or on a per-inspection or per-inspected-unit basis, with a premium rate to be charged for inspection time requested at other than ordinary business hours. The Commissioner shall solicit recommendations from the Blueberry Marketing Committee in establishing inspection fees and shall send advance written notification of such fee rates to blueberry handlers who participate in the referendum or otherwise request the same. Inspection fees billed by the Department shall be paid promptly, not more than 30 days following the date of billing. inspections will be suspended for any handler who does not make timely payment of fees billed.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 421-430.
• EFFECTIVE DATE: February 2, 1987
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 15, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 30 Quarantine (Potato)

Code Me. R. 01-001 Ch. 30 Quarantine (potato) {#sec-01-001-ch.-30 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 30}

I. REGULATED COMMODITIES

Regulated commodities include potato tubers, used containers, bags, machinery, and implements.

II. CONTROLLED PESTS

A. Columbia Root Knot Nematode ( Meloidogyne chitwoodi ).

1. The following areas are controlled under these rules as either quarantine or regulated areas.

a. Quarantine areas. Quarantine areas shall consist of the states of Oregon, Washington and Idaho; the county of Humboldt of the State of Nevada; the counties of Siskiyou and Modoc of the State of California; the county of Rio Grande of the State of Colorado; the county of Iron of the State of Utah; the county of Westmoreland in Virginia.

b. Regulated areas. Regulated areas shall consist of all areas within the states of California and Nevada lying outside of and distinct from the quarantine areas of these states defined in paragraph I.A.1.a.

B. Bacterial ring rot ( Clavibacter michiganense pv. sepedonicum or Corynebacterium sepedonicum ).

1. Bacterial ring rot is a quarantined plant disease. Regulated commodities infected by or contaminated with this disease may not enter the State regardless of the area of origin.

III. IMPORT REQUIREMENTS

A. Columbia Root Knot Nematode. Potato tubers from quarantine or regulated areas unless exempted under section V, shall not enter Maine except in compliance with the following:

1. Seed and Processing potatoes from a quarantine area. Seed potatoes or potatoes intended for processing produced in areas designated as quarantine areas shall not be allowed to be transported into the State of Maine.

2. Seed and Processing potatoes from a regulated area. Seed potatoes or potatoes intended for processing produced in areas designated as regulated areas may be admissible if such produce is certified as not exceeding a 0% tolerance for the presence of controlled pests and such produce is certified as having been produced in an area declared free of the controlled pests. Such certification shall be by virtue of negative results of official surveys of representative samples of appropriate plant parts of host plants and/or appropriate soil samples within the county in which the seed potatoes were produced.

3. Tablestock. Potatoes intended for purposes of consumption shall be allowed entrance into the State of Maine only if:

a. The potatoes have been washed.

b. There is no evidence of surface or internal defects caused by the controlled pests;

c. The potatoes have been treated with a sprout inhibitor when shipped during the period between February 1st and May 30th of each year; and

d. The potatoes have been packed in consumer bags.

B. Bacterial ring rot. Potato tubers infected by or contaminated with bacterial ring rot shall not be allowed to be transported into the State of Maine.

C. Used machinery and implements. Used machinery and implements employed in the planting, cultivating, harvesting, packaging or transportation of potato tubers contaminated with a controlled plant pest or from areas designated as quarantine or regulated areas shall not be allowed entry, except if it is rendered free of soil and related debris, is washed and thoroughly disinfected prior to shipment or transport into the State of Maine, and is accompanied by a statement of cleaning and disinfection issued by the official certification agency in the area of origin.

D. Used bags and containers. Used bags or other containers employed in the planting, harvesting, packaging or transportation of potato tubers contaminated with a controlled pest from areas designated as quarantine or regulated areas shall not be allowed entry into the State of Maine.

IV. EXEMPTIONS

All processed potatoes are exempt from this chapter.

V. IMPORT AUDIT

Any of the plant materials described under Section I may be subject to a detailed import audit examination at time of arrival in the State of Maine. Samples may be drawn at random from selected consignments of regulated articles.

Consignments found to be infested with the controlled pests will be placed in detention pending appropriate quarantine action. No further consignment of such infested material will be permitted entry from the origins of such material.

VI. VIOLATIONS

Any person violating any of the provisions of any quarantine issued by the Commissioner shall be guilty of a Class E crime.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 2301 - 2303
• EFFECTIVE DATE: September 1, 1982
• AMENDED: May l, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 15, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 31 Rules for Operation of Potato Marketing Improvement Fund

Code Me. R. 01-001 Ch. 31 Rules for Operation of Potato Marketing Improvement Fund {#sec-01-001-ch.-31 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 31}

Summary: This chapter establishes rules governing the expenditure of funds available from the sale of state bonds and loan repayments for the purposes of improved potato marketing systems, including the modernization, construction, and operation of storage, central packing facilities, and investment in industry infrastructure.

A. Objectives

The Potato Marketing Improvement Fund (PMIF) is a revolving loan fund dedicated to financing creative projects that will advance potato industry marketing. It will operate in accordance with the following principal objectives:

1. Sound business propositions should be financed;

2. Funds should be provided at attractive rates and terms;

3. Active private sector participation should be encouraged; and

4. To the extent possible, procedures should be kept simple and easy to understand.

B. Loan Programs

Because of the variety of needs and potential differences in the capital requirements of individual projects, separate loan and grant programs will be established to utilize the resources of the PMIF.

All potatoes stored or packed in facilities financed by the Potato Marketing Improvement Fund must be produced in Maine.

1. New Facilities Loan Fund

(a) Description and Purpose

The New Facilities Loan Fund is designed to help finance acquisition/improvement projects, or new construction of storages and/or centralized packing facilities and acquisition of packing, sizing, washing or drying equipment. Projects above $150,000 total cost qualify for the New Facilities Loan Fund.

(b) Eligible Uses of Loan Proceeds

Proceeds may be used for equipment acquisition and facility acquisition, construction, conversion, or expansion, including, but not limited to:

• Land acquisition;

• Land improvements;

• Purchase and remodeling of existing buildings. PMIF participation is limited to cost of remodeling, up to a maximum of 45% of total project cost;

• Major repairs and upgrades of existing facilities, including structural repairs and improvements. Any facility using these funds for major repairs and upgrades will be assessed for its structural integrity and overall physical condition prior to commencement of the proposed repair or upgrade, and will be determined to be suitable or appropriate for the proposed repair or upgrade.

• Building construction or additions;

• Leasehold improvements. Additional loan covenants may be required to protect the borrower's and the Department's rights to collateral;

• Purchase and installation of machinery and equipment for use in storage and packing facilities;

• Proceeds may not be used for working capital, nor will interim financing be an eligible use of PMIF proceeds. This provision notwithstanding, applications will be accepted and processed prior to the initiation of construction, and conditional approval of the project for PMIF financing may be used to secure interim or construction financing.

(c) Loan Rates, Terms, Amounts, and Fees

• The interest rate charged shall be fixed at the federal prime interest rate on the date of the loan commitment but may not be greater than 5%.

• Loan term shall not exceed 25 years and shall reflect the useful life of the assets being financed.

• For projects with a total cost of up to $1,500,000, PMIF proceeds may be used to fund not more than 45% of total project costs, except that, in the case of cooperative projects by two or more farmers, who do not share farm equipment or land, PMIF proceeds may be used to fund not more than 50% of the total project costs.

• For projects with a total cost of more than $1,500,000, PMIF proceeds may be used to fund 25% of project costs above $1,500,000, in addition to the amounts permitted above.

• No PMIF loan may be approved unless the applicant has demonstrated a commitment of private funds of at least 10% of the total project cost, except that, in the case of cooperative projects by two or more farmers, such demonstrated commitment of private funds shall total at least 5% of the total project cost.

• One percent of the PMIF loan amount shall be paid to the Fund at closing as an administrative fee.

• The borrower is responsible for all legal expenses and any other out-of-pocket expenses of the Department related to the borrower's project.

(d) Eligible Applicants

Any individual or organization in the business of growing, processing or marketing of potatoes may apply.

(e) Technical Criteria - storages

Proposals for new storages must include the following technical information:

• A business plan that explains how the storage will be used to improve marketing practices and product quality as well as details on plans to store for extended or late-season shipments;

• Type of ventilation, humidification, and insulation systems to be used;

• Background of and provision for the services of an architect, engineer, or consultant who may provide advice on storage design, construction, and operation.

(f) Technical Criteria - central packing facilities

Proposals for new central packing facilities must include the following:

• A description of the product to be packed with emphasis on an added-value pack;

• Plans to operate over an extended shipping season, particularly during harvesting and planting;

• Sources of early and late season supplies;

• A sales plan, including dealer channels and target markets.

2. Storage Retrofit Loan Program

(a) Description and Purpose

The Storage Retrofit Loan Program is designed primarily to upgrade existing storages with insulation, other energy efficiency improvements, and ventilation and other climate-control equipment in order to improve the quality of the stored potatoes and extend the shipping season.

(b) Eligible Use of Loan Proceeds

Proceeds may be used for improvements to existing storages, provided the majority of the project cost is for expenditures to improve the energy efficiency and/or climate-control characteristics of the storage. This includes real estate improvements and acquisition and installation of machinery and equipment.

Proceeds may be used for major repairs and upgrades of existing facilities, including structural repairs and improvements. Any facility using these funds for major repairs and upgrades shall be assessed for its structural integrity and overall physical condition prior to commencement of the proposed repair or upgrade, and will be determined to be suitable or appropriate for the proposed repair or upgrade.

Growers and packers are eligible to use this fund to improve packing facilities.

Funds in this program cannot be used for the purchase of existing storage or for working capital.

(c) Loan Rates, Terms, Amounts, and Fees

• The interest rate charged shall be fixed at the federal prime interest rate on the date of the loan commitment but may not be greater than 5%.

• Loans shall be for ten years or less. The term of the loan shall reflect the useful life of the assets being financed.

• For projects with a total cost of up to $150,000, PMIF proceeds may be used to fund not more than 55% of project costs.

• The borrower is responsible for all legal expenses and any other out-of-pocket expenses of the Department related to the borrower's project.

(d) Eligible Applicants

Any individual or organization in the business of growing, processing or marketing of potatoes may apply.

(e) Technical Criteria

Applications for funds must include the following information:

• A statement outlining the benefits to be gained from the improvements;

• A statement outlining the technical assistance to be furnished by the contractor or a consultant at appropriate times during the initial storage season.

3. Purchase/Acquisition Fund

(a) Description and Purchase

The Purchase/Acquisition Fund is designed to help finance the purchase and acquisition together with any necessary upgrading of existing modern storage facilities. Modern potato storages which have previously been financed through a PMIF loan, may be financed either by providing purchase money financing or by permitting the assumption of an existing PMIF mortgage and promissory obligation. Modern storage facilities not previously financed through a PMIF loan may be financed by providing purchase money financing. The availability of loans from this fund is subject to the conditions set forth below.

(b) Conditions

Any applicant for the Purchase/Acquisition Fund must demonstrate that, without the new financing or permission to assume the seller's PMIF financing, either

1. it would not be reasonable to expect the applicant to place the potatoes in a storage which meets the PMIF technical standards prescribed under the definition of Modern Storage Facility, or

2. the existing modern storage sought to be acquired could not be acquired by the applicant and, as a consequence, could not be as fully used for potato storage.

(c) Eligible Uses of Loan Proceeds and Conditions of Assumption

Proceeds may be used for, and permission for the assumption of existing financing may be given for, the acquisition of existing modern storage facilities previously financed through a PMIF loan, including but not being limited to:

1. Payment of a portion of the purchase price for existing modern storage facilities, so long as the total purchase price does not exceed the fair market value of such facilities;

2. Acquisition of a reasonable amount of land used in connection with the storage facilities;

3. Other purposes authorized by these rules for the New Facilities Fund or the Retrofit Fund.

For the purpose of ascertaining fair market value, the Commissioner may rely upon any appraisal performed by a participating or local dealer or any other credible information.

(d) Definitions

1. Existing Modern Storage Facility: "Modern Storage Facility" means a potato storage building which, after any necessary upgrading and improvements, meets current PMIF standards for insulation, ventilation, and humidification except where, because of engineering or cost considerations, upgrading to current PMIF standards is not feasible, so long as PMIF standards applicable at the time of construction of the existing modern storage continue to be met.

4. Support Facilities Loan Program

(a) Description and Purpose

The Support Facilities Loan Fund is designed to help finance the new construction or improvement of buildings and other structures which augment the production and/or storage of potatoes and/or potato rotation crops; or to help finance new facility construction or facility improvements required to meet food safety standards in potato storages and packing facilities.

(b) Eligible Uses of Loan Proceeds

Proceeds may be used for facility acquisition, construction, conversion, or expansion, including, but not limited to:

• Land acquisition;

• Land improvements;

• Purchase and remodeling of existing buildings. PMIF participation is limited to cost of remodeling, up to a maximum of 45% of total project cost;

• Major repairs and upgrades of existing facilities, including structural repairs and improvements. Any facility using these funds for major repairs and upgrades will be assessed for its structural integrity and overall physical condition prior to commencement of the proposed repair or upgrade, and will be determined to be suitable or appropriate for the proposed repair or upgrade.

• Building construction or additions;

• Leasehold improvements. Additional loan covenants may be required to protect the borrower's and the Department's rights to collateral;

• Proceeds may not be used for working capital, nor will interim financing be an eligible use of PMIF proceeds. This provision notwithstanding, applications will be accepted and processed prior to the initiation of construction, and conditional approval of the project for PMIF financing may be used to secure interim or construction financing.

(c) Loan Rates, Terms, Amounts, and Fees

• The interest rate charged shall be fixed at the federal prime interest rate on the date of the loan commitment but may not be greater than 5%.

• Loan term shall not exceed 10 years and shall reflect the useful life of the assets being financed.

• For projects with a total cost of up to $300,000, PMIF proceeds may be used to fund not more than 45% of total project costs.

• No PMIF loan may be approved unless the applicant has demonstrated a commitment of private funds of at least 5% of the total project cost.

• One percent of the PMIF loan amount shall be paid to the Fund at closing as an administrative fee.

• The borrower is responsible for all legal expenses and any other out-of-pocket expenses of the Department related to the borrower's project.

(d) Eligible Applicants

Any individual or organization in the business of growing, processing or marketing of potatoes may apply.

(e) Technical Criteria – Support Facilities

Proposals for support facilities must include the following technical information:

• A business plan that explains how the support facility will be used to improve the farm operation.

• Background of and provision for the services of an architect, engineer, or consultant who may provide advice on design and construction.

5. Value Added Loan Program

a) Description and Purpose

The Value Added Loan Program is designed to help finance the acquisition, construction, or improvement of facilities and equipment to add value to farm production with a direct benefit to potato production.

(b) Eligible Uses of Loan Proceeds

Proceeds may be used for equipment acquisition and facility acquisition, construction, conversion, or expansion, including, but not limited to:

• Land acquisition;

• Land improvements;

• Purchase and remodeling of existing buildings. PMIF participation is limited to cost of remodeling, up to a maximum of 50% of total project cost;

• Major repairs and upgrades of existing facilities, including structural repairs and improvements. Any facility using these funds for major repairs and upgrades will be assessed for its structural integrity and overall physical condition prior to commencement of the proposed repair or upgrade, and will be determined to be suitable or appropriate for the proposed repair or upgrade.

• Building construction or additions;

• Leasehold improvements. Additional loan covenants may be required to protect the borrower's and the Department's rights to collateral;

• Purchase and installation of machinery and equipment for use in value added projects;

• Proceeds may not be used for working capital, nor will interim financing be an eligible use of PMIF proceeds. This provision notwithstanding, applications will be accepted and processed prior to the initiation of construction, and conditional approval of the project for PMIF financing may be used to secure interim or construction financing.

(c) Loan Rates, Terms, Amounts, and Fees

• The interest rate charged shall be fixed at the federal prime interest rate on the date of the loan commitment but may not be greater than 5%.

• Loan term shall not exceed 10 years and shall reflect the useful life of the assets being financed.

• For projects with a total cost of up to $300,000, PMIF proceeds may be used to fund not more than 45% of total project costs.

• No PMIF loan may be approved unless the applicant has demonstrated a commitment of private funds of at least 5% of the total project cost

• One percent of the PMIF loan amount shall be paid to the Fund at closing as an administrative fee.

• The borrower is responsible for all legal expenses and any other out-of-pocket expenses of the Department related to the borrower's project.

(d) Eligible Applicants

Any individual or organization in the business of growing, processing or marketing of potatoes may apply.

(e) Technical Criteria – Value Added Projects

Proposals for value added projects must include the following technical information:

• A business plan that explains how the storage will be used to improve marketing practices and product quality as well as details on plans to store for extended or late-season shipments;

• Type of ventilation, humidification, and insulation systems to be used;

• Background of and provision for the services of an architect, engineer, or consultant who may provide advice on storage design, construction, and operation.

B-1. Grant Programs

1. Irrigation Grant Fund

(a) Purposes and Limitations

The Commissioner may make grants from money received by the fund from sources other than State bonds and interest earned on the loan program cash balance or loans, to individuals, firms, corporations, or other organizations for the purpose of water source development and irrigation, including well drilling and pond construction, alteration of existing ponds or wells, irrigation pipe and pipe burial, water pumps, new irrigation equipment and updating of existing irrigation equipment, and other irrigation uses or projects as deemed appropriate by the Commissioner. Grants under this section are limited to $100,000 per project per applicant. In no event shall any grants under the Grant Fund exceed 75% of the cost of any project eligible to receive a grant.

(b) Criteria for Eligibility

An applicant is eligible to receive a grant under Section 1, upon a clear demonstration of the following:

1. The applicant's production consists primarily of potatoes;

2. The applicant’s existing or proposed water source meets all requirements of the Maine DEP Low Flow Rule (Chapter 587).

3. The applicant has a current water management plan for use of the water source to be developed.

4. The applicant can prove the ability to provide their share of the funds for completion of the project.

. (c) Application Requirements

For the purpose of demonstrating a completed application the applicant shall submit a written application to the Commissioner including information or statements showing:

1. The applicant’s crop production consists primarily of potatoes;

2. The applicant has a current water management plan for the water source to be used for irrigation;

3. Documentation that the existing water source complies with the Maine DEP Low Flow Rule or a proposed new water source will meet the Maine DEP Low Flow Rule;

4. Any required permits have been obtained or applied for. Copies of any permits required for the project shall be submitted with the application. If any required permits are not approved by the date of grant application, the applicant shall submit letter(s) from the permitting agency(s) explaining the status of the permits;

5. Documentation that all matching funds have been secured.

(d) Eligible Uses for Grant

If the project involves the construction or alteration of an irrigation water source, purchase and / or installation of pump(s), purchase and / or burial of pipe, irrigation system improvements, or purchase and installation of a new irrigation system, then grant proceeds may be used for any one or more of the following:

1. Payment for materials and services in new water source construction, or alteration of an existing water source;

2. Payment for materials and services in installing a pump(s) and burial of pipe to supply water to the irrigation system;

3. Payment for materials and services in installing an irrigation system.

(e) Application Approval Process

Grant funds availability will be made on an annual basis with a formal legal announcement. Grants will be awarded on a first come first served basis. Determination of grant submittal date will be based on the date a completed application is received and time stamped in at the PMIF office in Presque Isle. The Irrigation Grant Review Committee will review the grant application for eligibility and make recommendations to the Commissioner. Grants will continue to be made so long as grant funds are available. Grant awards will be limited to one per farming unit per funding cycle.

(f) Procedure for Payment of Grant Proceeds

Upon presentation of a written estimate or quote as to the cost of a project, the Commissioner will commit to either, a) 75% of that estimate or quote, or, b) $100,000, whichever is less. Upon presentation of a certificate of completion and lien waivers signed by the applicant and by any contractors who provided materials or services to the project, the Commissioner shall issue a check in the amount determined above. Eligible grants will be awarded on a first come first served basis.

2. Research and Infrastructure Improvement Grants

(a) Purposes and Limitations

The Commissioner may make grants from the interest earned on the cash balance of the fund to individuals, firms, corporations or other organizations for research on potato storage and handling technologies and for projects for potato industry infrastructure improvements.

(b) Applications

Applications for these grants shall consist of a complete written proposal indicating the following:

1. Identification of the project;

2. Project cost and amount of grant requested;

3. Names and qualifications of person(s) to work on, monitor and otherwise be responsible for the project;

4. Identification of benefits to potato industry to be realized by the project;

5. For research projects, identification of research methodology and data sources;

6. Identification of site or sites of the project;

7. Identification of other financial resources available for support of project;

8. Identification of time required for completion of project, and completion of interim phases, if applicable;

9. Ability of project results to be implemented.

(c) Determination

1. No application will be approved unless the Commissioner determines that the application is complete and that information sufficient to make an informed decision on the application has been received.

2. In reviewing and selecting applications, the Commissioner will consider the following:

a) The feasibility of the project to render tangible results which will benefit the potato industry;

b) Whether the time frames to complete the research project are reasonable;

c) Whether the applicant has the qualifications and experience to complete the research or infrastructure improvement project;

d) Whether the projected costs reasonably support the research proposal or infrastructure improvement proposal and the proposed benefits to the potato industry.

(d) Approval or Rejection

1. Upon approval of the research or infrastructure improvement grant application, the Commissioner will execute a letter setting forth the terms and conditions upon which the grant will be made.

2. No grant proceeds will be made until the applicant has accepted the terms and conditions of the letter.

3. In the event that the application is rejected, the Commissioner will notify the applicant promptly of the reasons for the rejection.

4. No single grant under this section may exceed $50,000.00.

C. Loan Application Contents

1. Required Contents. In addition to the technical information referenced above, applications shall contain the following:

(a) Identification of the proposed amount of the loan, repayment term, and description of the collateral;

(b) If applicable, copies of letters of commitment to the borrower from other sources of financing;

(c) Information detailing exact uses of loan proceeds from all sources;

(d) Historical business financial statements for the previous three years, both personal and corporate, if applicable, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;

(e) Pro forma profit and loss statement for the first year after project loan closing;

(f) Production history for the previous three years and marketing plan for the year in which application is made;

(g) Preliminary plans and specifications, including proposed floor plan, and estimates of project costs from contractors and suppliers.

2. Supplemental information. The Commissioner may require appraisals of collateral, credit reports, copies of leases or purchase agreements, or any other information or certifications from the borrower or other lender deemed to be necessary for thorough review of the application.

D. Application Procedures

The Commissioner shall determine when an application is complete and shall consider the application as expeditiously as possible after receipt of a complete application.

E. Criteria and Considerations

1. No application will be approved unless the Commissioner determines that the application is complete and that information sufficient to make an informed decision on the application has been received.

2. An application will not be approved unless the Commissioner determines that there is a reasonable prospect that the borrower will repay the loan according to its terms.

3. In reviewing applications, the Commissioner will consider the following:

(a) The economic feasibility of the business as evidenced by the borrower's present and past financial position and the reasonableness of the proposal and financial projections for the future;

(b) Whether the borrower and guarantors have satisfactory credit histories and adequate and relevant management experience;

(c) Whether the borrower has sufficient capital and other resources to conduct business as planned;

(d) The adequacy of the security offered for the loan;

(e) The extent to which the risk of financial loss is shared by others.

4. A single borrower's or grant recipient's (including affiliated entities or farmers who share land and/or machinery and equipment) total outstanding participation is limited to 10% of the program's total amount of outstanding grants, loans and cash balance at the time of receipt of the applicant's completed application.

5. Unless specifically approved by the Commissioner, in his or her discretion, no one borrower or grant recipient (including affiliated entities or farmers who share land and/or machinery and equipment) may receive more than 50% of the total amount of new funds available to the program in any one calendar year, as determined by the Commissioner, at the time of receipt of a completed application.

F. Commitment or Rejection

1. Upon approval of an application, the Commissioner will execute a letter of commitment setting forth the terms and conditions upon which the loan will be made.

2. No commitment shall become effective until the applicant has accepted the terms and conditions of the commitment letter.

3. In the event the application is rejected, the Commissioner will notify the applicant promptly of the reasons for the rejection.

G. Collateral

Repayment of a loan shall be secured by the following:

1. A mortgage or security interest in real estate, building and/or personal property of the business, subject only to such other encumbrances, including priority, junior or coordinate liens, as the Commissioner may approve;

2. Such other collateral as the Commissioner may require, including without limitation, assignments or pledges of leases, contracts, stock certificates and other instruments, personal or corporate guarantees, insurance, letters of credit and surety bonds;

3. Loans may, at the discretion of the Commissioner, be secured by collateral valued at less than the amount of the loan, provided that the borrower, its principals and any guarantors, are of good character and have good credit histories;

4. Real estate or stationary machinery or equipment constituting a significant portion of collateral for repayment of a loan shall be located within the State. Mobile machinery or equipment, constituting a significant portion of collateral for repayment of a loan, shall be registered with and taxed by the State or municipal authorities. Other types of collateral constituting a significant portion of collateral for repayment of a loan shall be owned by or provided for the benefit of a person or business association with a place of business in the State.

H. Project Completion

The project shall be considered complete and final total costs verified upon receipt by the Commissioner of all invoices from and waivers of mechanics' and materialmen's liens by contractors and suppliers. The Commissioner shall ensure that the project was completed in accordance with the plans and specifications as proposed in the application.

Neither the approval of loan after review of plans and specification for a project by the PMIF Project Review Committee, nor the Commissioner’s ensuring that the project was completed in accordance with the plans and specifications is intended to be, nor shall it be interpreted as a representation, endorsement or warranty of the quality, workmanship, functionality or fitness for any purpose of such plans or specifications or of the construction undertaken in accordance with such plans or specifications, all of which are expressly disclaimed by the Department.

I. Loan Covenants

The covenants and requirements of the loan shall be established by the Commissioner in accordance with prudent lending practices. At minimum, the documents should ordinarily require the borrower to:

1. Make periodic payments of principal and interest;

2. Make any lease payments;

3. Maintain adequate insurance on collateral, and maintain books and records on the business;

4. Maintain and repair the collateral;

5. Pay any taxes or governmental charges assessed against the collateral and comply with all applicable governmental laws and regulations;

6. Keep the collateral free of liens and encumbrances except as may be expressly accepted by the Commissioner;

7. Provide periodic financial reports;

8. Repay advances necessary to protect the collateral and all expenses of protecting or enforcing the rights of the Department.

The Commissioner may require such additional covenants and requirements as may be necessary, prudent or desirable, including, but not limited to, crop insurance.

The borrower will be required to sign a loan agreement containing such covenants and adhere to the terms thereof.

J. Loan Documentation

The borrower will be required to sign such documentation as the Commissioner deems necessary to ensure that the borrower and any guarantors have binding, enforceable obligations to repay the loan and that the Department has such valid and enforceable mortgages, security interests and assignments as necessary to protect the interest of the Department.

K. Default

The Loan documentation will outline events and/or conditions which create a default situation. Upon default, the Department shall request that the Attorney General of the State of Maine or such attorneys approved by the Attorney General of the State of Maine take such action as may be prudent, including repossessing and liquidating or foreclosing on collateral.

L. Administration

1. Commissioner of the Department of Agriculture, Conservation and Forestry

The Commissioner shall:

(a) Make final decisions on participation by the Potato Marketing Improvement Fund in loans and grants;

2. Maine Potato Board shall:

(a) Provide overall supervision and policy oversight to the program;

(b) Assign employees of the Maine Potato Board or contract for services to advise and assist potential borrowers in applying for funds and to work with other lenders in packaging loan proposals;

(c) Enter into agreements with individuals or organizations for the purposes of financial record keeping, to facilitate collection of funds owed to the PMIF, and to develop appropriate loan forms.

(d) Annually, at the beginning of each calendar year, make a best estimate of the amount available for loans and grants to be made in that calendar year, by projecting principal and interest repayments to the PMIF due in that year and subtracting operating costs and expenses projected to be incurred during that calendar year and provide a copy of this best estimate to the Commissioner.

3. Advisory Role of PMIF Committee

The PMIF Committee shall function as policy advisor to the Maine Potato Board.

(a) Membership shall consist of:

1. The Commissioner, or the Commissioner’s designee; and

2. Six members appointed by the Maine Potato Board, 2 representing the processing sector of the potato industry, 2 representing the seed sector of the potato industry, and 2 representing the tablestock sector of the potato industry.

The Committee shall advise the Maine Potato Board on the development and implementation of programs and activities that improve the economic viability of the potato industry; advise the Board concerning the funding and expenditures of the Fund; and make recommendations to the Board on authorized uses of the Fund and activities relating to the Fund, other than activities relating to the processing of loan applications or the servicing and administration of loans.

4. Project Review Committee

(a) Purpose

A Project Review Committee shall be established for the purpose of reviewing proposals for funding under the New Facilities Fund. This review shall encompass the marketing, technical, business and other aspects of the proposal with particular attention paid to the intent of the Legislature in establishing the Fund.

Under no circumstances will financial data about the applicant and the project be available to this Committee, but all other aspects of the proposed project will be reviewed by this group.

The Project Review Committee's evaluation of a proposed project will be forwarded to the Commissioner, together with the supporting rationale for its recommendations regarding loan decisions.

(b) Membership

The Project Review Committee shall consist of eight (8) people appointed by the Maine Potato Board and approved by the Commissioner. The Committee shall include people with the following qualifications:

• Knowledge of the potato industry in Maine and/or other potato producing regions;

• Experience as growers;

• General marketing expertise; and

• Engineering and/or technical expertise.

5. Credit Committee

(a) Purpose

A Credit Committee shall be established for the special task of providing financial analysis of proposals for funding through the New Facilities Fund. For any project proposal whose total estimated cost exceeds $100,000,the Credit Committee shall review all financial aspects of the proposal, as well as other information about each project, and evaluate each project from a credit perspective. The Credit Committee shall not provide financial information to the Project Review Committee. The Credit Committee will report its findings and recommendations on individual proposals directly to the Commissioner.

(b) Membership

The Credit Committee shall consist of four (4) members each of whom has commercial or agricultural lending experience, two of whom shall represent the USDA Farm Service Agency and the Farm Credit System. Committee members are appointed by the Commissioner and approved by the Maine Potato Board.

6. Irrigation Grant Review Committee

(a) Purpose

An Irrigation Grant Review Committee shall be established for the purpose of reviewing proposals for grant funding under the Irrigation Grant Fund. This review shall encompass the technical aspects and eligibility criteria of the proposal.

The Irrigation Grant Review Committee's evaluation of a proposed project will be forwarded to the Commissioner, together with the supporting rationale for its recommendations regarding grant decisions.

(b) Membership

The Irrigation Grant Review Committee shall consist of three (3) people appointed by the Maine Potato Board. The Committee shall include people with one of the following qualifications:

• Knowledge of the potato industry in Maine and/or other potato producing regions;

• Experience as growers;

• Engineering and/or technical expertise.

History

• STATUTORY AUTHORITY: 7 MRS ch. 103 Article 1-A; Title 10 MRS §1023-N; Public Law 2013 ch. 403
• EFFECTIVE DATE: February 9, 1983
• AMENDED: February 2, 1987
• AMENDED: May 8, 1988
• AMENDED: January 31, 1989
• AMENDED: June 20, 1992
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: March 18, 1998
• AMENDED: December 8, 2003 - filing 2003-460
• AMENDED: October 3, 2006 – filing 2006-429
• AMENDED: December 27, 2006 – filing 2006-529
• AMENDED: July 18, 2010 – filing 2010-307
• AMENDED: July 11, 2012 – filing 2012-193
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: November 2, 2015 – filing 2015-203
• AMENDED: October 1, 2018 – filing 2018-213
• AMENDED: August 29, 2021 – filing 2021-172
• ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 32 Rules for Operation of Agricultural Marketing Loan Fund

Code Me. R. 01-001 Ch. 32 Rules for Operation of Agricultural Marketing Loan Fund {#sec-01-001-ch.-32 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 32}

Summary: This chapter establishes rules governing the expenditure of funds available from the sale of state bonds for the purposes of assisting commercial agricultural enterprises and businesses engaged in the producing, processing, storing, packaging or marketing of products derived from an agricultural enterprise, with the design, construction or improvement of commodity and storage buildings and packing and marketing facilities, and the construction, renovation or acquisition of other property.

Section I. Objectives

The Agricultural Marketing Loan Fund (AMLF) is a revolving loan fund dedicated to financing projects that will advance agricultural enterprises. It will operate in accordance with the following principal objectives:

A. sound business propositions should be financed;

B. funds should be provided at reasonable rates and terms;

C. active private sector participation should be encouraged;

D. funds should be spread amongst eligible industries; and

E. to the extent possible, procedures should be kept simple and easy to understand.

Section II. Definitions

A. Agricultural enterprise. "Agricultural enterprise" means a person or business, located in Maine, engaged in the commercial growing or harvesting of plants; raising of animals; growing or obtaining plant or animal by-products, aquaculture, as defined in Title 12, section 6001, subsection 1; or further processing, storing, packaging or marketing a raw product derived from plants, animals, plant or animal by-products or aquaculture as defined in Title 12, section 6001, subsection 1, with the intent that the product be sold or otherwise disposed of to generate income. “Agricultural enterprise” shall also include a business or activity that attracts visitors to a farm for the purpose of supplementing income from the primary crop or livestock operation. “Agricultural enterprise” does not include a business engaged primarily in the growing, harvesting or further processing of forest species of trees for the purpose of producing pulp or other materials used in the paper manufacturing or wood manufacturing process.

Borrower: The term "borrower" shall mean the applicant and any related or affiliated individual or entity which shares assets, such as land, machinery and equipment or other property, with the applicant in connection with the applicant's agricultural enterprise.

C. Direct Marketing: “Direct marketing” means the marketing of agricultural products by farmers directly to consumers and restaurants. “Direct marketing” includes, but is not limited to: farmers’ markets, farms selling produce picked by the consumer, roadside farm stands, farms selling shares of an anticipated harvest and catalog sales.

Emerging: The term "emerging" shall mean an industry which the Commissioner determines is new to the State at the time of application, or which, although not new to the State, has the potential, as determined by the Commissioner, to increase its production within the State by more than 30% over the 5 year period following application. The applicant shall provide, at the request of the Commissioner, information demonstrating that the applicant's industry is emerging.

Fair Market Value: The term "fair market value" shall mean the value of property as determined by a written appraisal, with a certificate signed by the appraiser, or by other method approved by the Commissioner.

Industry: The term "industry" shall mean any line of business involving agriculture, which the Commissioner determines uses the same raw material for its product. When applied to products derived from plants, it shall be determined by plant type, e.g., corn, potato, cranberry, blueberry, regardless of the form which the product takes. When applied to products derived from animals, it shall be determined by the aspect of the animal used to make the product, e.g., milk, meat, coat. The industry a particular agricultural enterprise is engaged in shall be determined by the project for which the loan is sought.

New and Innovative: The term "new and innovative," shall mean a method, process, machine or structure not previously developed, or if previously developed, not commonly utilized for the support of agricultural production and marketing in Maine.

Prime Rate: The term "Prime Rate" shall mean the highest prime rate as reported by the Wall Street Journal .

Private Funds: The term "private funds" shall mean equity in the form of cash and/or property of the applicant, including cash from loans subordinated to the AMLF loan secured by assets not related to the project, or the value of services to be contributed to the project by the applicant, as determined and to be approved in advance by the Department.

Processing: The term "processing" shall mean changing the form of an agricultural product through the application of labor or materials or both.

K. Project: The term "project" shall mean the use to which the loan or grant proceeds are to be put, as approved by the Commissioner.

Section III. Loan Program

A. Description and Purpose

The Loan Program is designed to help finance eligible projects, to be undertaken by applicants engaged in an agricultural enterprise.

B. Eligible Uses of Loan Proceeds

1. Proceeds may be used for the design, construction or improvement of commodity and storage buildings and packing and marketing facilities; or for the purchase, construction, or renovation if buildings, equipment, docks, wharves, piers, or vessels, located in the State of Maine and used in connection with an agricultural enterprise; or for the purchase of land (a) in connection with development of new cranberry acreage; (b) for irrigation reservoirs or to provide direct access to water for irrigation; (c) necessary for the start-up of a new agricultural enterprise; or, (d) for the expansion of an existing agricultural enterprise when the land acquisition is necessary to comply with land use regulations); or for improvements to pastureland including seeding and actions to promote rotational grazing.

2. Proceeds of loans may be used to pay or reimburse the cost of developing a business plan when related to an AMLF Loan Application, and the following conditions as well as the conditions of Section III(E)(9) are met:

a. The project is eligible for a loan under the provisions of 7 MRSA, section 434, et seq . and 10 MRSA, section 1023-J;

b. The application does not include a business plan for the project or the business plan is deemed inadequate by the commissioner; and,

c. The commissioner determines that the project as described in the application has merit.

C. Ineligible Uses of Loan Proceeds

Proceeds may not be used for working capital, or to finance or refinance projects commenced, costs incurred, or expenses paid prior to the date of the submission of a completed application (and such costs and expenses shall not be considered eligible project costs for determining the matching financing or private funds requirements of Sections III(E)(3) & (4) However, such requirement may be waived for good cause, as determined by the Commissioner in his or her discretion, upon written request for a waiver made at the time of the submission of a letter requesting eligibility determination. Any waiver, to be effective, must be in writing. If a waiver is granted, the Commissioner, in his or her discretion, shall determine which costs incurred or expenses paid prior to the written request for the waiver may be reimbursable to the owner from loan proceeds for costs incurred or expenses paid prior to the written request for the waiver and if any such costs and expenses may be considered eligible project costs for determining the matching financing or private funds requirements of Sections III (E)(3) & (4). Further, proceeds may not be used for projects, or for the refinancing or acquisition of projects, for which a loan from the Potato Marketing Improvement Fund (PMIF) was obtained, regardless of whether such PMIF loan was made to the applicant or a previous owner of the project, and regardless of whether or not the PMIF loan remains outstanding.

D. Special Provisions Applicable to Loans for Construction, Renovation, Additions and Remodeling

1. Costs of construction may be an eligible use of loan proceeds, as set forth in Section III(B) above, and proceeds of AMLF loans may be used for interim financing during the construction of projects. However, for AMLF loans involving construction, where any disbursement is made prior to project completion, the Borrower must comply with the then current construction lending procedures developed by the Department, which may include requirements for preconstruction budgets, interim invoices and lien waivers, project inspections, limits on numbers or amounts of disbursements, and other relevant terms and conditions.

2. The project shall be considered complete when the Commissioner receives all invoices and waivers of mechanics' and materialmen's liens from all project contractors and suppliers. The Commissioner may require inspection, certification and/or other evidence showing to his or her satisfaction that the project was completed in accordance with the plans and specifications approved with the application, prior to disbursing loan proceeds.

3. The provisions of Sections III(D)(1) & (2) will not apply to construction of projects involving agricultural enterprises which are engaged in commercial cranberry operations, provided, however, the Department may require interim lien waivers, inspection, verification or other evidence that the costs to be paid or reimbursed with loan proceeds have been incurred, are reasonable, and that the value of the Department’s collateral is sufficient to support the interim disbursements.

E. Loan Rates, Terms, Amounts, and Fees

1. The interest rate charged shall be a fixed rate of 5%.

2. The loan term shall not exceed 30 years and shall reflect the useful life of the assets being financed.

3. AMLF loan proceeds may be used to fund not more than 75% of total project costs, where the total project cost exceeds $100,000, and may be used to fund no more than 90% of total project costs where the total project cost is $100,000 or less. Notwithstanding the foregoing, AMLF loan proceeds may not be used to fund more than 45% of the total project costs for potato storage, potato packing shed, potato packing equipment, or potato handling equipment projects.

4. No AMLF loan may be approved unless the applicant has demonstrated a commitment of private funds of at least 5% of the total eligible project costs, except that, in the case of cooperative projects by two or more agricultural enterprises, such demonstrated commitment of private funds shall total at least 5% of the total project cost.

5. The maximum principal amount of any one AMLF loan to any applicant may not exceed $250,000, except as follows: (a) AMLF loans for the purpose of land acquisition for the start-up of a new agricultural enterprise shall not exceed $100,000; and, (b) AMLF loans to agricultural enterprises primarily engaged in direct marketing and being funded from the amounts reserved under Section III (K)(5) are limited to $100,000.

6. One percent of the AMLF loan amount shall be paid to the Department at closing as an administrative fee on any loan exceeding $100,000.

7. The applicant is responsible for all legal expenses and any other out-of-pocket expenses of the Department related to the Borrower's project, and the AMLF loan.

8. Notwithstanding anything to the contrary in this Section III(E)), an AMLF loan for developing a business plan under Section III(B)(3) may not exceed 50% of the cost of developing said plan, up to 5% of the amount of the related project or $1,000, whichever is less. The Commissioner may advance funds for this purpose to an AMLF loan applicant if the conditions of Sections III(B)(3) and this Paragraph are met prior to the approval or rejection of a loan application. If funds are advanced for this purpose, the applicant shall provide the commissioner with a copy of the completed business plan no more than six (6) months from the date funding for the plan was received. At that time, the commissioner shall review the business plan and other application materials and make a final determination on the application. If the applicant receives a loan under this program, the amount of money received from the fund for the business plan becomes part of the total loan amount and is paid back to the Agricultural Marketing Loan Fund. If the applicant does not receive a loan under this program, the applicant is not required to pay back funds received for a business plan under this Paragraph.

F. Eligible Applicants

Any individual or organization engaged in an agricultural enterprise.

G. Required Contents (Loan Applications)

1. For loans for tractor or field equipment purchases only, regardless of size, loan applications shall contain the following:

a. identification of the proposed amount of the loan, repayment term and description of the collateral;

b. if applicable, copies of letters of commitment to the applicant from other sources of financing;

c. information detailing the nature of the applicant's business, and the exact uses of all funds used for the project;

d. historical business financial statements for the previous year, for the applicant and any and all guarantors, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;

e. production history for the previous year and a business or marketing plan for at least the year in which application is made;

For loans (other than for tractors or field equipment purchases) under $50,000, loan applications shall contain the following:

a. identification of the proposed amount of the loan, repayment term and description of the collateral;

b. if applicable, copies of letters of commitment to the applicant from other sources of financing;

c. information detailing the nature of the applicant's business, and the exact uses of all funds used for the project;

d. historical business financial statements for the previous year, for the applicant and any and all guarantors, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;

• 1. pro forma profit and loss statement for the first year after loan closing; 2. production history for the previous year and a business or marketing plan for at least the year in which application is made;

For loans (other than for tractors or field equipment purchases) over $50,000, loan applications shall contain the following:

1. identification of the proposed amount of the loan, repayment term and description of the collateral;
2. if applicable, copies of letters of commitment to the applicant from other sources of financing;
3. information detailing the nature of the applicant's business, and the exact uses of all funds used for the project;
4. historical business financial statements for the previous three years, for the applicant and any and all guarantors, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;
5. pro forma profit and loss statement for the first year after loan closing;
6. production history for the previous three years and a business or marketing plan for at least the year in which application is made;
7. preliminary plans and specifications, and estimates of project costs from contractors and suppliers.

H. Supplemental Information or Materials

The Commissioner may require appraisals of collateral, credit reports, copies of leases or purchase agreements, or any other information or certifications, including reports from experts, from the borrower, other lender or other party deemed to be necessary for thorough review of the application.

I. Criteria and Considerations (Loan Applications)

1. No application will be approved unless the Commissioner determines that the application is complete and that information sufficient to make an informed decision on the application has been received.

2. A loan application will not be approved unless the Commissioner determines that there is a reasonable prospect that the applicant will repay the loan according to its terms.

3. In reviewing loan applications, the Commissioner will consider the following:

a. the economic feasibility of the business as evidenced by the applicant's present and past financial position and the reasonableness of the proposal and financial projections for the future;

b. whether the applicant and guarantors have satisfactory credit histories and adequate and relevant management experience;

c. whether the applicant has sufficient capital and other resources to conduct business as planned;

d. the adequacy of the security offered for the loan;

e. the extent to which the risk of financial loss is shared by others;

f. the technical feasibility of the project.

J. Assumption

1. Eligibility

AMLF loans may be assumed provided the assuming party demonstrates:

a. that it is an eligible agricultural enterprise under the AMLF program, including but not limited to meeting all applicable credit and review requirements in Sections III (E) through III (M) of this rule, and the business, facility or property being acquired in connection with the assumption will continue to be operated or used for the purpose for which the loan was initially granted, or for other eligible purposes approved, in advance, by the Commissioner; and

b. without the assumption, the assumption applicant would not be able to acquire the business, facility or property; and,

c. the total purchase price for the business, facility, or property does not exceed the fair market value of such business, facility, or property.

2. Procedure

Assumptions will be treated in the same manner as applications for AMLF loans. An assumption applicant must file an application with the Department, with information required in Sections III (E) & (F) hereof, and such additional information as may be required to demonstrate the applicant meets the additional requirements of Paragraph 1 of this Subsection J.

K. Program Participation Limitations

1. In addition to other limitations expressed in this rule, a Borrower's total outstanding participation is limited to 10% of the program's total amount of outstanding loans plus the remaining cash balance of the Fund, at the time of receipt of the applicant's completed application.

2. No one industry, as determined by the Commissioner in his or her discretion, may receive loans totaling more than 33% of the total amount of the initial balance of the AMLF, until such time as 50% of the initial balance of the AMLF has been disbursed;

L. Commitment or Rejection (Loan Applications)

1. Upon approval of an application, the Commissioner will execute a letter of commitment setting forth the terms and conditions upon which the loan will be made.

2. No commitment shall become effective until the applicant has accepted the terms and conditions of the commitment letter.

3. In the event the application is rejected, the Commissioner will notify the applicant promptly of the reasons for the rejection.

M. Collateral

Repayment of a loan shall be secured by the following:

1. a mortgage or security interest in real estate, building and/or personal property of the business, subject only to such other encumbrances, including priority, junior or coordinate liens, as the Commissioner may approve;

2. such other collateral as the Commissioner may require, including without limitation, assignments or pledges of leases, contracts, stock certificates and other instruments, personal or corporate guarantees, insurance, letters of credit and surety bonds;

3. loans may, at the discretion of the Commissioner, be secured by collateral valued at less than the amount of the loan, provided that the applicant, its principals and any guarantors, are of good character and have good credit histories;

4. real estate or stationary machinery or equipment constituting a significant portion of collateral for repayment of a loan shall be located within the State. Mobile machinery or equipment, constituting a significant portion of collateral for repayment of a loan, shall be registered with and taxed by the State or municipal authorities. Other types of collateral constituting a significant portion of collateral for repayment of a loan shall be owned by or provided for the benefit of a person or business association with a place of business in the State.

N. Loan Covenants

The covenants and requirements of loans shall be established by the Commissioner in accordance with prudent lending practices. At minimum, the documents should ordinarily require the applicant to:

1. make periodic payments of principal and interest;

2. make any lease payments;

3. maintain adequate insurance on collateral, and maintain books and records on the business;

4. maintain and repair the collateral;

5. pay any taxes or governmental charges assessed against the collateral and comply with all applicable governmental laws and regulations;

6. keep the collateral free of liens and encumbrances except as may be expressly accepted by the Commissioner;

7. provide periodic financial reports;

8. repay advances necessary to protect the collateral and all expenses of protecting or enforcing the rights of the Department.

The Commissioner may require such additional covenants and requirements as may be necessary, prudent or desirable, including, but not limited to, crop or other applicable insurance, and reasonable environmental covenants. The applicant will be required to sign a loan agreement containing such covenants and adhere to the terms thereof.

O. Loan Documentation

The applicant will be required to sign such documentation as the Commissioner deems necessary to ensure that the applicant and any guarantors have binding, enforceable obligations to repay the loan and that the Department has such valid and enforceable mortgages, security interests and assignments as necessary to protect the interest of the Department.

P. Default

The Loan documentation will outline events and/or conditions, which create a default situation. Upon default, the Department shall request that the Attorney General of the State of Maine or such attorneys approved by the Attorney General of the State of Maine take such action as may be prudent, including repossessing and liquidating or foreclosing on collateral. The Attorney General of the State of Maine may approve specific outside attorneys to represent the Department on a case-by-case basis, after default, or on a permanent basis (until revoked) for any and all existing or future defaults.

Section IV. Grants

A. Purposes and Limitations

The Commissioner may transfer monies comprised of the interest earned on the cash balance of the fund and the interest portion of loan payments, to the Agricultural Development Fund under 7 M.R.S.A. Chapter 10 to be used by the Agricultural Development Fund for the purpose of funding grants for eligible purposes, or may use such monies to make direct grants to individuals, firms, corporations, or other organizations for the purpose of allowing the applicant to obtain technical assistance in connection with the applicant’s adoption of, or contemplation of adoption of (including education relating to) new and innovative technology to support agricultural production and marketing.

B. Procedure for Making Transfers to the Agricultural Development Fund and Direct Technical Assistance Grants

1. The Commissioner may make transfer funds under this Section IV to the Agricultural Development Fund at such times, in such amounts, and for such purposes (but subject to the limitations expressed in Subsections IV (A) and (C)), as he or she may determine to be appropriate, in his or her discretion. The award of grants under the Agricultural Development Fund will be governed by the statutes and rules applicable thereto.

2. In order to obtain a technical assistance grant directly from the Department under the Program, an application must be filed with the Department pursuant to Sections IV(D) and (F) with the information required therein, and in addition, such additional information as may be required for demonstrating the requirements of Section IV A(2) have been met. The Commissioner may prioritize grant applications and shall approve or deny grant applications, in his or her discretion, and may do so at any time.

C. General Limitation

The aggregate amount of direct technical assistance grants and transfers to the Agricultural Development Fund under this Section IV shall not exceed $250,000 per year. At the discretion of the Commissioner, unused designated grant dollars from the previous fiscal year, not to exceed $250,000, may be added to available grant funds in the current fiscal year. Individual direct technical assistance grants may not exceed the lesser of (1) 75% of the total cost of the technical assistance project; or (2) $7,500.

Criteria for Eligibility for Direct Technical Assistance Grants

An applicant is eligible to be considered for a direct technical assistance grant under the Program pursuant to Section IV(A) upon a demonstration to the Commissioner’s satisfaction that the applicant is an agricultural enterprise or is an organization or association, the primary purpose of which is the promotion of the interests of agricultural enterprises, and that at least one of the following apply:

1. the applicant is implementing, or will be implementing, new and innovative technology in the operation of its agricultural enterprise and the applicant is in need of technical assistance to effectively implement the new and innovative technology; or,

2. the applicant is considering implementing new and innovative technology and needs technical assistance to determine whether the new and innovative technology would assist its business; or,

3. the applicant is providing information or education to agricultural enterprises regarding new and innovative technology.

In addition, the Commissioner may, in his or her discretion, require the applicant to demonstrate one or more of the following:

4. that the new and innovative technology will materially assist the applicant’s business;

5. that if a grant is made and technical assistance received, the new and innovative technology is likely to be commercially feasible;

6. that the applicant is not able to benefit from the technical assistance without the grant;

7. that the applicant will contribute or obtain funds from other sources for a portion of the cost of the technical assistance;

8. that the applicant has successfully utilized grants previously received from whatever source; and,

9. that the applicant has the needed expertise to effectively utilize the technical assistance and/or new and innovative technology.

E. Procedure for Disbursement of Direct Grants

The successful technical assistance grant applicant must present a written estimate or quote as to the cost of eligible technical assistance. Except as set forth below, the Commissioner shall issue a check for the grant only upon presentation of a certificate of completion signed by the applicant and by any contractors who provided eligible technical assistance. For good cause shown by the applicant, as determined by the Commissioner, a check may be issued prior to the rendering of the technical assistance so long as the applicant certifies it will use the grant only for the purposes for which it was granted, and so long as the applicant agrees to later provide to the Department such evidence as may be requested by the Commissioner that the technical assistance was rendered.

F. Required Contents (Direct Technical Assistance Grant Applications)

Technical assistance grant applications shall contain the following:

1. identification of the proposed amount of the grant, and the total cost of the technical assistance sought by the applicant;

2. information detailing the nature of the applicant’s business, the exact uses of grant proceeds and the sources and uses of all other funds to be used for the project; and,

3. information about the technical assistance for which the grant is sought, including the name and qualifications of the provider, a description of the assistance to be provided, and an explanation of how the new and innovative technology for which the assistance is sought is expected to help the applicant’s business.

Section V. Administration

A. Commissioner of the Department of Agriculture, Conservation and Forestry. The Commissioner shall:

1. provide overall supervision and policy oversight to the program;

2. make final decisions on participation by the AMLF in loans and grants;

3. assign employees of the Department of Agriculture, Conservation and Forestry and/or contract for services to advise and assist potential applicants in applying for funds and to work with other lenders in packaging loan proposals;

4. assign employees of the Department of Agriculture, Conservation and Forestry and/or contract for services to perform application review/loan analysis and recommend loan approval or rejection;

5. enter into agreements with the Finance Authority of Maine or other qualified individuals or organizations for the purposes of financial record keeping, to facilitate collection of funds owed to the AMLF, and to develop appropriate loan forms.

B. Credit Committee

1. Purpose

A Credit Committee shall be established for the special task of providing financial analysis of proposals seeking over $50,000 for funding through the Loan Program. The Credit Committee shall review all financial aspects of such proposal, as well as other information about each such project, and evaluate each project from a credit perspective. The Credit Committee will report its findings and recommendations on individual proposals directly to the Commissioner.

2. Membership

The Credit Committee shall consist of seven (7) members each of whom has commercial or agricultural lending experience, appointed by the Commissioner. The Credit Committee shall have membership, which is diverse, both geographically and agriculturally.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §12, §435
• EFFECTIVE DATE: (original rule) June 22, 1997; Amendment 1, effective March 18, 1998, revisions made to §2(10), §4(2)(A), and addition of §3(5)(H); Amendment 2, effective February 18, 2000, revisions were made to Section 2(1) and (1); Section 3(2), (3), (4) and (5), Section 3. (7), (8), (9), (11), (12), (13), (14), (15) and (16) have been added; Section 4. (1) has been deleted, 4. (2) revised; and Section(s) 5, 6, 7, 8, 9, 10, 11, 12 and 13 have been deleted; Amendment 3, effective January 16, 2001, revisions and or additions made to Sections II (K), III (B), (E) & (K), IV and V (B); Amendment 4, effective January 22, 2002 (revisions to Section II and III(E); Amendment 5, effective October 23, 2007.
• EFFECTIVE DATE: June 23, 1997
• AMENDED: March 18, 1998 - Section 2(10), Section 4(2)(A), and addition of Section 3(5)(H)
• AMENDED: February18, 2000 - Section 2.(1) and (1); Section 3.(2), (3), (4) and (5), Section 3. (7), (8), (9), (11), (12), (13), (14), (15) and (16) have been added; Section 4. (1) has been deleted, 4. (2) revised; and Section(s) 5, 6, 7, 8, 9, 10, 11, 12 and 13 have been deleted.
• NON-SUBSTANTIVE CORRECTION: March 6, 2000 - Section 3(7)(D), spelling only
• AMENDED: January 14, 2001 - Sections II(K), III(B), (E) & (K), IV and V(B)
• AMENDED: January 19, 2002 - Sections II(A-K), III(E)(1)
• AMENDED: October 23, 2007 - Amendment 5, filing 2007-445
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 33 Rules Governing the Agricultural Development Grant Program

Code Me. R. 01-001 Ch. 33 Rules Governing the Agricultural Development Grant Fund {#sec-01-001-ch.-33 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 33}

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II. LEGISLATIVE MANDATE 2

III. DEFINITIONS 2

IV. PROGRAM FUNDING 2

V. AGRICULTURAL DEVELOPMENT GRANT PROJECTS

A. Eligibility Requirements 3

B. Criteria for Allocation of Grant Funds Between Program Areas 3

C. Project Funding 3

D. Solicitation Procedures and Notification of Grant Awards for Competitive Grant Proposals 4

E. Application Procedures for Competitive Grant Proposals 4

F. Evaluation Criteria for Selection a Proposal 6

G. Project Management and Reporting Requirements 8

H. Advisory Committee 8

I. Confidentiality 8

VI. SPECIAL PROJECTS

A. Project Objectives 9

B. Project Funding 9

C. Application Requests 9

LEGISLATIVE MANDATE

The 119th Legislature authorized an Agricultural Development Fund (7 M.R.S.A., Chapter 10 §306A - 309). The Legislature identified the agricultural industry need for accelerating new market development, adoption of improved technology and promotion of agricultural products produced in Maine. These rules establish the procedures for administering the Agricultural Development Fund and Grant Program, including: application procedures, criteria for granting awards within the guidelines specified in the legislation, an outline of the responsibilities of the applicants, the role of the committees overseeing program management, and other administrative procedures not specified in the legislation.

DEFINITIONS

A. Market Research - means activities to test and determine the likelihood of success in selling new or existing agricultural products produced in Maine in one or more markets.

B. Market Promotion - means activities to further the awareness, popularity, and sustain or increase sales of existing State agricultural products using such methods as, but not limited to, print, broadcast and social media, and trade shows.

C. Agricultural Product - means a Maine-grown fresh, or Maine-processed, agricultural food, fiber, or horticultural product derived from plants, animals, plant or animal byproducts, freshwater farmed fish, or aquaculture, as defined in Title 12, section 6001, subsection 1, with the intent that the product be sold or otherwise marketed to generate income. "Agricultural Product" does not include the product of a business engaged primarily in the growing, harvesting or processing of trees for the purpose of producing pulp or other materials used in paper manufacturing or wood manufacturing.

D. New Technology - means agricultural production, processing, and storage practices that are not currently used by Maine agricultural enterprises.

E. Nonpublic Sources - means any source of funds other than moneys provided directly or indirectly by federal, state, or local government. Nonpublic sources includes commodity group dedicated revenues generated by commodity check-off programs, even if collected by the Department of Administrative and Financial Services, Maine Revenue Services.

F. Department - means the Department of Agriculture, Conservation and Forestry.

PROGRAM FUNDING

A. The Agricultural Development Grant Fund is funded by appropriations from State general funds, from the interest from the Agricultural Marketing Loan Fund established in 10 M.R.S.A., Section 1023-J subject to limitations under 7 M.R.S.A. Section 436, and from any other contributions to the Fund.

B. Contributions to the Agricultural Development Fund may be earmarked for projects affecting specific commodities.

AGRICUL TURAL DEVELOPMENT COMPETITIVE GRANT PROJECTS

A. ELIGIBILITY REQUIREMENTS

1. New Projects

Individuals, firms or organizations are eligible to apply for an Agricultural Development Grant.

2. Continuing Projects

Grantees of ongoing projects from previously approved grants may reapply in a separate application for additional funding during future requests for grant proposals but must justify the extended commitment sought. Funding will be contingent upon satisfactory progress and accountability of all funds awarded at the time of re-application, continued congruence with program needs, and continued availability of moneys.

B. CRITERIA FOR ALLOCATION OF GRANT FUNDS BETWEEN PROGRAM AREAS

1. The Commissioner may allocate the grant funds among projects involving market research, market promotion, or a combination of those activities for the purpose of expanding existing markets and developing new markets for agricultural products produced in Maine; or for testing and demonstrating new technologies related to the production, storage or processing of State agricultural products. At the time of the request for proposals the Commissioner will determine if any priority program areas need to be solicited and the amount of funds available for those priority areas.

C. PROJECT FUNDING

1. The grantee of an award shall contribute in cash or in kind, as determined by the Commissioner, an amount equal to at least 25% of the cost of the project except that the Commissioner or the Director of the Bureau of Agriculture, Food and Rural Resources may, at their discretion, allow for a lower contribution match for special or emergency projects. At least 10% of the total cost must be funded from nonpublic sources, as determined by the Commissioner.

2. The grantee of an award shall contribute in cash or in kind an amount equal to at least 50% of the cost of the project for projects that are for market promotion.

3. A project grant may not exceed 50% of the total funds available to be granted in a given year..

4. The grantee may not, in whole or in part, assign, delegate or transfer to another person, institution, or organization the responsibility for use or expenditure of grant funds other than as stated in the proposal and approved by the Commissioner.

5. At the time that a grant is awarded, the Commissioner may impose conditions and requirements that are designed to provide for accountability and achievement of program objectives.

D. SOLICITATION PROCEDURES AND NOTIFICATION OF GRANT AWARDS FOR COMPETITIVE GRANT REQUEST FOR PROPOSALS

1. The Department may solicit proposals multiple times during the fiscal year, with at least a 30 day period between the announcement and close of the request for proposals. The request for grant proposals will include the following information:

a. Name and address where application forms can be obtained.

b. Description of priority program areas, if designated by the Commissioner, for consideration of grants and anticipated funds to be awarded.

c. Dates for receipt of applications, and for anticipated grant awards.

d. Any other special requirements as determined by the Commissioner.

2. The Agricultural Development Advisory Committee may make recommendations to the Commissioner on applications within three weeks following submission of applications. The Commissioner will endeavor to render the final decision on the grant awards within two weeks following the submission of the committee's recommendations.

3. A notification of grant will include an agreement to be signed by the applicant and returned to the Department within two weeks of receipt or at such other time as the Commissioner may require.

4. In the case of projects not funded, the notification will include a brief explanation of why the projects were rejected. Revised applications will be accepted for consideration in future funding cycles. Grant decisions are determined in the exercise of the judgment and discretion of the Commissioner based upon the criteria set forth in section F, the recommendations of the Advisory Committee and any other appropriate information. Selection of an application is not a guarantee of funding. Grant decisions by the Commissioner are final.

E. APPLICATION PROCEDURES FOR COMPETITIVE GRANT PROPOSALS

1. Grant Proposal - The project proposal should be no more than ten pages in length (excluding the cover sheet, budget forms and resumes), and provide the information described below:

a. Cover sheet

1. Title and type of proposed project.

2. Brief (1 00 words or less) description of project objectives and results expected.

3. Name and title of applicant.

4. Address and telephone, fax and e-mail (if applicable) of applicant(s).

5. Amount of funding requested, amount of match including in-kind services and source of matching funds.

6. Duration of project (including beginning and ending dates).

7. Name, address and telephone, fax and e-mail address of contact person if other than applicant.

b. Identification of Need/Opportunity and Justification

Clear statement of the specific need, problem or opportunity to be addressed, indicating its importance to the Maine agricultural community. For market research projects, the economic or other value of the research must be described. For new technology projects, the number of producers who may adopt or benefit from the technology and the usefulness to specific regions within the State must be described. Market promotion projects must describe increased sales potential.

c. Project Goals and Objectives. Clear statement of the goals of the project, expressing goals numerically, if possible. Relate objectives to goals and identify specific needs to be addressed by the proposed project.

d. Deliverables. A clear statement of the anticipated end products of the project, including how these results will be made available to the Department and used by the food and agriculture industry. Some possible deliverables include: A new or prototype product, machine or process that enhances the business; an economic, scientific, or production feasibility study; a plan, publication, or audiovisual presentation; a promotional event with reports documenting the promotion, along with results tabulated.

e. Innovation. A clear description of what is new about the project's concept, approach, or process.

f. Degree of Risk. A clear description of the risks that may impact the project's success, and methods to overcome the potential risks. The proposed project must be able to demonstrate a likelihood of success.

g. Project Methodology and Schedule. List the project plan methods, and timetables for completion of the plan.

1. For testing new technologies, the methodology should follow a standard research proposal format, including a description of proposed investigations and/or experiments in the sequence and timetable in which it is planned to carry them out. The techniques to be employed, kinds of results expected, means by which the data will be analyzed or interpreted, and pitfalls and limitations that might be encountered should be detailed.

2. For market research projects, the methodology and procedures should be outlined, including a description provided on how the project will be implemented and a detailed work plan including a timetable for the project.

3. For promotional projects, the project must include an explanation of how results of the promotion will be evaluated for return on investment.

h. Key Personnel and Project Management. The project proposal should include a list and responsibilities of all persons/groups involved and methods to provide good communication and coordination of efforts with the Department and any other interested parties in the project. For market research and new technology projects, coordination is encouraged with research and development committees of specific commodity groups.

I. Budget. An itemized budget for the project is required, identifying sources of current and pending support, including in-kind and matching funds and which itemized items will be paid for from the grant.

J. Supporting Documentation. Required documents and any additional information necessary or useful to the description of the project. The applicant should present any information that would emphasize the value of the project in terms of the significance of the problems addressed. Information presented in this section should be clearly referenced in the project description, where appropriate.

2. Application for a Competitive Development Grant shall follow prescribed Division of Purchases procedures for Requests for Proposals.

3. Projects submitted after established deadline dates will be processed at the discretion of the department only if uncommitted funds exist.

F. EVALUATION CRITERIA FOR SELECTING A PROPOSAL

1. The Agricultural Development Advisory Committee will use the following selection criteria to judge the merits of the project applications. The point system outlined is a guide to the importance of each section to be evaluated in the application.

a. Priority Area 10 points

If a geographic or research priority area has been designated by the Commissioner and the project relates directly, the project will score higher.

b. Identification of Need, Opportunity, Justification 35 points

Projects must have potential importance and perceived benefits, including economic, for the Maine agricultural community and/or for specific Maine agricultural products. Projects will score higher if they meet statewide industry needs or have statewide perceived benefits. For promotion projects the ability for the entire industry to benefit from the promotion will score higher.

c. Project Goals and Objectives, and Deliverables 20 points

Goals and objectives of the project should address a specific market research, market development or new technology need.

d. Deliverables 15 points

The deliverables of the project should be clearly stated. A plan to distribute information developed from the activity to other growers or processors must be specified.

e. Degree of Risk 5 points

The risk factors to the success of the project must be adequately identified and addressed.

f. Project Methodology and Schedule 5 points

The methodology must be clear and project timetable realistic.

g. Project Management 5 points

Projects must be based on the degree to which the qualifications and ability of the persons involved match the needs of the project.

h. Budget 5 points

Projects must be able to show clear and realistic descriptions of how the funds will be allocated.

G. PROJECT MANAGEMENT AND REPORTING REQUIREMENTS

1. The grantee will be responsible for implementation of the project and preparation of progress and final reports on project results according to reporting requirements and timetables set by the Commissioner.

2. Any changes in the project work, methodology or timetables may occur only with the prior approval of the Commissioner.

3. A project report will also be required 12 months after the end of the grant detailing the economic impact the grant had on the business, industry, or other entity involved in the project. The report will also need to address the difference between the planned and actual outcome of the project, if there was a difference.

H. ADVISORY COMMITTEE

1. The Commissioner shall annually appoint a five member Agricultural Development Advisory Committee, which shall include the Bureau Director, or designee: a representative of the University of Maine Agricultural Center, a representative of the Agricultural Council of Maine, a person representing the food processing industry and a person representing agricultural producers.

2. The Agricultural Development Advisory Committee shall periodically evaluate grant applications according to the criteria in section F and recommend acceptance or rejection of grant applications to the Commissioner. In addition, the committee shall periodically review and evaluate the progress and final reports of each project and assist in preparing a report describing the results of each project funded, including any special projects.

I. CONFIDENTIALITY

1. To the extent provided by statute, information relative to market research or development activities provided to the Commissioner prior to formal application, included in grant applications or provided to the Commissioner to fulfill reporting requirements, is confidential information and may not be publicly disclosed by the Commissioner as long as;

a. The person to whom the information belongs or pertains has requested that certain information be designated as confidential; and

b. The Commissioner has determined that the information gives the person making the request the opportunity to obtain business or competitive advantage over another person who does not have access to the information or will result in loss of business or other significant detriment to the person making the request if access is provided to others.

c. In the case that the Commissioner determines that certain information qualifies as confidential, the Advisory Committee will maintain confidentiality of the information.

SPECIAL PROJECTS

A. PROJECT OBJECTIVES

The objectives of special projects are to implement short-term applied research to effectively resolve unexpected technical problems and/or to test new marketing or production technologies that may immediately affect the production, storage, processing and/or distribution of State agricultural products. Special projects may be submitted by qualified individuals, firms or organizations for market research, for testing new technologies and for research on technical problems related to the production, marketing, storage and processing of agricultural commodities.

B. PROJECT FUNDING ·

1. Commodity groups, associations or individuals may specify that funds contributed for special projects may be used to initiate projects affecting specific commodities.

C. APPLICATION REQUESTS

1. Applications for assistance as special projects must include:

a. A description and justification of the problem needing funding.

b. A proposed solution to the problem.

c. Estimated project costs.

2. Project costs may include the following as appropriate: salaries, wages, supplies, travel, equipment and services.

3. If the project is submitted by the University of Maine or other higher institution of learning, employee benefits, overhead and indirect costs shall not be included as part of the grant funds awarded.

History

• STATUTORY AUTHORITY: 7 M.R.S.A., Chapter 10 §§ 306-A - 309
• EFFECTIVE DATE: September 29, 1999
• CONVERTED TO MS WORD: May 13, 2008
• CONVERTED TO MS WORD: CORRECTIONS
• CONVERTED TO MS WORD: February, 2014 – agency names, formatting
• AMENDED: October 4, 2014 – filing 2014-213 (Final adoption, major substantive)
• ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 34 Rules for Operation of Dairy Improvement Fund

Code Me. R. 01-001 Ch. 34 Rules for Operation of Dairy Improvement Fund {#sec-01-001-ch.-34 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 34}

Summary:

This chapter establishes rules governing the expenditure of funds available in accordance with Title 7 M.R.S., section 2910-B, Title 10 M.R.S., section 1023-P and Title 8 M.R.S., section 1036, subsection 2-A, paragraph M.

Section I. Objectives

The Dairy Improvement Fund (DIF) is a revolving loan program intended to assist dairy farmers in making capital improvements to maintain and enhance the viability of their farms and to pay the administrative costs of handling loan applications and servicing and administering the fund and loans made from the fund.

A. DIF will operate in accordance with the following principal objectives:

1. Provide financial support for sound business propositions;

2. Offer funds at reasonable rates and terms;

3. Encourage private sector participation;

Section II. Definitions

A. Dairy enterprise: The term "dairy enterprise" shall mean a person, persons or business, located in Maine, and engaged in the commercial production of cow milk or cow milk products.

B. Borrower: The term "borrower" shall mean the applicant and any related or affiliated individual or entity which shares assets, such as land, machinery and equipment or other property, with the applicant in connection with the applicant's dairy enterprise.

C. New and Innovative: The term "new and innovative," shall mean a method, process, machine or structure not previously developed, or if previously developed, not commonly utilized for the support of dairy agricultural production in Maine.

D. Private Funds: The term "private funds" shall mean equity in the form of cash and/or property of the applicant, including cash from loans subordinated to the DIF loan secured by assets not related to the project, or the value of services to be contributed to the project by the applicant, as determined and to be approved in advance by the Department.

E. Processing: The term "processing" shall mean changing the form of a dairy product through the application of labor or materials or both.

F. Project: The term "project" shall mean the use to which the loan proceeds are to be put, as approved by the Commissioner.

Section III. Loan Program

A. Description and Purpose

The Loan Program is designed to help finance eligible projects, to be undertaken by applicants engaged in a dairy enterprise.

B. Eligible Uses of Loan Proceeds

1. Funds may be used for the design, construction or improvement of milking parlors, cow barns and structures, silos, grain bins, feed sheds, or for the construction or renovation of buildings, or equipment, located in the State of Maine and used in connection with a dairy enterprise.

This includes, but is not limited to:

a. the purchase of new dairy production or processing equipment, or

b. the expansion of an existing dairy enterprise; purchase and remodeling of existing buildings; building construction, additions or renovations; leasehold improvements; purchase and installation of machinery and equipment (both traditional, and new and innovative).

2. Funds may be used for implementation of design, construction or improvement of approved equipment and building purchases.

C. Ineligible Uses of Loan Proceeds

Proceeds may not be used for working capital unrelated to project implementation, or to finance or refinance projects commenced, costs incurred, or expenses paid prior to the date of the submission of a completed application (and such costs and expenses shall not be considered eligible project costs for determining the matching financing or private funds requirements). However, such requirement may be waived for good cause, as determined by the Commissioner in his or her discretion, upon written request for a waiver made at the time of the submission of a letter requesting eligibility determination. Any waiver, to be effective, must be in writing. If a waiver is granted, the Commissioner, in his or her discretion, shall determine which costs incurred or expenses paid prior to the written request for the waiver may be reimbursable to the owner from loan proceeds for costs incurred or expenses paid prior to the written request for the waiver and if any such costs and expenses may be considered eligible project costs for determining the matching financing or private funds requirements.

D. Special Provisions Applicable to Loans for Construction, Renovation, Additions and Remodeling

1. Costs of construction may be an eligible use of loan proceeds, as set forth above, and proceeds of DIF loans may be used to close out financing related to the construction of projects. However, for DIF loans involving construction, the Borrower must comply with the then current construction lending procedures developed by the Department, which may include requirements for preconstruction budgets, interim invoices and lien waivers, project inspections, limits on numbers or amounts of disbursements, and other relevant terms and conditions.

2. The project shall be considered complete when the Commissioner receives official acknowledgement of project completion from applicant or other construction lending sources, stating that the construction completion is verified.

E. Loan Rates, Terms, Amounts, and Fees

1. The interest rate charged shall be a fixed rate of 1%.

2. The loan term shall not exceed 30 years and shall reflect the useful life of the assets being financed.

3. DIF loan proceeds may be used to fund not more than 75% of total project costs, where the total project cost exceeds $100,000, and may be used to fund no more than 90% of total project costs where the total project cost is $100,000 or less.

4. No DIF loan may be approved unless the applicant has demonstrated a commitment of private funds of at least 10% of the total eligible project costs, except that, in the case of cooperative projects by two or more dairy enterprises, such demonstrated commitment of private funds shall total at least 10% of the total project cost.

5. The maximum principal amount of any one DIF loan to any applicant may not exceed $250,000.

6. One percent of the DIF loan amount shall be paid to the Department at closing as an administrative fee on any loan exceeding $100,000.

7. The applicant is responsible for all legal expenses and any other out-of-pocket expenses of the Department related to the Borrower's project, and the DIF loan.

8. Payments for the DIF loan shall begin no later than 24 months following the loan closing of the project. Payments received in advance of this will not be penalized. Interest begins accruing at date of closing, but is not due until such time as repayment begins.

F. Eligible Applicants

1. Any individual or organization engaged in a dairy enterprise.

2. For applications requesting more than $100,000, an eligibility committee appointed by the Commissioner will recommend determination of eligibility to the Department. Members of the Eligibility Committee will serve until replaced. The eligibility committee will consist of representation from the following industry sectors:

a. Representative from the Bureau of Agriculture, Food and Rural Resources

b. Representative from University of Maine/University of Maine Cooperative Extension

c. Representative of the US Department of Agriculture

d. Representative of a lending institution that finances agricultural loans

e. Representative of a general farm organization

G. Required Contents (Loan Applications)

1. For loans for tractor or field equipment purchases only, regardless of size, loan applications shall contain the following:

a. identification of the proposed amount of the loan, repayment term and description of the collateral;

b. if applicable, copies of letters of commitment to the applicant from other sources of financing;

c. information detailing the nature of the applicant's business, and the exact uses of all funds used for the project;

d. historical business financial statements for the previous year, for the applicant and any and all guarantors, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;

e. pro forma profit and loss statement for the first year after loan closing;

f. production history for the previous year and a business or marketing plan for at least the year in which application is made;

2. For loans (other than for tractors or field equipment purchases) under $50,000, loan applications shall contain the following:

a. identification of the proposed amount of the loan, repayment term and description of the collateral;

b. if applicable, copies of letters of commitment to the applicant from other sources of financing;

c. information detailing the nature of the applicant's business, and the exact uses of all funds used for the project;

d. historical business financial statements for the previous year, for the applicant and any and all guarantors, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;

e. pro forma profit and loss statement for the first year after loan closing;

f. production history for the previous year and a business or marketing plan for at least the year in which application is made;

3. For loans (other than for tractors or field equipment purchases) over $50,000, loan applications shall contain the following:

a. identification of the proposed amount of the loan, repayment term and description of the collateral;

b. if applicable, copies of letters of commitment to the applicant from other sources of financing;

c. information detailing the nature of the applicant's business, and the exact uses of all funds used for the project;

d. historical business financial statements for the previous three years, for the applicant and any and all guarantors, including balance sheets and profit and loss statements. Income tax returns may be substituted for profit and loss statements. The balance sheet must list current balances, rates, payments, maturities and security of all business debts;

e. pro forma profit and loss statement for the first year after loan closing;

f. production history for the previous three years and a business or marketing plan for at least the year in which application is made;

g. preliminary plans and specifications, and estimates of project costs from contractors and suppliers.

4. Supplemental Information or Materials

The Commissioner may require appraisals of collateral, credit reports, copies of leases or purchase agreements, or any other information or certifications, including reports from experts, from the borrower, other lenders or other parties deemed to be necessary for thorough review of the application.

H. Criteria and Considerations (Loan Applications)

1. No application will be approved unless the Commissioner determines that the application is complete and that information sufficient to make an informed decision on the application has been received.

2. No application will be approved unless the Commissioner determines that there is a reasonable prospect that the applicant will repay the loan according to its terms.

3. In reviewing loan applications, the Commissioner will consider the following:

a. the economic feasibility of the business as evidenced by the applicant's present and past financial position and the reasonableness of the proposal and financial projections for the future;

b. whether the applicant and guarantors have satisfactory credit histories and adequate and relevant management experience;

c. whether the applicant has sufficient capital and other resources to conduct business as planned;

d. the adequacy of the security offered for the loan;

e. the extent to which the risk of financial loss is shared by others;

f. the technical feasibility of the project.

I. Loan Assumptions

1. Eligibility

DIF loans may be assumed provided the assuming party demonstrates:

a. that it is an eligible dairy enterprise under the DIF program, including but not limited to meeting all applicable credit and other requirements of this rule, and the business, facility or property being acquired in connection with the assumption will continue to be operated or used for the purpose for which the loan was initially granted, or for other eligible purposes approved, in advance, by the Commissioner; and

b. without the assumption, the assumption applicant would not be able to acquire the business, facility or property; and,

c. the total purchase price for the business, facility, or property does not exceed the fair market value of such business, facility, or property.

2. Procedure

Assumptions will be treated in the same manner as applications for DIF loans. An assumption applicant must file an application with the Department, with information required, and such additional information as may be required to demonstrate the applicant meets the additional requirements.

J. Commitment or Rejection (Loan Applications)

1. Upon approval of an application, the Commissioner will execute a letter of commitment setting forth the terms and conditions upon which the loan will be made.

2. No commitment shall become effective until the applicant has accepted the terms and conditions of the commitment letter.

3. In the event the application is rejected, the Commissioner will notify the applicant promptly of the reasons for the rejection.

K. Collateral

Repayment of a loan shall be secured by the following:

1. a mortgage or security interest in real estate, building and/or personal property of the business, subject only to such other encumbrances, including priority, junior or coordinate liens, as the Commissioner may approve;

2. such other collateral as the Commissioner may require, including without limitation, assignments or pledges of leases, contracts, stock certificates and other instruments, personal or corporate guarantees, insurance, letters of credit and surety bonds;

3. loans may, at the discretion of the Commissioner, be secured by collateral valued at less than the amount of the loan, provided that the applicant, its principals and any guarantors, are of good character and have good credit histories;

4. real estate or stationary machinery or equipment constituting a significant portion of collateral for repayment of a loan shall be located within the State. Mobile machinery or equipment, constituting a significant portion of collateral for repayment of a loan, shall be registered with, and taxed by, the State or municipal authorities. Other types of collateral constituting a significant portion of collateral for repayment of a loan shall be owned by, or provided for, the benefit of a person or business association with a place of business in the State.

L. Loan Covenants

The covenants and requirements of loans shall be established by the Commissioner in accordance with prudent lending practices. At minimum, the documents should ordinarily require the applicant to:

1. make periodic payments of principal and interest beginning 24 months after loan guarantee;

2. make any lease payments;

3. maintain adequate insurance on collateral, and maintain books and records on the business;

4. maintain and repair the collateral;

5. pay any taxes or governmental charges assessed against the collateral and comply with all applicable governmental laws and regulations;

6. keep the collateral free of liens and encumbrances except as may be expressly accepted by the Commissioner;

7. provide periodic financial reports;

8. repay advances necessary to protect the collateral and all expenses of protecting or enforcing the rights of the Department.

The Commissioner may require such additional covenants and requirements as may be necessary, prudent or desirable, including, but not limited to, crop or other applicable insurance, and reasonable environmental covenants. The applicant will be required to sign a loan agreement containing such covenants and adhere to the terms thereof.

M. Loan Documentation

The applicant will be required to sign such documentation as the Commissioner deems necessary to ensure that the applicant and any guarantors have binding, enforceable obligations to repay the loan and that the Department has such valid and enforceable mortgages, security interests and assignments as necessary to protect the interest of the Department.

N. Default

The Loan documentation will outline events and/or conditions, which create a default situation. Upon default, the Department may request that the Attorney General of the State of Maine or such attorneys approved by the Attorney General of the State of Maine take such action as may be prudent, including repossessing and liquidating or foreclosing on collateral.

Section V. Administration

A. Commissioner of the Department of Agriculture, Conservation and Forestry. The Commissioner shall:

1. provide overall supervision and policy oversight to the program;

2. make final decisions on participation by the DIF in loans;

3. assign employees of the Department of Agriculture, Conservation and Forestry and/or contract for services to advise and assist potential applicants in applying for funds and to work with other lenders in packaging loan proposals;

4. assign employees of the Department of Agriculture, Conservation and Forestry and/or contract for services to perform application review/loan analysis and recommend loan approval or rejection;

5. enter into agreements with the Finance Authority of Maine or other qualified individuals or organizations for services to include, but not limited to, financial record keeping, to facilitate collection of funds owed to the DIF, and to develop appropriate loan forms, to process loan applications, to underwrite loans, to close and service loans.

B. Credit Committee

1. Purpose

A Credit Committee shall be established for the special task of providing financial analysis of proposals seeking over $50,000 for funding through the Loan Program. The Credit Committee shall review all financial aspects of such proposal, as well as other information about each such project, and evaluate each project from a credit perspective. The Credit Committee will report its findings and recommendations on individual proposals directly to the Commissioner.

2. Membership

The Credit Committee shall consist of seven (7) members each of whom has commercial or agricultural lending experience, appointed by the Commissioner. The Credit Committee shall have membership, which is diverse, both geographically and agriculturally.

History

• STATUTORY AUTHORITY: 7 M.R.S. §2910-B; 10 M.R.S. §1023-P; 8 M.R.S. §1036 sub-§2-A ¶M
• EFFECTIVE DATE: July 16, 2017 – filing 2017-108
• EFFECTIVE DATE: APAO Accessibility Check (Word):
• EFFECTIVE DATE: April 17, 2026

Chapter 35 Rules for Operation of the Maine Healthy Soils Fund

Code Me. R. 01-001 Ch. 35 Rules for Operation of the Maine Healthy Soils Fund {#sec-01-001-ch.-35 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 35}

SUMMARY

This chapter establishes rules governing the expenditure of funds available from the Maine Healthy Soils Fund for the purposes of improving soil health on Maine farms, including incentives for practice adoption, reduction of on-farm barriers to improved soil health, and improving the soil health technical assistance capacity of Maine’s agriculture service provider networks.

SECTION 1. DEFINITIONS

As used in this chapter, unless the context otherwise indicates, the following terms have the following meanings.

Agricultural products – Plants and animals useful to humans, including but not limited to, forages and sod crops, grains and food crops, dairy products, poultry and poultry products, bees, livestock and livestock products, fiber, fruits, berries, vegetables, flowers, seeds, grasses, Christmas trees, annual and perennial ornamental plants, ornamental trees, and other similar products.

Agricultural service providers – organizations, including but not limited to colleges and universities, agricultural non-profit organizations, crop advisors, and soil and water conservation districts, that provide technical and/or financial assistance to farm operations to address barriers, constraints, and other such issues commonly faced.

Commissioner – the Commissioner of the Department of Agriculture, Conservation and Forestry

Department – the Department of Agriculture, Conservation and Forestry

Farmland – any tract or tracts of land used to produce agricultural products for a farm operation that consists of at least one (1) acre and has produced agricultural products with a gross annual value of at least $2,000 in one (1) of the last three (3) years.

Farm operation – an entity that uses farmland to produce agricultural products with the intent that they be sold commercially to generate income or otherwise creates access to farmland for historically underserved farmers.

Funding cycle – the dates during which a funding initiative is active and accepting applications.

Healthy soils best practices – agricultural and land management practices that:

1. Enhance the continuing capacity of soils to function as a vital, living biological system, increase soil organic matter, improve soil structure, strengthen water holding and nutrient holding capacity, improve nutrient cycling and result in net long-term greenhouse gas drawdown;
2. Continuously improve the capacity of soils to host a diversity of beneficial organisms, grow vigorous crops, enhance agricultural resilience, including, but not limited to, the ability of crops and livestock to tolerate and recover from drought, temperature extremes, pests and other stressors, and help regulate the global climate by converting organic residue into stable soil organic matter and retaining nutrients, including, but not limited to, nitrogen and phosphorus;
3. Continuously improve the health of soils by considering all relevant factors, including, but not limited to, depth of topsoil horizons, water infiltration rate, water holding capacity, organic carbon content, biologically accessible nutrient content, bulk density, biological activity and biological and microbiological diversity; and
4. Follow the principles of minimizing soil disturbance and external inputs: keeping soil covered, maximizing biodiversity, maximizing the presence of living roots and integrating animals into land management, including grazing animals, birds, beneficial insects and keystone species, such as earthworms.

Historically underserved farmers –

1. Beginning farmer or rancher means a person with at least two (2) years of farming experience, including but not limited to crop planning, field preparation and crop management, farm business management, livestock/pasture management, and pest management that has operated a farm or ranch for not more than 10 years.
2. Socially disadvantaged farmer or rancher means a farmer or rancher who is a member of a socially disadvantaged group, which means a group whose members have been subjected to racial or ethnic prejudice because of their identity as members of a group without regard to their individual qualities.
3. Veteran farmer or rancher means a farmer or rancher who has served in the Armed Forces, including the United States Army, Navy, Marine Corps, Air Force, Space Force, and Coast Guard, including the reserve components thereof, and who has operated a farm or ranch for not more than 10 years; OR is a veteran who has first obtained status as a veteran during the most recent 10-year period.

The Program – the Maine Healthy Soils Program, as established by P.L. 2021, ch. 143, § 1.

Review Panel – a panel that shall review Section 3 grant proposals and make recommendations for funding to the Commissioner. Reviews shall encompass the technical aspects of the proposed project and whether the applicant meets eligibility criteria. The review panel shall consist of three (3) people appointed by the Commissioner with knowledge of soil health and sustainable agriculture that do not have a conflict of interest with the applicant(s). At least one panel member must be Department staff.

Soil amendments – amendments including but not limited to biochar and compost that are developed from plant and animal residues. Amendments may also include agricultural lime. Soil amendments in this chapter must be used with the intent of improving the physical, biological, and chemical properties of the soil, including but not limited to increasing soil organic matter, soil carbon sequestration, soil aggregate stability, and/or soil organism habitats.

Soil health management plan – a plan that integrates soil health testing results, farmer goals, and farm background/capacity to address, monitor, and improve soil health constraints. The soil health management plan should identify department-determined healthy soils best practices that may be used on the farm, include a tentative implementation schedule, and describe potential barriers plan implementation may face. Alternatives soil health management plans include plans developed collaboratively between a farmer and a technical service provider (e.g. the Natural Resource Conservation Service) external to the Maine Healthy Soils Program, provided that the plan is less than three (3) years old and submitted to the Department for review and approval.

Soil health test – a test that measures the physical, biological, and chemical properties of a soil sample to identify soil health constraints. Measurements included in the soil health test must adhere to the latest research standards and may change as new data are published.

SECTION 2. OBJECTIVES

The Maine Healthy Soils Fund (“MHSF” or the “fund”) is a non-lapsing fund established by the 130th Maine State Legislature at 12 M.R.S. § 353. The fund is dedicated to supporting projects and agricultural practices that will advance soil health on Maine farms and the many benefits associated with improved agricultural soil health. To meet the diverse objectives of this fund, separate grant and payment-for-practice programs are established. The fund will operate according to the following objectives:

1. Improve the health, yield, and profitability of Maine’s agricultural soils and commodities.
2. Improve the biological diversity and greenhouse gas drawdown capability of Maine’s agricultural soils.
3. Promote healthy soils best practices through outreach, education, incentives, farmer-to-farmer learning, and peer-to-peer learning based on indigenous knowledge, current understanding, and emerging research.
4. Expand use of healthy soils best practices among Maine farmers.

SECTION 3. GRANT PROGRAMS

The following provisions apply to all grant programs contained in Section 3.

All farm operations, organizations, and farmland supported by the MHSF must be located in Maine.

The Commissioner will annually determine and communicate if funds are available for grant programs. Grant solicitations will be issued, and applications will be accepted for a time determined by the Commissioner, then reviewed and scored by the Maine Healthy Soils Fund Review Panel. Applications must be submitted in accordance with the terms directed by the grant solicitation. By applying for the grant, the applicant agrees to the conditions imposed by the grant award application solicitation. The Review Panel will make award recommendations to the Commissioner.

Alongside the application requirements described for each grant program in this section, the Commissioner may use their discretion to request additional documentation deemed necessary and appropriate. Additional application requirements will be outlined in respective funding announcements and must improve the ability of the review panel to score the application according to criteria for selection.

The Commissioner will notify applicants of a decision to fund in writing. The Commissioner is not obligated to make an award in the amount requested, provided that in such instances where the amount awarded is different than what was sought by the applicant, the Commissioner will provide a written explanation for the record.

Unsuccessful applicants may appeal the decision to the Department. Appeals shall be governed by Department rules chapter 01-001 CMR c. 8.

Soil Health Implementation Grant

Purpose and Limitations

The Commissioner may make grants available to farm operations for the purpose of addressing barriers to soil health best practice adoption, including but not limited to the purchase of soil amendments, equipment, equipment updates/retrofits, labor and training related to achieving soil health goals, cover crop seed, costs associated with increasing crop rotation, fencing, soil monitoring equipment, rental fees, soil testing, and other soil health uses or projects deemed appropriate by the Commissioner. Grants under this section are limited to a maximum of $100,000 per project per applicant. The Commissioner may increase or decrease the grant maximum based on available funding in each funding cycle. Grants awards are limited to one (1) per farm operation per three (3) funding cycles.

Criteria for Eligibility

An applicant is eligible to receive a grant under Section 3.2 upon clear demonstration of the following:

Applicant is 1) a farm operation through which agricultural products with a gross annual value of at least $2,000 are sold commercially or are intended to be sold commercially; 2) a farm operation through which agricultural products with a gross annual value of at least $2,000 are produced to support community access to agricultural products.

Applicant is enrolled in the Maine Healthy Soils Program (MHSP). Enrollment in MHSP can occur concurrently with grant application submission.

Applicant has a current soil health management plan, including a soil health test that is three (3) or fewer years old, or the applicant commits to working with MHSP staff to complete soil health testing and management planning as part of grant recipient responsibilities.

Application Requirements

The applicant shall submit a written application to the Commissioner on form(s) provided by the Department, that include:

A description of the farm operation and soil health goals, constraints, barriers, and current healthy soils best practices used on-farm;

Results from a current (< 3 years old) soil health test and a soil health management plan, or an attestation to work with MHSP staff to complete testing and management planning as part of grant recipient responsibilities;

A map of the farm fields anticipated to be affected by the grant with a description of how each field will be affected by the project; and

An implementation plan describing how grant funds will be used and results reported back to the Department.

Criteria for Selection

Applications will be reviewed by the Maine Healthy Soils Fund Review Panel and evaluated according to the following criteria:

Implementation plan: The proposed implementation plan demonstrates and/or addresses means, capacity, and/or innovation to improve soil health on the farm.

Identification of soil health constraints: Specific soil health constraints are identified, and an implementation plan describes how soil health best practices will be maintained long-term.

Budget: Budget items will advance project goals, address all requirements described in the funding announcement, and do not exceed the maximum allowable request.

Soil Health Technical Assistance Capacity Grants

• 1. Purpose and Limitations

The Commissioner may make grants available to agricultural service providers for the purpose of improving Maine’s capacity to provide technical assistance to Maine farmers about soil health. Funds may be used for salaries and wages; training and demonstration programs; research projects; and other activities that satisfy the requirements set forth in a request for applications (RFA). The Commissioner may use their discretion to determine the amount of funding available and the period of time for which funding will be provided. Awardees may request a one-time priority extension to continue a previously funded project so long as the application demonstrates a continued need.

• 1. Criteria for Eligibility

Agricultural service providers are eligible to receive a grant under Section 3.3.

• 1. Application Requirements

The applicant shall submit a written application to the Commissioner on form(s) provided by the Department that includes:

A description of the project, including but not limited to goals/objectives, description of activities, budget, priority areas addressed, role of applicant(s), project and data management plans, and anticipated outcomes.

An explanation of how project activities will improve Maine’s capacity to deliver soil health related technical assistance to farmers.

A description of the technical and/or financial services provided to farms by the applicant in pursuit of improved farm operations as described under Section 3.3.

• 1. Criteria for Selection

Applications will be reviewed by the Maine Healthy Soils Fund Review Panel and evaluated according to the following criteria:

Eligibility: Does applicant meet the definition of agricultural service provider under Section 1.2? This criteria is pass/fail.

Priority extension: Previous awardees may request a project extension and receive bonus points to continue a previously funded project so long as a continued need for the project is demonstrated in the application. Project extensions may only be granted once per project.

Impact: The project outcomes will improve Maine’s capacity to deliver soil health related technical assistance to farmers.

Priority areas: The proposed activities align with any priority areas established by the Commissioner.

Project management: Proposed activities are consistent with qualifications of the applicant and work plans are clear and appropriate. Any proposed methods are sound and a data management and accessibility plan is provided for research projects.

Budget: Budget items will advance project goals, address all requirements described in the funding announcement, and do not exceed the maximum allowable request.

Measurement/Metrics: Applicant clearly outlines how they will gauge the success of their efforts through data compilation, tracking, and reporting to the Department.

Soil Health Equipment Share Grants

Purpose and Limitations

The Commissioner may make grants available to agricultural service providers for the purpose of establishing equipment share programs throughout the state. Funds may be used for purchasing and managing farm equipment that can be lent to farms in support of the implementation and maintenance of soil health best practices. Eligible purchases may include but are not limited to tractors, implements, parts, repairs, retrofits, and transportation equipment. Equipment may be new or used. The Commissioner may use their discretion to determine the overall grant amount depending on the amount of funding available. Awardees must submit proof-of-purchase for all equipment and retain ownership of the equipment for a period consistent with the relevant recovery period for standard farming assets as described in Internal Revenue Service (IRS) Publication 225 (2023), Farmer’s Tax Guide, Table 7-1, Farm Property Recovery Periods, available at https://www.irs.gov/publications/p225. Awardees may not sell, trade, or abandon equipment purchased through this program without prior approval from the Department. Failure to comply with these terms may result in claw back.

Criteria for Eligibility

Agricultural service providers or other similar organizations as determined by the Commissioner are eligible to receive a grant under Section 3.4. Applicants may collaborate with farm operations to administer the equipment share. Applicants must demonstrate how the equipment will be made accessible to their broader farming community.

Application Requirements

The applicant shall submit a written application to the Commissioner on forms provided by the Department that include:

A description and justification of the equipment to be purchased, the geographic range of the equipment share, and how the equipment will support soil health;

An administration plan that describes how the equipment share will be managed, maintained, advertised, insured, stored, transported, and monitored;

Documentation showing what, if any, financial resources besides the grant are being used to fund the equipment purchase; and

Documentation showing how equipment share usage, including but not limited to the number of farms supported, the acreage and types of crops supported, and the geographic impact, will be reported to the Department on an annual basis.

Criteria for Selection

Applications will be reviewed by the Maine Healthy Soils Fund Review Panel and evaluated according to the following criteria:

Impact: The equipment to be purchased will reduce barriers faced by producers implementing soil health best practices. The applicant demonstrates the need for the equipment by the agricultural community within the geographic range. The Commissioner may use their discretion to define priority geographic areas. Proposed equipment share programs within priority areas are eligible for bonus points during review.

Administration plan: The proposed plan to administer the equipment share demonstrates that the applicant has the personnel and expertise to recruit users, maintain consistent engagement, and ensure equipment is rented out in a timely and equitable manner. The proposed plan to administer the equipment share must also demonstrate that the equipment-share program is likely to operate efficiently, such that requests for equipment rental are fulfilled within the farm management timelines required by farmers. Responsibilities, timelines, and other plan elements must be clearly defined.

Budget: The budget addresses all requirements described in the funding announcement, demonstrates that the applicant has considered all costs associated with establishing and maintaining the program, and does not exceed the maximum allowable request. Other financial resources used to purchase, insure, repair, transport, store, and monitor the equipment must be defined and documented.

SECTION 4. PAYMENT-FOR-PRACTICE PROGRAMS

• • 1. The following provisions apply to all Payment-for-Practice programs contained in Section 4.

All farm operations that produce agricultural products with a gross annual value of at least $2,000 that are sold commercially or intended to be sold commercially are eligible to participate in Payment-for-Practice programs. Established 501-C3 non-profit organizations and farm operations that support community access to agricultural products are also eligible to participate. This may include but is not limited to organizations that provide farmland access to historically underserved farmers; that farm on land held in trust for the purpose of conservation to provide local access to fresh agricultural products; and/or that offer research, training, and education opportunities to farmers.

All farm operations, organizations, and farmland supported by the MHSF must be located in Maine.

The Commissioner may use their discretion to determine how much funding is annually available for each program, to the extent any funding is available.

The Commissioner will notify applicants of a decision to fund in writing and may make awards for amounts lower than requested by the applicant. By applying for the funding, the applicant agrees to the conditions imposed by the funding award application solicitation. Applications determined to be ineligible will be informed of the reasons for the determination in writing. Ineligible applicants may reapply in future funding cycles. Incomplete applications may result in an applicant being determined ineligible for program participation. Unsuccessful applicants, applicants determined to be in violation of terms and conditions, and applicants who are awarded less money than requested may appeal the decision to the Department. Appeals shall be governed by Department rules chapter 01-001 CMR c. 8.

Awardees must adhere to all verification and reporting requirements set forth by the Department in the terms and conditions. The Department may use its discretion to revoke eligibility and/or withhold payment of any or all grant funds to a grant recipient if the grant recipient has not complied with the terms and conditions for Maine Healthy Soils Program financial assistance. Such determination must be issued in writing.

• • 1. Soil Health Testing Program

Purpose and Limitations

The Commissioner may make funds available to incentivize soil health testing for the purpose of improving on-farm decision support regarding soil health. Funds may cover the entire cost associated with testing, including but not limited to laboratory and shipping fees. Farmers may submit a request for soil health testing to the State Soil Scientist, who will coordinate soil sample collection, submission to a qualified lab, and direct payment of related fees. Farmers are eligible to receive this incentive one out of every three (3) funding cycles. Soil health testing must be conducted within the state fiscal year during which the request is made. The Department may contract with soil testing laboratories through a competitive bid process to secure soil health testing services.

Application Requirements

The applicant shall submit a written request to the State Soil Scientist on Department-approved forms. The applicant must include a map of the farm area to be covered by soil health testing.

Criteria for Selection

All applicants that submit a completed application, meet eligibility requirements, and have not received this incentive in the last three (3) years qualify for an award. Awards will be offered to qualified applicants in the order the application was received until funding is fully committed.

NRCS Top-Off Program

Purpose and Limitations

The Commissioner may make funds available to incentivize farmer participation in the United States Department of Agriculture’s (USDA) Natural Resource Conservation Service (NRCS) programs for the purpose of enhancing enrollment in those programs and reducing the total cost of program participation to the farmer. The Commissioner will annually communicate if funds are available for awards through this program. Funding announcements will be issued, and applications will be accepted for a time determined by the Commissioner. The Commissioner or their designee will review applications to ensure eligibility is met and applications are complete. This incentive is only available for NRCS Environmental Quality Incentives Program (EQIP) and Conservation Stewardship Program (CSP) projects that are related to soil health as determined by the Commissioner. Funds may be used to reimburse farmers for the difference between incurred costs and cost-share provided by NRCS, and requests may not exceed this difference.

Application Requirements

The applicant shall submit a written application to the Commissioner on forms provided by the Department and will include:

Documentation demonstrating total project costs, proof of project completion, amount of cost-share provided by NRCS, and when cost-share was paid. By applying, the applicant agrees to allow the State Soil Scientist to contact NRCS for additional information on the EQIP or CSP project as necessary to determine application completeness and thoroughness; and

An explanation of how this top-off payment for the EQIP or CSP project in question benefits soil health and their farm.

Criteria for Selection

All applicants that submit a completed application, meet eligibility requirements, and demonstrate that their project is soil-health related and that incurred costs are not unreasonable and/or excessive are qualified to receive an award.

Payment Structure

Available funds will be equitably distributed across all qualified applicants. Award amounts will be determined by first calculating the cost-share gap for each qualified applicant by taking the difference between incurred costs and cost-share paid by NRCS for each applicant. Next, the cost-share gap will be summed across all applicants to calculate a total cost-share gap. Then each qualified applicant’s cost-share gap will be divided by the total cost-share gap, and that calculation will be multiplied by the funding amount stated in the funding announcement to determine each applicant’s award amount. This procedure will apply except to the extent any award amount exceeds that applicant’s cost-share gap, in which case that applicant’s award amount will equal the applicant’s cost-share gap.

Advances

Applicants may apply for a cost-share advance, wherein top-off funds are awarded to the applicant prior to the start of the project. Advances are conditional on the applicant earning an EQIP or CSP award. Applicants must first apply and be approved for an advance and then provide proof that the project has been awarded before funds are released. Advance amounts are not to exceed the cost-share gap of the proposed project. Applicants receiving an advance must document expenses and/or proof of payment and submit documentation to the Department for review and final approval upon project completion. Failure to submit expense documentation or use of funds for non-project-related expenses may result in claw back. Any remaining funds not spent upon project completion must be repaid to the department.

Healthy Soils Best Practice Incentive Program

Purpose and Limitations

The Commissioner may make funds available to farmers to incentivize the adoption of healthy soils best practices for the purposes of improving the health, yield, profitability, biological diversity, and greenhouse gas drawdown of Maine’s agricultural soils. Funds may be used to incentivize specific soil health best practices as identified by the Commissioner or their designee in the funding announcement. The Commissioner will annually communicate if funds are available for awards through this program. Funding announcements will be issued, and applications will be accepted for a time determined by the Commissioner. The Commissioner or their designee will review applications to ensure eligibility is met and applications are complete. Awards are made for a 5-year period of time, and payment may be requested for up to 50 acres of farmland on which healthy soils best practices are applied. Applicants may request payment for additional farmland up to 180 acres, which will be awarded based on available funding. Payments are made annually upon satisfactory completion of annual reporting requirements. Annual reporting requirements are to include, but may not be limited to, verification of practice implementation and an implementation plan for the next growing season.

Application Requirements

The applicant shall submit a written application to the Commissioner on forms provided by the Department and will include:

A description of the acreage for which compensation is being requested; the soil health best practices being applied and the acreage on which each will be applied; previous crop history, crop rotation plans, and other similar information deemed necessary by the Commissioner.

Results from a current (< 3 years old) soil health test and a soil health management plan, or an attestation to work with MHSP staff to complete testing and management planning as part of grant recipient responsibilities.

A map of the farm fields proposed to be included in the project area and a description of the healthy soils best practices that will be applied to each field.

Criteria for selection

All applicants that submit a completed application, meet eligibility requirements, and propose to implement approved healthy soils best practices qualify for an award. Tier 1 and Tier 2 awards will be offered to applicants in the order the application was received. Tier 3 awards will first be awarded to first-time Tier 3 applicants in the order those applications are received. If funding is available after first-time Tier 3 applicants are awarded, then repeat Tier 3 applicants will be awarded in the order their application was received. Awardees may re-apply to the program following the conclusion of their previous funding award. Previous participation does not guarantee future awards.

Payment Structure

Funding awards are tiered in value based on the number of times a farm operation is awarded. First-time awardees are eligible for Tier 1 awards and must implement at least one (1) healthy soils best practice. Second-time awardees are eligible for Tier 2 awards, which offer additional incentive for implementing a minimum of two (2) healthy soils best practices. All other awardees are eligible for Tier 3 awards, which offer additional incentive for implementing a minimum of three (3) healthy soils best practices. Award values are calculated for a single growing season as follows:

Tier 1: a base payment of no less than $2,500 plus a per-acre rate. Tier 1 per-acre rates shall be offered at three levels with progressively higher rates paid for implementation of one (1), two (2), or three plus (3+) healthy soils best practices on the farmland.

Tier 2: a base payment of no less than $1,250 plus a per-acre rate. Tier 2 per-acre rates shall be offered at two levels, with progressively higher rates for implementation of two (2) or three plus (3+) healthy soils best practices applied on the farmland. If a farm operation implements only one approved practice, it is eligible for the base payment only.

Tier 3: a base payment of no less than $625 plus a per-acre rate. Tier 3 per-acre rates shall be offered at one level for implementation of at least three (3) healthy soils best practices on the farmland. If a farm operation implements one or two approved practices, it is eligible for the base payment only.

The Commissioner may use their discretion to determine per-acre rates up to a maximum of $200/acre. Rates will be described in each funding announcement and separate funding announcements will be made for each award tier. The farm operation must minimally maintain the number of healthy soils best practices initially cited in the application or otherwise provide reasoning for changes in their annual report. If a farm operation implements additional practices on the farmland during the period of time it is operating under a particular tier award, then that Farm Operation may request to receive a higher per-acre rate. Request for higher per-acre rate does not guarantee receipt of a higher per-acre rate.

SECTION 5. ADMINISTRATION

1. Commissioner of the Department of Agriculture, Conservation and Forestry

To the extent practicable and necessary, the Commissioner will:

• • • 1. Annually assess available funding and determine whether to issue Maine Healthy Soil Fund grants and/or payment-for-practice programs; 2. Periodically initiate review of all programs and program criteria to consider changes when it is deemed necessary and appropriate; 3. Delegate program responsibilities to Department staff; and 4. If necessary, contract administration of this program or portions of this program to a qualified organization through a competitive bid process as determined by the Department.

1. State Soil Scientist in the Department of Agriculture, Conservation and Forestry

As necessary, the State Soil Scientist will:

• • • 1. Provide overall supervision and policy oversight to the program; 2. Provide clear and timely guidance and instructions on grant program(s) parameters, application processes, and deadlines; 3. Coordinate review panel activities and applicant notifications; 4. Maintain records of qualified soil health best practices and soil health testing laboratories; 5. Conduct or delegate site visits and other verification activities; and 6. Collect and assess metrics and reports filed with the Department by grantees.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §§ 351-353; 7 M.R.S.A. § 12
• EFFECTIVE DATE: November 12, 2024 – filing 2024-252
• ACCESSIBILITY CHECK: July 8, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 36 Rules Governing the Maine Farms for the Future Program

Code Me. R. 01-001 Ch. 36 Rules Governing the Maine Farms for the Future Program {#sec-01-001-ch.-36 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 36}

Page

SUMMARY 2

1. DEFINITIONS 2

2. PROGRAM FUNDING 4

3. ADMINISTRATION

1. SELECTION OF AN ADMINISTRATING ORGANIZATION 4

2. ELIGIBILITY REQUIREMENTS OF THE ORGANIZATION

CONTRACTED TO ADMINISTER THE PROGRAM 4

3. PROGRAM ADMINISTRATION DUTIES 4

4. REVIEW PANEL 5

1. SELECTION OF REVIEW PANEL 5

2. RESPONSIBILITIES 5

5. SERVICE PROVIDERS 5

1. SELECTION OF SERVICE PROVIDERS 5

2. RESPONSIBILITIES OF SERVICE PROVIDERS 6

6. SOLICITATION OF FARMS FOR PARTICIPATION IN FARMS FOR THE FUTURE BUSINESS PLAN DEVELOPMENT PROGRAM 6

1. ELIGIBILITY REQUIREMENTS 6

2. CRITERIA FOR SELECTION 6

3. SOLICITATION AND NOTIFICATION OF AWARD 7

4. APPLICATION PROCEDURES 7

5. USES AND LIMITATIONS OF FUNDING 8

7. SOLICITATION OF FARMS FOR PARTICIPATION IN THE FARMS

FOR THE FUTURE INVESTMENT SUPPORT PROGRAM TO IMPLEMENT

A BUSINESS PLAN 8

1. ELIGIBILITY REQUIREMENTS 8

2. CRITERIA FOR SELECTION 8

3. USES AND LIMITATIONS OF FUNDING 9

4. SOLICITATION PROCEDURES 10

5. FARMLAND PROTECTION AGREEMENT 10

6. TERMINATION OF AGREEMENT 10

SUMMARY

The 119th Legislature authorized the initiation of the Maine Farms for the Future Program (7 M.R.S.A., Chapter 10-B). The Legislature identified the need for providing farms with assistance in developing business plans to help those farms change farm operations to make them more viable and profitable. These rules establish the procedures for administering the program, including: application procedures, criteria for granting awards within the guidelines specified in the legislation, an outline of the responsibilities of the applicants, the role of the committees overseeing program management, and other administrative procedures not specified in the legislation.

SECTION 1. DEFINITIONS

1. Agricultural Products - means fresh, or to be processed, food, fiber, or horticultural products grown on the farm, with the intent that the product be sold or otherwise disposed of to generate income. Agricultural products produced on the farm may include the growing and harvesting of some specialty forest products, such as firewood processing, but may not include the products of a business engaged primarily in the growing, harvesting or processing of trees for the purpose of producing pulp or other materials used in paper manufacturing or wood manufacturing. An agricultural product may also include aquacultural products, so long as they are raised on the farm.

2. Business Plan - means a document that identifies changes in farm management practices and investments in equipment and property that would increase the profitability and net worth of the farm (vitality). A typical plan identifies ways to increase on-farm income through such methods as improved management practices, direct marketing, and value-added initiatives; and describes current operations and future plans for the business, including but not limited to sections on mission/vision, legal organization, management team, product descriptions, market research, market promotion, customer profiles, financial statements, financial analysis of planned changes in the business and long-term goals for the business.

3. Capital – means cash or goods used to generate income by investing in a business, and/or the net worth of a business as in the amount by which its assets exceed its liabilities and/or the money, property, and other valuables which collectively represent the wealth of the business.

4. Department - means the Maine Department of Agriculture, Conservation and Forestry.

5. Development Pressure - means the potential of the farm operations to be curtailed or the Farm Business to be put out of business due to increasing development of non-compatible land uses near the farm. This includes, but is not limited to residential and industrial development, nuisance complaints, and loss of agricultural infrastructure in the vicinity of the farm or food business. These, and other non-compatible land uses, can create environmental, social, political, or operational constraints on the farm operation and result in, negative financial impacts to the Farm Business.

6. Farm Business – means that the agricultural products grown or produced on the farm are being sold commercially and the farm has documentation of gross and net farm income, expenses, net worth and farm debt.

7. Farmland Protection Agreement – means a written agreement between a farm selected to receive an investment support cash grant and the Maine Department of Agriculture, Conservation and Forestry, wherein the farm agrees to keep an area of farmland of no less than 5 acres in active agricultural use and to protect that land from non-agricultural development for a period of seven (7) years.

8. Financial Capacity - means the ability of the business to pay back its debt through the present or future cash flow of the business.

9. Land in Agricultural Use - means land that is currently being used to grow agricultural, horticultural and silvicultural products.

10. Net Worth – means the total assets of the farm enterprise minus total liabilities of the farm enterprise.

11. Non-State sources of funds - means any source of funds other than moneys provided directly or indirectly by the State of Maine government. A state source does not include commodity group dedicated revenues generated by commodity check-off programs, even if collected by the Department of Revenue Services.

12. Program Administrator - means the Suitable Organization contracted by the Department to administer the Maine Farms for the Future Program (the "Program").

13. Review Panel – means a group of individuals, appointed by the Commissioner of Agriculture, who shall evaluate and approve applications for participation in the business planning and investment support programs, as well as to do periodic reviews of program criteria.

14. Services Package - means a number of specific tasks to be accomplished by a team of Service Providers and the owner or operator of the selected farm to develop a Business Plan. Services may include, but are not limited to, analyzing markets, developing financial data, creating production or processing efficiencies and registration for instruction or classroom training in economics and business planning for the owner or operator of the farm. All tasks must result in planning potential changes of the farm’s production, management or marketing practices and investments in equipment and/or property that would increase the future profitability and net worth (vitality) of the farm.

15. Service Provider - means the following entities: including but not limited to, individuals, private organizations, public organizations and agencies of the State, marketing consultants, accounting firms, business support organizations, farm support organizations and other organizations that the Department determines may provide valuable services such as, but not limited to, analyzing markets or developing financial data and instruction or classroom training in economics and business planning for the owner or operator of a farm.

16. Suitable Organization - means an organization capable of performing all the duties outlined in 7 M.R.S.A. Chapter 10-B Section 320(1) (A) through (E) and (G). The organization contracted by the Department to administer the program becomes the "Program Administrator".

17. Vitality – means an increase in the long-term, maintainable, farm profitability and net worth.

SECTION 2. PROGRAM FUNDING

1. The Maine Farms for the Future Program is funded by appropriations from State general funds as provided by Maine Public Laws, 1999, Chapter 763, and any subsequent appropriations, and, whenever possible, any additional funding that may be available through an organization selected to administer the program.

2. At least 40% of the total annual state funding for this Program must be reserved to be used for grants awarded under Chapter 10-B Section 319 (1) through (5) for investment support.

3. Funds appropriated to the Program may not lapse but must be carried forward.

SECTION 3. ADMINISTRATION

1. Selection of an Administrating Organization

The Department may contract the administration of this Program to a Suitable Organization selected through a competitive process determined by the Department.

2. Eligibility Requirements of the Organization Contracted to Administer the Program

A. Any organization is eligible to apply for contractor status to administer the Program.

B. The organization must be able to perform all the duties outlined in Section 3.3 below.

3. Program Administrator Duties

It shall be the responsibility of the Program Administrator to:

A. Promote the program to farms in the State and solicit applications as specified in Section 6.3.

B. Organize and oversee the Review Panel.

C. Work with the Department to periodically review the criteria developed for the selection of applicants for participation in the business plan development and investment support programs, and make recommendations to the Department for changes as appropriate.

D. Compile a list of Service Providers.

E. Assemble and monitor a Services Package to assist selected farm applicants with developing a Business Plan and work with the Department to administer the disbursement of business planning grants to farm grantees.

F. Work with the Department to verify selected applicants’ required matching funds, finalize Farmland Protection Agreements, and administer the disbursement of the investment support grants to farm grantees.

G. Submit quarterly progress reports to the Department.

H. Survey, evaluate and report annually to the Department by December 30th of each year on the impact and effectiveness of the program.

SECTION 4. REVIEW PANEL

1. Selection of Review Panel

The Review Panel will be appointed by the Commissioner of Agriculture on staggered terms of three years, and will be comprised of 5 members, each with knowledge of Maine agriculture and its needs, and each with expertise to contribute, such as agricultural financing, management, production, marketing, or policy.

2. RESPONSIBILITIES

The role of the Review Panel is to evaluate and approve applications for selected farms to participate in the business plan development and investment support programs utilizing criteria developed by rule, by the Department. The Panel may work with the Commissioner and the Program Administrator to periodically review program criteria.

SECTION 5. SERVICE PROVIDERS

1. Selection of Service Providers

A. The Program Administrator shall develop, maintain and periodically update a list of Service Providers by widely circulating an application to qualifying entities and providing the list to the Department. The application must request information including qualifications of the entity in any professional, technical or subject area that may be of use in developing a farm Business Plan.

B. A selected farm grantee may work with any Service Provider on the list. If an individual who is not on the list is desired, the individual must apply to be approved as a Service Provider by the Department or the Program Administrator.

2. Responsibilities of Service Providers

The Service Provider, if a part of the Services Package for a farm business plan development grant, shall assist the selected farm grantee with developing a Business Plan as defined above.

SECTION 6. SOLICITATION OF FARMS FOR PARTICIPATION IN THE MAINE FARMS FOR THE FUTURE BUSINESS PLAN DEVELOPMENT PROGRAM

1. Eligibility Requirements

An applicant must own and operate a Farm Business that has been producing agricultural products commercially in the State of Maine for at least two (2) years at the time of application. The applicant must own their farmland or be a partner or shareholder in a legal entity that owns the farmland. If having recently purchased the farmland, the applicant must have at least two year’s experience operating a Farm Business elsewhere in Maine. The applicant must submit an application to the Department, in accordance with State rules for Requests for Proposals (M.R.S.A. §1825 (C) Administrative Rules 19, 554, Chapter 110,120) to be eligible for participation in the Program.

2. Criteria for Selection

Applicants to the Program must demonstrate the following and shall be scored accordingly:

A. Management Capacity: The management capacity of the applicant based upon the number of years farming and other related experience and training; the applicant’s decision making authority over the land and resources; and the applicant’s statements of purpose and readiness to apply to the Program. 20 points

B. Quality of the Ideas for Change: The ability of the applicant to identify and propose ideas that will make fundamental changes on the farm that will improve viability, profitability, and capacity to pay back debt through the present or future cash flow of the business, while also attempting to make farming the primary source of the applicant’s income. 25 points

C. Farm Financial Health and Ability to Transform: The ability of the applicant to describe the current financial condition of the Farm Business, including the current debt load relative to earnings, the assets and liabilities, and whether the debt load and access to new assets can be managed with the proposed ideas for change. 25 points

D. Physical Resource Base: The suitability and productivity of the farmland for its intended agricultural use, the physical condition of buildings and equipment, and other assets needed to maintain and increase productivity of the Farm Business. 20 points

E. Other Conditions: The degree of development pressure on the farm operation, the percentage of the operated farmland that is owned by the applicant, and the potential environmental and community economic development benefits derived from the proposed change. 10 points

The Commissioner may periodically review these selection criteria with the Review Panel and the Program Administrator to consider changes in policy when it is deemed necessary or appropriate.

3. Solicitations and Notification of Award

A. The Department may solicit proposals at any time, but shall solicit proposals at least once per year. The Program Administrator will develop application forms, which must be filled out by the applicant and submitted to the Department by the due date indicated in the Department’s publicly noticed Request for Proposals.

B. The Review Panel shall evaluate applications within five weeks following deadlines for submission of applications. All applicants shall be notified in writing within one week following the Review Panel's decision.

C. The Department will review and address all written appeals made by applicants who are not selected for the business plan development program. The unsuccessful applicant must submit a written letter of appeal to the Department within 30 days of the date of receipt of the Review Panel’s written notice.

4. Application Procedures

A. Anyone interested in applying to the program must submit, on a form approved by the Department, a completed application. The application will require the submission of the following information:

(1) A full description of the current agricultural activities carried out on the land including the type and quantity of crops, number of livestock, and/or acreage leased or used by others for agricultural purposes, description of other farm equipment and building resources.

(2) A statement by the applicant explaining their purpose for applying to the Program and describing how the Program could benefit the economic and environmental viability of the farm.

(3) A statement of the present financial situation of the farm including the gross and net farm income and expenses, copies of Schedule F for the two (2) most recent tax years, if available, and a statement identifying net worth and farm debt.

(4) Information on the management capability of the farm owner(s) including their education and experience.

(5) A statement as to the degree to which the farm is supporting the household.

(6) A statement by the applicant explaining the short and long term plans for keeping the property in agricultural use.

(7) Authorization for the Department or Program Administrator to conduct a field inspection of the land, buildings, and equipment to be covered by the Business Plan.

(8) A United States Department of Agriculture (USDA) Natural Resources and Conservation Service’s soil map or an aerial map of the farm showing its soil types and their classification by the USDA NRCS as Prime, Statewide Important or Locally Significant Farmland , if readily available from the local Soil and Water Conservation District or USDA Natural Resource Conservation Service Office.

5. Uses and Limitations of Funding

Any funds provided by the Department pursuant to business plan development shall not exceed $10,000. The Commissioner can lower this threshold as needed to increase the number of farms assisted by the business plan development program.

SECTION 7. SOLICITATION OF FARMS FOR PARTICIPATION IN THE MAINE FARMS FOR THE FUTURE INVESTMENT SUPPORT PROGRAM TO IMPLEMENT A BUSINESS PLAN

1. Eligibility Requirements

A. A farm that has completed a Business Plan as defined above is eligible to apply for investment support funding to implement the Business Plan. The applicant may apply to be considered for either or both of two types of investment support grants. They may apply to receive the Department’s recommendation to apply for a reduced-interest (2%) loan from the Agricultural Marketing Loan Fund under Title 7. Chapter 101, Subchapter 1-D, and/or they may apply for an investment support cash grant in exchange for a Farmland Protection Agreement. If an applicant has previously permanently protected the farm with a conservation easement, then he or she is not eligible to apply for the investment support cash grant, but may apply to be recommended to apply for a reduced-interest (2%) loan.

B. An applicant requesting an investment support cash grant in exchange for a Farmland Protection Agreement must own at least 5 acres of land in agricultural use at the time of application.

2. Criteria for Selection

To be selected for the investment support program, an applicant must participate in a competitive application review process by submitting an application form and a written Business Plan to the Department. The application and Business Plan must demonstrate the following:

The Business Plan satisfies the definition in Section 1 and requirements in Section 6 above. 5 points.

Management Capacity: The Business Plan provides evidence of applicant’s knowledge, experience and management capacity to successfully plan and implement the proposed changes to the Farm Business. 20 points.

Financial Capacity: The proposed changes to the Farm Business will improve the cash flow thereby improving the management of debt load needed to pay any new debt associated with the proposed change(s) to the Farm Business. 10 points.

Farm Vitality and Development of New Capital: The Business Plan demonstrates, through better strategies, marketing, production efficiencies and upgrading of facilities and equipment, an increase in profitability and overall net worth that will improve the overall sustainability of the Farm Business. 30 points.

Collateral or Asset Base: The Business Plan demonstrates that the farm operations will improve the productivity of the land (soil quality, fertility, water holding capacity), and the physical condition of the buildings and equipment, and sufficiently maintain any newly acquired assets to increase the overall sustainability of the Farm Business. 20 points.

F. Other Conditions

(1) The Business Plan identifies how the current or proposed farm operations will accomplish broader conservation objectives such as protecting water quality, improving wildlife habitat, or maintaining open space and local scenic and cultural amenities as long as such practices enhance or maintain the profitability of the farm. 5 points

(2) The percentage of the farmland owned by the applicant that is to be protected under the Farmland Protection Agreement. 5 points

(3) The degree to which the change in the business is new and different to the business. 5 points

3. Uses and Limitations of Funding

The Department may provide investment support by granting a selected applicant a portion of the funds needed to implement the Business Plan. The cash grant is for an amount not to exceed the lesser of $25,000 or 25% of the total investments identified by the Business Plan. Prior to the disbursement of cash grant funds the Department may require the grantee to provide documented evidence of a proportionate amount of match equaling 75% of the total investments identified by the Business Plan. The match must be directly related to the implementation of the Business Plan and must have a real market value. Match may include, but is not limited to, in-kind labor and farm resources such as timber, sand, gravel or other natural resource materials used to implement the Business Plan; personal cash resources; loans, including a reduced-interest (2%) loan from the Agricultural Marketing Loan Fund; other grants; and other resources relevant to the Business Plan.

The Department may provide a selected applicant with a recommendation to apply for a reduced-interest (2%) loan from the Agricultural Marketing Loan Fund established under Title10, Section 1023-J and administered under 7 M.R.S.A. Section 43. If the total cost to implement the Business Plan is less than $100,000 then the reduced-interest loan may be up to 90% of that cost. If the total cost to implement the Business Plan is more than $100,000 then the reduced-interest loan may be up to 75% of that cost. In either case, the total amount of the reduced-interest loan may not exceed $250,000. The reduced- interest loan may be used as match for the cash grant described above.

The Review Panel will recommend to the Department those applicants that it has selected for investment support through a cash grant and/or a recommendation to apply for a reduced-interest loan under Title 7. Section 435, Subsection 3-A.

Any funds provided by the Department pursuant to investment support to implement a Business Plan must be used to implement the Business Plan in its original form or in a subsequent amended version that has been approved by the Program Administrator and the Department prior to disbursement of funds.

Whenever practicable, the Review Panel, will award grants to applicants that represent a diversity of agricultural enterprise types and broad geographic distribution across the State.

If there is sufficient capital generated by the Farm Business or the applicant’s off-farm enterprises, services or employment to fund the implementation of the Business Plan, then the Review Panel may designate that particular Farm Business as a lower priority for investment support grant funds.

4. Solicitation Procedures

A. The Department may solicit proposals at any time during the fiscal year, but shall solicit proposals at least once per year.

B. The Review Panel shall evaluate applications within five weeks after the deadline for applications has passed.

C. The Review Panel shall send a written notification of a grant to a selected farm within one (1) week of its decision. Such notice shall include a draft of the Farmland Protection Agreement which must be finalized and signed by the selected farm before any grant funds are disbursed by the Department.

D. The Review Panel shall send a written notification of its recommendation for a reduced-interest (2%) loan to the Department and the selected farm.

E. If an applicant is not selected by the Review Panel, the Review Panel shall send the applicant and the Department a written notice of its decision. Such notice shall include documentation of the Review Panel’s final score for the applicant and a written statement of the Panel’s decision. Upon receipt of such notice, an unsuccessful applicant may appeal to the Department in writing within 30 days of receipt of the Review Panel’s notice. The Department will address all letters of appeal within 30 days of receipt.

5. Farmland Protection Agreement

A farm selected to receive a cash grant for investment support must enter into a 7-year Farmland Protection Agreement as defined in Section 1.

6. Termination of Agreement

A farm may terminate its Farmland Protection Agreement at any time, provided that it reimburses the Department for any investment support funds disbursed to the farm by the Department.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. Chapter 10-B
• EFFECTIVE DATE: April 16, 2001 - filing 2001-134
• AMENDED: January 13, 2003 - filing 2003-9
• AMENDED: December 8, 2003 - filing 2003-461
• AMENDED: November 23, 2008 – filing 2008-540
• AMENDED: October 3, 2009 – filing 2009-515
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 37 Rules Governing the Voluntary Municipal Farm Support Program

Code Me. R. 01-001 Ch. 37 Rules Governing the Voluntary Municipal Farm Support Program {#sec-01-001-ch.-37 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 37}

SUMMARY:

The 123rd Legislature authorized the initiation of the Voluntary Municipal Farm Support Program (7 M.R.S.A., Chapter 2-C) to create a mechanism for municipalities to voluntarily protect and support local farms, preserve farmland and reduce the potential tax burdens from new development by allowing them to enter into farm support arrangements with the owners of qualified farmland. These rules establish the procedures for governing the program, including: guidance for determining qualified farmland and the extent and amount of the farm support arrangement, the farm support application procedures and municipal easement monitoring responsibilities.

SECTION 1. DEFINITIONS

1. Agricultural Crops - means all types of forage plants consumed by animals including grazed land, hay, ensilage, corn for ensilage and other crops grown for forage; field grown crops and associated rotation crops, including potatoes, grain corn, small grains and broccoli; wild low-bush blueberries, field-grown and greenhouse-grown intensive vegetable and fruit row crops, including strawberries, raspberries and high-bush blueberries; planted and cultivated Christmas trees, shrubs, sod, flowers, edible and ornamental herbs, trees bearing edible fruits and nuts, fruit trees, and general ornamental nursery crops grown on the farm to be consumed by the farm household, bartered and/or sold to generate income.

2. Agricultural Enterprises – meansactivities conducted by persons or businesses engaged in Agricultural Management and any further processing, storing, packaging or marketing of products derived from plants, animals, or plant or animal by-products generated primarily on a farm. “Agricultural Enterprise” may also include commercial forest management, the processing and production of firewood and other forest products harvested on a farm, and the generation and storage of electrical energy and other energy sources primarily for consumption on the farm.

3. Agricultural Management – meansfarming activity which includes the establishment, re-establishment, maintenance and use of cultivated fields, hayfields, pastures, and orchards; the planting, growing, and harvesting of food, forage, seed and fiber, forest products and horticultural and ornamental products, harvesting and processing of maple sugar and other agricultural products; the pasturing, grazing and raising of poultry, animals and livestock of every nature and description for breeding, milking, and selling for fiber or slaughter; the repair, maintenance, operation and storage of farm equipment and machinery used primarily on the farm, including the operation of irrigation pumps; ground and aerial seeding; the composting of material produced by the farm or to be used primarily on the farm; the disposal of manure and other animal wastes generated primarily on the farm; the application of chemical fertilizers, soil amendments, conditioners or pesticides; and the construction and maintenance of water source, wastewater storage, water quality protection and nutrient management structures and improvements as necessary to support the farm.

4. Agricultural Soils - meansprime, unique, statewide or locally important farmland soils identified and classified by the USDA Natural Resource Conservation Service as “Prime, Unique, Statewide or Locally Important Farmland Soils” and described and depicted in the NRCS Conservation Plan.

5. Agritourism – means farm-related, recreational activities designed for the enjoyment or education of the public to promote agricultural products, services, or experiences on the farm. Such activities include, but are not limited to, conducting educational farm tours, offering hay and sleigh rides, planting crop mazes, offering the public the opportunity to pick and purchase agricultural, horticultural, Christmas trees or other forest products produced on a farm, cross-country skiing, and engaging in other traditional non-intensive outdoor recreational activities.

6. Blueberry Land – means land devoted to the production of wild low-bush blueberries.

7. Crop Land – means land used for the production of all Agricultural Crops defined in Section 1.1. above, which includes all crops grown in rotation with potatoes and other commodity crops, such as grain corn, small grains, lupines, broccoli, rapeseed, etc.

8. Department of Agriculture - means the Maine Department of Agriculture, Conservation and Forestry.

9. Development Pressure - means the potential of the farm operations to be curtailed due to increasing development of non-compatible land uses near the farm. This includes, but is not limited to, residential and industrial development, nuisance complaints, and loss of agricultural infrastructure in the vicinity of the farm or food business. These, and other non-compatible land uses, can create environmental, social, political, or operational constraints on the farm operation and result in negative financial impacts to the farm business.

10. Farm Income Report – means an accounting of the annual yield (in units) and fair market value (price or value per unit) of all of the Agricultural Crops produced on a farm.

11. Horticultural Land – Edible – means land used for the production of market garden vegetables and small fruit crops, including strawberries, raspberries and high-bush blueberries.

12. Horticultural Land – Ornamental – means land used for the production of planted and cultivated Christmas trees, flowers, sod, shrubs, trees and general nursery stock.

13. Orchard Land – means land devoted to the growth and cultivation of trees bearing edible fruits planted at a stocking density of 60 trees per acre or greater.

14. Pasture Land – means land that is primarily used for grazing livestock, and “pasture land” as it is defined in the Farmland Tax Law (Title 36, MRS sections 1101-1121) which includes land producing hay, ensilage crops, such as grass, corn and sorghum, and any other crops grown for livestock forage.

15. Qualified Agricultural Conservation Easement – means a 20-year Agricultural Conservation Easement that is adopted by a municipality’s legislative body to establish a Voluntary Municipal Farm Support Program for that municipality.

16. Qualified Farmland and Farm Buildings –means the Farmland and Farm Buildings that are authorized by a municipality to be eligible for a Farm Support Arrangement.

17. Tax Parcel - means all contiguous land in the same ownership, except, however, that lands located on opposite sides of a public or private road are considered each a separate tract or parcel of land unless the road was established by the owner of land on both sides of the road after September 22, 1971.

18. Wasteland – means land that is part of a Tax Parcel devoted to Agricultural Management that is not suitable for Agricultural Management, but would be acceptable under Maine’s Farm and Open Space Property Tax Program. In this context, wetland is classified as Wasteland.

19. Woodland – means land that is part of a Tax Parcel devoted forest products, including logs, lumber, and firewood, that is part of the to Agricultural Management of the farm and part of an Agricultural Enterprise.

20. Livestock – means animals and livestock of every nature and description for breeding, milking, and selling for fiber or slaughter that are bred, raised and housed on the farm, including, but not limited to, alpaca/llama; farmed bison, elk and deer; beef and dairy cattle; horses/donkeys/mules; sheep; goats; pigs; rabbits; emus/ostriches; poultry; ducks; and turkeys.

SECTION 2. PREPARING TO ESTABLISH A VOLUNTARY MUNICIPAL FARM SUPPORT PROGRAM

1. Before establishing a Voluntary Municipal Farm Support Program (VMFSP), the municipality must establish eligibility requirements for farmland and farm buildings to qualify for its Program, establish a model agricultural conservation easement, and determine the mechanism for making farm support arrangements and farm support payments in accordance with the following provisions:

A. Eligible Farmland and Farm Buildings

(1) A Voluntary Municipal Farm Support Program must include the following eligibility criteria as Qualified Farmland and Farm Buildings:

(a) Farmland Type. The farmland may be Blueberry Land, Crop Land, Horticultural Land – Edible, Horticultural Land - Ornamental, Orchard Land, Pasture Land, Orchard Land, Woodland, or Wasteland.

(b) Minimum Acreage. The farmland must be one (1) Tax Parcel of at least five (5) contiguous acres that is producing Agricultural Crops.

(c) Farm Income Requirement. The Agricultural Crops grown on the farmland must generate a minimum annual gross income or fair-market value of at least $2,000 per year. The crops may be sold directly on the farm, or sold off of the farm to wholesale and retail customers. If some of the crops are utilized on the farm and/or consumed by the farm household, then the fair-market value of attributable to those products can be counted towards the annual gross income requirement.

(d) Farm Buildings. The Farm Buildings must be used for the propagation, production, storage and/or processing of Agricultural Crops and/or Livestock, including but not limited to, the breeding and housing of Livestock; the storage of seed stock; the storage of feed for Livestock; milk handling; animal manure and waste management; and equipment and chemical storage and maintenance.

(2) Additional Qualified Farmlands and Farm Buildings and Improvements

(a) If there are additional lands and buildings that are associated with the farm’s Agricultural Management, but not specifically with the production of Agricultural Crops, a municipality may establish local criteria for such additional lands and buildings to be eligible for the Voluntary Municipal Farm Support Program. Such designations may be made town-wide or occur on a case-by-case basis.

(i) The municipality shall require the landowner to demonstrate that any buildings and land that are not involved in producing Agricultural Crops serve a principal function for the farm operation. Such buildings include but are not limited to shelters for livestock, equipment storage and maintenance structures and energy generation facilities. Such land includes but is not limited to ponds for fresh water aquaculture, riding trails for Agritourism, and sand, clay and gravel mining for building and grading farm roads, woods roads and other such improvements.

(3) Farm Residential Buildings

(a) A municipality may exclude farm residential structures from a farm support arrangement, unless both the municipality and the landowner agree that the inclusion of such structures is essential to the farm’s Agricultural Management and Agricultural Enterprise, and to the success of the protection effort, because such structures provide affordable housing in an area that is under intense Development Pressure.

B. Model Agricultural Conservation Easement

(1) A municipality with a Voluntary Municipal Farm Support Program must develop a model temporary agricultural conservation easement that is limited to a term of not less than twenty (20) years, and adopt it as a Qualified Agricultural Conservation Easement. A municipality may utilize a model easement created by the Department of Agriculture, or it may draft its own. The following Conservation Purposes and Conservation Recitals are required and must be included in all temporary agricultural conservation easements drafted by a municipality for use in its Voluntary Municipal Farm Support Program. A municipality may include additional purposes and recitals so long as there is no conflict with the following required language.

(a) Required Conservation Purposes

(i) To provide public benefit by protecting the Protected Property’s agricultural soils for the production of food, forage, seed and fiber; and preventing the conversion of farmland to nonagricultural uses that would reduce or destroy the Protected Property’s diversified agricultural and forest productivity; and

(ii) To allow the Protected Property to remain available for commercial agricultural and forest management, provided that such activities are consistent with conserving the agricultural soils, agricultural productivity and natural resource values of the Protected Property.

(b) Required Conservation Recitals

(i) WHEREAS, the Grantor is the sole owner in fee simple of certain Qualified Farmland and Farm Buildings that have been approved by the legislative body of the Town of [name of municipality] to enter into a Farm Support Arrangement with the Town of [name of municipality] for a period of not less than twenty (20) years to protect approximately _____acres of working agricultural and forest land, and other significant natural features including [list complete names of brooks, rivers, etc].

(ii) WHEREAS, the Grantor and Holder agree that the Farm Support Arrangement will conserve the productivity of the Agricultural Enterprise and prevent the conversion of the same to nonagricultural uses for a period of not less than twenty (20) years and will confer the following public benefits to the [name of municipality]: (a) provide a renewable and long-term source of farm and forest products and services; (b) provide for long-term management of farmland and forest land in accordance with best management practices to prevent erosion, sedimentation and other degradation of soil and water resources; (c) provide employment opportunities in Maine; and (d) support investment in local businesses and community services that depend directly upon, or provide ancillary services to, the agricultural and silvicultural industries.

(iii) (if applicable) WHEREAS, the Comprehensive Land Use Plan for [name of municipality] adopted in [year] recognizes the importance of conserving productive farmland and active farms to maintain the [municipality’s] agricultural business sector, cultural heritage and rural character.

(iv) WHEREAS, the protection of Agricultural Soils, preservation of agricultural and natural resource based businesses, and maintenance of open space are important to the People of the State of Maine, as evidenced by Article IX Section 8 of the Maine Constitution, and the “Farm and Open Space Tax Law”, Title 36 Maine Revised Statutes (“M.R.S.”), Section 1101 et seq ., which confers preferential property tax treatment for active farms and property that owners keep undeveloped and available for open space uses.

(v) WHEREAS, the Qualified Farmland has significant conservation value as open space within the meaning of Section 170(h) (4)(a) (iii) of the Internal Revenue Code, as it includes approximately [number] ( # ) acres of open farmland, hay fields, pasture land, crop land, [insert also orchards, cranberry bog, blueberry barrens and other types of cultivated lands as appropriate] and other productive agricultural land and [number] ( # ) acres of forested farmland.

(vi) WHEREAS, Holder is a qualified holder under Title 33 M.R.S., Section 476(2)(A) as a “qualified organization” and an “eligible donee” under Internal Revenue Code Section 170(h) (3) and the regulations promulgated thereunder to wit: a governmental entity or a non-profit corporation with the commitment to preserve the conservation values of the Protected Property, authorized by the laws of the State of Maine to accept, hold and administer conservation easements; and it possesses the authority to accept and is willing to accept this Agricultural Conservation Easement under the terms and conditions hereinafter described.

C. Farm Support Arrangement - Payment Mechanism and Easement Monitoring

(1) A municipality with a Voluntary Municipal Farm Support Program shall make Farm Support Arrangements, for no less than twenty (20) years that obligate the municipality to make Farm Support Payments to the grantor of a Qualified Agricultural Conservation Easement on assets the municipality designates as Qualified Farmland and Farm Buildings. Such Farm Support Payments may be up to one hundred percent (100%) of the annual property taxes assessed on the grantor’s farmland and farm buildings provided these payments do not exceed the total fair market value of the Qualified Agricultural Conservation Easement. A municipality must establish a mechanism for making such payments. It may assess taxes and deduct the amount of the Farm Support Payment from the property tax bill. It may collect taxes and reimburse the grantor. Or it may develop whatever other mechanism a municipality deems to be feasible.

(2) A municipality with a Voluntary Municipal Farm Support Program must monitor any Qualified Agricultural Conservation Easement it accepts through a Farm Support Arrangement with a farm. This must be accomplished at least every two (2) years. A municipality may utilize a model monitoring form created by the Department of Agriculture, or it may draft its own. A municipal Voluntary Municipal Farm Support Program is not required to report its temporary (20-year) Agricultural Conservation Easement in the State of Maine- Conservation Easement Registry which was created to track the stewardship and monitoring of permanent conservation easements.

SECTION 3. ESTABLISHING A MUNICIPAL VOLUNTARY FARM SUPPORT PROGRAM

1. A municipality shall establish a Voluntary Municipal Farm Support Program in accordance with Title 7 M.R.S., Section 60-A. At such time a municipality must also establish its Program timeline for solicitation, review, and acceptance or denial of applications. A municipality’s VMFSP application form must include the following:

A. The general description of the municipality’s VMFSP;

B. The general description of a Farm Support Arrangement including Farm Support Payments and easement monitoring requirements;

C . A copy of the municipality’s Qualified Agricultural Conservation Easement;

D . An estimate of the costs a typical grantor would pay the municipality to prepare and record the Qualified Agricultural Conservation Easement at the County Registry of Deeds;

E . The Farm Application Requirements and application procedures and deadline(s); and

F . The municipality’s process and timeline for reviewing and accepting or denying a proposed Farm Support Arrangement.

SECTION 4. FARM APPLICATION REQUIREMENTS

1. Once a municipality has solicited applications in accordance with Section 3, the farmland owner is responsible for preparing and submitting the Farm Application. A municipality may in its discretion assist the farmland owner with preparing the Farm Application.

2. The Farm Application must include all of the following:

A. A statement, signed by all legal owners of the property, that declares the owners’ desire to enter into a Farm Support Arrangement with the municipality through the grant of a temporary Agricultural Conservation Easement for a term of at least 20 years on a specific Tax Parcel or Tax Parcels of farmland located in the municipality. This statement shall acknowledge whether the owners will retain professional legal services to review the easement document on their behalf, or have elected to waive any legal representation. The statement shall also acknowledge that if the municipality approves a Farm Support Arrangement, the owners agree to pay all of the municipality’s costs for preparing and filing the Agricultural Conservation Easement in the appropriate County Registry of Deeds;

B. A list of the farmland and farm buildings that would be subject to the proposed Agricultural Conservation Easement;

C. An aerial photograph of the property that clearly delineates the farmland and farm buildings that would be subject to the proposed Agricultural Conservation Easement. If the proposal is approved by the municipality, then the owner may choose, at the owner’s expense, to survey the land subject to the easement. Otherwise, an aerial photograph that clearly delineates the subject farmlands, farm buildings and easement boundary is sufficient documentation.

D. If the owners have a mortgage on the farmland or farm buildings, a list of each mortgaged asset noting the loan amount, pay-off date and lender’s contact information;

E. A Farm Income Report which can be either the farmland owners’ IRS Income Tax Form-Schedule F or a table that lists each Agricultural Crop, the average annual yield and the fair market value of the yield based upon the price or value per unit multiplied by the number of units produced; and

F. Two letters of support from either individuals or businesses within the municipality that describe the importance of supporting and protecting the specific farmland and farm buildings through a Farm Support Arrangement.

SECTION 5. MUNICIPAL REVIEW OF FARM APPLICATIONS TO DESIGNATE QUALIFIED FARMLAND AND FARM BUILDINGS

1. All Farm Applications for participation in a Voluntary Municipal Farm Support Program shall be stamped with the date and time they were received by the Town Clerk or other authorized municipal official.

2. The municipality shall review the Farm Application for completeness within the review period identified in the Solicitation. If the Farm Application is complete, the municipality shall send the applicant a written notice specifying the date and time that the municipality will take official action on the proposed Farm Support Arrangement. If the Farm Application does not meet all the requirements of Section 4, above, the municipality shall provide the applicant written notification that it’s Farm Application is incomplete and shall provide guidance as to whether the applicant can resubmit a complete Farm Application.

3. The municipality shall document its review of each Farm Application in a written summary that:

A. Notes any communications about the Farm Application between the municipality and applicant pertaining to Section 5.2. above; and

B. Identifies which farmlands and farm buildings within the Farm Application that it will recommend as “Qualified Farmland and Farm Buildings” for the municipal legislative body to consider for the proposed Farm Support Arrangement.

SECTION 6. MUNICIPAL ACTION TO AUTHORIZE FARM SUPPORT ARRANGEMENTS

1. The municipality’s legislative body shall vote to - accept as proposed; amend and accept; or deny a Farm Application for a Farm Support Arrangement in accordance with 7 M.R.S. Chapter 2-C.

2. A municipality may enter into an agreement with a land trust that would transfer any existing or allow any new Qualified Agricultural Conservation Easement to be held and monitored by that land trust.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. Chapter 2-C
• EFFECTIVE DATE: May 23, 2011 – filing 2011-124 (major substantive)
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 38 Rules for the Operation of the Farmers Drought Relief Fund

Code Me. R. 01-001 Ch. 38 Rules for the Operation of the Farmers Drought Relief Fund {#sec-01-001-ch.-38 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 38}

01-001 DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY DIVISION OF AGRICULTURAL RESOURCE DEVELOPMENT

Ch. 38: RULES FOR OPERATION OF THE FARMERS DROUGHT RELIEF FUND

DEFINITIONS

1. “Agricultural produce” means food, feed, fiber, forage, and oilseed crops that are useful to humans, including forages and sod crops, grains and food crops, fruits, berries, vegetables, flowers, seeds, and grasses.
2. “Agricultural Water Management Plan” means a plan for the development and use of water resources to sustain the growth of agricultural produce on a farm.
3. “Cropland” means land that is used for the production of adapted crops for harvest, alone or in a rotation with grasses and legumes, including cultivated cropland in row crops, small grain crops, hay crops, nursery crops, orchard crops, and non-cultivated cropland, such as permanent hay land and horticultural cropland.
4. “Department” means the Maine Department of Agriculture, Conservation and Forestry.
5. “Farm” means the aggregate of all agricultural land, equipment, and all related facilities and crops, regardless of their location or ownership within the State of Maine, that form part of an integrated agricultural business or enterprise.
6. “Farmer” means the owner or operator of cropland, which may include one or more individuals, partnerships, corporations, or associations that produce gross annual sales of agricultural products of at least $10,000 in at least one of the previous three years. This term may also apply to an owner or operator of a farm that produces gross annual sales of agricultural products of at least $2,000 and who can demonstrate that the farm provides unique benefits to the local food economy as determined by the Commissioner or that the owner or operator has an ancestral history of disinvestment or land dispossession in the State of Maine.
7. “NRCS” means the United States Department of Agriculture Natural Resources Conservation Service, its Maine State Office, and associated Field Offices.
8. “Soil health practices” means the use of conservation cover, contour buffer strips, cover crops, crop rotation, no-till or reduced tillage, or similar practices as specified by NRCS.
9. “Water conservation practices” means the use of drip irrigation, water storage, compost and mulching, water-conserving plants, or similar practices.

PROGRAM FUNDING

1. As established in 7 M.R.S. § 220-A(3), the Farmers Drought Relief Fund (the “Fund”) is funded by appropriations from the State general funds and from any other contributions to the Fund.
2. The Fund may accept funding from private and public sources.
3. The Commissioner may allocate funds among funding categories on an annual basis.

CATEGORY 1 GRANT: AGRICULTURAL WATER MANAGEMENT PLANS

1. Criteria for Eligibility. An applicant is eligible for consideration of receiving a Category 1 Grant for the creation of an Agricultural Water Management Plan upon a clear demonstration of the following: 1. The applicant is a farmer and the owner or operator of cropland in the State of Maine; and 2. The applicant can demonstrate gross sales of agricultural produce of $10,000 or more per year or otherwise has demonstrated to the Department’s satisfaction that it meets the definition of Farmer in Section 1(6).
2. Application Requirements. The applicant shall submit a written application on forms provided by the Department, including information or statements showing: 1. The applicant meets the eligibility criteria for the grant; and 2. The applicant clearly describes the purpose and need for water source development for their cropland. 3. The applicant addresses any instructions or requirements outlined in the Department’s funding announcements and/or forms that improve the Review Committee’s ability to score the application according to the selection criteria.
3. Required Plan Contents. The Agricultural Water Management Plan must be prepared by a pre-qualified technical service provider knowledgeable in agricultural water management as determined by the Department. Agricultural Water Management Plans shall include: 1. Specific location of the farm as defined by street address or GIS coordinates; 2. Name of current owner(s) and operator(s) of the farm; 3. A description of the farm’s production goals and management practices; 4. A description of existing and proposed water sources; 5. A description of existing and proposed crops with estimated length of growing season for those crops and their predicted agronomic water demand; 6. A map or aerial photograph delineating existing and proposed croplands; 7. A soils map delineating soils by name in accordance with NRCS standards; 8. A description of soil texture, moisture holding capacity, and depth to impervious layer for each field or area used for crops; 9. A table of daily rainfall and evapotranspiration data for the general area from the nearest National Weather Service Forecast Office or the Maine Climate Office; 10. A description of highly erodible soils, steep slopes, wetlands, and any other environmentally sensitive areas on the farm; and 11. A summary of the total number of acres to be irrigated, the projected amount of water needed, a cost-benefit analysis of water source options, and a description of proposed water conservation practices.
4. Application Approval Process. Grant funds availability will be made on an annual basis through a public grant solicitation process. Grants will continue to be made subject to the availability of funding. Grant awards will be limited to one per applicant in a two-year period. 1. The Department will utilize a Review Committee to score all applications. The Committee will include staff from the Bureau of Agriculture, Food & Rural Resources, and may include representatives from the Maine Geological Survey, the Department of Environmental Protection, individuals with established agricultural expertise, or other members whose expertise the Department finds useful in evaluating the merits of projects. 2. The Review Committee will use the following selection criteria to judge the merits of the project applications. The point system outlined is a guide to the importance of each section to be evaluated in the application: 1. Eligibility Criteria: Conformance with Section 3.1. Pass/Fail 2. Management Capacity: The management capacity of the applicant based upon the number of years farming and other related experience and training; the applicant’s decision-making authority over the land and resources; the applicant’s use of soil health or water conservation practices. 3. Physical Resource Base: The suitability and productivity of the farmland for its intended agricultural use, based on soils, topography, and land cover; the physical condition of buildings and equipment, and other assets needed to maintain and increase productivity of the farm. 4. Economic Impacts: Evidence of adverse impacts from prior incidents of drought or water insufficiency, or the potential for economic damage needing risk reduction. 5. Environmental Impacts: Sensitivity of water resources to potential low-flow conditions, environmental stress associated with current or projected water use practices. 6. Commissioner’s designation of a geographic area or crop sector as a high priority for assistance. 3. Unsuccessful applicants may appeal the decision to the Department. Appeals shall be governed by Department rules chapter 01-001 CMR c. 8.
5. Procedure for Payment of Grant Proceeds 1. For applicants selected for Category 1 Grants, the Department will directly pay the applicant or an approved pre-qualified vendor up to a maximum of $7,500 upon submission, timely review, and approval of the Agricultural Water Management Plan and an invoice for work performed. If the cost of the Agricultural Water Management Plan exceeds $7,500, the Department may directly pay the applicant or approved pre-qualified vendor up to a maximum of $7,500 upon receipt of a statement that shows the remaining balance has been paid by the grantee.

CATEGORY 2 AGRICULTURAL WATER SOURCE DEVELOPMENT GRANTS

1. Criteria for Eligibility. An applicant is eligible for consideration for a Category 2 Agricultural Water Source Development Grant upon a clear demonstration of the following: 1. The applicant is a farmer and the owner or operator of cropland in the State of Maine; 2. The applicant can demonstrate gross sales of agricultural produce of $10,000 or more per year or otherwise has demonstrated to the Department’s satisfaction that it meets the definition of Farmer in Section 1(6); and 3. The applicant has a current and approved Agricultural Water Management Plan for use of the water source that is consistent with Section 3(3) of these Rules. The Department may accept plans prepared by NRCS or other individuals with relevent expertise.
2. Application Requirements. The applicant shall submit a written application on forms provided by the Department, including information or statements showing: 1. The applicant meets the eligibility criteria for the grant; 2. The applicant attaches a copy of its Agricultural Water Management Plan; 3. The applicant clearly describes the purpose and need for water source development for their cropland; 4. The applicant provides a budget for the proposed project, including the applicant’s 10% match of total project cost which may include in-kind services; 5. The applicant addresses any instructions or requirements outlined in the Department’s funding announcements and/or forms that improve the Review Committee’s ability to score the application according to the selection criteria; 6. The proposed water source will be used for irrigation of cropland. Funded sources of water supply shall not be used to support livestock, residential consumption, or commercial processing without an express waiver from the Commissioner to allow additional uses that do not impair cropland irrigation or result in increased environmental impacts; 7. The applicant’s existing or proposed water source meets all requirements of the Maine Department of Environmental Protection’s Low Flow Rule (06-096 C.M.R. ch. 587, adopted August 24, 2007). The Department will consult with the Department of Environmental Protection to make this determination; 8. The proposed project will not duplicate financial assistance from NRCS for the same practice; and 9. The applicant has applied for or obtained any required permits. Copies of any permits required for the project shall be submitted with the application. If any required permits are not approved by the date of grant application, the applicant shall submit letter(s) from the permitting agency(s) explaining the status of the permits.
3. Eligible Uses for Grant. Grant funds may be used for the following: 1. Installation of a drilled bedrock water well in compliance with Well Drillers and Pump Installers Rules (10-144 C.M.R. ch. 232); 2. Installation of a dug water well; 3. Deepening of an existing dug water well; 4. Installation of a water storage pond in compliance with NRCS Practice Standard 378 or subsequent Practice Standards for water storage ponds; 5. Installation of a gravel-packed well in a sand or gravel aquifer; or 6. Water pumps and necessary appurtenant equipment.
4. Application Approval Process. Grant funds availability will be made on an annual basis through a public grant solicitation process. Grants will be made subject to availability of funding. Grant awards will be limited to one per applicant in a two-year period. 1. The Department will utilize a Review Committee to score all applications. The Committee will include staff from the Bureau of Agriculture, Food & Rural Resources and may include representatives from the Maine Geological Survey and the Department of Environmental Protection, individuals with established agricultural expertise, or other members whose expertise the Department finds useful in evaluating the merits of projects . 2. The Review Committee will use the following selection criteria to judge the merits of the project applications. The point system outlined is a guide to the importance of each section to be evaluated in the application: 1. Eligibility Criteria: Conformance with Section 4.1. Pass/Fail 2. Cost: The applicant has clearly itemized all costs, and they are reasonable; the applicant has demonstrated adequate resources to provide a matching share for the project which may include in-kind services. Priority may be given to proposals which demonstrate usage of NRCS financial assistance for irrigation system components in conjunction with the proposed water source. 3. Physical Resource Base: The suitability and productivity of the farmland for its intended agricultural use, based on soils, topography, and land cover; the physical condition of buildings and equipment, and other assets needed to maintain and increase productivity of the farm. 4. Economic Impacts: Evidence of adverse impacts from prior incidents of drought or water insufficiency. The suitability and productivity of the farmland for its intended agricultural use, the physical condition of buildings and equipment, and other assets needed to maintain and increase productivity of the Farm Business. 5. Environmental Impacts: The project will replace or avoid use of water resources with potential low-flow conditions; the project will reduce environmental stress associated with current or prior water use practices; the project will demonstrate use of appropriate soil health or water conservation practices. 6. Commissioner’s designation of a geographic area or crop sector as a high priority for assistance. 3. Projects not receiving funding shall remain on the list of eligible applicants for future rounds of funding for three (3) years without requiring reapplication to the Department unless material changes to the original project have occurred. The Department may request applicants to confirm details of their application or to address updated requirements prior to reconsideration for funding. 4. Unsuccessful applicants may appeal the decision to the Department. Appeals shall be governed by Department rules chapter 01-001 CMR c. 8.
5. Procedure for Payment of Grant Proceeds 1. Upon presentation of a written estimate or quote as to the cost of a project, the Department will commit to fund 90% of that estimate or quote, up to a maximum payment of $15,000 for a dug well, $25,000 for a drilled bedrock well or $50,000 for a water storage pond or gravel-packed well. Upon presentation of a certificate of completion and lien waivers signed by the applicant and by any contractors who provided materials or services to the project, the Department shall issue payment in the amount determined above. The Department or its designee will conduct a site review before issuing the final payment to determine that the project has been developed and implemented in accordance with the provisions in Section 4(3) of these Rules. 2. Approved projects must be completed within five (5) years of the grant award approval date unless the awardee requests an extension prior to the specified completion date and the extension is approved by the Commissioner. 3. Completed projects may be subject to periodic inspection by the Department for up to ten (10) years from the project’s completion date. Completed projects will also be required to provide occasional survey responses or other reporting to the Department regarding the project benefits.

ADDITIONAL FUNDING PROJECTS

1. Special Projects. 1. The Department may reserve funds available in the Farmer Drought Relief Fund for the development of special projects that demonstrate innovative technology related to agricultural water source development. The Department may provide eligibility and review criteria in specific grant solicitation materials. The objectives of special projects are to implement short-term applied research to effectively resolve unexpected technical problems and/or to test new technologies. Special projects may be submitted by qualified individuals, firms, agencies, or organizations for testing new technologies and for research on technical problems related to agricultural water management and irrigation. 2. The Department may establish specific criteria for awarding funding for special projects demonstrating potential to increase drought resiliency or reduce water use, energy use, or labor through improved agronomic practices, soil moisture monitoring, stormwater runoff retention, or other means. Such criteria will be included in the grant solicitation materials.
2. Contingencies. 1. If a drilled well approved for Category 2 funding under Section 4 of these Rules does not yield an acceptable amount of water based on the approved agricultural water management plan, an applicant may submit a report from the well driller and a request for additional funding. Subject to the availability of funds, the Department may grant additional funding for drilling a second well up to the maximums specified in Section 4(5)(A) of these Rules. 2. Subject to the availability of funds for Category 2 funding, the Department may grant funds to supplement a landowner’s matching share for financial assistance from NRCS for the development of an agricultural water source under the NRCS Environmental Quality Incentives Program (EQIP) or Agricultural Management Assistance Program (AMA), provided that the applicant submits copies of all relevant NRCS contracts, plans, and cost sheets, and demonstrates that the actual cost of materials or services listed under Section 4(3) of these Rules exceeds current NRCS Payment Schedules for these items.

History

• STATUTORY AUTHORITY: 7 M.R.S. §§ 12, 220-A(4).
• EFFECTIVE DATE (NEW): April 8, 2025 – filing 2025-081
• ACCESSIBILITY CHECK: July 9, 2025
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 41 Fresh Broccoli Market Order

Code Me. R. 01-001 Ch. 41 Fresh Broccoli Market Order {#sec-01-001-ch.-41 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 41}

1. Incorporation of Chapter 2

All provisions of the companion Rules titled "Procedures for Adoption of Market orders affecting Agricultural Commodities," 01-001, Chapter 2, Code of Maine Regulations , are incorporated herein.

2. Definitions

A. Stalk: Stalk means a portion of the broccoli plant including the stem, bud clusters, and leaves. individual stalks may be designated as "heads" or "shoots" as follows:

1. Read means a stalk of broccoli having a cluster of closely associated buds which is 2¼ inches or larger in diameter.

2. Shoot means a stalk of broccoli having bud clusters which fail to meet the requirements for a head.

B. Bunch: Bunch means stalks bound together to form a unit. A single stalk may be considered a bunch if it is approximately as large as other bunches in the lot.

C. Closely trimmed: Closely trimmed means that not more than a total of 5%, by weight, of the bunch consists of attached stems and leaves that are longer than the average length of the bunch, regardless of point of attachment, or loose leaves and stems.

D. Well trimmed: Well trimmed means that not more than a total of 15%, by weight, of the bunch consists of attached stems and leaves that are longer than the average length of the bunch, regardless of point of attachment, or loose leaves and stems.

E. Fairly well trimmed: Fairly well trimmed means that not more than a total of 30 percent, by weight, of the bunch consists of attached stems and leaves that are longer than the average length of the bunch, regardless of point of attachment, or loose leaves and stems.

F. Leafy: Leafy means that more than 30 percent, but not more than 50 percent, by weight, of the bunch consists of attached stems and leaves that are longer than the average length of the bunch, regardless of point of attachment, or loose leaves and stems.

G. Serious da mage: Serious damage means any specific defect described in this definition; or an equally objectionable variation of any one of these defects, any other defect, or any combination of defects, which seriously detracts from the appearance or the edible or marketing quality of the bunch. Without limitations of the foregoing, the following specific defects shall be considered as serious damage:

1. Discoloration of bud clusters, when the buds have a decidedly yellowish, brownish, or reddish cast which seriously detracts from the appearance of the bunch. A bluish or purplish cast over the green is often characteristic of good broccoli and shall not be considered as serious damage.

2. Discoloration of leaves, when the appearance of the bunch is seriously affected by discolored leaves or parts of leaves.

3. Hollow stem and stem texture shall not be considered serious damage.

H. Diameter: Diameter means the average measurement across the bud cluster at the top of the stalk.

I. Commercial fresh market: Commercial fresh market means any market for fresh broccoli unless specifically exempted by this Marketing order or 01-001, Chapter 2, Code of Maine Regulations . Markets shall include, but shall not be limited to, retail outlets, wholesale markets, and institutional markets, and shall exclude farm stands and other local markets that are supplied by local producers who normally market their broccoli in other than traditional commercial cartons.

J. Persons affected: Persons affected shall include all producers who grow broccoli in Maine for sale to the commercial fresh market, except that persons growing two acres or less are exempt, provided they neither sell their broccoli to a packer nor market it in traditional commercial cartons.

K. Handler: Handler means any person, except a common carrier, exempt carrier or contract carrier of agricultural commodities, who is engaged in packing, grading, selling, offering for sale, or marketing broccoli, or who as owner, agent or otherwise ships or causes to be shipped any broccoli.

L. Lots: Lot means any number of cartons of broccoli located in the same conveyance, warehouse, packing house or on the same dock or platform and which are segregated from the next lot for purposes of shipments, storage, or sale.

M. Fresh broccoli: Fresh broccoli means broccoli marketed for the purpose of consumption as fresh (not processed) product.

3. Broccoli Packing, Grading and Labeling Standards

A. All broccoli packed in the State of Maine for the commercial fresh market shall:

1. Comply with the packing, grading, and labeling standards set forth herein. Note: Broccoli which has been packed, whether or not shipped, is subject to inspection and must comply with the requirements of the market order.

2. Be packed in waxed, corrugated cartons with a label prominently bearing the contents and including the legible name and address of the person responsible for compliance with the Market Order.

3. meet or exceed the standards for Maine Premium grade as herein defined.

B. Standards for Maine Premium grade broccoli shall be as follows:

1. General - Must be packed in bunches within cartons. Each bunch shall be free from decay and from damage caused by overmaturity, insects, and from serious damage caused by discoloration of bud clusters or leaves, freezing, wilting, dirt or other foreign material, disease, or mechanical or other means. Each bunch shall be fairly well trimmed unless the carton is otherwise specifically labeled as closely trimmed, or well trimmed, or leafy - in which case the contents shall be as indicated on the carton.

2. Size Specifications

There are no requirements for diameter length, but size may be specified on the carton. If it is, the content shall be in conformity with the label and in accordance with the following:

a) Diameter. The terms heads and shoots may be used to designate size of stalks. If heads and shoots are mixed, the percentage, by weight, of heads contained in the lot may be specified.

The minimum or maximum diameter, or both, in terms of inches and quarter inches, may be specified for the lot as a whole or for a certain percentage, by weight, of the lot; for example: "2 inches minimum", or "50 percent 3 1/4 inches or larger", or "75 percent 2 1/2 inches or larger".

b) Lengt h. The minimum or maximum length, or both, in terms of inches or half inches, may be specified on the carton in accordance with the contents, for example, "7 inches minimum length", or "6 1/2 to 8 1/2 inches long".

3. Tolerances: In order to allow for variations incident to normal grading and handling, the following tolerances are allowed as specified:

a) By Lot

(1) For defects. Ten percent for bunches in any lot which fail to meet the requirements of the grade, including therein not more than 2 percent for bunches which are affected by decay. Percentages shall be determined on the basis of count, except that when bunches are not fairly uniform in size, percentages shall be determined on the basis of weight.

(2) For size. 1. Ten percent, by weight, for stalks in any lot which fail to meet the size requirements of the grade or any sizes specified on the carton for length and diameter.

When a percentage of the broccoli in a lot is specified to be heads or of a certain diameter and larger, the lot must meet the size as specified except that a tolerance of 15 percentage points may be applied to individual samples.

b) By sample [Carton]

(1) When the allowable tolerance for a lot is 10 percent or more, individual cartons in any lot may contain not more than one and one-half times the tolerance specified, except that when the carton contains 15 bunches or less, individual cartons may contain not more than double the tolerance specified: Provided, that the averages for the entire lot are within the tolerances specified for the grade.

(2) When the allowable tolerance for a lot is less than 10 percent, individual cartons in any lot may contain not more than double the tolerance specified: Provided, that at least one bunch which does not meet the requirements shall be allowed in any one carton. And provided further, that the averages for the entire lot are within the tolerances specified for the grade.

4. Specialty packs. Specialty packs such as non-bunched shoots or crown cuts and florets are permitted provided that they are appropriately identified on the carton and shall be subject to all standards except that they shall be exempt from all stalk length and bunching requirements.

5. Icing. Prior to loading on a transport vehicle destined to the market, all broccoli will be packed in adequate amount of ice; in the case of a 25 pound carton, there shall be a minimum of 15 pounds of ice and a proportional amount for other size cartons.

C. Sampling Plan. For inspection and compliance purposes, tolerances shall be determined with respect to a sample lot by sampling at random as follows:

Number of cartons in lot Number of cartons examined

0-400 a minimum of 4

401-500 a minimum of 5

501-600 a minimum of 6

601-700 a minimum of 7

701-800 a minimum of 8

801-900 a minimum of 9

901-1000 a minimum of 10

Add 1 sample for each 100 cases or part thereof.

D. In cases of unusual or unanticipated market situations, the Commissioner may grant individual waivers from specified provisions of this section (3.), provided a waiver will not adversely affect the intent of the Market Order or the best interest of the broccoli industry. A waiver may be granted to an individual or firm upon written application to the Commissioner and shall be for such time period and on such conditions as the Commissioner may specify. Before granting a waiver, the Commissioner shall solicit the recommendations of the Marketing Committee, where practicable, and in any event, shall solicit the recommendation of the Chairman of the Committee.

4. Broccoli Marketing Committee

A. Membership. The Broccoli Marketing Committee shall consist of 6 members.

1. • Two members shall be broccoli producers.

• Two members shall be broccoli handlers who, in the preceding season, bought and packed broccoli and offered it for sale from the state of Maine.

• One member shall be chosen by the producer and handler members.

• One member shall be the Commissioner or his designee from the Department who shall serve ex-officio in an advisory, non-voting capacity.

2. The Commissioner may, upon advice of the Marketing Committee, increase the membership and provide for geographic representation of Committee members through rule-making procedures in accordance with the Administrative Procedure Act .

B. Initial Appointments. The initial Committee shall be comprised of the identical membership of the marketing committee of the Broccoli Marketing order that this Marketing Order replaces. Each Committee member shall continue to carry out the term of office of his respective appointment.

C. Duties and responsibilities. The duties and responsibilities of the Committee shall be as defined in 01-001, Chapter 2, Code of Maine Regulations .

5. Effect on the Previous Market Order

This order is intended to replace, 01-001 Code of Maine Regulations Chapter 40.

If this order is not ratified by referendum, 01-001 Code of Maine Regulations Chapter 40 remains in effect.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 421-430.
• EFFECTIVE DATE: July 27, 1983
• AMENDED: August 23, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 15, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 50 Rules for the Determination of Insufficient Veterinary Services

Code Me. R. 01-001 Ch. 50 Rules for the Determination of Insufficient Veterinary Services {#sec-01-001-ch.-50 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 50}

SUMMARY: This Chapter establishes rules for the determination of insufficient veterinary service areas in accordance with 20‑A M.R. S.A. §12107. The Commissioner of Agriculture, Conservation and Forestry has determined that there are an insufficient number of veterinary practitioners in the veterinary specialty of large animal care. The number of practitioners available to either practice or provide large animal service is diminishing as the overall number of farms decrease. However, there remains a need for such practitioners throughout Maine. From time to time, there are also an insufficient number of practitioners in certain geographic areas. Identification of the following insufficient veterinary service areas will mitigate these concerns by enabling veterinarians who practice in these areas to receive forgiveness of loans received pursuant to the Access to Medical Education and Health Professions Loan Programs.

1. DEFINITIONS

2. Commissioner: "Commissioner" of the Department of Agriculture, Conservation and Forestry or his designee.

3. Insufficient Veterinary Services: "Insufficient Veterinary Services" means an insufficient number of practitioners of veterinary medicine in either a veterinary specialty or a geographic area, as further set forth in this rule.

4. Large Animal: "Large animal" means cattle, oxen, equine, swine, sheep, goat, llama, alpacas, bison and/or cervids.

5. Practicing Veterinarian: "Practicing veterinarian” means a veterinarian who is licensed to practice veterinary medicine in Maine in accordance with 32 M.R.S.A. §4860.

6. INSUFFICIENT VETERINARY SERVICE AREAS

7. Large animal veterinary services in any Maine community or unorganized territory;

8. The following Maine municipalities are underserved: Cherryfield, Danforth, Fort Kent, Greenville, Jackman, Kingfield, Lincoln, Madawaska, Rangeley, Sherman Mills, and Van Buren.

History

• STATUTORY AUTHORITY: 20-A M.R.S.A. §12107
• EFFECTIVE DATE: October 4, 1983, as “Underserved Rural Areas For Veterinary Services”
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: January 12, 2005 – filing 2005-3, “Rules for the Determination of Insufficient Veterinary Services”
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 17, 2026
• APAO ACCESSIBILITY CHECK (Word): April 17, 2026

Chapter 61 Maine Milk Pool Cost of Administration

Code Me. R. 01-001 Ch. 61 Maine Milk Pool Cost of Administration {#sec-01-001-ch.-61 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 61}

Administrative costs incurred in operating the Maine Milk Pool, including personnel services and general office expenses, were approximately $60,000 in 2024. Based on 2024’s analyzed expenses, it is estimated that administering the Pool in 2025 will generate similar costs of about $60,000.

The total pounds in the Pool for the calendar year 2024 were 534,475,461. The total pounds of milk production in the Pool are estimated to be slightly higher in 2025.

Based on the above-projected costs and anticipated milk production, the Pool Administrator sets the rate per hundredweight of milk for the cost of administering the Pool for the calendar year 2025 at $0.01/cwt. This represents no change from 2024.

History

• STATUTORY AUTHORITY: 7 M.R.S.A., Section 3154 (2)
• EFFECTIVE DATE: June 4, 1984
• AMENDED: January 15, 1985February 05, 1989February 23, 1993February 11, 1986February 17, 1990February 15, 1994February 01, 1987February 17, 1991February 11, 1995February 02, 1988February 15, 1992February 14, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: February 17, 1997January 23, 2002January 24, 2006March 16, 1998 (also to MS Word 2.0)January 27, 2003January 31, 2007June 1, 1999January 26, 2004January 31, 2008February 28, 2000January 24, 2005January 31, 2009January 31, 2010May 1, 2011January 31, 2013April 1, 2014August 1, 2015April 11, 2016April 9, 2017April 12, 2018August 1, 2023July 1, 2024 – filing 2024-131September 21, 2025 – filing 2025-179
• APAO ACCESSIBILITY CHECK: September 16, 2025 (no accessibility issues detected)
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 62 General Fund Money Distributed to Maine Dairy Farmers (Note: Chapter 62 is a joint rule with 01-015.)

Code Me. R. 01-001 Ch. 62 General Fund Money Distributed to Maine Dairy Farmers {#sec-01-001-ch.-62 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 62}

All funds appropriated from the General Fund to the Maine Milk Commission pursuant to Public Law 1997, ch. 395, Section B-1 shall be deposited into the Maine Milk Pool and distributed to producers in accordance with Chapter #60, "Maine Milk Pool: Operation" 01-001 CMR 60 (as amended September 7, 1987).

History

• STATUTORY AUTHORITY: Public Law 1997, ch. 395 Section B-1
• STATUTORY AUTHORITY: 5 M.R.S.A., §8054
• STATUTORY AUTHORITY: 7 M.R.S.A., §§ 12 and 3153
• STATUTORY AUTHORITY: 7 M.R.S.A., §2954
• EFFECTIVE DATE: April 6, 1995 (EMERGENCY) (expired July 6, 1995)
• EFFECTIVE DATE: July 5, 1995
• AMENDED: August 18, 1995 (EMERGENCY) (expired November 16, 1995) (joint rule with 01-015)
• AMENDED: January 21, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: August 24, 1996
• AMENDED: August 3, 1997
• CONVERTED TO MS WORD: August 16, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 21, 2026
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 100 Grievance Procedures for the Handicapped

Code Me. R. 01-001 Ch. 100 Grievance Procedures for the Handicapped {#sec-01-001-ch.-100 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 100}

SECTION 504: GRIEVANCE PROCEDURE

Maine Department of Agriculture, Conservation and Forestry has adopted the following internal grievance procedure providing for prompt and equitable resolution of complaints alleging any action prohibited by federal regulation a implementing Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794).

Section 504 states, in part, that "No otherwise qualified handicapped individual . . . shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of# or be subjected to discrimination under any program or activity receiving Federal financial assistance..."

This 504 grievance procedure is not meant to preclude other avenues of relief for the grievant.

The law and regulations may be examined in the office of

Richard B. Burnham, Director of Administrative Services

Deering Building, Room 322

Augusta, Maine 04333

and

(207) 289-2001

who has been designated to coordinate the efforts of Agriculture, Conservation and Forestry to comply with the regulations.

1. A complaint must be filed in writing or verbally within 180 days of the alleged violation with the Agency 504 Coordinator, contain the name and address of the person filing it, and describe the action alleged to be prohibited by the regulations.

2. The Agency 504 Coordinator or his designee shall conduct an investigation to determine the validity of the complaint. The investigation shall include an opportunity for the grievant, by requesting an informal conference within 30 days of filing the complaint, to confront the people responsible for the action complained against. The 504 Coordinator shall, immediately upon receipt of the complaint, inform the grievant in writing of his right to request a conference. if the grievant requests and participates in a conference, he shall have an opportunity to present evidence and arguments on all issues, to cross-examine any person present and testifying, and to be represented at the conference. The 504 Coordinator shall be responsible for creating and maintaining a record or report of the conference. If the grievant does not request a conference, he shall still have the right to present evidence such as documents and written statements to the 504 Coordinator for consideration during the investigation. The Agency 504 Coordinator shall provide the Agency head with a written report of the findings of the investigation* including the record or report of the informal conference, if such a conference occurred.

3. The agency head shall issue a written decision within 60 days of the date the complaint was filed describing what action, if any, she/he will take regarding the complaint.

4. The 504 Coordinator will maintain the 504 complaint files of the agency for two years.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. § 12
• EFFECTIVE DATE: December 17, 1984
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 16, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 21, 2026
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 106 Standard Grades for Apples

Code Me. R. 01-001 Ch. 106 Standard Grades for Apples {#sec-01-001-ch.-106 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 106}

SUMMARY: Apples packed in a closed package or container or sold at retail in bulk or in an open package or container shall be deemed to be adulterated if their measure, quality, grade or purity do not conform in each particular to the claims made upon the affixed guaranty, and shall be deemed to be misbranded.

1. Standards for Grades Established

7 M.R.S.A. §533 states that "the grades for apples recommended by the United States Department of Agriculture and recognized in the central markets of the country as government grades and such other grades or standards as may be promulgated by the commissioner under sections 441 to 447, are made the official state grades for apples of the State presented for intrastate or interstate shipment. All containers as presented for shipment whether by truck, train or boat shall have written, stamped or attached thereon the provisions required in section 534." The commissioner hereby incorporates by reference as the standards for grading of Maine apples the U. S. Standards for Grades of Apples of the U.S.D.A. Agricultural Marketing Service, effective September 1, 1964, as amended October 1, 1966, July 25, 1972, and March 25, 1976.

History

• STATUTORY AUTHORITY: 7 MRSA §533
• EFFECTIVE DATE: Prior to 1954
• RE-ADOPTED: August 22, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 21, 2026
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 111 Official Standards for Egg Grades

Code Me. R. 01-001 Ch. 111 Official Standards for Egg Grades {#sec-01-001-ch.-111 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 111}

SUMMARY: The standards of quality for Maine consumer grades for shell eggs, Grade AA, Grade A, and Grade B that are or may be established by the Commissioner, shall apply to all shell eggs sold or offered for sale. The final determination of the grades shall be made by candling.

1 OFFICIAL STANDARDS

7 M.R.S.A. §631-A authorizes the Commissioner (of Agriculture), "...after holding public hearing, to establish and promulgate official definitions and standards and sizes for grading or classifying, packaging and labeling eggs and to change such official standards from time to time. Such official standards and sizes shall not be lower in their requirements than the minimum requirements and official standards and sizes for corresponding grades or classifications as promulgated from time to time by the Secretary of Agriculture of the United States, commonly known as U.S. Grades." The Commissioner hereby incorporates by reference as the standards for grading of Maine eggs the U.S. Standards, Grades, and Weight Classes for Shell Eggs of the U.S.D.A. Agricultural Marketing Service, effective June 30, 1975.

AUTHORITY: 7 MRSA §631-A

EFFECTIVE DATE:

1973 and June 30, 1975

RE-ADOPTED:

August 22, 1979

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 13, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 21, 2026

APAO ACCESSIBILITY CHECK (Word):

April 21, 2026

Chapter 117 Official Standard for Maple Syrup Grades

Code Me. R. 01-001 Ch. 117 Official Standard for Maple Syrup Grades {#sec-01-001-ch.-117 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 117}

SUMMARY:

The purpose of this chapter is to establish official standards for grading maple syrup in the State.

1. Definitions

A. Buddy Flavor/Buddiness. Buddy flavor or buddiness means the unpleasant flavor characteristic of syrup made from sap collected from maple trees as they come out of dormancy.

B. Clean. Clean means that the syrup shall be practically free from foreign material such as pieces of bark, soot, dust, or dirt.

C. Cloudiness. Cloudiness means the presence, in suspension, of fine particles of mineral matter, such as malate of lime, niter, sugar sand, calcium malate, or other substances that detract from the clearness of the syrup.

D. Color. Color has reference to the color of maple syrup when examined by means of the U.S.D.A. permanent glass color standards for maple syrup. The color standards are available only from the approved supplier under a license from the U.S. Department of Agriculture.

E. Consumer Size Container. Consumer size container means a container which has a volume capacity of less than one gallon, as determined when the liquid is 680 F. Consumer size containers include, but are not limited to, quart, pint and fluid ounce subdivisions of the gallon.

F. [Not in use]

G. Fairly Good Color. Fairly good color means that the syrup color is darker in color than the U.S.D.A. Dark Amber Glass Color Standard , but is not off-color for any reason.

H. Good Color. Good color means that the syrup color is bright and typical of maple syrup prepared from sound, properly gathered sap; and, in addition, meets the following spectral requirements:

(1) Grade A light amber - is as light, or lighter, in color than the U.S.D.A. Light Amber Glass Color Standard .

(2) Grade A medium amber - is darker in color than light amber, but is no darker than the U.S.D.A. Medium Glass Color Standard .

(3) Grade A dark amber - is darker in color than medium amber, but is no darker than the U.S.D.A. Dark Amber Glass Color Standard .

I. Maple Sugar. Maple sugar means sugar made exclusively by the evaporation of pure maple syrup or pure maple sap.

J. Maple Syrup. Maple syrup means the liquid food derived by concentration and heat treatment of the sap of the maple trees (Acer) or by solution in water of maple sugar (maple concentrate) made from such sap. The solids content of the finished maple syrup shall not be less than 66% (sixty six percent) by weight (brix) at 680 fahrenheit. Alternatively, the word "syrup" may be spelled "sirup."

K. Serious Damage. Serious damage means any defect that seriously affects the edibility or market value of the syrup. Badly scorched syrup, buddy syrup, fermented syrup, or syrup that has any distasteful foreign flavor or disagreeable odor shall be considered as seriously damaged.

L. U.S. Department of Agriculture Color Standard. U.S. Department of Agriculture Color Standard means the official U.S. Department of Agriculture Permanent Glass Color Standards for Maple Sirup .

2. Grades of Maple Syrup

A. Grade A is the quality of maple syrup that is suitable for table use and:

(1) Has good color;

(2) Has good flavor and odor;

(3) Is practically free from damage;

(4) Is free from serious damage;

(5) Is clean; and

(6) Is practically clear.

B. Grade B for Reprocessing is the quality of maple syrup that:

(1) Has fairly good color;

(2) Has fairly good flavor and odor;

(3) Is fairly free from damage;

(4) Is free from serious damage;

(5) Is fairly clear; and

(6) Is suitably designated or labeled as a reprocessing grade in such a manner to qualify for Federal grading, inspection, or certification. Reprocessing grade maple syrup shall not be packaged in consumer size containers and shall be considered unsuitable for consumer labeling.

C. Substandard is the quality of maple syrup that fails to meet the requirements for Grade B for Reprocessing.

3. Grade Nomenclature

Grade nomenclature may be prefixed-with the name of the state of manufacture or the letters "U.S." or words 'United States" where applicable.

4. Determining the Grade of a Lot

The grade of a lot of maple syrup covered by these standards is determined by the procedures set forth in the "Regulations Governing Inspection and Certification of Processed Fruits and Vegetables, Processed Products Thereof, and Certain Other Processed Food Products" (7 C.F.R. 2852.1 through 2852.83); PROVIDED:

(1) When certifying the color of a sample that has been officially drawn and which represents a specific lot of maple syrup, the lot shall be considered as being of one color if the number of color deviants does not exceed the acceptance number in the appropriate sampling plan. Any lot of maple syrup in which the number of color deviants exceeds the acceptance number shall be designated as a lot of "mixed color."

(2) No deviants for "serious damage" shall be allowed in grades above substandard.

5. Transition

Containers of maple syrup sold or offered for sale for human consumption may be graded and labeled pursuant to this Chapter from the effective date of this Chapter until January 1, 1982. As of January 1, 1982, all containers of maple syrup sold or offered for sale for human consumption must be graded and labeled pursuant to this Chapter.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §892
• EFFECTIVE DATE: April 7, 1981
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 21, 2026
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 122 Fee Schedule for Inspection of Agricultural Commodities

Code Me. R. 01-001 Ch. 122 Fee Schedule for Inspection of Agricultural Commodities {#sec-01-001-ch.-122 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 122}

SUMMARY: This chapter establishes user fees payable for sampling, inspection, certification and other Quality Assurance & Regulation work.

I. DEFINITIONS

For the purposes of this chapter, and unless otherwise indicated, the following words shall have the following meanings:

A. “Certificate Charge” means a charge imposed when more than one (1) official document is required for each inspection performed.

B. “Consumer Pack” means a unit of potatoes contained in a bag, crate or any other type of container.

C. “Delinquent Accounts” means nonpayment of fees and charges by the due date specified on the invoice.

D. “Department” means the Maine Department of Agriculture, Conservation and Forestry, Division of Quality Assurance & Regulations.

E. “Expense Guarantee” means that regular charges are not adequate to cover expenses. In such cases, charges shall be based on time consumed computed at the applicable hourly rate plus mileage and related expenses.

F. “Good Agricultural Practices, hereinafter GAP” means the basic environmental conditions that are necessary for the production of safe, wholesome fruits and vegetables.

G. “Good Handling Practices, hereinafter GHP” means general practices to reduce microbial food safety hazards. The term may include “ good agricultural practices” used in growing, harvesting, sorting, packing and storage operations.

H. “Holidays” means New Year’s Day, Martin Luther King, Jr. Day, Washington’s Birthday, Patriot’s Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day, the Friday following Thanksgiving, Christmas Day or the observed day for the aforementioned holidays, and any other recognized state holiday.

I. “Maine Bag” means any consumer pack of potatoes on which appears the word "Maine" in letters larger than 1/4 inch or a pictorial representation of the outline of the shape of the state.

J. “Net Weight Certification” means the official weighing of random samples of a specified commodity and the subsequent certification of net weight by the Department.

K. “Person” means both natural persons and all legal entities, including corporations, partnerships, joint ventures, states, municipalities, and unincorporated business enterprises.

L. “Positive Lot Identification” means the affixing of a traceable code, consisting of numbers and/or letters, to primary or shipping containers by printing, stamping, taping or applying official stickers.

M. “Principal Display Panel” means that part, or those parts, of a product label designed to be displayed and examined under normal conditions of display at retail markets.

N. “Service Call” means that the Department has incurred cost as a result of an official request for service and subsequent cancellation without notice.

O. “Shipping Point Inspection” means a type of service provided to any person(s) who request(s) inspection on a daily or sporadic basis. Service will be provided to such person(s) in the most effective and efficient manner, subject to the availability of inspectors.

P. “Shipping Point Overtime” means time worked Monday thru Friday prior to 7:00A.M., after 5:00 P.M., or anytime worked on Saturday, Sunday and all State legal holidays. A minimum overtime charge of one hour will be assessed; thereafter, charges will be in half hour increments.

Q. “Quality Trademark Bag” means any consumer pack for potatoes on which appears either a silhouette of the State of Maine divided into three horizontal sections or three parallel stripes consisting of a blue stripe at the top, white in the center and red at the bottom. The use of these trademarks is subject to the provisions set forth by Department of Agriculture Rules (01-001, Chapter 135).

R. “Variety Labeling” means the principal display panel of the primary container has been printed or stamped in bold print with words indicating the variety of potatoes contained therein. The lettering shall be at least ½ inch in height. The variety shall be immediately preceded by the word “variety:” or “var:”

II. GENERAL FEES – APPLIES TO ALL CATEGORIES

A. Certificate charge per additional document $10.00

B. Copy of documents 5 or less pages $1.00

1. More than 5 pages per hourly fee of $30.00

C. Easements (no inspection) will be calculated based on the amount of time used including travel time and mileage as follows:

1. Monday through Friday 7:00 a.m. through 5:00 p.m.

a. Up to one half hour $20.00

b. One half to 1 hour $30.00

c. More than 1 hour-a per hour charge of $30.00

d. Mileage per mile, when applicable STATE RATE

D. GAP/GHP per inspector per hour $92.00

E. Mileage, when applicable, per mile STATE RATE

F. Minimum fee (unless otherwise specified) $40.00

G. Net weight certification (plus regular inspection fee) $30.00

H. Overtime fee per hour per inspector (unless otherwise specified) $45.00

I. Service calls $50.00

J. Waive mandatory inspection requirement $20.00

III. HOURLY BASIS FEES

A. Fee per hour per inspector $30.00

B. Mileage per mile STATE RATE

IV. SHIPPING POINT INSPECTION FEES

A. Fruits

1. Apples

a. Per carton or part thereof $ .08

b. Apple Storage Gift Certificates each $1.00

2. Berries

a. Per pint or equivalent $ .06

B. Maple Syrup – Sampling and Grading

a. Per barrel or part thereof $3.00

b. Travel Expenses – when applicable ACTUAL

C. Vegetables

1. Broccoli

a. Per carton or part thereof $ .08

b. Overtime fee per hour, per applicant $8.00

2. Fresh Potatoes (Shipping Point)

Fees for shipping point inspection of potatoes in Maine bags, carlots, trucklots,

Warehouses storages and the like shall be billed at the following rates:

a. Hundredweight fees or part thereof

(1) Basic Fee $ .16

(2) Quality Trademark Bags $ .09

b. Overtime fee per hour, per applicant $8.00

V. PROCESSING INSPECTION FEES

Potato Processing Plants

A. Fee per hundredweight or part thereof $ .082

Staffing levels will be determined by the Inspection service based on the Processor’s daily delivery schedule.

B. In the event the processor does not provide a daily delivery schedule; the amount delivered is significantly less than projected on the delivery schedule or the processor requests additional inspectors and the $ .082 per hundredweight fee is not sufficient to cover the cost, fees will be assessed at the hourly rates of $30.00 per inspector for regular time and $45.00 per inspector for overtime.

C. Samples will be inspected within twenty-four hours of receipt or as otherwise specified in writing in the contract between the Processor and the Agricultural Bargaining Council.

VI. WORK PERFORMED FOR OTHER AGENCIES

A. State Agencies

1. Minimum daily fee per inspector for State work shall be $120.00

four (4) hours at the applicable State rate;

2. Fee per hour, per inspector, beyond daily minimum $30.00

3. Mileage per mile STATE RATE

4. Charges for inspectors, based on current pay schedule, plus fringe benefits, may be worked out under written agreement in lieu of hourly rates.

B. Federal Agencies

1. Minimum daily fee for Federal work shall be four (4) hours at the applicable Federal rate;

2. Hourly, overtime and mileage charges will be assessed at applicable Federal rates.

VII. POTATO VARIETY LABELING PROGRAM

A. Any person who indicates the variety of potatoes contained within a container must maintain documentation verifying the variety and make such documentation accessible to the Department if requested.

B. If disputes arise concerning varieties, they will be deemed settled after a determination of variety is made by the Division of Plant Industry or the Plant Genetics Section of a designated university.

C. Violations are as set forth in Title 7 M.R.S.A. Subsection 1034 (3). Any person who packs potatoes in a bag labeled with the name of a different potato variety commits a civil violation. The first violation shall result in a forfeiture of not more than $1,000, with each subsequent violation subject to a penalty of not more than $2,000. Each load of potatoes constitutes a separate violation.

VIII. DELINQUENT ACCOUNTS

A. Timely Payment

1. Payment of fees and charges for services is due by the due date specified on the invoice.

2. If payment is not received by the due date specified on the invoice, the Department reserves the right to withhold further service until the delinquent account is paid. The Department also reserves the right to require advance cash payments, in a manner acceptable to the Department, for subsequent service to applicants who maintain delinquent accounts.

3. A late charge of ten (10) percent, plus interest of eight (8) percent per annum shall be assessed on the unpaid balance of accounts that are more than thirty (30) days overdue.

B. Delinquent accounts more than ninety (90) days old shall be handled through the following procedures:

1. Applicants with delinquent accounts of less than $1400.00 shall receive notification of delinquency and be allowed fifteen (15) days to render payment. If payment is not received within the allotted time, procedures will be initiated to collect the overdue account through small claims court with the applicant liable for interest, filing fee and court costs.

2. Applicants with delinquent accounts in excess of $1400.00 shall receive notification of delinquency and be allowed fifteen (15) days to render payment. If payment is not received within the allotted time, procedures will be initiated to collect the overdue account through Maine Revenue Services or the Attorney General’s office with the applicant liable for interest, filing fee and cost of collection.

IX. STATUTORY AUTHORITY:

7 M.R.S.A., 12, 441, 446, 951-B, 1033-A, 1034, 1034-A

X. EFFECTIVE DATE (latest filing):

September 21, 2008

EFFECTIVE DATE:

November 1, 1980

AMENDED:

October 20, 1981

September 6, 1982

October 25, 1983

December 17, 1984

October 26, 1985

REPEALED AND REPLACED:

April 4, 1990

AMENDED:

September 20, 1992

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

REPEALED AND REPLACED:

September 7, 2005 – filing 2005-372

September 21, 2008 – filing 2008-426

CORRECTIONS:

February, 2014 – agency names, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 21, 2026

APAO ACCESSIBILITY CHECK (Word):

April 21, 2026

Chapter 123 Distribution of Proceeds from Potato License Surety Bonds

Code Me. R. 01-001 Ch. 123 Distributions of Proceeds from Potato License Surety Bonds {#sec-01-001-ch.-123 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 123}

Summary:

This chapter establishes procedures for the presentation, investigation and payment of claims made against potato license surety bonds.

1. Application.

The provisions of this chapter shall govern the Department's distribution of proceeds recovered from potato licensing surety bonds pursuant to 7 M.R.S.A. §§ 1014 and 1025, except where an action is brought by a producer or licensee pursuant to 7 M.R.S.A. §1025.

2. Claims: Manner of Presentation.

Distribution of bond proceeds shall be made only to producers and other persons licensed under 7 M.R.S.A. §1011 et seq . holding valid, unsatisfied claims for payment against the Obligor on account of potatoes received or purchased by him/her. Such claims shall be presented in the form of verified complaints as defined in 7 M.R.S.A. §1012.12. Each claimant shall attach to his verified complaint, if available, copies of All contracts, invoices, bills of lading, inspection certificates, records of transactions and other documents which substantiate his claim. Verified complaints shall be mailed or otherwise presented to the Department.

3. Advertisement.

Before making any distribution of bond proceeds, the Department shall advertise its intention to do so in (an) appropriate newspapers) and may take other appropriate steps to publicize the impending distribution. The advertisement shall notify persons who may have claims against the obligor to file verified complaints with the Department within a specified time. After such time has elapsed, and subject to sections 5 and 6, the Department shall distribute the proceeds among all approved claimants.

4. Investigation; Approval.

The Department may investigate the validity of any claim to the degree it deems such investigation necessary. The Department shall notify any claimant whose claim it disapproves in whole or in part. Such notice of disapproval shall be deemed "final agency action" for purposes of the Maine Administrative Procedure Act , 5 M.R.S.A. §8001 et seq .

5. Action Pending Judicial Review of Notice of Disapproval.

Pursuant to 5 M.R.S.A. §11002.3, any petition for judicial review of a notice of disapproval must be filed by the aggrieved claimant within 30 days after his/her receipt of the notice. No bond proceeds shall be distributed by the Department until this 30-day period has run. If a petition for judicial review is timely filed, the Department shall opt to either:

A. Not distribute any bond proceeds until final determination of said petition by a court of last resort; or

B. Distribute available bond proceeds less the share to which the claimant would be entitled if his petition is upheld. A second distribution shall be made in accordance with the court's decision upon final determination of the petition.

6. Pro Rata Distribution.

Where the amount of valid, unsatisfied claims received against a bond exceeds the amount of available proceeds, the proceeds shall be distributed among approved claimants in proportion to the size of their claims.

Example: The bonding company has paid to the Department the $25,000 face value of the bond. Claimants A, B and C have filed verified complaints against the obligor in the amounts of $25,000, $20,000 and $5,000 respectively. The claims are all valid. Under this chapter, distribution would be calculated as follows:

Total claims: $50,000

A's share: 25,000

---

50,000 = 50% 25,000 x .5 = $12,500

B's share: 20,000

---

50,000 = 40% 25,000 x .4 = $10,000

C's share: 5,000

---

50,000 = 10% 25,000 x .1 = $ 2,500

Total distribution $ 25,000

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 12, 1015.
• EFFECTIVE DATE: March 24, 1981
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 21, 2026
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 125 Official Classification, Grades and Standards for Potatoes Packed in Maine

Code Me. R. 01-001 Ch. 125 Official Grades, Standards and Inspection Requirements for Potatoes Packed in Maine {#sec-01-001-ch.-125 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 125}

SUMMARY: This chapter establishes official grades, standards and inspection requirements for all potatoes packed within the State of Maine and combines those requirements under one rule for efficient administration.

I. DEFINITIONS

Unless otherwise provided herein, all terms shall have the meaning indicated in the United States Standards for Grades of Potatoes , as promulgated on March 27, 1991 attached hereto. In addition, the following terms have the meanings described below:

A. "Chef(s)" means large potatoes typically purchased by restaurants, hotels, resorts, or other institutional markets where size, count or portion control are desired. Such potatoes shall meet U.S. No. 1 grade standards and shall not be less than 2 3/4 inches in diameter or 8 ounces in weight.

B. "Commissioner" means the Commissioner of The Maine Department of Agriculture, Conservation and Forestry.

C. "Consumer pack" means a unit of 50 pounds or less net weight of potatoes contained in a bag or other type of container designed for the consumer market.

D. "Department" means the Maine Department of Agriculture, Conservation and Forestry, Division of Quality Assurance and Regulations.

E. "Long White Potatoes" means long type Irish potatoes with a smooth white skin, including but not limited to the following varieties: Shepody and White Rose.

F. "Lot" means a load or any number of like containers which contain potatoes of the same kind or similar variety located in the same place or conveyance. Potatoes which are different from each other as to grade, size, or type and size of container, identification marks or other factors shall be deemed to be separate lots. For the purposes of these rules a lot shall not exceed 50,000 pounds.

G. "Maine Bag" means any consumer pack of potatoes on which appears the word "Maine" in letters larger than 1/4 inch or a pictorial representation of the outline of the shape of the state.

H. "Maine Bag Grade" means any of the officially established grades of potatoes adopted by the Commissioner which qualify for packing in a Maine bag.

I. "Non Approved Varieties" means varieties that are not approved for packing or shipping by the Department in Maine Bags because of poor or unacceptable eating or cooking characteristics. The following variety is currently non- approved: Snowden. Additional varieties may be designated as non-approved through the rule-making process.

J. "Non Commercial Producer" means a potato producer that produces ten (10) or fewer acres of potatoes annually. The production of all family members sharing the same farm or equipment shall be included in calculating the farm production.

K. "Non-Maine Bag" means any consumer pack that is not a Maine bag.

L. "Organic Potatoes" means potatoes that are produced in the State of Maine by producers that are Certified Organic Farmers.

M. "Positive Lot Identification" means the affixing by, or under the supervision of, the inspector of a traceable code, consisting of numbers and/or letters, to containers by stamping or taping or other means approved by the Department.

N. "Principal display panel" means that part, or those parts of a label designed to be most likely displayed and examined under normal conditions of display at retail markets.

O. "Round type Irish potatoes" means those varieties classified as round to include white and yellow fleshed; red, white and blue skinned, round russets, etc.

P. "Russet Type Potatoes" means long type Irish potatoes with russeted skins, including but not limited to the following varieties: Bel Rus, Russet Burbank and Russet Norkotah.

Q. "Sprout Inhibitor" means a sprout suppressant approved or registered for use on potatoes by the Pesticides Control Board, such as Maleic Hydrazide or Chloro IPC.

R. "State of Maine Quality Trademark" means an official quality trademark described as either a silhouette of the State of Maine divided into three horizontal sections or three parallel stripes consisting of a blue stripe at the top, white in the center and red at the bottom. The use of these trademarks is subject to the provisions set forth by Department of Agriculture Rules (01-001, Chapter 135).

S. "Very Serious Damage" means defect(s) that affects the external appearance of the potato and cannot be removed without a loss of more than 15 percent of the total weight of the potato including peel covering the defective area.

II. OFFICIAL GRADING AND INSPECTION STANDARDS

A. Title 7 M.R.S.A. sub-section 951 authorizes and empowers the commissioner, "after holding public hearing, to establish and promulgate official definitions and standards for grading, classifying, packing and labeling potatoes and to change official standards from time to time. Such official standards shall not be lower in their requirements than the minimum requirements of the official standards for corresponding grades or classifications as promulgated from time to time by the Secretary of Agriculture of the United States, commonly known as U.S. Grades." The commissioner hereby incorporates by reference as the basic standards for grades of Maine potatoes the U.S. Standards for Grades of Potatoes of the U.S.D.A., Agricultural Marketing Service, as of March 27, 1991, attached hereto.

B. Title 7 M.R.S.A. sub-section 951 also authorizes the commissioner after consultation with the Maine Potato Board to adopt rules pursuant to the Maine Administrative Procedure Act , requiring the inspection of all or a portion of consumer packs of potatoes for conformity with U.S. No. 1 or other grades. Inspection under any rule adopted pursuant to this law must be performed by a licensed Federal/State or State Inspector, or a Certified Seed Specialist. At the request of and in consultation with the Maine Potato Board, the commissioner has adopted rules to require inspection of consumer packs of potatoes.

C. Notwithstanding paragraph II A., the minimum size for all potatoes packaged in containers labeled with U.S. No. 1 or a Maine Bag Grade shall not be less than 2 inches in diameter or 4 ounces in weight. Except that potatoes labeled as "Baby Maine Grade" or "Size B" are exempted from these requirements but must meet the requirements of the "Baby Maine Grade" or "Size B" designations. Other sizes may be allowed by the Commissioner for the purpose of test marketing. Any changes in size to allow for test marketing must be specifically approved by the Department.

D. The minimum size for potatoes designated as chef(s) shall not be less than 2 3/4 inches in diameter or 8 ounces in weight.

III. MAINE BAG GRADES

A. "Baby Maine Grade" shall meet the following requirements:

1. Quality

a. U.S. No. 1

b. Washed

c. Clean

d. Fairly well matured

2. Size

a. The minimum diameter shall not be less than 1 1/2 inches,

b. The maximum diameter shall not be more than 2 1/4 inches,

c. The range in diameter within each lot shall not be more than 1/2 inch.

3. Labeling requirements

Each container shall be conspicuously labeled with the words "Baby Maine Grade".

B. "Maine Chef's Special" shall meet the following requirements:

1. Quality

a. U.S. No. 1

b. Washed

c. Clean

d. Fairly well matured

2. Size

a. The minimum diameter of each round Type Irish potato shall not be less than 3 inches,

b. The maximum diameter of each round Type Irish potato shall not be more than 4 inches,

c. The minimum weight of each russet type or long white potato shall not be less than 10 ounces.

C. "Maine Grade" shall meet the following requirements:

1. Quality

a. U.S. No. 1

b. Washed

c. Clean

d. Fairly well matured

2. Size

a. The minimum diameter shall not be less than 2 inches,

b. The maximum diameter shall not be more than 3 1/2 inches,

c. Each lot shall meet the requirements of size A.

3. Type

Shall be round type Irish Potatoes.

D. "Maine Long White Grade" shall meet the following requirements:

1. Quality

a. U.S. No. 1

b. Washed

c. Clean

d. Fairly well matured

2. Size

a. The minimum size shall not be less than 2 inches in diameter or 4 ounces in weight,

b. The maximum size shall not be more than 12 ounces in weight except when packed in containers that are clearly labeled to show that the contents contain a larger size.

3. Type

Shall be Long type Irish potatoes.

E. "Maine Russet Grade" shall meet the following requirements:

1. Quality

a. U.S. No. 1

b. Washed

c. Clean

d. Fairly well matured

2. Size

a. The minimum size shall not be less than 2 inches in diameter or 4 ounces in weight,

b. The range in size within a lot shall not be more than 7 ounces in weight except when packed in containers that are clearly labeled to show that the contents contain a larger size.

3. Type

Shall be Russet type Irish potatoes.

4. Additional Requirements

Each lot of Russet Type Potatoes must meet any additional requirements set forth in the "Russet Marketing Order" (01-013 Chapter 2).

F. "Premium Maine Grade" shall meet the following requirements:

1. Quality

a. U.S. No. 1

b. Washed

c. Clean

d. Fairly well matured

2. Size

a. The minimum diameter shall not be less than 2 1/4 inches,

b. The maximum diameter shall not be more than 3 1/2 inches,

c. Each lot shall meet the requirements of Size A.

3. Labeling requirements

Each container shall be conspicuously labeled with the words "Premium Maine Grade".

4. Type

Shall be round type Irish Potatoes.

IV. ADDITIONAL REQUIREMENTS FOR MAINE BAG GRADES

A. All consumer packs of potatoes shall have been treated with an approved sprout inhibitor after January 15th of each year at rates of application and otherwise as prescribed on the Pesticide label. Consumer packs may be subject to random sampling and laboratory testing by the residue testing section of a designated Laboratory for the presence of an approved sprout inhibitor.

B. Non-approved varieties are not allowed in a Maine Bag.

V. STATE OF MAINE QUALITY TRADEMARK

Only packers who seek and obtain from the Department, a State of Maine Quality Trademark license shall be authorized to use said trademark. The Trademark may only be used on containers meeting the Maine Bag Grades. Any additional requirements set forth in the official use of the "State of Maine Quality Trademark" (01-001 Chapter 135) must be complied with.

VI. NON-MAINE BAG DESIGNATIONS AND GRADES

A. "Processing Grade" shall meet the following requirements:

1. Quality

a. Each lot shall consist of potatoes of one variety or similar varietal characteristics,

b. Each lot shall be free from blackheart, freezing injury, late blight, ring rot, soft rot or wet breakdown,

c. Each lot shall be free from serious damage caused by dirt or other foreign matter, hollow heart, internal discoloration, insects, larvae, sunburn or worms,

d. Each lot shall be free from very serious damage by bruises.

2. Size

The minimum diameter shall not be less than 1-1/2 inches.

3. Containers (including consumer packs);

a. Containers shall be a minimum size of 50 pounds net weight,

b. Containers shall be plain brown in color,

c. All printing shall be in black ink and limited to the principal display panel on the front of the container.

4. Labeling and marketing

Each container shall be conspicuously branded "Processing Grade," followed by the words "For Processing Use only - Not For Sale At Retail Level" in letters of at least 2 inches in height. Processing Grade Potatoes can only be sold for use in processing.

B. "Unclassified Grade" shall meet the following requirements:

1. Quality

a. Each lot shall consist of potatoes of one variety or similar varietal characteristics,

b. Each lot shall be free from blackheart, freezing injury, late blight, ring rot, soft rot or wet breakdown,

c. Each lot shall be free from serious damage by sunburn.

2. Size

The minimum diameter shall not be less than 1 7/8 inches.

3. Containers

Unclassified potatoes may be packed only in containers meeting the following specifications:

a. Containers shall be constructed of solid paper or solid paper with a mesh window. The size of the container shall be either 20 or 50 lbs. net weight,

b. Containers shall be plain brown or white in color,

c. All printing must be in black or blue ink,

d. Other containers, or variations thereof, must be specifically approved by the Department.

4. Labeling

Each container shall be conspicuously branded "unclassified" in letters of at least 1/2 inch in height.

5. Disclaimer

Each container of "unclassified" potatoes shall conspicuously include the following disclaimer in letters at least 1/4 inch in height: "These potatoes are ungraded and may be affected by various blemishes and/or defects which may be peeled away prior to consumption". The disclaimer shall be contained within a pronounced rectangle located on the principal display panel or prominently on the back of the container.

VII. TOLERANCES

To allow for variations incident to proper grading and handling in each of the foregoing grades, the following tolerances, by weight or equivalent basis, are provided as specified.

A. For Defects

1. Baby Maine Grade, Maine Grade, Maine Long White Grade and Maine Russet Grade

a. A total of 8 percent of the potatoes in any lot may fail to meet the requirements of this grade; provided that included in this tolerance not more than the following percentages shall be allowed for the defects listed:

1. 5 percent for external defects,

2. 5 percent for internal defects,

3. 3 percent for potatoes which are affected by freezing, late blight, ring rot, soft rot, southern bacterial wilt or wet breakdown, including therein not more than 1 percent for potatoes which are frozen or affected by soft rot or wet breakdown.

4. Maine Chef's Specials and Premium Maine Grade

a. A total of 8 percent of the potatoes in any lot may fail to meet the requirements of this grade; provided that included in this tolerance not more than the following percentages shall be allowed for the defects listed:

1. 4 percent for external defects,

2. 4 percent for internal defects,

3. 2 percent for potatoes which are affected by freezing, late blight, ring rot, soft rot or wet breakdown, including therein not more than 1 percent for potatoes which are frozen or affected by soft rot southern bacterial wilt or wet breakdown.

4. Processing Grade

a. A total of 11 percent of the potatoes in any lot may fail to meet the requirements of this grade; provided that included in this amount not more than the following percentages shall be allowed for the defects listed:

1 6 percent for external defects,

2. 5 percent for internal defects,

3. 3 percent for potatoes which are affected by freezing, late blight, ring rot, soft rot, Southern bacterial wilt or wet breakdown, including therein not more than 1 percent for potatoes which are frozen or affected by soft rot or wet breakdown.

4. Unclassified

a. A total of 10 percent of the potatoes in any lot may fail to meet the requirements of this grade, provided that included in this amount not more than the following percentages shall be allowed for the defects listed:

1. 10 per cent for defects including not more than 5% for blackheart,

2. 3 percent for potatoes which are affected by freezing, late blight, ring rot, soft rot, Southern bacterial wilt or wet breakdown, including therein not more than 1 percent for potatoes which are frozen or affected by soft rot or wet breakdown.

B. For Off-Size

Not more than 3 percent of the potatoes in any lot may be smaller than the required or specified minimum size except that a tolerance of 5 percent shall be allowed for potatoes packed to meet a minimum size of 2 1/4 inches or larger in diameter or 5 ounces or more in weight. In addition, not more than 10 percent may be larger than any required or specified maximum size.

C. Application of Tolerances

Individual samples shall have not more than double the tolerances specified, except that at least one defective and one off-size potato may be permitted in any sample: Provided, that en route or at destination one-tenth of the samples may contain three times the tolerance permitted for potatoes which are frozen or affected by soft rot or wet breakdown: and provided further, that the averages for the entire lot are within the tolerances specified for the grade.

VIII. SAMPLES FOR GRADE AND SIZE DETERMINATION

A. Individual samples shall consist of at least 20 pounds:

1. When individual packages contain at least 20 pounds, each individual sample is drawn from one package,

2. When packages contain less than 20 pounds, a sufficient number of adjoining packages are opened to provide at least a 20-pound sample,

3. The number of such individual samples drawn for grade and size determination will vary with the size of the lot.

IX. MANDATORY INSPECTION AND SHIPPING

A. All potatoes packed in Maine in consumer packs must be inspected and pass the grade and other requirements hereof.

1. Certification

a. No person shall pack potatoes in consumer packs unless he/she has given notice of intent to pack to the Department prior to the commencement of packing.

b. All potatoes shall be inspected and certified during the process of, or immediately prior to, being placed in a trailer or other conveyance, by a Federal/State or State Inspector, a Certified Seed Specialist or other person(s) authorized by the Department.

c. All potatoes shall meet or exceed the minimum grade requirements of the grade shown on the container.

d. Each lot of potatoes within or being placed in a trailer or other conveyance shall be covered by an unrestricted, original federal/state certificate of inspection or serialized notesheet that accurately describes the lot and includes the correct trailer, or other conveyance, or positive lot identification number.

e. Each Inspection Certificate shall be issued no more than four days prior to shipment.

f. Warehouse Certificates shall be unrestricted and include positive lot identification.

B. Fees for Inspection

The Department shall establish, assess and collect fees for all inspections of potatoes made pursuant to these rules. The fees shall be on a uniform basis, in a reasonable amount, which the Department shall determine to be sufficient to cover the cost of such inspection. Fees shall be promptly paid by the packer or other person receiving the inspection service. Failure to pay for fees after 30 days of the date of billing incurs a late charge of 10% plus reasonable interest. Continued failure to pay will result in refusal by the Department to provide inspection services to that person and any other person or firm having a legal relationship to that person.

C. Shipping

No packer, shipper, dealer, or broker shall prepare for market, send to market, arrange for the sale of, or have in their possession, or under their control, any potatoes required to be inspected which have not been inspected and determined at point of origin by a duly authorized inspector to have met the standards required by this Chapter.

D. Exemptions and Waivers from Grade Inspection

1. Exemptions from mandatory inspection are provided as follows:

a. Potatoes produced by "non-commercial producers",

b. Certified Organic potatoes,

c. Potatoes sold directly by the producer to consumers through roadside stands, farmers markets or other means, provided that all labeling and grading requirements are complied with,

d. Potatoes which are identified, certified and inspected as foundation or certified seed potatoes,

e. Potatoes intended and actually delivered for charitable purposes and not for sale,

f. Waivers from inspection may be granted by the Department where inspection is impractical because of remote location, or if the total volume of potatoes sold to all persons collectively in any trailer or other conveyance does not exceed 2000 pounds. Waivers can only be obtained by notifying the Department prior to the commencement of packing. Notification shall be on forms provided by the Department. Potatoes exempted from inspection must be in compliance with all labeling and grading requirements.

E. Inspection Advisory Committee

The Maine Potato Quality Control Board shall serve as the inspection advisory committee. The purpose of the committee shall be to advise the Department of concerns regarding the inspection service. Decisions regarding grade or interpretation of these rules shall be the responsibility of the Department.

F. Enforcement

1. The enforcement of these regulations is vested in the Department as follows:

a. The Department may seize, embargo or detain any load or lot of potatoes, or any portion thereof, if such potatoes are being held, sold or transported in violation of these rules.

b. Potatoes in consumer packs awaiting shipment on the warehouse floor that have not been positive lot identified shall be in violation of these rules.

c. If the Department has reason to believe that potatoes being placed in a trailer or other conveyance do not meet the inspection and grade requirements, it shall be the responsibility of the packer to provide inspector notes, or other documentation to verify compliance.

X. PENALTIES

Any person who violates any of the provisions of these regulations shall be subject to the penalty provisions of Title 7 Maine Revised Statutes Annotated and applicable Department Regulations.

XI. VARIETIES

Disputes arising concerning potato varieties shall be settled by a determination of variety identification made by the Division of Plant Industry of the Department or the Plant Genetics Section of a designated University or other qualified resource. In the event that these resources do not agree, the Commissioner shall be the final decision maker.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 951, 951-B, 954-A, and 1033-A(3)
• EFFECTIVE DATE: July 27, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: July 28, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 126 Official Use of Blue, White and Red State Trademark

Code Me. R. 01-001 Ch. 126 Official Use of Blue, White and Red State Trademark {#sec-01-001-ch.-126 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 126}

SUMMARY:

Rules and regulations promulgated by the Commissioner of Agriculture, to be used when the official Blue, White and Red State Trademark is used.

1. Purpose of Trademark

A. The Blue, White and Red design of the following proportion and description is hereby declared to be a trademark or brand for identifying Maine farm products to wit:

B. Three parallel stripes consisting of blue stripe at the top, white in the center and red at the bottom; the stripes to be of appropriate length and width for the tag, label, bag, package or container used, provided the blue and red stripes shall be of equal width and the white or natural color space separating the two shall be of width appropriate to contain the brands or trademark of the grower or shipper. Below the red stripe may appear the name and address of the grower or shipper and the grade and net weight, the words State of Maine shall appear in the blue stripe and the name of the produce in the red stripe, in Franklin Gothic letters or adaption of the same.

2. Fee Requirement

A .It is permissible for a grower, processor, handler or shipper to use this trademark or brand on Maine grown and packaged farm produce upon application accompanied by a two dollar fee to the Commissioner of Agriculture and receiving from him a license granting the right to use the same.

3. Products to Meet Certain Requirements

A. The above trademark or brands may be used only on products meeting the quality requirements of the official State of Maine Trademark Grades or Standards as promulgated by the Commissioner of Agriculture of the State of Maine. Official inspection must be employed by growers and shippers to verify the quality of products packed under said State of Maine Trademark.

4. Design and Construction

A. To facilitate the procurement of tags, labels, bags, containers or packages properly designed and constructed to display the official State of Maine Trademark the following regulations are established-

1. Manufacturers or distributors of tags, labels, bags, containers or packages shall make application to the Commissioner of Agriculture for a provider's license, accompanied by a five dollar registration fee and shall submit samples or designs of tags, labels, bags, packages or containers for approval by the Commissioner of Agriculture or properly authorized agent as to construction, adaptability and practicability for the use planned. If such designs or samples appear to be worthy of approval, the Commissioner will designate such manufacturer or distributor as an approved provider of such articles and will issue a license to that effect.

2. Granting of such license of approval to the provider shall be conditioned on the agreement of the manufacturer or distributor to furnish such trademarked merchandise only to such individuals, partnerships or corporations within the State of Maine who are entitled to use the same. The Commissioner of Agriculture will furnish approved providers with current lists of growers, shipper or handlers licensed to use said State of Maine Trademark.

3. Who May Suspend License

A. The Commissioner of Agriculture may suspend, revoke or cancel licenses of approved packers or providers for violation of any of the terms mentioned above in which case equitable arrangements will be made for manufactured goods in stock.

AUTHORITY: 7 MRSA 441, 443

EFFECTIVE DATE:

Prior to 1954, probably late 1940's

ACCEPTED FOR FILING:

October 30, 1978 (Secretary of State)

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 13, 2008

CORRECTIONS:

February, 2014 – agency name, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 22, 2026

APAO ACCESSIBILITY CHECK (Word):

April 22, 2026

Chapter 131 ) Bonding Schedule for Dealers in Agriculture Commodities / Dry Beans

Code Me. R. 01-001 Ch. 131 Bonding Schedule for Dealers in Agriculture Commodities / Dry Beans {#sec-01-001-ch.-131 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 131}

SUMMARY:

This chapter sets forth a schedule of the bonding amounts which the Commissioner of Agriculture will require for those licensed to deal in dry beans in the State of Maine.

1. Definitions

A. The definitions contained in 7 M.R.S.A. §452 apply to the defined words and phrases as used in this chapter.

2. Bonding Schedule

A. A license shall file a bond with the Commissioner within thirty (30) days of the date upon which he files his application for license.

B. The amount of a licensee's bond shall be determined by the greatest quantity of dry beans in which the licensee deals during any thirty (30) day period. The schedule of bonding shall be as follows:

Commodity Amount Bond Required

Up to 10,000 pounds in any 30 day period $ 5,000

10,000 to 20,000 " " " " " " $10,000

20,000 to 30,000 " " " " " " $15,000

30,000 to 40,000 " " " " " " $20,000

40,000 to 50,000 " " " " " " $25,000

50,000 to 60,000 " " " " " " $30,000

60,000 to 70,000 " " " " " " $35,000

70,000 to 80,000 " " " " " " $40,000

80,000 to 90,000 " " " " " " $45,000

90,000 to 100,000 " " " " " " $50,000

100,000 to 110,000 " " " " " " $55,000

110,000 to 120,000 " " " " " " $60,000

120,000 to 130,000 " " " " " " $65,000

130,000 to 140,000 " " " " " " $70,000

140,000 to 150,000 " " " " " " $75,000

150,000 to 160,000 " " " " " " $80,000

160,000 to 170,000 " " " " " " $85,000

170,000 to 180,000 " " " " " " $90,000

180,000 to 190,000 " " " " " " $95,000

190,000 to 200,000 " " " " " " $100,000

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §453
• EFFECTIVE DATE: December 9, 1981
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 22, 2026
• APAO ACCESSIBILITY CHECK (Word): April 22, 2026

Chapter 135 Official Use of State of Maine Quality Trademark

Code Me. R. 01-001 Ch. 135 Official Use of the State of Maine Quality Trademark {#sec-01-001-ch.-135 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 135}

Summary:

These rules describe the State of Maine Quality Trademark and establish procedures for licensing and for use for individual commodities and are hereby amended by providing a section on definitions; specify limited reduction of the quality trademark size for use on irregular or small size consumer packages; prohibiting the unauthorized use of or misrepresentation of a product bearing the quality trademark; and, provide for additional quality standards that are in effect but not mentioned in the present regulations.

I. Definitions

Words in the regulations in this part in the singular form shall be deemed to import the plural, and vice versa , as the case may demand. For the purposes of the regulations in this part, unless the context otherwise requires, the following terms shall have the following meanings:

A. Commissioner. "Commissioner" means the Commissioner of Agriculture, Conservation and Forestry.

B Licensed User. "Licensed User" means any grower, packer, processor, handler, dealer, broker, shipper or manufacturer who has applied for and been issued a license to use the official quality trademark and the assigned permit number on tags, labels, bags, containers, packages or advertising material bearing their name and address.

C. Manufacturer. "Manufacturer" means a licensed distributor or producer of tags, labels, bags, containers or packages which incorporate the State of Maine Quality Trademark.

D. Marketing Order. "Marketing Order" means a marketing device containing minimum quality, condition or size requirements that licensed users or industry members have at their disposal to market any designated commodity.

E. Permit Number. "Permit Number" means assigned lot or permit number identifying the licensed user and appearing on the tag, label, bag, container or package as further identification.

F. Producer. "Producer" means the grower or supplier of any specified commodity.

G. Standards. "Standards" means existing USDA grade standards, Maine grade standards, and approved industry standards that are clearly defined through measurable factors and designated as eligible for use of the trademark.

H. Trademark. "Trademark" means a silhouette of the State of Maine as described in Section II of this regulation and designated as the official quality trademark for identifying quality State of Maine products.

II. Description of Trademark

The State of Maine silhouette, as described below, is hereby declared to be a trademark or brand for identifying quality Maine products, to wit:

A. A silhouette of the State of Maine with two horizontal divisions of the State into three roughly equal sections or a facsimile design thereof. The center section shall be white or neutral in color, the top third shall be blue, and the lower third shall be red. The trademark shall specify the name of the product and the work "Maine" in the lower third, the grade of the product, or for products with multiple grades and designated commodities, the word "Quality" in the center third, and the words "State of Maine" in the upper third. If packaging or design constraints exist, a single color for the top and bottom thirds of the trademark with a contrasting lighter or neutral color in the center third may be used instead of the colors required above.

B. Minimum size for use is one inch by one inch, except on irregular or smaller size retail containers that are restricted to the area available for printed information. Smaller silhouettes may be approved upon submitting a request and the designs to be used to the Commissioner or Commissioner's designee. The license assigned permit number of the packer or licensed user must be included on the package directly beneath the trademark or immediately following the name and address on the package.

III. Use of the Trademark

A. The use of the trademark is restricted to products and/or packages which meet the following conditions:

1. Meet or exceed a standard, specified grade, or minimum requirements, as discussed below;

2. Are subject to mandatory inspection;

3. Are produced and/or packaged by a licensed user who shall not permit its unauthorized use in advertising or in misrepresenting a sale on any product which does not meet the minimum requirements;

4. Are in containers produced by a licensed manufacturer;

5. Consists of commodities produced entirely in the State of Maine, unless the specific license agreement states otherwise; and,

6. Meet all other legal requirements of the State.

IV Methods for Establishing Official Standards

A. Where a marketing order exists

1. For all commodities subject to a State or Federal marketing order which provides for standard minimum grades, for mandatory use of the State of Maine Quality Trademark, and for mandatory inspection, any producer subject to the order is eligible to apply for a license to use the State of Maine Quality Trademark.

2. For all commodities subject to a State or Federal marketing order which provides for standard minimum grades, but not for mandatory use of the State of Maine Quality Trademark, or for mandatory inspection or for both, any producer subject to the order and willing to use mandatory inspection may apply for a license to use the State of Maine Quality Trademark.

B. Where a marketing order does not exist

1. When a commodity is packed to standards that meet or exceed the existing, U.S. No. 1, U.S. Grade A, USDA Choice, Category I (CAT.1) standards, established measurable industry or equivalent Maine standards, then any producer of that commodity is eligible to apply for a license to use the State of Maine Quality Trademark so long as established industry standards are complied with and have been designated as eligible for use with the State of Maine Quality Trademark through rulemaking proceedings.

2. For commodities with no marketing order or quality standards in effect, three or more interested individuals may request a rulemaking hearing to establish standards for use of the State of Maine Quality Trademark. After the standards are promulgated, any producer of that commodity may apply for a license to use the State of Maine Quality Trademark.

V. Licensing Requirements

A. To facilitate the procurement of tags, labels, bags, containers or packages properly designed and constructed to display the official State of Maine Quality Trademark, the following procedures are established:

1. Manufacturers of tags, labels, bags, containers, or packages which incorporate the State of Maine Quality Trademark must be licensed and apply annually to the Commissioner or the Commissioner's designee, for a provider's license, accompanied by a twenty-five dollar licensing fee. All licenses shall expire June 30th of each year. In no case shall the State of Maine Quality Trademark appear on a tag, label, bag, container or package without the permit number of the licensed user. Final samples or proofs of designs shall be submitted to the Commissioner or the Commissioner's designee for approval prior to distribution in marketing channels.

2. No manufacturer licensed as in V.A.I. above, may furnish such trademarked merchandise to any individuals, partnerships, or corporations who are not licensed to use the same. The Commissioner or authorized designee will furnish licensed manufacturers with a current list of approved licensed users of the State of Maine Quality Trademark.

3. No industry member may use this official quality trademark on products unless they have submitted an application accompanied by a twenty-five dollar fee to the Commissioner or authorized designee, and has received a license granting the right to use the same. No industry member may use the State of Maine Quality Trademark in advertisements or on products which fail to conform to the official standards established for the State of Maine Quality Trademark Program.

VI. Suspension of License

The Commissioner may act, in accordance with the Maine Administrative Procedure Act , to suspend or revoke licenses of manufacturers or licensed users for violation of any of the terms mentioned above. The accumulation of three or more violations involving misrepresentation of quality, condition, size or other physical characteristics of the product in connection with the use of the State of Maine Quality Trademark in any fiscal year, shall be sufficient cause for the commencement of an action to suspend or revoke the license.

VII. Penalties

Violation of this section is a civil violation for which a forfeiture not to exceed $50 may be adjudged for the first violation and a forfeiture not to exceed $200 may adjudged for each subsequent violation.

History

• STATUTORY AUTHORITY: Title 7 M.R.S.A. §§ 441 and 443.
• EFFECTIVE DATE: September 12, 1988
• AMENDED: December 27, 1989
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 22, 2026
• APAO ACCESSIBILITY CHECK (Word): April 22, 2026

Chapter 136 Official State of Maine Grades and Standards for Milk and Milk Products for Use with the State of Maine Quality Trademark

Code Me. R. 01-001 Ch. 136 Official State of Maine Grades and Standards for Milk and Milk Products for Use with the State of Maine Quality Trademark {#sec-01-001-ch.-136 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 136}

I. DEFINITIONS

For the purpose of this Chapter, and unless the context otherwise indicates, the following words shall have the following meanings:

A. “Applicant” means a person who owns or operates a milk plant, who has applied for an initial license to use the State of Maine Quality Trademark for milk or milk products and a licensed user seeking to renew a license.

B. "Commissioner" means the Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

C. "Department" means the Maine Department of Agriculture, Conservation and Forestry, Division of Quality Assurance and Regulations.

D. “Fresh Milk” means milk offered for sale to the public that complies with 21 CFR 101.95 (2008), except that Ultra Pasteurized or Ultra High Temperature pasteurized milk may not be considered “fresh”.

E. "Licensed User" means an owner or operator of a milk plant who has applied for and been issued a license granting permission to use the official Quality Trademark on packages or advertisement in compliance with Chapter 135, Official Use of the State of Maine Quality Trademark .

F. "Milk" means milk and milk products as defined in 7 M.R.S.A. §2901.

G. “Milk Plant” means any place, premises or establishment where milk or milk products are collected, handled, processed, stored, pasteurized, aseptically processed, bottled or otherwise prepared for distribution.

H. "Milk Producer" means the owner or operator of a dairy farm where milk is sold in bulk form to a milk plant.

I. "Produced within the State" means 80% of the milk in any package must have actually been produced within the state. For any given package, the percentage of milk produced within the state will be deemed to be that percentage of the licensed user's milk used for processing which was actually produced within Maine during the calendar month, according to the Maine Milk Commission.

J. "Recombinant bovine somatotropin" or rBST means the synthetic version of the naturally-occurring hormone, bovine somatotropin or rBST, produced through recombinant DNA technology.

K. "State of Maine Quality Trademark" means the official quality trademark consisting of a silhouette of the State of Maine divided into three horizontal sections, as further described in Department of Agriculture, Conservation and Forestry Rules, Official Use of the State of Maine Trademark , Chapter 135.

II. OFFICIAL STANDARDS

The Grade "A" pasteurized Milk Ordinance, the current revision, as promulgated by the United States Department of Health and Human Services and, alternatively, the standards set forth in The Maine Milk Laws of the Maine Department of Agriculture, Title 7 MRSA §§ 2900 through 2910 and Chapter 329 - Rules Governing Maine Milk and Milk Products - are hereby adopted as the official standards for Maine Grade A milk.

III. LICENSING REQUIREMENT

An applicant must meet the criteria outlined below in order to obtain a State of Maine Quality Trademark license for milk or milk products:

A. An applicant must obtain an original affidavit executed within the preceding six months from each milk producer and other milk plants from whom the applicant regularly purchases or intends to purchase milk or milk products. All affidavits must be in compliance with the requirements of Section VI of this rule.

B. An applicant must provide the Department with an affidavit setting forth the current list of milk producers and other milk plants from whom the applicant regularly purchases or intends to purchase milk stating that the milk producers and milkplants have furnished affidavits in compliance with Section VI of this rule. An applicant who owns or operates a dairy farm where sales of milk produced on the farm are made directly to consumers shall also provide the Department with an affidavit in the form prescribed for producers by Section VI of this rule. The affidavit of an applicant shall also contain a statement that the applicant believes that the milk the applicant has or will purchase or produce is from cows not treated with rBST.

C. An applicant who has previously held a license under these rules or is a licensed user who is applying for a renewal of an existing license must have substantially complied with the requirements of this rule while exercising the privileges of the license.

D. An applicant must obtain written consent from each milk producer from whom the applicant regularly purchases or intends to purchase milk or milk products allowing the Department to draw blood from the milking herd, examine milk production records, inspect medicine storage places, and review such business records as are reasonably necessary to verify compliance with this rule.

E. An applicant must provide the Department with an affidavit attesting to the fact that all milk offered for sale to the public in containers bearing the “State of Maine Trademark” consists entirely of “fresh milk”.

IV. RESPONSIBILITIES OF LICENSED USERS

A. Licensed users must obtain new affidavits from milk producers and milk plants from whom milk is purchased on an annual basis.

B. Licensed users shall file supplemental affidavits with the Department showing the addition of any milk producers or milk plants not mentioned in the affidavit furnished under Section III subsection B, and shall obtain the applicable affidavits and consents under Section VI as soon as practicable following the formation of any contract or arrangement for milk purchases with any new milk producer or milkplant.

C. All affidavits required under this rule to be obtained from milk producers and milkplants must be in compliance with Section VI and be maintained on file and made available for inspection by the Department at all reasonable times.

D. A licensed user must obtain written consent from each milk producer from whom the licensed user purchases or intends to purchase milk, or milk products allowing the Department to draw blood from the milking herd, examine milk production records, inspect medicine storage places, and review such business records as are reasonably necessary to verify compliance with this rule. Licensed users must retain and make the written consents available to the Department at all reasonable times.

E. In displaying or advertising the State of Maine Quality Trademark and making any statements, claims or explanations with regard to the absence of rBST, licensed users must follow any and all labeling regulations or other enforceable guidelines as prescribed from time to time by the United States Food and Drug Administration. Failure to do this may be considered a violation of 7 MRSA §2901-B and may result in sanctions and suspension or revocation of said license.

F. Licensed users must demonstrate compliance at all times with all applicable federal or state laws and regulations and milk must meet the standards established by Section II of this rule for Maine Grade A milk.

G. Licensed users may affix the trademark only to packages containing milk produced within the state.

V. INSPECTION

The commissioner, or a duly authorized agent of the commissioner, may perform inspections as authorized by the written consents which must be obtained under these rules.

VI. AFFIDAVIT FORMAT

Licensed users shall file affidavits required in Sections III and IV of this rule on forms as prescribed and furnished by the Commissioner.

A. In the case of affidavits supplied by milk producers to licensed users, the affidavits shall contain, at a minimum, the full name and address of the milk producer and a sworn statement stating that the milk producer has not used, recombinant bovine somatotropin (rBST) in the previous 60 days, does not possess, and does not intend to use (rBST) during the upcoming year. The affidavit of a milk producer shall also contain the consent required by Section IV, subsection B., and a statement acknowledging a producer's obligations under Title 7 M.R.S.A. §2901-B, sub-§1 which requires that:

1. A milk producer in this State who sells milk to a milk plant who uses the trademark must notify that milk plant before using rBST within the milking herd of the producer's dairy farm;

2. Notification to the dealer must be made at least 45 days before using rBST; and

3. Notification must be made by certified mail and sent to the milk plant’s employee responsible for milk procurement at the plant location where the milk is processed.

B. In the case of affidavits supplied by owners or operators of milk plants to licensed users, the affidavits shall contain, at a minimum, the full name and address of the milk plant and a sworn statement stating that the milk plant possesses, and will make available to the Department, affidavits and consents in compliance with Section VI of this rule from all producers whose milk or milk products is supplied by the milk plant to the licensed user.

VII. NOTIFICATION OF NONCONFORMANCE

The Maine Department of Agriculture, Division of Quality Assurance and Regulations shall be furnished with copies of noncompliance notifications to any milk producer, milk supplier, or milk plant as determined by inspections performed by the Division of Animal Health and Industry.

VIII. SUSPENSION OF LICENSE

The Commissioner may act, in accordance with the Maine Administrative Procedure Act, to suspend or revoke licenses issued under this rule for violation of any of the terms and conditions of this rule. The failure to comply with the requirements of this rule shall be sufficient cause for the suspension or revocation of the license.

IX. RETENTION OF RECORDS

Records and affidavits required to be maintained by licensed users may be discarded after three years.

X. STATUTORY AUTHORITY

7 M.R.S.A. §§ 443, 443-B, 2901-B, 2909

XI EFFECTIVE DATE

( APA Office Note: see rule history below.)

EFFECTIVE DATE:

September 3, 1994

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

AMENDED:

January 23, 2001

CONVERTED TO MS WORD:

May 13, 2008

AMENDED:

December 8, 2008 – filing 2008-569

CORRECTIONS:

February, 2014 – agency names, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 22, 2026

APAO ACCESSIBILITY CHECK (Word):

April 22, 2026

Chapter 137 Official State of Maine Grade for Bottled Water

Code Me. R. 01-001 Ch. 137 Official State of Maine Grade for Bottled Water {#sec-01-001-ch.-137 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 137}

Summary:

This Chapter adopts the Department of Human Services, Bureau of Health's Chapter 235, Rules Relating to Bottled Water, Bulk Water and Water Vending Machines as the minimum quality standards for water bottled in the State of Maine; establishes the "Premium Grade" as the official quality designation for water bottled in Maine and designates the "Premium Grade" eligible for use with the State of Maine Quality Trademark.

I. Official Standards

A. 7 M.R.S.A. §443 and §443-B authorizes the Commissioner (of Agriculture), through joint rulemaking with the Department of Human Services, to establish grades and standards on nonagricultural products. The Commissioner (of Agriculture) hereby incorporates by reference, as the standards for quality levels of Maine bottled water, the Department of Human Services, Bureau of Health's Chapter 235, Rules Relating to Bottled Water, Bulk Water and Water Vending Machines (Annex I) and designated as "Maine Premium Grade" for water bottled in Maine.

B. Definitions

1. Analysis. "Analysis" means the results of official tests performed by a certified laboratory.

2. Certified Laboratories. "Certified laboratories" means those laboratories approved by the Division of Health Engineering, DHS, or the Federal Environmental Protection Agency (EPA) to analyze drinking water samples covered under the Federal & State Safe Drinking Water Act .

3. Drinking Water. "Drinking water" means bottled water obtained from an approved source and tested by a certified laboratory..

4. Maximum Contaminant Level. "Maximum contaminant level" (MCL) means the maximum level of pollutants as set by Chapter 235, Rules Relating to Bottled Water, Bulk Water and Water Vending Machines and the State of Maine Drinking Water Regulations.

5. Monitoring Frequency. "Monitoring frequency" means the rate of recurrence of checking or testing water samples for various quality requirements.

6. Parts Per Billion (ppb). "Parts per billion" means the equivalent of one pound of weight of an ingredient in a billion pounds of water.

II. Grade Adopted

A. Premium Grade. "Premium grade" shall be the official grade designation for bottled water, provided that the water meets the current State of Maine Rules Relating to Bottled Water, Bulk Water and Water Vending Machines , Chapter 235 and the following additional requirements:

1. Water must be from an approved source and shall not contain any constituents in quantities that exceed MCL's established by the Federal Environmental Protection Agency and does not exceed concentration levels specified in Tables 6.1 and 8.1 and Sections 5A and 7A of Chapter 235, excluding reference to increased concentrations of iron, manganese and sodium specified in Section 6A.

2. Water must be bottled under sanitary conditions in a water bottling plant duly approved by the Department of Health and Human Services and bottled in Maine.

3. Access for Inspection Purposes. The Commissioner (of Agriculture), in person or by deputy, shall have free access, ingress and egress at any reasonable hour to any place or building wherein water is bottled, packed, stored, transported, sold, offered or exposed for sale or transportation. The Commissioner, in person or by deputy, may open any container of water bearing the grade designation and may, upon tendering the market price , take samples therefrom for grade analysis.

III. State of Maine Quality Trademark

A. The State of Maine Quality Trademark may be used on products meeting the aforementioned requirements only when a permit to use the Quality Trademark has been applied for and Issued in compliance with the Department of Agriculture Rules 01-001, Chapter 135 and the following requirements:

1. The permit number shall appear on the label or container directly beneath the trademark or immediately following the name and address.

2. Water shall be sampled and tested for microbiological purposes at least once a week by plant quality control personnel from a representative sample of a continuous production run for each type of bottled drinking water produced during a day's production with testing results available upon request.

3. Water shall be sampled and tested for chemical, microbiological, physical, and radiological contaminants at a frequency set by Chapter 235, Section 5A, B, C, 6A, B, C, 7A, 8A & B and performed by certified laboratories with a copy of the completed analysis sent to the Division of Quality Assurance, Department of Agriculture, Conservation and Forestry, 28 State House Station, Augusta, Maine 04333-0028, and the Division of Health Engineering, 10 State House Station, Augusta, Maine 04333-0010.

4. Water shall not exceed five (5) units of turbidity nor exceed fifteen (15) units of color when examined for physical quality by methods mentioned in Section 7, A of Chapter 235.

5 .Current certificates or notification of approval of the plant's sources of water issued by the Department of Human Services or a certified laboratory shall be available for official review upon request and records of all inspections, testing and production shall be maintained according to Chapter 235, Section 13, Records.

6. Product Recall. Each bottled water plant operator and water dealer shall develop and maintain a procedure for product recall and shall Implement the recall procedure for any product for which the operator or dealer knows or has reason to believe circumstances exist that may adversely affect its safety for the consumer. The product recall procedure shall be submitted to the Division of Quality Assurance upon application to use the State of Maine Quality Trademark.

IV. Suspension of Permit

The Commissioner may act, in accordance with 7 M.R.S.A. §445, to suspend or revoke permission to use the trademark of licensed users for violation of any of the terms mentioned above. In addition, three or more violations by the licensee involving misrepresentation of quality or other physical characteristics of the product in any year shall be sufficient cause to suspend or revoke the permit.

V. Penalties

A. Any person who violates any of the provisions of these regulations shall be subject to the penalty provision of Title 7 M.R.S.A. §445 and Title 22 M.R.S.A. §2617.

B. Any person who violates any of the provisions of the State of Maine Quality Trademark will be subject to the penalty provisions as set forth by Department of Agriculture Rules 01001, Chapter 135 and Title 22 M.R.S.A. §2617.

EFFECTIVE DATE:

September 10, 1990

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 13, 2008

CORRECTIONS:

February, 2014 – agency name, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 22, 2026

APAO ACCESSIBILITY CHECK (Word):

April 22, 2026

Chapter 139 Official Standards for Christmas Trees

Code Me. R. 01-001 Ch. 139 Official Standards for Christmas Trees {#sec-01-001-ch.-139 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 139}

Summary:

This Chapter establishes grades for Christmas trees produced on tree farms in Maine and designates the quality levels acceptable for use with the State of Maine Quality Trademark.

1. Official Standards

A. 7 M.R.S.A. §§ 442 and 443 authorizes the Commissioner (of Agriculture) to "establish and promulgate official grades and standards for farm products" and other natural resource products through joint rulemaking with the appropriate department. Such official standards shall not be lower in their requirements than the minimum requirements and official standards for corresponding grades or classifications as promulgated by the Secretary of Agriculture of the United States. The Commissioner hereby incorporates by reference as the standards for grading of Maine Christmas Trees the U.S. Standards for Grades of Christmas Trees , Sections 51.3085 - 51.3106 (Annex 1) of the U.S.D.A., Agricultural Marketing Service, effective October 30, 1989 and designated as Maine grades in cooperation with the Department of Conservation through joint rule-making.

B. Definitions

For the purposes of this Chapter, and unless the context otherwise indicates, the following words shall have the following meanings:

1. "Grades" means designated quality levels for Maine grades for Christmas trees, Premium, No. 1 and No. 2 that are established by the Commissioner.

2. "Inspection on the stump" means the designation of a grade as applied to individual trees prior to cutting.

3. "Licensed user" means the association of Christmas tree growers or individual producers who have applied for and been issued a license to use the official quality trademark on tags or labels in compliance with Chapter 135, Official Use of the State of Maine Quality Trademark , (Annex 2).

4. "Permit number" means assigned lot or permit number appearing on the tag or label identifying the licensed user.

5. "Quality identity tags" means tags or labels bearing the State of Maine Quality Trademark with the grades designated as "Maine Premium" or "Maine No. 1" to identify the quality grades acceptable for use with the trademark.

6. "Representative sample" means a proportionate amount of the whole sample that statistically represents the entire lot.

7. "Trademark" means a silhouette of the State of Maine as described in Section II of Chapter 135, Official Use of the State of Maine Quality Trademark .

II. Grades Adopted

A. Pursuant to 7 M.R.S.A. 442, the Commissioner hereby incorporates by reference the U.S. Premium, U.S. No. I and U.S. No. 2 grades as outlined in Sections 51.3085-51.3106 (Annex 1) as Maine Premium, Maine Mo. 1 and Maine No. 2 grades, respectively.

III. Inspection on the Stump

A. Inspection on the stump may be requested prior to cutting with certification accomplished through representative sampling. The percentages of various quality levels reported shall pertain to all trees within the designated area.

B. Individual quality identity tags may be attached to trees designated as meeting minimum quality requirements at time of inspection on the stump.

IV. Licensing Requirements

A To facilitate the procurement and use of tags or labels which display the Official State of Maine Quality Trademark, the following procedures are established:

1. Manufacturers of tags or labels shall apply for a Provider's License and are subject to Section V, A.1 and 2, VI and VII of Chapter 135.

2. Licensed users shall maintain a record of the total number of tags printed with a valid list of members and the sequence of tag numbers issued to each member who collectively are subject to Section V, A.3, VI and VII of Chapter 135.

3. No industry member may use the State of Maine Quality Trademark in advertisements or on products which fail to conform to the official standards established for the State of Maine Quality Trademark program.

V. Penalties

A. Any person who violates any of the provisions of the State of Maine Quality Trademark regulations will be subject to the penalty provisions as set forth by Department of Agriculture Rules 01-001, Chapter 135.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. § 442, 443, 443-B
• EFFECTIVE DATE: September 3, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 22, 2026
• APAO ACCESSIBILITY CHECK (Word): April 22, 2026

Chapter 141 Official Standards for Grades of Milled Lumber

Code Me. R. 01-001 Ch. 141 Official Standards for Grades of Milled Lumber {#sec-01-001-ch.-141 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 141}

Summary:

This chapter adopts the Northeastern Lumber Manufacturers Association's "Standard Grading Rules for Northeastern Lumber" as official standards for grades of milled lumber produced in Maine and designates the minimum quality levels for each category of lumber that may be used with the State of Maine Quality Trademark.

I. Official Standards

A. 7 M.R.S.A. §§ 443 and 443-B authorizes the Commissioner (of Agriculture) through joint rule-making procedures with the appropriate department to establish grades and standards for nonagricultural products. The Commissioner (of Agriculture) hereby incorporates by reference, as the official standards for grades of milled lumber, the Northeastern Lumber Manufacturers Association's (NeLMA) "Standard Grading Rules for Northeastern Lumber" (Annex 1) and "NeLMA Grading Services Policies and Procedures" (Annex II) to ensure conformance with grading and shipping standards.

II. Minimum Quality Levels

A. Chapter 135, Section IV, B, 1 of the Official Use of the State of Maine Quality Trademark authorizes the Commissioner (of Agriculture) to designate an established measurable industry standard as eligible for use with the State of Maine Quality Trademark. The minimum quality level of each species or use-type of milled lumber that may be used with the State of Maine Quality Trademark will be as follows:

Species or Use Type Minimum Quality

1. Eastern White Pine and Norway Pine D & Better Select

2 Eastern White Pine Common Grades Standard

3. Other Northeastern Species D Select

4. Other Northeastern Common Grades No. 4 Common

5. Eastern White Pine Furniture Grades NeLMA #1A Furniture

6. Light Framing (4 inches and narrower) Standard

7. Structural Light Framing No. 2

8. Decking Selected Decking

9. Structural Joists and Planks No. 2

10. Beams and Stringers No. 2

11. Posts and Timbers No. 2

B. The levels of quality shall be designated on the Quality Trademark by the word "Quality" in the center third of the Trademark in compliance with Chapter 135, Section II, paragraph A.

C. Copies of the NeLMA "Standard Grading Rules for Northeastern Lumber" and "NeLMA Grading Services Policies and Procedures" may be examined at

Bureau of Forestry, Department of Agriculture, Conservation and Forestry

22 State House Station

Harlow Building, AMHI Complex

Augusta, Maine 04333

or

Division of Quality Assurance

Department of Agriculture, Conservation and Forestry

28 State House Station

Deering Building, AMHI Complex, Room 200

Augusta, Maine 04333

III. State of Maine Quality Trademark

A. Notification of nonconformance

1. NeLMA personnel shall notify the Division of Quality Assurance of deficiencies noted during mill inspections and the issuance of "Pre-Warning Notices."

2. Division of Quality Assurance shall notify NeLMA personnel of deficiencies noted during mill visits and licensing procedures.

B. Use of the State of Maine Quality Trademark by producers of milled lumber shall be in accordance with Department of Agriculture, Conservation and Forestry Rule 01-001, Chapter 135, Official Use of the State of Maine Quality Trademark .

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 443 and 443-B
• EFFECTIVE DATE: September 15, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 22, 2026
• APAO ACCESSIBILITY CHECK (Word): April 22, 2026

Chapter 143 Maine Quality Trademark, Standards and Grades for Bunched Italian Sprouting Broccoli

Code Me. R. 01-001 Ch. 143 Official Standards for Grades of Bunched Italian Sprouting Broccoli Designated for Use with the State of Maine Quality Trademark {#sec-01-001-ch.-143 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 143}

Summary:

This Chapter establishes standards of quality for Bunched Italian Sprouting Broccoli produced in Maine and designates the quality levels acceptable for use with the State of Maine Quality Trademark.

1. Official Standards

A. 7 M.R.S.A. §§ 442 and 443 authorizes the Commissioner of Agriculture to "establish and promulgate official grades and standards for farm products." Such official standards shall not be lower in their requirements than the minimum requirements and official standards for corresponding grades or classifications as promulgated by the Secretary of Agriculture of the United States. The Commissioner hereby incorporates by reference as the standards for grading of Bunched Italian Sprouting Broccoli the U.S. Standards for Grades of Bunched Italian Sprouting Broccoli , Sections 51.3555 - 51.3573 effective July 12, 1943 (Annex 1) of the U.S.D.A., Agricultural Marketing Service and designated as Maine Grades.

B. Definitions

For the purpose of this Chapter, and unless the context otherwise indicates, the following words shall have the following meanings:

1. "Grades" means designated quality levels for Maine grades of Bunched Italian Sprouting Broccoli, Fancy, No. 1 and No. 2 that are established by the Commissioner.

2. "Licensed user" means individual producers or packers who have applied for and been issued a permit to use the official Quality Trademark on packages or advertisements in compliance with Chapter 135, Official Use of the State of Maine Quality Trademark (Annex 2).

3. "Permit number" means lot or permit number appearing on the package identifying the licensed user.

4. "Trademark" means a silhouette of the State of Maine as described in Section 11 of Chapter 135, Official Use of the State of Maine Quality Trademark .

II. Grades Adopted

A. Pursuant to 7 M.R.S.A. §442, the Commissioner hereby incorporates by reference the U.S. Fancy, U.S. No. 1 and U. S. No. 2 grades as outlined in Sections 51.3555 - 51.3573 (Annex 1) as Maine Fancy, Maine No. 1 and Maine No. 2 grades, respectively.

III. Quality Identification and Certification

A. Use of the word "Quality " shall be used to identify the multiple quality grades on packages bearing the State of Maine Quality Trademark.

B. No licensed user shall prepare for market, send to market, or have in their possession any broccoli in packages bearing the State of Maine Quality Trademark which have not been determined at point of origin by a duly authorized Federal-State Inspector to have met the standards required by this Chapter.

IV. Penalties

A. Any person who violates any of the provisions of the State of Maine Quality Trademark regulations will be subject to the penalty provisions as set forth by Department of Agriculture Rules 01-001, Chapter 135.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 442, 443
• EFFECTIVE DATE: September 3, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 22, 2026
• APAO ACCESSIBILITY CHECK (Word): April 22, 2026

Chapter 144 Standards for the Use of the State of Maine Quality Trademark on Molluscan Shellfish

Code Me. R. 01-001 Ch. 144 Standards for the Use of the State of Maine Quality Trademark on Molluscan Shellfish {#sec-01-001-ch.-144 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 144}

Summary:

Title 7 M.R.S. §443 and §443-B authorize the Commissioner of Agriculture, Conservation and Forestry to establish standards and requirements for the use of the State of Maine Quality Trademark on non-agricultural products. This chapter establishes standards and minimum requirements for the use of the trademark on molluscan shellfish.

I. Definitions

For the purpose of this Chapter, and unless the context otherwise indicates, the following words shall have the following meanings:

Analysis means the results of official tests performed by a certified laboratory.

Certified laboratory means a laboratory approved by the Maine Department of Marine Resources (DMR) or the U.S. Food and Drug Administration (FDA) to analyze molluscan shellfish and processing facility water supply.

Applicant means a person or business dealing with molluscan shellfish operating under a DMR Shellfish Sanitation Certificate, who has applied for an initial license to use the State of Maine Quality Trademark for molluscan shellfish products or a licensed user seeking to renew a license.

Commissioner means the Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

Department means the Maine Department of Agriculture, Conservation and Forestry (DACF), Division of Quality Assurance and Regulations.

Licensed user means anyone who has been issued a license granting permission to use the official State of Maine Quality Trademark for molluscan shellfish on packages or advertisements in compliance with 01-001 Chapter 135, Official Use of the State of Maine Quality Trademark .

Harvested within the State of Maine means 100% of the shellfish in any package must have actually been harvested within established State of Maine boundaries.

Molluscan shellfish means any edible species of fresh or frozen oysters, clams, mussels, and scallops, or edible portions thereof, except when the scallop product consists only of the shucked adductor muscle.

I. Permit number means an assigned lot designation appearing on the tag or label identifying the licensed user.

J. Shellfish Sanitation Certificate means a numbered certificate issued to a shellfish dealer who has completed a comprehensive onsite inspection by a certified state inspector and found compliant with the requirements of the National Shellfish Sanitation Program (NSSP), and Maine statutes and regulations.

K. State of Maine Quality Trademark means the official quality trademark consisting of a silhouette of the State of Maine divided into three horizontal sections, as further described in DACF Rules, 01-001 Chapter 135, Official Use of the State of Maine Quality Trademark .

II. State of Maine Quality Trademark

The State of Maine Quality Trademark may only be used when a license has been applied for and has been issued by DACF in accordance with these rules and with the requirements of DACF Rules, 01-001 Chapter 135.

III. Licensing Requirements

The following requirements must be met in order to obtain a license for use of the State of Maine Quality Trademark license on molluscan shellfish products:

An applicant for a license to use the State of Maine Quality Trademark on molluscan shellfish must provide DACF with an affidavit attesting to the fact that molluscan shellfish offered for sale to the public in containers bearing the State of Maine Quality Trademark will consist entirely of molluscan shellfish harvested within the State of Maine. Affidavits must be submitted on forms and in a format as prescribed and/or furnished by the Commissioner and, in addition to the above attestation, contain at a minimum, the applicant’s full name and address and the DMR Shellfish Sanitation Certificate number.

An applicant shall develop and maintain a procedure for product recall and shall implement the recall procedure for any product for which the licensed user knows or has reason to believe circumstances exist that may adversely affect its safety for the consumer. The product recall procedure must be submitted for approval to DACF’s Division of Quality Assurance & Regulations with the application to use the State of Maine Quality Trademark.

An applicant must be in compliance with all applicable federal and DMR rules relating to shellfish sanitation and must provide DACF with a copy of a current and valid Shellfish Sanitation Certificate issued by DMR.

An applicant who has previously held a license under these rules or is a licensed user who is applying for a renewal of an existing license must have substantially complied with the requirements of this rule while exercising the privileges of the license.

IV. Responsibilities of Licensed Users

A. Licensed users must demonstrate compliance at all times with all applicable federal and state laws and regulations relating to shellfish sanitation.

B. Licensed users may affix the State of Maine Quality Trademark only to packages containing 100% molluscan shellfish harvested within the State of Maine.

C. The licensed user’s permit number shall appear on the label or container directly beneath the trademark or immediately following the licensed user’s name and address.

D. Health inspection records of the licensed user issued by DMR shall be available for official review upon request and records of all inspections, testing and production shall be maintained.

E. DACF employees must be given free access, ingress and egress at all reasonable hours to any licensed user’s facility, place of business or building wherein molluscan shellfish is packed, stored, transported, sold, offered or exposed for sale or transportation for the purposes of inspection. DACF employees may open any container of molluscan shellfish bearing the State of Maine Quality Trademark designation and may, upon tendering the market price, take samples therefrom for analysis.

V. Notification of Nonconformance

Licensed users must provide DACF Division of Quality Assurance and Regulations with copies of any notices of non-compliance, negative reports or citations issued pursuant to inspections performed by DMR.

VI. Suspension of License/Permit

Any failure to comply with the requirements of the State of Maine Quality Trademark on Molluscan Shellfish rule shall be sufficient cause for the denial, suspension or revocation of this license. Any denial, suspension or revocation of this license shall be in accordance with the applicable provisions of the Maine Administrative Procedure Act .

VII. Retention of Records

All records required to be maintained by licensed users must be kept and be readily available for inspection by DACF employees for a minimum of three years.

VIII. Penalties

In addition to denial, revocation or suspension of a license to use the State of Maine Quality Trademark on molluscan shellfish, any person who violates any of the provisions of the State of Maine Quality Trademark on Molluscan Shellfish rule, or any other law or rule pertaining to the use of the trademark, will be subject to the penalty provisions set forth by DACF Rules, 01-001 Chapter 135.

History

• STATUTORY AUTHORITY: 7 MRS Part 2 chapter 101 subchapter 2 §§ 443, 443-B
• EFFECTIVE DATE: September 18, 2017 – filing 2017-138
• CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD: April 22, 2026
• APAO ACCESSIBILITY CHECK (Word): April 22, 2026

Chapter 170 Rules for Administration of Maine Agriculture Promotion Assistance Matching Fund

Code Me. R. 01-001 Ch. 170 Rules for the Administration of the Maine Agricultural Promotion Assistance Matching Fund {#sec-01-001-ch.-170 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 170}

1. PROGRAM DESCRIPTION

The Maine Agricultural Promotion Assistance Matching Fund has been established to provide grants for promotional efforts designed to increase the demand for Maine agricultural products in existing markets and to identify new markets.

It is expected that the sum of $36,000 will be appropriated for distribution each fiscal year. The range of funding will be up to the 50% level and will be based primarily on projected benefits. No grant may exceed 50% of the cost of a promotional project and no grant may exceed 25% of the yearly fund total. Funds will be allocated on a fiscal year basis and projects should be designed to be completed within one thirty-six month period. For the fiscal years 1983/84 and 1984/85, applications will be accepted through March 31, 1985. For subsequent fiscal years, applications will be accepted from January 1st through March 31st. Applicants will be notified of the Commissioner's decision by May 1st of each year.

2. DEFINITIONS

A. Fiscal Year means State of Maine fiscal year commencing July 1st and ending June 30th of each year.

B. Promotion means action to further the popularity, awareness, sales and use of Maine agricultural products.

3. ELIGIBILITY

Applications will be accepted from individuals, incorporated commodity groups, producer cooperatives, firms, businesses and organizations engaged in the production, processing, marketing or promotion of Maine agricultural products.

4. ELIGIBLE ACTIVITIES

A. Preference will be given to new efforts of the applicant directed at new and existing markets both inside and outside of the State of Maine. Funding requests for expansion of existing programs will be considered and must be accompanied by a statement that the applicant is not decreasing commitment of overall funds for advertising and promotion.

B. Eligible activities may include but are not limited to:

(1) Media Advertising

(2) Publicity-Public Relations

(3) Merchandising

(4) Development of Point-of-Purchase Materials

(5) Trade Show Presentations

(6) Contests

(7) Package or Label Design

(8) Printing and Distribution of Bumper Stickers, Coupons, Export Brochures, Table Tents, Nutritional Information, Place Mats, Recipe Fliers or Cards

5. INELIGIBLE EXPENSES

A. Only expenses directly related to the project will be eligible for funding.

B. No funds shall be used for applicant's administrative costs, salaries, overhead, telephone, postage, etc. Capital expenditures are not eligible costs. Costs for individual business advertisements are not eligible.

6. SOURCE OF PRODUCT

The Product being promoted must be only Maine grown fresh or processed agricultural food, fiber or horticultural products, identified as such. Any other food, fiber or horticultural products used in close relation to the products being promoted, i.e. main ingredients in recipes, illustrated in photos, posters, etc. must also be of Maine origin.

7. SOURCE OF FUNDS

No in-kind services shall be used to match state funds. All matching funds shall be received or documented by the applicant prior to application. Anticipated funds will not qualify unless there is a firm letter of commitment attached to the application. No state or federal funds shall be used to match grants under this program.

8. ACCOUNTING

Applicant shall maintain an accurate record of expenditures incurred and shall, upon completion of the entire project, submit:

A. A financial statement summarizing expenditures and corresponding in format to the approved budget. An interim financial statement must be submitted with any budget adjustment requests.

B. All paid invoices or copies of invoices with canceled checks attached.

C. Copies of all material produced, where feasible.

D. A report on the promotion project and its results in terms of stated objectives.

9. USE OF MAINE AGRICULTURAL SYMBOL

The "Maine Produces" symbol shall be incorporated in all print copy and advertising material. Radio and television copy shall include the phrase, "Maine Produces". Brochures and fliers must contain the statement, "paid for in part by funds provided by the Maine Department of Agriculture, Conservation and Forestry." All copy and designs must be approved by the Department.

10. CRITERIA

Applications will be reviewed and evaluated against the following criteria:

A. Need for project is adequately described and documented and does not duplicate existing programs.

B. Goals are clearly stated and addressed by the work plan and the budget is clearly delineated.

C. Applicant and vendors have adequate qualifications and resources to carry out the program.

D. Prospects exist for continuation of promotional activities after the assistance period has ended.

E. Project design is practical, innovative and compatible with existing and projected programs designed to increase demand and markets for Maine agricultural products.

F. The Commissioner reserves the right to reject any or all applications or to approve any application in part or, with the agreement of the applicant, to modify any project proposal so as to make it approvable. Decisions of the Commissioner shall be final.

11. APPLICATION INSTRUCTIONS

Applicants must submit the following information to be considered for matching grants under the provisions of 7 MRSA §401-C:

A. Applicant. Address

B. Contact Person

Address

Home Phone

Business Phone

C. Activity Title: Select a title that indicates the nature of the activity.

D. Starting Date of Project

E. Completion Date of Project

F. Amount of Qualifying Funds to be raised for Project

G. Amount of Matching Funds Requested

H. Total Project Cost

I. Project Objective

Objectives should be stated in such a way that results can be evaluated, i.e. increased sales, increased per capita consumption, increased share of market segment. Each activity objective should have a performance indicator. Applicant should state how performance evidence will be obtained and presented.

J. Proposed Project

Describe in detail activities to be undertaken and target group. Include a brief background report on or market analysis of the industry/commodity, i.e. annual production, per capita consumption, current markets, volume and dollar sales for previous year. Include a resume on the qualifications and experience of personnel and/or vendor to be hired to carry out the project, if applicable.

K. Proposed Budget - Workplan

List activities contemplated and a breakdown of costs for specific components.

EFFECTIVE DATE:

July 8, 1984

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 13, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

CONVERTED DOCUMENT TO AN UPDATED VERSION OF WORD:

April 22, 2026

APAO ACCESSIBILITY CHECK (Word):

April 22, 2026

Chapter 201 Rules Governing Licensed Livestock Dealers

Code Me. R. 01-001 Ch. 201 Rules Governing Licensed Livestock Dealers {#sec-01-001-ch.-201 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 201}

1. Statutory Authority

The Statutory authority for Rules Governing Licensed Livestock Dealers is Chapter 201 Title 7 MRSA §§ 1303 and 1307. These statutes grant the Commissioner the authority to make rules governing fair and equitable practices in buying and selling livestock and poultry within the State and to suppress practices in such transactions which tend against the elimination of diseased and unfit livestock and poultry.

2. Definitions

The following terms have the following meanings:

Licensed Livestock Dealer: "Licensed Livestock Dealer" means any person, copartnership, association or corporation engaged in the business of buying and selling livestock or poultry whether such purchase or sale be completed by cash,, delayed payment, transfer, exchange, barter or shipment on commission. A person who receives livestock and poultry exclusively for slaughter on his own premises shall not be termed a Licensed Livestock Dealer. The term Licensed Livestock Dealers shall apply to nonresidents of the State who carry on business of buying and selling livestock and poultry in the State, whether such dealer is licensed in the state of residence or not.

3. Records

A. Records of all transactions must be kept to the extent that the Commissioner may trace any animal to the seller.

B. All cattle and swine purchased by or consigned to a Licensed Livestock Dealer must be backtagged with an official USDA backtag that has been issued to that Licensed Livestock Dealer.

C. Licensed Livestock Dealers must furnish sellers with a receipt containing the following information:

1. Number and type of livestock purchased

2. Backtag numbers where applicable

3. Identification of any animals intended for slaughter.

4. Disclosure of Information

A. Licensed Livestock Dealers must provide, on request, prospective buyers with identification of any animals intended by the previous owner to be sold for slaughter.

5. Penalties

A. Any person, copartnership, association or corporation who shall violate any rule or regulation promulgated under section 1302 to 1307, or neglect or refuse to comply with any of the provisions thereof, commits a civil violation for which a forfeiture not to exceed $50 may be adjudged.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 1303 and 1307
• EFFECTIVE DATE: June 8, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 201 page 2

Chapter 202 Rule for the Intrastate Movement of Sheep and Goats

Code Me. R. 01-001 Ch. 202 Rules for the Intrastate Movement of Sheep and Goats {#sec-01-001-ch.-202 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 202}

Section I. PURPOSE

The purpose of the Rules for the Intrastate Movement of Sheep and Goats is to ensure that Maine sheep and goats remain free of scrapie and to meet United States Department of Agriculture (USDA) requirements for Consistent State Status as specified in 9 CFR Part 79.6. Consistent states are required to impose intrastate movement regulations requiring identification upon change of ownership for sheep and goats. These rules are intended to comply with those requirements. These rules will ensure the continued ability for sheep and goat owners to move their animals across state lines for any purpose.

Adoption of these rules requiring identification of sheep and goats on change of ownership for intrastate movement does not in any way obligate Maine or Maine producers to participate in the National Animal Identification System.

Section II. DEFINITIONS

1. Animal. A sheep or goat.

2. Department: The Maine Department of Agriculture, Conservation and Forestry.

3. Direct Movement to Slaughter. Transported to a facility for slaughter, without stops or unloading except for feeding and watering during which the animals are not commingled with any other animals.

4. Official Identification. Identification mark or device approved by the USDA or Department for use in the Scrapie Eradication Program. An approved identification ear tag must be sufficiently tamper-resistant for the intended use and provide unique identification for each animal. Examples of official identification may include: scrapie identification tags issued by the USDA or by the Department; breed registration tattoos accompanied by breed registration certificates or other tattoos approved by the Department; or USDA-approved electronic identification devices.

5. Owner. A person, partnership, company, corporation or any other legal entity that has legal or rightful title to animals, whether or not they are subject to a mortgage.

6. Scrapie. Scrapie is a nonfebrile, transmissible, insidious degenerative disease affecting the central nervous system of sheep and goats.

7. Scrapie Eradication Program. The cooperative State-Federal program administered by the USDA APHIS and consistent states to control and eradicate scrapie.

8. Scrapie Flock Certification Program (SFCP). The cooperative Federal-State-industry voluntary program for the control of scrapie.

9. Slaughter Channels. Animals in slaughter channels include any animal that is sold, transferred, or moved either directly to a slaughter facility, to an individual for custom slaughter, or for feeding for the express purpose of improving the animals' condition for movement to slaughter. When selling animals for slaughter, owners should note on the bill of sale that the animals are sold only for slaughter.

10. United States Department of Agriculture. The United States Department of Agriculture, Animal and Plant Health Inspection Service (APHIS). The Animal and Plant Health Inspection Service of the United States Department of Agriculture.

Section III. IDENTIFICATION REQUIREMENTS

All sexually intact animals must be officially identified on change of ownership for movement within the State of Maine, except for those animals less than 18 months of age moving direct to slaughter or those animals less than 18 months of age moving in slaughter channels.

Section IV. SLAUGHTER CHANNEL MOVEMENTS

No sheep or goat may be removed from slaughter channels unless it is identified to the flock of birth, and the animal is not exposed to scrapie or from an infected or source flock.

Section V. RECORDKEEPING

1. The owner must maintain records for a minimum of five years from the date of application of the identification. These records must be made available upon request during normal business hours to any authorized employee of the USDA or the Department. The records must include the following:

a. the official identification number applied;

b. the number of animals identified, by species;

c. the type of official identification; and

d. the date on which the official identification was applied.

2. In addition to maintaining records specified above, each individual who applies official identification must provide the following, upon request.

a. the name, premises, mailing address, and if available, phone number of the individual for which the official identification was applied;

b. the name and address of the owner of the flock of birth, if the flock of birth is known, and

c. the name, premises, mailing address, and if available phone number of the individual or premises that purchased or otherwise received these animals.

3. Each individual or entity who receives, purchases, acquires, sells, or disposes of any sheep or goats must keep records of each transaction for a minimum of five years from the date of the transaction. Each record must include the following:

a. the number of animals included in the transaction;

b. the date of the transaction;

c. the name, address, and if available, the phone number of the second party involved in the transaction;

d. the species and breed of the animals involved;

e. a copy of the brand inspection certificate or certificate of veterinary inspection for all animals that have official identification consisting of brands or ear notches; and

f. all business records, including sale tickets or invoices.

Section VI. SCRAPIE FLOCK CERTIFICATION PROGRAM

Owners of sheep and goats may enroll in the Scrapie Flock Certification Program. Owners may contact the USDA in Sutton, MA at 508-865-1421.

Section VII. VIOLATIONS

Whoever violates any provisions of this rule, commits a civil violation for which a forfeiture not to exceed $500 per day for each violation may be adjudged, except that the total of the forfeitures may not exceed $50,000.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §1752
• EFFECTIVE DATE: March 31, 2007 – filing 2007-114
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 202 page 3

Chapter 203 Rule for the Participation in the Maine Chronic Wasting Disease Surveillance Program

Code Me. R. 01-001 Ch. 203 Rules for the Participation in the Maine Chronic Wasting Disease Surveillance Program {#sec-01-001-ch.-203 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 203}

History

• STATUTORY AUTHORITY: The statutory authority for the Maine Chronic Wasting Disease Program is found in 7 M.R.S.A. §1821.
• PURPOSE: The Maine Chronic Wasting Disease Surveillance Program is intended for captive cervid herd owners to monitor for Chronic Wasting Disease (CWD). It requires the cooperation of the licensed owner and the Department of Agriculture, Conservation and Forestry. All facilities shall be inspected and licensed in accordance with 7 MRSA §1333 (captive deer) and 7 MRSA §1341 (large game shooting areas). Facility inspections and herd inventory reviews shall also be consistent with provisions defined in 9 CFR 55.23 (b)(4) Responsibilities of States and enrolled herd owners (January 1, 2012).
• PURPOSE: The Maine Chronic Wasting Disease Surveillance Program is consistent with the proposed US Department of Agriculture’s Chronic Wasting Disease Program. At the time of the federal program adoption, the Department shall make every effort to work with herd owners, participating in the Maine program, to ensure they be included in the US Department of Agriculture’s program.
• PURPOSE: The purpose of this program is to:
• PURPOSE: Detect existing disease or absence of infection in the Maine captive cervid populations
• PURPOSE: Prevent the introduction of infected cervids from other states
• PURPOSE: Eradicate CWD from captive cervid populations if it is found with Maine
• DEFINITIONS: Captive: Cervids that are privately or publicly maintained or held for economic or other purposes within a perimeter fence or confined space.
• DEFINITIONS: Case Definition: A deer 12 months of age or older having chronic weight loss and exhibiting any or all of the following symptoms: isolates self from herd, listlessness, blank facial expression, head drooping, loss of muscle control, repetitive walking in pen, hyperexciteability, nervousness, interest in grain, but no interest in hay, hypersalivation, teeth grinding, increased urination and drinking of water.
• DEFINITIONS: Cervids: All members of the cervid family and hybrids including but not limited to elk, reindeer and related species.
• DEFINITIONS: Herd Inventory: A physical herd census with third party validation. The current animal census must be reconciled with the records from the previous annual herd inventory by state or federal personnel, or a specifically authorized accredited veterinarian.
• DEFINITIONS: Certificate of Veterinary Inspection: A legible certificate or form issued by an accredited veterinarian, issued within 30 days preceding importation, and approved by the chief livestock official of the state or country of origin. The Certificate of Veterinary Inspection must contain the following information:
• DEFINITIONS: Names and full addresses (and physical addresses if different) of Consignor and Consignee.
• DEFINITIONS: Official identification for each animal
• DEFINITIONS: Age, sex and breed for each animal
• DEFINITIONS: All required test results
• DEFINITIONS: Signature of accredited veterinarian attesting to the health of the animals
• DEFINITIONS: The following statement:
• DEFINITIONS: “To the best of my knowledge, these cervids have not been exposed to Brucellosis, Tuberculosis or Bluetongue for one year prior to the date of entry. In addition, these cervids originate from a herd that has participated in a state or USDA sanctioned CWD Surveillance program for a minimum of 60-months and do not demonstrate clinical signs compatible with CWD or have not been exposed to CWD positive cervids or cervids demonstrating clinical signs of CWD for the previous five years.”
• DEFINITIONS: CWD Certified Herd: A cervid herd that has successfully completed 60-months of participation in the monitoring program and has had no CWD positive cervids nor have any cervids been exposed to a positive CWD cervid.
• DEFINITIONS: Chronic Wasting Disease (CWD): A transmissible spongiform encephalopathy (TSE) of cervids.
• DEFINITIONS: CWD Program: A program of surveillance, monitoring, testing and related actions designed to provide a status of Chronic Wasting Disease.
• DEFINITIONS: CWD Exposed Cervid: A cervid that is or has been in the last 60-months part of a CWD positive herd.
• DEFINITIONS: CWD Positive Cervid: A cervid that has had a diagnosis of CWD confirmed by means of an official CWD test conducted by a laboratory certified by US Department of Agriculture.
• DEFINITIONS: CWD Negative Cervid: A cervid that has had an official CWD test conducted by a laboratory certified by the US Department of Agriculture and that has test results in a “not detected” or negative classification.
• DEFINITIONS: CWD Suspect Cervid: A cervid for which inconclusive laboratory evidence suggests a diagnosis of CWD.
• DEFINITIONS: 13. CWD Infected Zone. A defined geographic area, as defined by the Commissioner of the Maine Department of Agriculture, Conservation and Forestry, and in consultation with the Commissioner of Inland Fisheries and Wildlife, respective of state boundaries, in which CWD is present, whether in wild or captive herds.
• DEFINITIONS: Department: The Maine Department of Agriculture, Conservation and Forestry.
• DEFINITIONS: Department of Inland Fisheries and Wildlife: The Maine Department of Inland Fisheries and Wildlife (IF&W).
• DEFINITIONS: Enrollment Date: The day, month and year in which the State officially enrolls an owner’s herd in the CWD Surveillance Program and initial enrollment requirements are met.
• DEFINITIONS: Herd: One or more cervids that are under common ownership or supervision and are grouped on one or more parts of any single premises, and all cervids under common ownership or supervision on two or more premises, which are geographically separated, but on which cervids have been commingled or had direct or indirect contact with one another.
• DEFINITIONS: Importation Permit: A document issued by the Department prior to the time of entry that authorizes the importation of cervids into the State.
• DEFINITIONS: License: A license issued by the Division of Animal and Plant Health, Department of Agriculture, Conservation and Forestry entitling the holder to propagate, possess, purchase and/or sell cervids.
• DEFINITIONS: Mandatory Reporting: The requirement that all cervids meeting the CWD case definition be evaluated by an accredited veterinarian and reported to the Department immediately.
• DEFINITIONS: Monitored Herd: A program of surveillance, monitoring, testing and related actions designed to identify CWD infection in special purpose herds or in those herds not participating in the CWD Certified Herd program.
• DEFINITIONS: Owner: An individual, partnership, company, corporation or other legal entity that has legal or rightful title to an animal or herd of animals.
• DEFINITIONS: Permit Application for State Entry: An application, which must be submitted to the Department prior to the issuance of an importation permit.
• DEFINITIONS: Special Purpose Herd: A captive herd managed and maintained in such a manner that no live cervid is removed or allowed to be removed from the designated premises, such as a Maine licensed commercial large game shooting area.
• USDA: The United States Department of Agriculture, Animal and Plant Health Inspection Service.
• USDA: Official Identification. The identification of cervids with a minimum of two state and federally approved identifiers. The identification must enable the trace-back of cervids to herd of origin.
• USDA: Identification shall include at least one of the following: permanent tattoo; microchip; or official state ear tag;
• USDA: Identification may include one of the following: herd ear tag; leg tag; collar tag; or other identification approved by the Department.
• USDA: Official Test: A CWD test approved by the U.S. Department of Agriculture and performed at a U.S. Department of Agriculture approved laboratory.
• USDA: Premises: The ground, area, buildings, water sources and equipment commonly shared by a herd of animals.
• USDA: 29. Quarantine: An order issued by a State or Federal official prohibiting the movement of animals to and from a designated premises.
• USDA: 4. PROGRAM CRITERIA
• USDA: Applicability: The requirements in this section apply to all captive cervid operations.
• USDA: Application: Owners shall complete an application for participation in the Maine CWD Surveillance Program on a form provided by the Department and submit it to the Department. The application shall be signed by the herd owner, herd veterinarian, and the Department.
• USDA: CWD Certified Herd Status: No captive cervid operation may engage in the breeding of and/or the sale or removal of live cervids from the premises for any purposes except for immediate slaughter unless the herd has been CWD Certified. An operation that enrolls in the CWD Herd Certification program and complies with all program standards for a period of at least 60-months shall be eligible for CWD Certified Herd status. An operation enrolled in the CWD herd certification program for less than 60-months, but which otherwise meets all other program standards, may be granted CWD certified herd status at the discretion of the Department.
• USDA: Record keeping: Accurate records documenting purchases, sales, interstate shipments, intrastate shipments, escaped cervids, and deaths (including harvested cervids) must be established and maintained for at least 60 months for all captive cervid operations. Documentation must be made available to state or federal regulatory officials during normal business operating hours. Information provided in the records must include individual animal identification, carcass/sample identification tag, sex, species and age. In addition, all operations with cervid herds enrolled in the CWD Surveillance Program must establish and maintain accurate records that document the results of the annual herd audit.
• USDA: Facilities. All captive cervid operations shall provide appropriate refrigeration and storage facilities to contain and preserve CWD samples obtained from harvested, slaughtered and deceased cervids for at least 72-hours following slaughter notification, as required by the CWD certified or monitored herd program. All captive cervid operations, with the exception of special purpose herds, shall have proper restraining facilities, chutes, gates and corrals to capture and restrain the cervids for diagnostic testing and inventory purposes. Capture and restraint of captive cervids shall be the responsibility of the owner.
• USDA: Herd integrity. Separate herd inventories, biosecurity, records, working facilities, watering facilities, equipment and land use shall be maintained for each distinct herd for which an individual CWD status is sought, irrespective of ownership. No commingling of animals shall occur between distinct herds with individual disease status unless program movement requirements for herd status are met. Movement of animals between such herds shall be recorded as if they were separately owned herds.
• USDA: Sample collection. Individuals who have passed State or USDA approved sample collection training may collect and submit samples to support tuberculosis and CWD program requirements.
• USDA: 8. CWD Herd Certification Program Requirements
• USDA: a) Establishment of a CWD Herd Status. CWD herd status shall be based on the enrollment date in the program and will also take into consideration the previous CWD testing history of the herd as approved by the Commissioner. The enrollment date is established upon receipt and approval of a satisfactory facility and premises inspection, initial herd inventory, and completed enrollment application. Herds properly enrolled and satisfactorily participating in the CWD Certified Herd Program shall receive a status designation based upon the number of months of successful participation. A herd with fewer than twelve months of satisfactory participation shall be designated a First Year Status Herd. If the herd continues to meet the requirements of the CWD Certified Herd Program, each year, upon review of the report of the annual herd inventory, and on or after the anniversary of the enrollment date, the herd status will be upgraded by one year; i.e., Second Year Status, Third Year Status, Fourth Year Status and Fifth Year Status.
• USDA: b) Yearly Sampling and Testing Requirements:
• USDA: The captive cervid operation must:
• USDA: 1. Submit for testing appropriate CWD samples from all natural deaths of cervids over 12 months of age, in accordance with 9 CFR 55.23(b)(3) (January 1, 2012);
• USDA: 2. Submit for testing all appropriate CWD diagnostic samples from all clinical CWD suspects; and
• USDA: 3. Submit for testing appropriate CWD samples from slaughtered and/or harvested cervids over 12 months of age so that the total sample size does not exceed a 2 percent prevalence level and 95 percent confidence as illustrated in the following table.
• USDA: Assumed Prevalence
• USDA: 2%
• USDA: 5%
• USDA: 10%
• USDA: 20%
• USDA: Population or Lot Size
• USDA: Up To
• USDA: Size of Sample
• USDA: 50
• USDA: 50
• USDA: 35
• USDA: 20
• USDA: 5
• USDA: 100
• USDA: 75
• USDA: 45
• USDA: 23
• USDA: 8
• USDA: 250
• USDA: 110
• USDA: 50
• USDA: 25
• USDA: 11
• USDA: 500
• USDA: 130
• USDA: 55
• USDA: 26
• USDA: 13
• USDA: 1,000
• USDA: 140
• USDA: 55
• USDA: 27
• USDA: 14
• USDA: 1,500
• USDA: 140
• USDA: 55
• USDA: 27
• USDA: 14
• USDA: 2,000
• USDA: 145
• USDA: 60
• USDA: 27
• USDA: 14
• USDA: 4,000
• USDA: 145
• USDA: 60
• USDA: 27
• USDA: 15
• USDA: 10,000
• USDA: 145
• USDA: 60
• USDA: 27
• USDA: 15
• USDA: 100,000 and any larger
• USDA: 150
• USDA: 60
• USDA: 30
• USDA: 15
• USDA: c) Animal Identification: Each herd member and herd addition must have official ID.
• USDA: d) Annual Physical Herd Inventory: A physical herd inventory must be conducted by the captive cervid operation between 90 days prior to and 90 days following the annual anniversary date established by the CWD Certified Herd Program enrollment date. All cervids must be either present or accounted for on the annual inventory. Cervids that were killed or died during the course of the year must be tested as described in Chapter 4.8 (b) above. A state or federal animal health official or their designee shall validate the annual inventory. A report of the validated annual inventory containing all official identification of each animal must be promptly submitted to the Department.
• USDA: e) Additions to CWD Surveillance Program Herds:
• USDA: Equivalent or higher status additions: Herd additions shall be permitted if the cervids to be added to the captive cervid operation originate from a Maine herd enrolled, and in good standing in the Maine CWD Certified Herd Program and of equal or greater status. For herd additions from herds existing outside the borders of Maine, cervids must originate from a herd enrolled in a CWD Certified Herd Program equivalent to the Maine program (as determined by the Commissioner) and must originate from a herd enrolled in such a program for a minimum of 60-months. Except that movement of cervids is prohibited from any herd located within a CWD infected zone. No change in the CWD herd status will result from such additions.
• USDA: Herd additions originating from lower status herds: Herd additions originating from non-status or lower status herds are not permitted.
• USDA: 9. CWD Monitored Herd Program Requirements:
• USDA: All special purpose herds and those not participating in the CWD Certified Herd Program consisting of one or more susceptible cervids shall participate in the CWD Monitored Program as a monitored herd. No live cervid sales or movements may be made from CWD Monitored herds except as approved by the Commissioner or when shipped to a licensed large game shooting area. Live cervids may not be removed from the premises of a CWD Monitored herd except that cervids may be moved into such herds from equal or greater status. CWD Monitored Herd status is achieved by implementing the following procedures:
• USDA: Sampling and Testing Requirements:
• USDA: The captive cervid operations must:
• USDA: a) Submit for testing appropriate CWD samples from all natural deaths of cervids over 12 months of age;
• USDA: b) Submit for testing all appropriate CWD diagnostic samples from all clinical CWD suspects; and
• USDA: c) Submit for testing appropriate CWD samples from slaughtered and/or harvested cervids so that the total number of cervids sampled on an annual basis represents 10 percent or 30, whichever is less, of the total number of susceptible cervids over 12 months within the herd. In no case shall the combined number of cervids sampled on an annual basis represent less than 10 percent (rounded up to the next whole number) or 30 whichever is less, of the estimated susceptible test eligible herd population. Notwithstanding this part, all natural deaths must be submitted for CWD diagnosis.
• USDA: 2. Additions to CWD Monitored Herds:
• USDA: a) Maine Source Additions: Up to June 30, 2006, additions to CWD Monitored herds may be made only if such additions originate from Maine herds that have achieved CWD Certified Herd or Monitored first year status or higher. From July 1, 2006 to June 30, 2008, additions to CWD Monitored Herds may be made only if such additions originate from Maine herds that have achieved CWD Certified Herd or Monitored Herd Second Year Status or higher. From July 1, 2008 to June 30, 2010, additions to CWD Monitored Herds may be made only if such additions originate from Maine herds that achieved CWD Certified Herd or Monitored Herd Fourth Year Status or higher. Effective July 1, 2010, additions to CWD Monitored Herds will be permitted only if they originate from herds that have achieved CWD Certified Herd Status or been enrolled as a CWD Monitored Herd Program for 60-months.
• USDA: b) Imported Source Additions: For herd additions from herds existing outside the borders of Maine, cervids must originate from a herd enrolled in a CWD Certified Herd Program equivalent to the Maine program (as determined by the Commissioner) and must originate from a herd enrolled in such a program for a minimum of 60-months.
• USDA: 3. Animal Identification:
• USDA: a) Each herd addition, other than natural additions, must have a minimum of two official/approved unique identifiers affixed to the animal.
• USDA: b) Carcass and sample identification tags must be affixed to all unidentified harvested captive cervids, natural deaths, and clinical suspects. The Department will provide tags. Tag numbers must be entered into the CWD monitored herd record along with the corresponding information that identifies the disposition of the carcass. This information will be used to notify the owner of the test results.
• STATUTORY AUTHORITY: 7 M.R.S.A. §182
• EFFECTIVE DATE: June 27, 2006 – filing 2006-274
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 8, 2014 – filing 2014-277
• AMENDED: 01-001 Chapter 203 page 2
• AMENDED: 1

Chapter 204 Rule for the Licensing Requirements for Farmed Cervids

Code Me. R. 01-001 Ch. 204 RULE FOR THE LICensing Requirements for FARMED Cervids {#sec-01-001-ch.-204 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 204}

1, DEFINITIONS:

The following terms have the following meanings:

Department: The Department of Agriculture, Conservation and Forestry.

Cervids: All members of the cervidae family and hybrids including but not limited to elk, caribou, reindeer, and related species as specified by the Commissioner in accordance with 7 M.R.S.A. §1333(1)(A).

C. License: A license means a certificate issued by the Department of Conservation and Forestry, Division of Animal Health and Industry authorizing the holder to propagate, possess, purchase or sell cervids. Licenses are issued for a 12-month period.

Livestock Dealer’s License: A certificate issued by the Department of Agriculture, Conservation and Forestry, Division of Animal Health & Industry, authorizing the holder to resell domestic livestock or act as an agent for the sale of domestic livestock in the State of Maine.

Established License Holder: An established license holder means an individual, who as of June 30, 2006, held a valid license to propagate, possess, purchase or sell cervids.

2. INSPECTIONS:

An initial inspection of the premises by the Department is required prior to the issuance of an initial license. Such inspection will, to the extent practicable, be conducted within 30 days of the receipt of the application for licensure. The applicant must be present. The Department shall contact the applicant in advance to arrange a suitable date and time for the inspection to take place. During the initial inspection the Department shall review all applicable rules with the applicant, including, without limitation, this rule, Chapter 206 Prevention and Control of Certain Diseases of Domestic Animals and Poultry, and Chapter 211 Rules for the Disposal of Animal Carcasses.

During the initial inspection the applicant will be provided with a Department contact list. A Departmental inspection form will be used for the inspection, which must be signed by both the Department and the applicant at the conclusion of the inspection.

B. An annual inspection of the premises is required prior to the issuance of any license renewal. Such inspection will, to the extent practicable, be conducted within 30 days of the receipt of an application for license renewal. The applicant may be present at the inspection. A Departmental inspection form will be used for the inspection and will be signed by the Department at the conclusion of the inspection.

C. The Department may conduct additional inspections whenever the Department believes that deficiencies may exist at a premises. Such inspections shall occur upon reasonable prior notice and shall be of such frequency as the Department deems necessary to assure that all deficiencies have been properly corrected. A Departmental inspection form will be used for such inspections and will be signed by the Department at the conclusion of the inspection.

The premises must comply with all laws and rules regarding the importation, propagation and farming of cervids, including, without limitation, this rule, Chapter 206, Prevention and Control of Certain Diseases of Domestic Animals and Poultry, and Chapter 211 Rules for the Disposal of Animal Carcasses.

3. TEMPORARY LICENSE:

If deficiencies are found by the Department during the initial license inspection, or during an annual inspection for license renewal, the Department may, in its discretion, issue a temporary license conditioned upon the correction of the deficiencies. A temporary license issued by the Department pursuant to this rule shall be of such duration, as determined by the Department, to be reasonable and necessary for the correction of the deficiencies as noted on the Departmental inspection form. The failure to correct the deficiencies by the end of the temporary license term shall be grounds for the Department to deny an initial license, or for the Department to refuse to renew a license. Any person that the Department has denied a license renewal may request a hearing before the Department in accordance with the Maine Administrative Procedure Act.

4. RECORDS:

A. License holders must maintain accurate records documenting all purchases, sales, escapes, births and deaths of all cervids residing at the licensed premises. Documentation shall be made available to the Department during normal business hours.

5. IDENTIFICATION:

Farmed cervids must be identified with a minimum of two state and federally approved identifiers.

A. Identification must include at least one of the following: permanent tattoo; microchip; or official state ear tag;

B. Identification may include one or more of the following: herd ear tag; leg tag; collar tag; or other identification approved by the Department.

C. The identification must enable the trace-back of cervids to herd of origin.

6. CONFINMENT, HANDLING, AND HERD MANAGEMENT:

A. Confinement

1. Cervids must be confined in such a manner as to prevent escape and to prevent wild deer and other wild animals from entering the enclosure.

2. Established License Holder’s shall construct and maintain perimeter fencing a minimum of 6 feet high. All other license holders shall construct and maintain perimeter fencing a minimum of 8 feet. Barbed wire is prohibited in any area where cervids may have contact with that wire.

B. Handling

1. Handling facilities must be adequate to allow cervids to be handled humanely and safely.

2. Each access lane and catch pen must be designed and constructed of materials adequate for the safe containment of cervids for inspection, identification and testing.

3. No nails, barbed wire or other potential hazards may protrude from any facility, lane or pen.

4. Where no handling facilities exist, the license holder must use adequate immobilization methods as outlined in a written plan approved by the Department. Such plan shall outline a humane and safe method to handle the cervids.

5. Any needles, syringes, tranquilizers or other dangerous medications must be maintained in a secure storage area.

C. Herd Management

Cervids must have free access to the following:

1. Clean water

2. Adequate feed to maintain weight during any stage of production

3. Adequate shelter, which may be either natural or constructed

4. Natural shelter: A well-drained area consisting of trees or brush that affords protection from direct sun, wind, rain and other inclement weather that is large enough to accommodate all cervids comfortably at one time.

5. Constructed Shelter: A well-drained structure that has a roof and affords protection from direct sun, wind, rain and other inclement weather that is large enough to accommodate all cervids comfortably at one time. No nails or other potential hazards may be exposed.

6. Cervids must be grouped in a way that will allow all cervids to receive an adequate amount of water, feed and shelter.

D. Carcass Disposal. All carcasses shall be managed in accordance with Chapter 211, Rules for the Disposal of Animal Carcasses.

7. RECOVERY OR DISPOSITION OF ESCAPED CERVIDS:

A. The license holder shall report any escaped cervids to the Department within 24-hours of the known escape. The license holder shall be responsible for monitoring the movement of the escaped cervids and for recovering the cervids as authorized by the Department. If a cervid has been at large for longer than 72 hours, but has been returned to the owner’s premises alive, the escaped cervid must be identified and tested for CWD when it ultimately dies.

B. The Department may euthanize any captured cervid that is relinquished to the Department by its owner, if known, for the purpose of diagnostic testing for the presence of CWD. The Department may, in accordance with 7 M.R.S.A. §1802, condemn any captured cervid that is suspected of being infected with, or exposed to, CWD, and order that cervid euthanized for the purpose of diagnostic testing.

In the event that capture of the escaped cervid is not practical, the Department will consult with the owner, if known, to determine whether the owner will relinquish the cervid to the Department. If the owner agrees to relinquish the cervid, or if the owner does not agree but the commissioner of the Department condemns the cervid in accordance with 7 M.R.S.A. §1802, the representatives of the Department, with cooperation from the representatives of the Maine Department of Inland Fisheries and Wildlife, may destroy the escaped cervid, and samples may be taken for the purpose of diagnostic testing. The license holder shall be responsible for reasonable and appropriate costs associated with the capture, euthanasia, or destruction of escaped cervids.

8. SUSPENSIONS AND REVOCATION:

A. The Department may, in a manner consistent with the Maine Administrative Procedure Act, suspend or revoke a license at any time a person is determined to be in violation of 7 M.R.S.A. Chapter 202, Chapter 206, Prevention and Control of Certain Diseases of Domestic Animals and Poultry, Chapter 211, Rules for the Disposal of Animal Carcasses or of this rule.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §1333
• EFFECTIVE DATE: June 27, 2006 – filing 2006-275
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 204 page 4

Chapter 205 Rules Governing Poultry Disease Control Fund

Code Me. R. 01-001 Ch. 205 Rules Governing the Poultry Disease Control Fund {#sec-01-001-ch.-205 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 205}

I. AUTHORIZATION

A. Statutory Authority and Scope

1. The Statutory Authority for the Poultry Disease Control Fund is found in 7 M.R.S.A. §§ 1756-1757.

2. Chapter 205 establishes the rules governing the Poultry Disease Control Fund.

II. BACKGROUND AND INTENT OF POULTRY DISEASE CONTROL FUND

A. The legislation authorizing the Poultry Disease Control Fund was established in 1984 during a serious outbreak of Avian Influenza in the United States.

B. An Avian Influenza Task Force was formed and as one of the actions the committee recommended the establishment of the Poultry Disease Control Fund.

C. During the outbreak the poultry industry agreed to contribute, if necessary, up to $100,000 to the Fund and Governor Joseph-Brennan agreed to contribute, if necessary, up to $100,000 from the Governor's contingency fund.

D. The task force assumed that the maximum of $200,000 in the fund was adequate to depopulate and dispose of the initial infected flock and to indemnify the flock owner should an outbreak have occurred in Maine prior to a federal emergency being declared in the state.

E. The Task Force assumed that the Governor's contribution would be used for initial expenses but that the Industry and Governor's contribution would be shared equally up to the maximum of $200,000.

F. If further outbreaks occurred beyond the initial outbreak, the Task Force assumed that a federal emergency would be declared and therefore that federal funding would be used to depopulate and dispose of the poultry and to indemnify producers.

G. Although the Poultry Disease Control Fund was developed during the Avian Influenza crisis, the intent of the Task Force was that the Poultry Disease Control Fund be used during any emergency caused by any poultry disease.

III. ESTABLISHMENT OF POULTRY DISEASE CONTROL FUND

A. Upon discovery of any significant threat of contagious or infectious disease and after consultation with appropriate industry organizations, the Commissioner may levy an assessment from flock owners.

B. The assessment from flock owners as well as monies appropriated by the Legislature for the purpose described in Section II and from other public and private sources shall be credited to the Poultry Disease Control Fund.

IV. PURPOSE OF FUND

A. The Poultry Disease Control Fund may be used to detect, prevent, control and eradicate any contagious or infectious poultry disease within the state.

V. PROCEDURES FOR ABATEMENT OF CONTAGIOUS OR INFECTIOUS DISEASES

A. Upon discovery or suspicion of a significant threat of any contagious or infectious disease to poultry in the state, the Commissioner or his designee will direct that specimens from the flock(s) be sent to one or more state approved laboratories.

B. The laboratories will make a tentative diagnosis of the disease by usual lesions, serological tests and isolation of the causative disease agent by using standard diagnostic methods.

C. Confirmation of the disease will be made at the National Animal Disease Laboratory (NADL) in Ames, Iowa.

D. After consultation with appropriate industry organizations, the Commissioner or his designee will initiate appropriate disease control measures as prescribed by the State Veterinarian including destruction if deemed necessary.

VI. ASSESSMENT

A. After consultation with appropriate industry organization and subject to paragraph B, the Commissioner will levy an assessment to owners of commercial poultry flocks within the state of 3( per bird for (replacement) pullet flocks, breeder flocks, and laying flocks and 1/2( per bird for meat type birds based upon average inventory for the previous 12 months. Where the Commissioner determines that a greater or lesser amount of assessment is appropriate to meet current contingencies, he shall so establish such amount by rulemaking.

B. The total assessment levied to the poultry flock owners shall not exceed $100,000 and no single poultry flock owner shall be assessed more than 25% of the total assessment or more than $25,000, whichever is the smaller amount, as specified in 7 M.R.S.A. §1757.

VII. INDEMNITY

Appraisal

A. After consultation with appropriate industry organizations, the Commissioner may indemnify from the Poultry Disease Control Fund owners of flocks destroyed because of a contagious and infectious diseases.

B. In accordance with 7 M.R.S.A. §§ 1756-7, the amount of indemnification will be established by a State or Federal appraiser at the time of eradication of the poultry flock.

C. Subject to the limitations set forth in 7 M.R.S.A. §§ 1756-7, the amount of indemnity to be paid will be based upon fair market value based upon the following: number, age, type of poultry flock and current value of the flock type.

D. The combined value of salvage plus state indemnity and federal indemnity cannot exceed the amount of the appraisal.

E. Should the flock owner disagree with the appraisal, he may have a hearing before the Commissioner or his designee. Any request for a hearing shall be in writing and shall be made within 10 days following receipt of the appraisal. Such hearing shall be an adjudicatory hearing under the Maine Administrative Procedure Act.

VIII. REVERSION

A. When, in the judgment of the commissioner, the threat of a contagious or infectious poultry disease entering into the State and the spread to other farms no longer exists and no state or federal poultry quarantine is in effect in the State, he may direct that monies remaining in the Poultry Disease Control Fund revert to contributors on a pro rata basis according to the amount of contributions made since the establishment of the fund or since the most recent reversion of the fund, whichever has last occurred (Sec. 2, 7 M.R.S.A. §1757).

IX. PENALTY

A. Assessments authorized under section V may be recovered in a civil action. In addition, any person who Violates any of these rules shall be subject to a civil penalty not to exceed $1,000. (Sec. 2, 7 M.R.S.A. §1757).

EFFECTIVE DATE:

April 5, 1985

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 13, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 205 page 4

Chapter 206 Prevention and Control of Certain Diseases of Domestic Animals and Poultry

Code Me. R. 01-001 Ch. 206 Prevention and Control of Certain Diseases of Domestic Animals and Poultry {#sec-01-001-ch.-206 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 206}

1. STATUTORY AUTHORITY

The statutory authority for Prevention and Control of Diseases of Domestic Animals is found in 7 MRSA §1752 and 7 MRSA §1812. This legislation grants the Commissioner of Agriculture, Conservation and Forestry the authority to promulgate all rules necessary to prevent and control certain diseases of domestic animals and poultry and to prevent, control, and eradicate Brucellosis. Furthermore, there are several specific provisions in 7 M.R.S.A. chapters 202, 301, 303 and 305 which grant rule-making authority.

2. DEFINITIONS

The following terms have the following meanings:

A . Accredited Veterinarian: A licensed veterinarian certified by the USDA to be an Accredited Veterinarian.

B . Authorized Agent of the Commissioner: A state veterinarian or a licensed, practicing veterinarian contracted to work for the department; or any other department employee who has been authorized by the commissioner to obtain samples for the purpose of testing.

C. Boarding/Breeding Facility: An establishment that boards horses, regardless of the number of horses or the length of time of boarding, and receives compensation for these services.

D. Brucellosis Class A State: A state or area defined by the USDA as a class A state or area.

E. Brucellosis Class B State: A state or area defined by the USDA as a class B state or area.

F. Brucellosis Class C State: A state or area defined by the USDA as a class C state or area.

G. Brucellosis Class Free State: A state or area defined by the USDA to be a class free state or area.

H. Certified Brucellosis Free Herd: A herd of cattle or bison which has qualified for and whose owner has been issued a certified brucellosis free herd certificate signed by the appropriate state animal health official and the veterinarian in charge.

I. Certificate of Veterinary Inspection: A legible certificate signed by an accredited veterinarian and approved by the chief livestock official of the state or country of origin stating that the animals are free from signs of contagious, infectious and communicable diseases and containing the following:

1. An official identification number, or identification satisfactory to the commissioner, for each animal

2. Age, sex and breed of each animal

3. The results of any qualifying test

4. The exact address of consignor (sender) and consignee (receiver).

5. The expected date of entry

J. Cervids: All members of the cervidae family and hybrids, including deer, elk, moose, caribou, reindeer, and related species.

K. Commissioner: The Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

L. CWD: Chronic Wasting Disease, a transmissible spongiform encephalopathy of cervids.

M. CWD Certified Herd: A cervid herd that has successfully completed 60 months of participation in an accredited CWD Surveillance Program and has had no CWD Positive cervids or any cervids been exposed to a CWD Positive cervid.

N. CWD Exposed Cervid: A cervid that is or has been part of a CWD Positive herd in the past 60 months.

O. CWD Infected Zone: A geographic area within a 25 mile radius of a wild or captive cervid that tested positive for CWD within the past 60 months.

P. CWD Positive Cervid: A cervid that has had a diagnosis of CWD confirmed by means of an official CWD test by a laboratory certified by the US Department of Agriculture.

Q. CWD Surveillance Program: A program of surveillance, monitoring, testing, and related actions designed to provide a status of CWD at a given facility or geographic area.

R. CWD Suspect Cervid: A cervid for which inconclusive laboratory evidence suggests a diagnosis of CWD.

S. Department: “Department” means the Maine Department of Agriculture, Conservation and Forestry.

T. Domestic Animals: Cattle, sheep, goats, swine, horses, mules, asses, lamas, dogs, cats, ferrets, cervidae as authorized in chapter 202, and other domestic animals defined by statute.

U. Exotic Ruminants: Ruminants other than cattle and bison, sheep and goats that are susceptible to brucellosis, tuberculosis and bluetongue.

V. Export: To move animals from the state of Maine either internationally or interstate.

W. Herd: One or more domesticated animals that are under common ownership, possession, and/or supervision and are grouped on one or more parts of any single premises, or on two or more premises which are geographically separated but on which domesticated animals have been commingled or had direct or indirect contact with one another.

X. Import: To move animals either internationally or interstate into the state of Maine.

Y. License for Domestic Cervidae: A license issued by the department entitling the holder to possess, propagate, or sell domestic cervidae, or to sell the meat from domestic cervidae.

Z. Livestock Dealers License: A license issued by the department entitling the holder to resell domestic livestock or act as the agent for the sale of domestic livestock in the state of Maine.

AA. Market Cattle: Cows and bulls two years of age or over which have been moved to a slaughter establishment as defined in this section.

BB. Market Swine: All male and female swine six months of age and over which have been slaughtered at a slaughter establishment as defined in this section.

CC. National Poultry Improvement Plan (NPIP ): A cooperative industry state-federal program through which new technology can be effectively applied to the improvement of the poultry and poultry products throughout the country.

DD. Official Calfhood Vaccinate: Female cattle or female bison vaccinated for brucellosis from 4 to 12 months of age using a vaccine approved by the department and conducted by a state veterinarian, a federal veterinary medical officer or an accredited veterinarian using procedures as determined by the USDA.

EE . Permit for State entry (permit): A document issued by the commissioner that must be obtained before the time of entry into the state of Maine.

FF . Pet Birds: Birds which are not poultry and may include but not limited to psittacine species.

GG . Poultry: Poultry means all domesticated birds which are bred for the primary purpose of producing eggs, meat, down or feathers.

II. Pseudorabies Monitored Herd: A swine breeding herd that has been sampled and tested negative by an pseudorabies serologic test conducted at a laboratory approved by the state of origin during the last 365 days at the following rate:

10 head -- test all

11-35 head -- test 10

36 or more -- test 30 percent

or 30 whichever is less

Tested breeding swine 180 days of age and older to be selected at random, including herd boars, all groups to be proportionately represented.

JJ . Qualified Pseudorabies Negative Herd: A herd determined to be qualified pseudorabies negative based upon testing procedures defined by the USDA.

KK . Quarantine: An area designated by the commissioner from which animals designated by the commissioner may not be removed, nor to which animals designated by the commissioner may enter.

LL . Slaughter Establishment: A facility where animals are slaughtered under the supervision of the USDA.

MM . Tuberculosis Accredited Free State: A state designated by the USDA as accredited free.

NN . USDA: United State Department of Agriculture.

OO . Tuberculosis Accredited Herd: A herd tested in accordance with USDA testing criteria.

PP . USDA Bluetongue High Incidence State: State or area designated as such by the USDA.

QQ . USDA Bluetongue Low Incidence/Free State: State or area designated as such by the USDA..

RR . U.S. Sanitation Monitored: A flock designated by the state using USDA approved procedures.

SS . Validated Free State: A state certified as a validated free by the USDA.

TT . Validated Free Herd: A herd certified as a validated free herd utilizing testing criteria established by the USDA

UU . Farm of Origin: A place where animals of single ownership originate.

3. GENERAL REQUIREMENTS FOR DOMESTIC ANIMALS AND POULTRY

A. Domestic animals or poultry infected with or exposed to any contagious or infectious disease, or any domestic animals or birds from any sick herd, flock or area under quarantine in any state or country shall not be imported into the state of Maine.

B. Domestic animals or poultry that have been given a biological product capable of spreading disease and capable of causing an antibody titer for reportable diseases among susceptible animals or poultry shall not be imported without first obtaining written permission from the commissioner.

C. All conveyances and equipment used for the transportation of livestock and poultry shall be maintained in a sanitary condition as determined by the commissioner.

D. The owners and operators of all conveyances and equipment used for movement of any livestock or poultry infected with or exposed to any reportable diseases shall have the conveyances and equipment cleaned and disinfected as the commissioner may direct.

E. Imported domestic animals or poultry not in compliance with these rules may, at the discretion of the commissioner, located in 7 M.R.S.A. §1753;

1. be returned to the state or country of origin; or

2. be placed under quarantine or;

3. be slaughtered or condemned.

F. States having a written agreement with the state of Maine may be exempt from testing requirements as the commissioner may direct.

G. All qualifying tests for importation of domestic animals and poultry shall be conducted at USDA approved laboratories, or as approved by the commissioner.

4. IMPORTATION REQUIREMENTS

A. IMPORTATION OF CATTLE (including bison)

1. A permit is required for all cattle imported into the State. This does not apply to cattle imported from Canada consigned to a slaughter establishment.

2. All cattle imported into the State, except cattle consigned to a slaughter establishment, shall be accompanied by a certificate of veterinary inspection issued within the 30 days preceding importation.

3. All cattle shall be identified by permanent official ear tag approved by the state of Maine indicating the state of origin.

4. Brucellosis Requirement

a. Cattle originating in brucellosis class free states

1)There is no brucellosis test requirement for cattle being imported directly from a farm of origin provided those cattle have resided in that brucellosis free area for the previous 365 days and that fact is documented on the certificate of veterinary inspection.

2)Cattle that have not resided in a brucellosis free area for the previous 12 months are subject to the following requirements:

a) USDA officially vaccinated female cattle 545 days of age and older shall be tested negative to an official test for brucellosis conducted within the 30 days preceding importation.

b) USDA female cattle not officially vaccinated, and all male cattle, 180 days of age and older shall be tested negative to an official test for brucellosis conducted within the 30 days preceding importation.

c) No brucellosis test is required for cattle, originating directly from the farm of origin, which are under 180 days of age.

3)Cattle originating in auctions are subject to the following requirements:

a) USDA officially vaccinated female cattle 545 days of age and older shall be tested negative to an official test for brucellosis conducted within the 30 days preceding importation. An official calfhood vaccination tattoo must be visible to qualify as an official vaccinate.

b) USDA female cattle not officially vaccinated, and all male cattle, 6 months of age and older shall be tested negative to an official test for brucellosis conducted within the 30 days preceding importation.

c) No brucellosis test is required for cattle, originating directly from the farm of origin, who are under 180 days of age.

b. Cattle originating in Class "A" States and Class "B" States are subject to the following requirements:

1. There is no brucellosis test required for cattle originating from a USDA certified brucellosis free herd.

2)Vaccinated female cattle over 180 days of age shall be negative to an official brucellosis test conducted within the 30 days preceding importation.

3)All male cattle over 180 days of age shall be negative to an official brucellosis test conducted within the 30 days preceding importation.

4)Unvaccinated female cattle less than 180 days of age may enter the state without an official brucellosis test provided they are born into a certified brucellosis free herd. All unvaccinated female cattle that are not born into a certified brucellosis free herd, are ineligible for import.

5)Male cattle less than 180 days of age may enter the state without an official brucellosis test provided they are born into a certified brucellosis free herd.

6)USDA officially vaccinated female cattle less than 545 days of age may enter the state without an official brucellosis test provided they are born into to a certified brucellosis free herd.

c. Cattle originating in Class "C" States shall not be imported into Maine.

d. Steers and spayed heifers

1)There is no brucellosis test requirement.

e. Cattle for immediate slaughter

1)Cattle for immediate slaughter, except cattle from Canada for immediate slaughter, shall be imported under permit and must be identified by ear tag, tattoo or other identification as the commissioner may direct. Slaughter cattle shall not be diverted en route and shall be unloaded only at the designated slaughter establishment within 24 hours of importation.

5. Tuberculosis testing requirements

a. Cattle originating in an accredited free state are required to meet the following requirements:

1)There is no tuberculosis test requirement for cattle being imported directly from a farm of origin in state/countries classified as USDA accredited free of tuberculosis or an equivalent certification, determined by the USDA, provided those cattle have resided in that area for the previous 365 days and that fact is documented on the certificate of veterinary inspection.

2)All cattle 180 days of age and older that have not resided in an accredited free area during the previous 180 days shall be negative to an official test for tuberculosis conducted within the 60 days preceding importation. Exception: cattle originating directly from an accredited free herd are not required to have an official test for tuberculosis.

3)All cattle originating in any auction must be negative to an official test for tuberculosis conducted within the 60 days preceding importation.

b. Cattle originating in states other than accredited free states are subject to the following requirements:

1)No tuberculosis test is required for cattle that are identified as members of a USDA tuberculosis accredited free herd and were included in the most recent test.

2)All cattle 180 days of age or older shall be negative to an official test for tuberculosis conducted within the 60 days preceding importation.

6.Bluetongue Requirements are as follows:

a. Cattle originating in USDA bluetongue low incidence/free states:

1)No blood test is required for cattle who have continuously resided since birth in a bluetongue low incidence/free state.

2)Cattle over 180 days of age originating from, but not native to, a bluetongue low incidence/free state that have not resided since birth in the bluetongue low incidence/free state shall have a negative blood test conducted within the 30 days preceding importation.

b. Cattle originating in areas other than USDA bluetongue low incidence/free:

1 ) Cattle over 180 days of age shall have a negative blood test within the 30 days preceding importation into Maine.

7. Importation of cattle into a quarantined cattle feedlot

a. There are no test requirements for steers and spayed heifers imported directly to a quarantined cattle feedlot provided the following criteria are met.

1. An annual application to operate a quarantined cattle feedlot must be submitted to the department.

2. A permit shall be obtained from the commissioner prior to moving cattle into or out of a quarantined cattle feedlot.

3 ) A certificate of veterinary inspection shall accompany all imports into a quarantined cattle feedlot.

4. Steers and spayed heifers shall originate in tuberculosis accredited free states.

5. Cattle originating in states that are USDA bluetongue high incidence shall not be eligible for importation. In addition, the certificate of veterinary inspection shall contain the statement signed by an accredited veterinarian "To the best of my knowledge the animals on this certificate have not been exposed to bluetongue for the past year.”

6. Only steers and/or spayed heifers may be imported without test. All other animals shall be imported as per the importation requirements.

7. Cattle may be inspected when unloaded at the quarantined cattle feedlot at the discretion of the commissioner.

8. All cattle leaving a quarantined cattle feedlot must go directly to slaughter unless prior relevant importation tests from the original state of origin are conducted and are negative.

9. Management practices must conform to current acceptable federal, state and local standards to provide for emergency and routine carcass disposal, manure removal and/or utilization, and prevention of ground and surface water contamination.

10. Cattle in a quarantined cattle feedlot shall be maintained separately and apart from other classes of cattle.

11. Cattle found to be in violation of the requirements of the quarantined cattle feedlot may be subject to immediate slaughter or immediate return to the state of origin.

B. IMPORTATION OF SWINE

1. A permit is required for all swine imported into the state, except swine imported from Canada consigned to a slaughter establishment under supervision of the USDA.

2. All swine imported into the state, except swine consigned to a slaughter establishment, shall be accompanied by a certificate of veterinary inspection issued within the 30 days preceding importation.

3. No swine that have been fed raw garbage, or swine exposed to swine that have been fed raw garbage shall be imported into the state.

4. All swine must be identified by a permanent, individualized identification indicating that animal’s state of origin.

5. Brucellosis Requirement

a . Swine originating in brucellosis validated free states

1. There is no testing requirement for swine provided those swine have resided in that validated free state for the previous 365 days and that fact is documented on the certificate of veterinary inspection.

2. There is no testing requirement for any swine, regardless of duration of residence, for swine residing in a validated free herd when that herd number is documented on the certificate of veterinary inspection.

3. All other swine, 180 days of age and older must be tested negative to an official test for brucellosis conducted within the 30 days preceding importation. These swine shall not leave the farm of destination without prior approval of the commissioner.

4. Swine less than 180 days of age may enter the state under quarantine and shall be tested, at the owners expense, upon reaching 180 days of age.

b . Swine originating in states not brucellosis validated free

1)Swine originating in validated free herds shall not require testing provided swine over 180 days of age were included in the most recent herd test. Date of last validation test must be recorded on the certificate of veterinary inspection.

2. Swine over 180 days of age not from validated free herds shall be negative to an official test for brucellosis conducted within the 30 days preceding importation.

3. Swine less than 180 days of age shall originate from validated free herds and must be born into the herd.

4. Swine less than 180 days of age not originating from a validated free herd are not eligible for importation.

6. Pseudorabies requirement

a . Swine originating in USDA stage V states or equivalent

1. No pseudorabies testing is required if the swine have been residents for the previous 365 days and that fact is documented on the certificate of veterinary inspection.

2. No pseudorabies testing is required, regardless of residency, for swine originating directly from a pseudorabies monitored herd or a qualified pseudorabies negative herd.

3. All other swine, from a stage V state or equivalent, 180 days of age or older, shall be negative to a test for pseudorabies conducted within the 30 days preceding importation.

4. All other swine, less than 180 days of age, may be imported under quarantine and shall be tested, at the owners expense, upon reaching 6 months of age. These swine may not be moved from the farm of destination without prior approval of the commissioner.

b. Swine originating in USDA stage IV States or the equivalent

1. No pseudorabies testing is required for swine originating directly from herds that are pseudorabies qualified negative or pseudorabies monitored.

2. All other swine, 180 days of age or older, shall be negative to an official test for pseudorabies conducted within the 30 days preceding importation.

3. All other swine, less than 180 days of age, may be imported under quarantine and shall be tested, at the owners expense, upon reaching 180 days of age. These swine may not be moved from the farm of destination without prior approval of the commissioner.

c. Swine originating in USDA Stage I, II, III States

1. All swine over 180 days of age shall be negative to a pseudorabies test conducted within the 30 days preceding importation.

2. All swine less than 180 days of age shall originate from pseudorabies qualified negative herds.

d. Swine originating in states not having a USDA status shall be tested as set forth in section 6 (c) above.

e. Swine for immediate slaughter shall be imported under permit. These swine shall not be diverted en route, shall be unloaded only at the designated slaughter establishment and shall be slaughtered within 24 hours of importation.

f. Swine vaccinated for pseudorabies shall not be imported into the state.

C. IMPORTATION OF SHEEP

1. A prior permit is required for all sheep imported into the state.

2. Sheep imported into the state shall be accompanied by a certificate of veterinary inspection issued within the 30 days preceding importation.

3. All sheep imported into the state shall be identified by either: scrapie identification tags issued by the Department or the United States Department of Agriculture; breed registration tattoos accompanied by breed registration certificates or other tattoos approved by the Department; or USDA-approved electronic identification devices.

D. IMPORTATION OF GOATS

1. A prior permit is required for all goats imported into the state.

2. Goats imported into the state shall be accompanied by a certificate of veterinary inspection issued within the 30 days prior to importation.

3. All goats imported into the state shall be identified by either: scrapie identification tags issued by the Department or the United States Department of Agriculture; breed registration tattoos accompanied by breed registration certificates or other tattoos approved by the Department; or USDA-approved electronic identification devices.

E. IMPORTATION OF POULTRY, HATCHING EGGS AND EXHIBITION OF POULTRY

1 . All poultry and hatching eggs of poultry must be accompanied by a valid certificate of veterinary inspection.

2 . Poultry for breeding or production and/or hatching eggs of poultry must originate from flocks and/or hatcheries have an N.P.I.P pullorum-typhoid clean rating and must be U.S. sanitation monitored.

3.Poultry for commercial breeding or production and/or hatching eggs of poultry must originate from flocks and/or hatcheries having a N.P.I.P. mycoplasma gallisepticum and mycoplasma synoviae clean rating.

4. Poultry for immediate slaughter shall be imported under permit and shall be unloaded only at the designated slaughter establishment.

5.Poultry for exhibition must originate from flocks having a N.P.I.P. pullorum typhoid clean rating.

F. IMPORTATION OF PET BIRDS FOR RESALE

1. Any person importing pet birds may only obtain pet birds from suppliers who have obtained a permit from the Maine Department of Agriculture.

2. A certificate of veterinary inspection is required for all shipments within the 30 days preceding importation.

G. IMPORTATION OF HORSES, PONIES, MULES AND OTHER EQUIDAE

1. A certificate of veterinary inspection must accompany all shipments and must have been issued within the 30 days preceding importation.

2. An official equine infectious anemia test must be conducted with negative results within 12 months preceding the date of importation for all animals 180 days of age and older. The date of the test must be documented on the certificate of veterinary inspection.

H. IMPORTATION OF FERRETS FOR RESALE

1. Any person importing ferrets may only obtain ferrets from suppliers who have obtained a permit for shipping ferrets into Maine.

2. A certificate of veterinary inspection, issued within the 30 days preceding importation, is required for all shipments.

3. All ferrets three months of age and over must have a current vaccine for rabies as evidenced by valid certificate of immunization signed by a licensed veterinarian.

I. IMPORTATION OF NEW WORLD CAMELIDS

1. New world camelids may only be imported under permit and must be accompanied by a certificate of veterinarian inspection.

2. There is no tuberculosis or brucellosis testing required for new world camelids imported directly from a farm of origin, if these new world camelids were born and raised on that farm, and that farm is in a tuberculosis and brucellosis free state.

3. New world camelids 180 days and older shall be tested negative for brucellosis conducted within the 30 days preceding importation if originating in an auction or if they had been co-mingling with other animals.

4. New world camelids 180 days of age and older shall be tested negative for tuberculosis test conducted within the 60 days preceding importation if originating in an auction or if they had been co-mingling with other animals.

5. New world camelids 180 days of age and older shall be negative to a test for bluetongue conducted within the 30 days preceding importation if imported from an area endemic for bluetongue.

J. IMPORTATION OF EXOTIC RUMINANTS

1 . Exotic ruminants may only be imported under permit and must be accompanied by a certificate of veterinary inspection.

2 . Exotic ruminants 180 days of age and older must test negative for brucellosis in a test conducted within the 30 days preceding importation.

3 . All exotic ruminants must test negative to tuberculosis in a test conducted within the 60 days preceding importation.

4 . Exotic ruminants 180 days of age and older must test negative for bluetongue in a test conducted within the 30 days preceding importation.

K. IMPORTATION OF DOMESTIC ANIMALS AND POULTRY FOR EXHIBITION

1. A permit is required before animals may enter the state for exhibition.

2. A certificate of veterinary inspection must accompany the shipment and must state that the animals described on the certificate are “For Exhibition Only”. The certificate of veterinary inspection shall be valid for a period of time beginning with the first agricultural fair and ending at the completion of the last agricultural fair scheduled for that year in the state of Maine.

3. Exhibition animals shall only reside at the place of exhibition and may not be moved to any private place or farm in the state of Maine.

4. Exhibition animals must meet all importation testing requirements for that species prior to obtaining a certificate of veterinary inspection.

5. No exhibition animals may be sold or removed without meeting current importation requirements for that species.

L. IMPORTATION OF RATITES

1 . Ratites imported into Maine must have a negative test for avian influenza conducted within the 30 days preceding importation.

M. IMPORTATION OF DOMESTIC CERVIDAE

1 . A permit must be obtained from the Department before the importation of any domestic cervidae into the State of Maine. The permit must contain the following information, as verified by the Maine state veterinarian, or his/her designee.

a. The exact address of the consignor (sender) and consignee (receiver), including the latitude and longitude coordinates of the consignor’s herd where cervids are to be shipped;

b. CWD Surveillance Program status of the consignor and consignee;

c. Herd inventory of the consignor for the past 60 months;

d. History of CWD testing on the consignor’s cervid herd for the past 60 months;

e. List of individual states where the consignor purchased or otherwise acquired cervids during the past 60 months;

f. List of individual states where the consignor sold or otherwise shipped cervids during the past 60 months; and

g. Verification that testing requirements for brucellosis, tuberculosis, and bluetongue have been met.

2. All domestic cervidae must be accompanied by a certificate of veterinary inspection issued within the 30 days preceding importation.

3. The Commissioner, at his or her discretion, may require the inspection of any cervids imported into the State of Maine prior to unloading or being offloaded from any transit or shipping vehicle.

4. Brucellosis requirement

a. There is no testing requirement for animals originating directly from a certified brucellosis free herd or, if importation is from outside the United States, is from a herd determined to be brucellosis-free pursuant to a testing and certification program is equivalent to the USDA certified brucellosis free herd.

b. All other domestic cervidae, 180 days of age or older, must be tested negative to an official test for brucellosis conducted within the 30 days preceding importation.

c. All other domestic cervidae, less than 180 days of age, may be imported under quarantine and tested for brucellosis, at the owners expense, upon reaching 180 days of age.

5. Chronic Wasting Disease Requirement

a. Cervids shall not be imported into the State of Maine unless all of the following requirements are met, as verified on the certificate of veterinary inspection:

1. Consignor’s herd has participated in an accredited CWD Certified Herd program in good standing for the past 60 months;

2. Consignor’s cervid herd is located more than 25 miles from a CWD Infected Zone;

3. No cervids in the consignor’s herd have ever tested positive for CWD;

4. No cervids in the consignor’s herd have been classified as CWD Suspect; and

5. No cervids in the consignor’s herd have been classified as CWD Exposed within the past 60 months.

6. No cervids in the consignor’s herd demonstrate clinical signs of CWD.

6. Tuberculosis Test Requirement

a. All imported cervids must come from a USDA accredited tuberculosis free herd or, if importation is from outside the United States, come from a herd that was part of a testing and certification program that is equivalent to a USDA accredited TB-free herd. The USDA accredited free herd number must be indicated on the certificate of veterinary inspection.

b. Cervidae six months of age and older must have been tested and found to be negative for tuberculosis within 90 days preceding importation.

c. Domestic cervidae, less than 180 days of age, may be imported under quarantine and, at the owner’s expense, must be tested for tuberculosis upon reaching 180 days of age.

7 . Bluetongue, epizootic hemorrhagic disease and anaplasmosis test requirement

a . Domestic cervidae imported from areas where these diseases are endemic must be tested negative to an official test for those diseases conducted within the 30 days preceding importation.

8. Domestic cervidae for immediate slaughter

a. A permit is required for all domestic cervidae imported for immediate slaughter. The cervidae must be accompanied by a certificate of veterinary inspection. These animals must not be diverted en route. Domestic cervidae from Canada must only be imported to a USDA approved slaughter plant in a truck sealed at the border.

9. Other Requirements

a . All persons possessing domestic cervidae for the purpose of raising for hobby, for the sale of meat and other products, or for shooting by clients in licensed commercial large game shooting areas, must have an appropriate license from the Department.

b . Holders of a valid livestock dealers license may hold domestic cervidae for a maximum of seven (7) days without an additional license to keep domestic cervidae.

c. Persons who possess a permit to posses, rehabilitate, or commercially exhibit white-tailed deer and/or moose by the Department of Inland Fisheries and Wildlife are prohibited from possessing domestic cervids on the same premises.

d. Persons who possess a license to practice taxidermy by the Department of Inland Fisheries and Wildlife are prohibited from possessing domestic cervids on the same premises.

O. IMPORTATION OF CATS AND DOGS NOT FOR RESALE

1 . All dogs and cats of eligible age must have a current vaccination evidenced by a certificate for rabies conducted by a licensed veterinarian.

5. DISEASE CONTROL FOR ANIMALS AND BIRDS WITHIN THE STATE

A. GENERAL

1. Any domestic animal and/or poultry condemned by the commissioner shall be slaughtered and disposed of as the commissioner shall direct.

2. The commissioner may enter any premises and/or auction, suspected of having any contagious or infectious disease, conduct an investigation, and take any sample necessary to diagnose and/or control any contagious or infectious disease, or any alleged incidence of inappropriate animal husbandry practices.

3. No animal or bird that has been in any zoo or menagerie shall be permitted in any premises in the state where any domestic animals or poultry are kept without meeting importation requirements for that species.

B. REPORTABLE DISEASES

1 . The commissioner shall have the authority to quarantine any animals with a reportable disease and any animals having contact with the animals having a reportable disease for the time necessary to control the disease. The following diseases are to be reported to the commissioner either immediately (within 24 hours by phone or using the on-line disease report form on the Department’s website) or monthly, as follows:

a. Bovine

1. Immediate reporting

a) Bluetongue

b) Bovine Spongiform Encephalopathy

c) Brucellosis

d) Malignant Catarrhal Fever

e) Tuberculosis

f) Any Vesicular Disease

g) Any unexplained increase in dead or diseased animals.

h) Toxic Substance Exposure that may threaten animal health, human health or food safety

i) All exotic or eradicated diseases

2. Monthly Reporting

a) Anaplasmosis

b) Johne’s Disease

Mycobacterium avium paratuberculosis

c) Trichomoniasis

b. Equine

1. Immediate reporting

a) Contagious Equine Metritis

Taylorella equigenitalis

b) Eastern/Western Equine Encephalitis

EEE/WEE

c) Equine Herpes Myeloencephalopathy

Equine herpes virus-1

d) Equine infectious anemia

e) Equine Piroplasmosis

f) Equine Viral Arteritis

g) Vesicular stomatitis

h) West Nile Virus

i) Toxic Substance Exposure that may threaten animal health, human health or food safety

j) Any unexplained increase in dead or diseased animals

k) All exotic or eradicated diseases

2. Monthly Reporting

a) Equine Protozoal Myleoencephalitis

Sarcocyctis neruona

b) Potomac Horse Fever

c) Strangles

Streptococcus equi

c. Porcine

1. Immediate reporting

a)Brucellosis

b) Pseudorabies

c) Swine Influenza

d) Trichinellosis

Trichinella spiralis

e) Tuberculosis

f) Any Vesicular Disease

g) Toxic Substance Exposure that may threaten animal health, human health or food safety

h) Any unexplained increase in dead or diseased animals

i) All exotic or eradicated diseases

2. Monthly Reporting

a) Porcine Reproductive and Respiratory Syndrome

PRRS

d. Caprine / Ovine

1. Immediate reporting

a) Bluetongue

b) Brucellosis

c) Contagious ecthyma (Orf)

d) Scrapie

e) Tuberculosis

f) Any Vesicular Disease

g) Toxic Substance Exposure that may threaten animal health, human health or food safety

h) Any unexplained increase in dead or diseased animals

i) All exotic or eradicated diseases

2. Monthly Reporting

a) Johne's disease

Mycobacterium avium paratuberculosis

b) Toxoplasmosis

e. Poultry

1. Immediate reporting

a) Avian Chlamydiosis

Chlamydia psittaci

b) Avian Influenza

c) Avian Pox

d) Exotic Newcastle Disease

e) Pullorum Disease/ Fowl Typhoid

Salmonella pullorum/gallinarum

f) Salmonella enteritidis

g) Toxic Substance Exposure that may threaten animal health human health or food safety

h) Any unexplained increase in dead or diseased animals

i) All exotic or eradicated diseases

2. Monthly Reporting

a) Duck Plague (duck viral enteritis)

b) Erysipelas

Erysipelothrix rhusiopathiae

c) Fowl Cholera

Pasteurella multocida

d) Infectious Coryza

e) Infectious laryngotracheitis

f) Mycoplasma gallisepticum/synoviae-MG/MS

g) Other Salmonellosis

f. Multiple Species

1. Immediate reporting

a) Anthrax

b) Chronic Wasting Disease

c) H1N1 Influenza in any species

d) Leptospirosis

e) Plague

Yersinia pestis

f) Q Fever

Coxiella burnetti

g) Rabies

h) Tularemia

Francisella tularensis

i) Toxic Substance Exposure that may threaten animal health, human health or food safety

j) Any unexplained increase in dead or diseased animals

k) All exotic or eradicated diseases

2. Monthly Reporting

a) Canine influenza

b) Salmonellosis

C. HEALTH REQUIREMENTS FOR DOMESTIC ANIMALS AND POULTRY AT FAIRS, LIVESTOCK AND POULTRY SHOWS AND EXHIBITIONS

1. Domestic animals and poultry showing signs of external or internal parasites and/or contagious diseases, and other domestic animals and poultry having been in contact with these animals may be ordered removed and may be quarantined at the discretion of the commissioner.

2. Domestic animals and poultry shall not be permitted on fairgrounds, livestock and poultry shows and exhibitions if they originate from a herd or flock under quarantine.

3. All poultry for exhibition must originate from flocks that have an official Pullorum-typhoid clean rating.

4. Animals originating from states other than Maine must conform to the general requirements for importation and import requirements specific to exhibition animals as referenced in section E. Importation of Poultry, Hatching Eggs of Poultry, and Poultry for Exhibition and L. Importation of Domestic Animals and Poultry for Exhibition.

D. MARKET CATTLE / MARKET SWINE TESTING PROGRAM

1. All market cattle and market swine shall be identified by back tag, or as the commissioner may direct, to enable a trace back to the previous owner.

2. Slaughter establishments handling market cattle and market swine shall, at the time of killing, collect one (1) tube of blood from all market cattle and market swine.

3. Samples shall be identified by back tag, and ear tag if available to enable a trace back to the herd of origin. Samples shall be sent to the Department of Agriculture’s State and Federal Diagnostic Laboratory within 7 days of slaughter.

E. THE SALE OF DOMESTIC LIVESTOCK AND POULTRY

1 . The seller of domestic animals or poultry must identify any animal intended for slaughter when domestic animals or poultry are sold to a licensed livestock dealer or livestock commission or community auction.

F . HEALTH OF POULTRY

1 . All hatcheries and hatchery supply flocks shall qualify as National Poultry Improvement Plan pullorum- typhoid clean or meet equivalent requirements for pullorum-typhoid control under official supervision.

2 . All hatcheries and hatchery supply flocks shall be U.S. sanitation monitored.

3 . All hatchery supply flocks shall test negative for mycoplasma gallisepticum and myoplasma synoviae in accordance with the N.P.I.P. program

G. HEALTH OF HORSES, PONIES, MULES AND OTHER EQUIDAE

All horses, ponies, mules and other equidae shall have a negative test for equine infectious anemia within 36 months prior to initially entering a boarding/breeding facility. All horses, ponies, mules and other equidae stabled at that boarding/breeding facility shall have a negative test for equine infectious anemia conducted not more than 36 months from the previous test date. Records must be made available to the commissioner, upon request, stating the last date of test for each horse.

History

• STATUTORY AUTHORITY: Title 7 §1752 and §1812
• EFFECTIVE DATE: August 28, 1979 (re-adopted)
• AMENDED: February 21, 1984 - Section 2(F) (EMERGENCY)
• AMENDED: June 8, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: February 14, 1999
• AMENDED: May 25, 2010 – filing 2010-203
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 8, 2014 – Section 5(B)(f), filing 2014-278
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 207 Control of Equine Infectious Anemia

Code Me. R. 01-001 Ch. 207 Control of Equine Infectious Anemia {#sec-01-001-ch.-207 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 207}

SUMMARY: Equine Infectious Anemia is a disease that affects only equines. The diagnosis is achieved by applying the Coggins Test. Equines entering Maine must have been tested negative within six months. Maine horses must be tested every three years and found negative to race, exhibit or stable where other horses are assembled.

1. Certificate Requirements

All horses or other equidae imported into the State of Maine shall be accompanied by an Official Equine Infectious Anemia Certificate from the State or Country of origin, which shall be approved by the Chief Livestock Official, showing evidence of being tested and found negative to the Coggins or Agar gel immuno/diffusion test within six (6) months of date of entry, except nursing foals under six (6) months. Such test shall be conducted by laboratories approved by the United States Department of Agriculture, and the official blood sample shall be taken and certificate signed by an accredited veterinarian.

2. Official Test

The Agar Gel immuno/diffusion (Coggins Test) shall be the official test for Equine Infectious Anemia (hereinafter "E.I.A.").

3. Restrictions of an EIA Reactor

When a horse has been tested by the Coggins Test with positive results, the animal shall be confined to specific premises as defined by Title 7 M.R.S.A. §1820, until an Accredited Veterinarian of the Department of Agriculture, Conservation and Forestry has conducted the necessary test for release of quarantine.

A. If an E.I.A. positive horse is clinically ill and exhibiting one or more of the following symptoms, be shall remain in quarantine or be disposed of as the Commissioner may direct:

1. History of rapid loss of flesh;

2. Loss of spirit and energy;

3 Evidence of muscular weakness with intermittent attacks of fever;

4. Congestion of the mucous membranes of the eye;

5. Some degree of jaundice;

6. Dropsical swellings of the lower parts of the body.

B. Clinically ill E.I.A. positive reactors shall remain quarantined or be euthanatized or sent to slaughter. Interstate movement of reactor animals from Maine will be permitted if in compliance with States involved and federal regulations (VS Form 1-27). If euthanatized, a written notice sent from the owner to the Commissioner of Agriculture, Conservation and Forestry stating the date, time, and place the euthanasia was conducted is required.

4. Identification

Equines reacting positive to the Coggins Test for E.I.A. shall be permanently identified by freeze branding and lip tattoo.

5. Antigen - its Restriction

No Equine Infectious Anemia shall be imported or produced in the State without previous permit from the Commissioner of Agriculture, Conservation and Forestry,

6. U.S.D.A. Approved Lab

No test results shall be recognized from any person or laboratory not approved by the United States Department of Agriculture, Animal and Plant Health Inspection Service.

7. Official Laboratory

The State-Federal Cooperative laboratory will be the official state laboratory.

8. Personnel Permitted to Test

Official blood sample shall be taken by an accredited veterinarian or a veterinarian employed by the State or Federal Department of Agriculture.

9. Restriction of Animals Under Test

All animals under test shall remain on premises where blood sample was taken, until test results are reported to the Owner or his agent, unless a permit is obtained from the Commissioner of Agriculture, Conservation and Forestry for movement to another location.

10. Retesting of Exposed Animals

Retesting of other animals exposed on the same premises to a positive reactor shall be at the discretion of the Commissioner of Agriculture, Conservation and Forestry.

11. Negative Test Required

The Commissioner shall require a negative Coggins Test within thirty-six (36) months, on all horses raced, exhibited, or stabled on race tracks or fair grounds where other horses are being raced, exhibited or stabled.

12. Responsibilities of Person in Charge of Meets

The person or persons in charge of race meets, exhibitions, stables on race tracks or fair grounds where horses are being raced, exhibited, or stabled, shall ascertain that a copy of the official test accompanies each equine and such reports shall be available for inspection by an agent of the Commissioner of Agriculture, Conservation and Forestry upon request. Failure to furnish such reports shall exclude equines from the events.

Chapter IX, Section 13(a) of the Rules and Regulations of the Maine State Harness Racing Commission is hereby deemed to be incorporated herein by reference and applicable to all horses assembled at a Harness Race Meet, including but not limited to standardbred horses, lead ponies, marshall mounts, stallions and brood mares. Harness Racing Commission personnel may assist in the enforcement of this regulation insofar as they are permitted and authorized by law. Whoever violates these regulations shall be punishable as provided in Title 7, M.R.S.A. §1706.

13. Race Horses

A. A negative "Coggins Test Certificate" properly identifying the horse by tattoo number issued by an approved laboratory, certifying that within the prior thirty-six (36) months the horse has been tested negative shall be presented to a track member for any horse before it will be allowed entrance to, or remain upon, the grounds of a licensed track conducting meetings.

B. Declaration shall not be accepted for any horse to any race unless the declarer has furnished the Race Secretary with a negative "Coggins Test" written certificate for that horse, as required by Sub-Section A above.

C. No eligibility or validation certificate shall be issued for a horse from which a positive "Coggins Test" has been reported. If an eligibility or validation certificate is issued and thereof, the certificate must be returned immediately by the holder to the U.S.T.A.

Note: Refer to the Rules and Regulations of the Maine State Harness Racing Commission, Chapter 9, Section 13.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. (( 1752, 1820.
• EFFECTIVE DATE: January 13, 1975
• AMENDED: February 26, 1976
• AMENDED: June 15, 1977
• AMENDED: October 24, 1977
• AMENDED: October 30, 1978
• RE-ADOPTED: August 22, 1979
• AMENDED: January 12, 1982
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 307 page 4

Chapter 208 Handling of Domestic Animals and Poultry Vaccines

Code Me. R. 01-001 Ch. 208 Handling of Domestic Animal and Poultry Vaccines {#sec-01-001-ch.-208 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 208}

SUMMARY: Biologics may contain living organism or virus and must be handled and administered as recommended to remain effective in the control of disease; for this reason their use and role must be closely monitored.

1. Handling of Domestic Animal and Poultry Vaccines

A. Biologics containing living organisms

Biologics containing living organisms shall be stored refrigerated at places of business and at the temperatures recommended by manufacturers.

B. Transportation of biologics

Such biologics shall be shipped using a rapid mode of transportation, if necessary under refrigeration, in parcels bearing labels indicating the perishability of the contents. Additional information may be added, for example: KEEP FROM HEAT, or KEEP FROM HEAT AND FREEZING.

C. Outdated biologics

All outdated biologics shall be destroyed immediately by heat, or returned, to the manufacturer.

D. Proof of permit

Any salesman or distributor shall be able to submit proof of a permit to sell or distribute approved animal or poultry biologics.

E. Monthly report of Imports, Sales and Distribution

All imports into the State of Maine, sales and/or distribution within the State of Maine of domestic animal and poultry biologics containing living organisms shall be reported monthly to the director of the said Division of Animal Industry, State Office Building, Augusta, Maine.

History

• STATUTORY AUTHORITY: 7 MRSA ( 1752
• EFFECTIVE DATE: January 1, 1962
• AMENDED: February 8, 1968
• RE-ADOPTED: August 28, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 208 page 2

Chapter 209 Livestock Commission and Community Auctions

Code Me. R. 01-001 Ch. 209 Livestock Commission or Community Auctions {#sec-01-001-ch.-209 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 209}

History

• Statutory Authority 1
• Definitions 1
• Permits 1
• Records 1
• General Requirements 2
• Disclosure of Information 2
• 1. Statutory Authority
• The statutory authority for Livestock Commission or Community Auctions is Chapter 207 Title 7 MRSA §1453 and §1752. These statutes grant the Commissioner the authority to make rules to protect the health of animals that are to he sold at livestock commission or community auctions.
• 2. Definitions
• Commissioner. The Commissioner of the Department of Agriculture, Conservation and Forestry or a duly authorized agent of the Commissioner.
• Community or Commission Auctions. Any place where domestic animal and/or poultry are offered for private or public auction is considered to be a Commission or Community Auction.
• 3. Permit
• A. Any person operating a Livestock Commission or Community Auction must obtain a written permit from the Commissioner, prior to the date of the auction, giving the specific date, time and place of the auction.
• B. Failure of any person to adhere to the rules for Livestock Commission and Community Auctions shall be just cause for the Commissioner to take action based on the authority granted in Title 7, Ch. 207, §1456.
• 4. Records
• A. Records of all transactions must be kept to the extent that the Commissioner may trace any animal to the seller.
• B.
• 1. All animals must be backtagged with an official USDA backtag or identified as the Commissioner may direct.
• 2. Backtag reports must be made weekly to the Commissioner for the period of time authorized by the permit.
• 5. General Requirements
• A. All Livestock Commission or Community Auctions must be conducted in a condition satisfactory to the Commissioner.
• B. No domestic animals or poultry originating in quarantined herds or flocks shall be allowed on any auction premises.
• C. No animals having positive blood test for brucellosis, tuberculosis, pseudorabies, bluetongue and/or Equine Infectious Anemia shall be sold through any auction.
• 6. Disclosure of Information
• A. Any person conducting a Licensed Commission or Community Auction must provide, on request, prospective buyers with identification of any animals intended by the previous owner to the sold for slaughter.
• 7. Penalties
• A. Whoever violates any provision of this rule, unless a specific penalty or forfeiture is provided for, shall be guilty of a class E crime.
• STATUTORY AUTHORITY: 7 M.R.S.A. §1453
• EFFECTIVE DATE: January 15, 1962
• EFFECTIVE DATE: February 8, 1968 (Filed 10-16-78)
• RE-ADOPTED: September 7, 1979
• AMENDED: June 8, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 13, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 209 page 3

Chapter 210 Poultry for Immediate Slaughter

Code Me. R. 01-001 Ch. 210 Poultry for Immediate Slaughter {#sec-01-001-ch.-210 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 210}

SUMMARY: Certain requirements must be enforced to insure only healthy birds are permitted entry into the State. Supervision of vehicles and containers must be maintained and strict records kept to prevent the introduction of disease herewith listed below.

1. Poultry for Immediate Slaughter

A. Permit and certificate of veterinary inspection are required. Inspection shall be made by an accredited veterinarian and certificate shall accompany request for permit. Inspection shall be made not over two days before request for permit. Certificate shall contain the following information:

1. Names and addresses of consignor, consignee and trucker

2. Date of inspection

3. Number of birds

4. Description of birds

5. Names and addresses of owners of farm or farms where birds were at time of inspection.

6. Certificate shall state that said birds are not affected with any disease reportable in the State of Maine, and that no reportable disease is known to be present in the area where birds are inspected.

7. The names of diseases reportable in the State of Maine follow:

Avian encephalomyelitis

Duck virus enteritis (duck plague)

Equine encephalitis

Erysipelothrix infection

Fowl cholera

Fowl plague (fowl pest)

Fowl pox

Infectious laryngotracheitis

Listeriosis

Newcastle disease

Ornithosis

Salmonellosis (including pullorum disease and fowl typhoid)

Tuberculosis

2. Containers

Poultry boxes, crates and containers shall be new, or disinfected, before being used to move poultry hatching eggs or poultry for breeding or production purposes into the State of Maine, except poultry of the same and known health status as the previous shipment.

3. Records

Livestock and poultry dealers shall keep records of poultry transactions containing type of poultry, firm where purchases, to whom sold, and dates of sale and purchase. Such records shall be available to the said Division of Animal Industry.

4. Zoo Animals and Birds

No animal or bird that has been in any zoo or menagerie shall be removed to any premises in the State of Maine where any domestic animals or poultry are kept. (Zoos are under the jurisdiction of the Department of Inland Fisheries and Wildlife).

History

• STATUTORY AUTHORITY: 7 MRSA §1752
• EFFECTIVE DATE: February 8, 1968
• EFFECTIVE DATE: October 16, 1978
• RE-ADOPTED: August 28, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 14, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 210 page 2

Chapter 211 Rules for the Disposal of Animal Carcasses

Code Me. R. 01-001 Ch. 211 Rules for the Disposal of Animal Carcasses {#sec-01-001-ch.-211 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 211}

SECTION 1. GENERAL PROVISIONS

1. Summary

This Rule supersedes Chapter 211, Disposal of Animal Carcasses (1996) of the Department of Agriculture, Conservation and Forestry Rules and Regulations. It expands the disposal rules to include siting and operating standards for current technologies for disposing of animal carcasses. It also adds an enforcement section that cites penalties for failure to comply with the rules.

2. Legal Authority

7 MRSA §1752; 7 MRSA §1706; and 17 MRSA §1818

3. Applicability of Rules

These Rules apply to the disposal of all domestic animal carcasses and body parts including but not limited to those resulting from normal operation of a commercial farm or as a result of a farming disaster such as fire, disease, suffocation, etc. Reportable disease requirements in Chapter 206, Prevention, Control and Eradication of Diseases of Domestic Animals and Poultry, must also be met. Animal carcasses mixed with potentially hazardous or toxic substances must meet the requirements of these rules and applicable Department of Environmental Protection (DEP) rules, the United States Department of Agriculture (USDA) rules and other applicable requirements.

For the purposes of these rules, non-native or exotic animals in captivity in zoos, animal parks, game shooting areas and farms shall be considered to be domestic and their disposal must be in accordance with these rules.

These rules do not apply to wildlife or marine mammals. Methods and standards outlined in these rules may be used as guidance when disposing of wildlife or marine mammals, where applicable.

SECTION 2. DEFINITIONS

1. Agricultural Composting Operation - Agricultural composting operation means composting that takes place on a farm. Agricultural composting operation does not include an operation that involves nonorganic municipal solid waste or that composts municipal sludge, septage, industrial solid waste or industrial sludge. Agricultural composting operation does not include an operation that composts materials with a moderate or high risk of contamination from heavy metals, volatile and semi-volatile organic compounds, polychlorinated biphenyls or dioxin.

2. Agricultural Products - Agricultural products means those plants and animals and their products that are useful to humans and includes, but is not limited to, forages and sod crops, grains and feed crops, dairy and dairy products, poultry and poultry products, bees and bees' products, livestock and livestock products and fruits, berries, vegetables, flowers, seeds, grasses and other similar products, or any other plant, animal or plant or animal products that supply humans with food, feed, fiber or fur. Agricultural products does not include trees grown and harvested for forest products.

3. Air Curtain Incinerator - A portable or stationary combustion device that directs a plane of high velocity, forced air through a manifold head into a pit with vertical walls in such a manner as to maintain a curtain of air over the surface of the pit and a re-circulating motion of the air under the curtain. An air curtain incinerator is considered open burning.

4. Alkaline Hydrolysis - A process by which carcasses are treated in a vessel using high temperatures and pressure in a strong solution of sodium or potassium hydroxide.

5. Anaerobic - Indicates lack of oxygen. A process that proceeds without oxygen.

6. Anaerobic Digestion - A process in which carcasses and other organic wastes are decomposed in a heated vessel in which there is no oxygen.

7. Animal Baiting Site - Locations at which offal, animal carcasses or other potential food sources are placed in order to attract wild animals. These are often used by coyote and bear hunters.

8. Animal Carcass(es) - Body(ies) or body parts of dead animals, including but not limited to pets, livestock and poultry. Carcasses may be mixed with manure and bedding or other organic materials which cannot be separated from the animal carcasses.

9. Animals/ Carcasses, Large - Animals such as cows and horses weighing 500 lbs or more.

10. Animals/Carcasses, Mid-size - Animals such as sheep, goats and deer weighing between 100 and 500 lbs.

11. Animals/Carcasses, Small - Animals which weigh 100 lbs. or less.

12. Animal Unit - One Animal Unit is the equivalent of 1000 lbs. of animal carcasses.

13. BACT - Best Available Control Technology - An approach to selecting air emission controls considering economic, environmental and energy impacts.

14. Bar - A measure of pressure. One bar is equivalent to about 14.5 lbs per square inch, or about one atmosphere.

15. BMP - Best Management Practice - Agricultural practices that have been identified by the Commissioner as ‘best’ based on a combination of factors including environmental impact, impact on animal or human health, practicality for implementation, effectiveness in the production system, and cost.

16. BSE - Bovine Spongiform Encephalopathy. A neurological disease of cattle. (See Transmissable Spongiform Encephalopathy (TSE))

17. BPT - Best Practical (or Practicable) Treatment - A treatment technology or method that achieves the greatest reduction in pollution at a reasonable cost.

18. Burial - A process by which animal carcasses are disposed of by placement within an excavation into the soil or upon the soil surface where they are then covered by soil material.

19. Catastrophe (Catastrophic Event) - An unexpected occurrence or set of circumstances such as a fire, disease outbreak, flood or other disaster resulting in multiple animal carcasses demanding immediate action.

20. Commercial Composter (of carcasses or offal) - A business that receives and composts animal carcasses or offal from other farms, businesses or individuals.

21. Commissioner - Shall mean the Commissioner of the Department of Agriculture, Conservation and Forestry or his/her designee.

22. Compost Medium (pl Media) - The relatively dry bulky organic material that forms the matrix within which carcasses or offal are composted.

23. Composting - Composting is the natural biological degradation of plant and animal matter in a controlled, well aerated system. When oxygen, moisture, nitrogen and carbon are available in the right proportions, the degradation generates considerable quantities of heat, reaching temperatures of 130° to 170° F. This sustained high temperature is responsible for the virtually complete destruction of pathogenic organisms and weed seeds in the composted material. The process also results in a humus-like product that has its nutrients in a much more stable form than the uncomposted wastes making it safer and easier to store and use.

24. Composting, In-house - An emergency carcass disposal technique in which compost windrows are formed within the building(s) that housed the animals to be composted. This generally applies to poultry that are raised in open floor buildings on litter.

25. Composting, In-vessel - Compost systems that incorporate some type of vessel. Most of these systems use some form of active aeration to provide the needed oxygen. One system that has been used to compost poultry mortalities from an avian influenza outbreak utilized the large plastic ‘bags’ designed for feed storage with aeration tubes inside. Most of these systems are best suited to small carcasses or carcasses that have been ground or cut into pieces that can be managed by the system.

26. Composting, Precondition and Turn Method - A composting system that was developed specifically for disposal of animal carcasses and slaughterhouse wastes. In this method, the carcass or body parts are placed between layers of dry absorbent bedding or other compost media. The carcasses or body parts are then allowed to decompose without disturbance for a period of time, which varies with carcass size and other factors. Once this pre-conditioning period is done, the pile or windrow is then turned similar to the turned windrow system. This method may be used for both routine and emergency situations and for both large and small carcasses and slaughterhouse wastes (offal) of all types.

27. Composting, Static Pile - The static pile method of composting uses a pile of compostable material that is not agitated or turned. The initial mixing of the carcasses with the bulking agent must be sufficient to allow proper air flow and effective composting. Aerobic conditions are maintained by natural ventilation of the pile that is enhanced by using materials that maintain relatively high pile porosity. This approach applies primarily to poultry and other small carcasses.

28. Composting, Static Pile (Aerated) - In the aerated static pile method (also known as the Beltsville Method or Rutgers Method), the compost is not agitated or turned. The initial mixing of the carcasses with the bulking agent must be sufficient to allow proper air flow and effective composting. Aerobic conditions are maintained by mechanically drawing, or blowing air through the pile. This approach applies primarily to poultry and other small carcasses.

29. Composting, Turned Windrow - The turned windrow method is a compost system, in which the compost mixture is placed in rows and turned periodically during the compost cycle. The turning action supplies oxygen through gas exchange, thereby creating natural ventilation. This system only applies to small carcasses, small body parts or ground carcasses.

30. Composting, University of Maryland Bin Composting System - A composting system developed by the University of Maryland and the Delaware Cooperative Extension for disposing of the routine mortality from commercial broiler operations. This system utilizes covered bins and only applies to small or medium size carcasses or small body parts.

31. Contained Facilities - Structures built to house compost or curing piles that include impervious surfaces and are covered so as to exclude precipitation.

32. Chronic Wasting Disease - A neurological disease of members of the deer family. (See Transmissable Spongiform Encephalopathy (TSE))

33. DEP - The Maine Department of Environmental Protection.

34. Department - The Maine Department of Agriculture, Conservation and Forestry.

35. District - A Soil and Water Conservation District as established in 12 MRSA Sections 1-7.

36. Emergency - An emergency is a situation in which a catastrophe occurs resulting in large numbers of animal carcasses and there is no approved disposal plan or the approved disposal plan cannot be implemented.

37. Farm - Farm means the land, plants, animals, buildings, structures, ponds and machinery used in the production of agricultural products.

38. Farm, Commercial - A farm or farming operation that generates at least $2,000 from agricultural products per year.

39. Farm Operation - Farm operation means a condition or activity that occurs on a farm in connection with the commercial production of agricultural products and includes, but is not limited to, operations giving rise to noise, odors, dust, insects and fumes; operation of machinery and irrigation pumps; disposal of manure; agricultural support services; and the employment and use of labor.

40. Fermentation (Lactic Acid or Acid) - A process in which ground tissue and a fermentable carbohydrate is mixed with an inoculant (usually Lactobacillus acidophilus) and allowed to ferment under anaerobic conditions at a temperature near 35°C (95°F).

41. Flood Plain - The lowland and relatively flat areas adjoining inland and coastal waters, including flood prone areas of offshore islands, which are periodically inundated by flood water.

42. Gasification - A combustion process conducted in a low oxygen environment. Gasification is conducted in an enclosed device using controlled flame combustion used to burn (combust) animal carcasses or offal, reducing them to ash. Hot gases are recirculated in the process, increasing internal temperatures and reducing particulate matter emissions.

43. Handle (Handling) - To store, transfer, collect, separate, transport, salvage, process, reduce, recover, incinerate, treat or dispose of.

44. Incineration - The destruction of animal carcass soft tissue and most of the hard tissue by means of controlled combustion.

45. Incinerator, Standard (In-vessel) - An enclosed device using controlled flame combustion to burn (combust) animal carcasses or offal, reducing them to ash.

46. Intermittent Stream - A stream or portion of a stream that flows for part of the year. Intermittent streams do not show up as a blue line on United States Geological Service (USGS) 7.5 or 15 minute topographic maps. They do not include man-made ditches, except where a ditch is dug as a diversion to an intermittent stream.

47. Landfill - A discrete area of land or an excavation used for the disposal of solid waste.

48. Limiting Factor (Soil) - Seasonal high groundwater table, sand or gravel layers or bedrock.

49. MRSA or MRS - The Maine Revised Statutes Annotated or Maine Revised Statutes. Maine laws organized by title number, chapter and section.

50. Neurological Disease Symptoms - Neurological diseases are disorders of the brain, spinal cord and nerves. Symptoms of neurological diseases often include: behavioral changes such as aggression or nervousness; abnormal posture; lack of coordination; inability or difficulty in rising or walking; decreased milk production; and/or weight loss with normal appetite.

51. Normal Mortality - Mortality which occurs routinely and is not the result of disease epidemic, inoculation, experimental treatment or farming disaster such as fire or suffocation. While exact normal mortality numbers are not known, normal mortality is something planned for and can be expected.

52. Nutrient Management Plan (NMP) - A plan developed in accordance with 7 MRS Chapter 747, which identifies all sources of plant nutrients generated or utilized on a farm and specifies appropriate application rates, setbacks from sensitive features and application methods.

53. Offal - Unwanted or unused body parts remaining from butchering or slaughtering animals.

54. Owner (see Responsible Party) - Any person who owns, operates or occupies a farm or other regulated facility where animals reside. This definition also includes individuals who own animals.

55. Pathogen - An organism, chiefly a microorganism, including: viruses, bacteria, fungi, helminth ova, and all forms of animal parasites and protozoa capable of producing an infection or disease in a susceptible host.

56. Person - Any individual, partnership, association, firm, company, corporation, department, agency, group, including a city, town, county, state, federal or other governmental unit, or any other entity responsible for an activity subject to these rules.

57. Perennial Waterbody - A waterbody which shows up as a blue line on a 7.5 or 15 minute USGS topographic map. The term waterbody includes, but is not limited to, natural and artificial lakes, ponds, brooks, rivers, streams, bogs, swamps, marshes and tidal marshes.

58. Plasma Arc Gasification - The conversion of matter to a plasma. Plasma is a gas that has been ionized by passing it through the electrical arc of a plasma torch. Plasma torches operate at temperatures from 1500° C to over 7000°C. Extremely hot plasma arc torches have been used to gasify (or vitrify) solid wastes. The result is gases and a rock-like or glass-like residue.

59. Poultry - All domesticated birds which are bred for the primary purpose of producing eggs, meat, down or feathers.

60. Prion - A naturally occurring protein in nervous tissue that can be converted into a disease-causing form. Such agents propagate by transmitting a mis-folded protein state that induces a change in existing polypeptides in the host organism. Mis-folded prions are thought to be the causative agent for all known TSEs (See Transmissible Spongiform Encephalopathy).

61. Public Water System - Any publicly or privately-owned system of pipes, structures and facilities through which water is obtained for or sold, furnished or distributed for human consumption; provided that such system has at least 15 service connections or regularly serves an average of at least 25 individuals daily at least 60 days out of the year or bottles water for sale.

62. Pyre - A stack of combustible material used to burn a carcass. These are generally constructed in the open air with layers of wood, straw, hay, coal or other combustible material meant to achieve temperatures high enough to completely reduce the carcasses to ash.

63. Pyrolysis - See gasification.

64. Qualified Individual - A person who demonstrates to the Commissioner that he/she has sufficient training and/or expertise to develop an animal carcass disposal plan.

65. Qualified Professional - Individuals who have the training and experience necessary to evaluate, select and design modifications for animal carcass disposal sites. This includes but is not limited to licensed soil scientists, NRCS field staff, SWCD soil technicians, engineers and others approved by the Commissioner.

66. Regulated Activity or Facility - An activity or facility that handles, manages, processes, transports or disposes of domestic animal carcasses or offal.

67. Rendering or Processing Facility - Any structure, machine, device or system, or combination thereof, designed and operated for the purpose of making an animal feed or feed supplement from animal carcasses or parts.

68. Responsible Party - Any person who alone or in conjunction with others is responsible for the animal carcasses.

69. Routine Mortality - See Normal Mortality.

70. Sand and Gravel Deposit - A surficial geological deposit such as an esker, outwash plain, glaciomarine delta, kame, stratified moraine or other stratified deposits commonly consisting of sand and/or gravel.

71. Secure Container - A container that is watertight and has a cover that will prevent access by mammals or birds. A container that will prevent any bodies, body parts (including feathers) or fluids from leaking, falling, spilling or blowing out of the container.

72. Secure Landfill - A landfill that utilizes a liner system, a leachate collection and treatment system and a final cover system to minimize discharges of waste or leachate and to control the release of gas to the environment.

73. Scrapie - A neurological disease of sheep and goats. (See Transmissable Spongiform Encephalopathy (TSE))

74. Significant Sand and Gravel Aquifer - A porous formation of ice-contact and glacial outwash sand and gravel that contains significant recoverable quantities of water (greater than ten (10) gallons per minute from a properly installed well).

NOTE: Some of the State's significant sand and gravel aquifers are mapped by the Maine Geological Survey.

75. Soil Textural Classes - Names given to soil units or masses, referring to the relative proportions of sand, silt and clay that they contain based on USDA and Natural Resources Conservation Service (NRCS) classification. Examples are: loam, clay, sandy loam, etc.

76. Thermal Depolymerization (TDP) - Thermal depolymerization is a process for the reduction of complex organic materials (often waste products) into light crude oil by superheating them in the presence of water.

77. Thermal Hydrolysis - A process in which ground carcasses or other organic material are heated to 180°C using saturated steam for 40 minutes or more while under high pressure (10 bar or higher). Early research into this technology suggests that prions may be deactivated in this process.

78. Transmissible Spongiform Encephalopathy (TSE) - One of several similar neurologic diseases thought to be caused by a mis-folded protein (prion) in the nervous tissue which results in slow degeneration of the nervous system and ultimately in death. These diseases include Scrapie, ‘Mad Cow Disease’ and Chronic Wasting Disease.

79. Vector - Any animal, bird, insect or person capable of transferring disease organisms through contact with a carcass or associated materials.

80. Vitrify - Turn into a glass-like substance.

81. Wetland - Those areas that are inundated or saturated by surface or ground water at a frequency and duration sufficient to support, and that under normal circumstances do support, a prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally include swamps, marshes, bogs, and similar areas.

SECTION 3. VIOLATIONS

1. Unlawful Disposal

It is unlawful to dispose of domestic animal carcasses and slaughterhouse wastes (offal) except in accordance with these rules.

A. Clean up Required - The Commissioner may require the responsible party to clean up any carcass or offal disposal site that is not established in accordance with these rules. The Commissioner may also arrange to have an unlawful disposal site cleaned up.

B. Timeline for cleanup - The Commissioner may establish a timeline for clean up of an unlawful carcass disposal site, including penalties as provided in 7 MRS §1706 for failure to meet the timeline.

C. Standards for cleanup - The Commissioner may establish standards or criteria for an acceptable cleanup on a case by case basis.

D. Animal baiting sites - Coyote or other animal (except bear) baiting sites using domestic animal carcasses or offal as bait shall be established according to 12 MRS §11227 and shall meet the following requirements:

(1) Domestic animal carcasses and/or offal placed as bait shall meet the same minimum setback and separation distance requirements as carcass burial sites.

(2) No more than 500 lbs of offal or the equivalent of one large domestic animal carcass may be at a bait site at any one time. For the purposes of this requirement, an area within 100 feet of a bait pile of carcasses or offal is considered to be part of the same bait site.

(3) A bait site may be re-used as long as the remains of previous bait piles have been cleaned up prior to adding more carcasses or offal.

2. Enforcement

Failure to comply with these rules may result in enforcement actions taken by the Commissioner. These actions may include but not be limited to:

A. Notification to the violator of loss of ‘Right to Farm’ protection under Chapter 10 of the Department’s rules.

B. Seeking penalties as specified in Section 3.3.

C. Referral to the Attorney General for enforcement in court.

D. Referral to the Maine Department of Environmental Protection in cases where water quality or other DEP laws may have been violated.

E. Referral to other state, local or federal agencies where relevant laws or regulations may have been violated.

3. Penalties

The following penalties may be assessed for violations of these rules. The penalty to be applied shall depend on its applicability to the specific situation.

Animal Health Law Penalty section (7 MRS §1706) Penalty - A person who violates this section commits a civil violation for which a fine of not more than $500 per day for each violation may be adjudged, except that the total of the fines may not exceed $50,000 (Applies to anyone who violates the animal disease control laws or rules, including these rules).

Maine Agriculture Protection Act - Penalty section (7 MRS§158) Failure to Adopt Best Management Practices - Failure to apply best management practices in accordance with this chapter constitutes a separate civil violation for which a fine of up to $1,000, together with an additional fine of up to $250 per day for every day that the violation continues, may be adjudged (Applies to a commercial farm, commercial farm operation or agricultural composting operation).

4. Complaints

Where applicable, complaint investigations associated with activities covered under these rules may be conducted using the protocols set out in 01-001 Chapter 10 Rules for the Agricultural Compliance Program.

SECTION 4. CARCASS DISPOSAL/MANAGEMENT PLANS

1. Catastrophic Carcass Disposal/Management Plans Required

Farms with 300 animal units or more shall have a written catastrophic carcass disposal/management plan that has been developed or approved by a certified Nutrient Management Planning Specialist.

2. Catastrophic Carcass Disposal/Management Plans Developed by Qualified Individual

Catastrophic carcass disposal management plans shall be developed by a qualified individual in accordance with these rules. Training in a recognized carcass disposal training program may be accepted as a means to becoming a qualified individual.

3. Notice of Catastrophic Carcass Disposal/Management Plan Preparation Required

A certified Nutrient Management Planning Specialist shall provide a written notice to the Department when a catastrophic carcass disposal/management plan has been developed. The notice shall include the planner’s name and contact information as well as the farm name, owner/operator name, farm location, contact information and number of animal units for which the plan was prepared.

4. Required Elements of a Catastrophic Carcass Disposal/Management Plan (See plan template in Appendix A)

A carcass disposal/management plan shall, at a minimum, contain:

A. the farm or business name;

B. the owner/operator’s name;

C. mailing address, and phone number(s);

D. farm location - physical road address;

E. type of farm;

F. number, type and size of animals included in the plan;

G. disposal/management method to be used;

H. alternative method to be used if first choice cannot be used;

I. map or site sketch showing location(s) if a land-based disposal option is being used (Inclusion of GPS coordinates are highly recommended);

J. results of soil evaluations on the disposal/management sites;

K. details of disposal/management process to be used including sketches where appropriate;

L. sources of materials, equipment and services to be used for the disposal/management option;

M. name and contact information for the farm’s veterinarian; and

N. a list of emergency numbers that can be called (e.g., Maine Department of Agriculture, law enforcement agencies, local government, utilities such as a power or gas company).

5. Catastrophic Carcass Disposal/Management Plans That Include Burial

Emergency carcass disposal plans that include burial shall be in accordance with Section 8 and Section 9 of these rules.

6. Routine Carcass Disposal/Management Plans Required

All nutrient management plans written or updated after the date of the adoption of this rule shall contain a section describing the routine carcass disposal/management plan for the farm or farm operation developed in accordance with these rules.

SECTION 5. VARIANCES

Due to site and/or soil limitations, domestic animal owners may find that they cannot comply with all the provisions of these rules, especially when proposing to bury or compost animal carcasses. In recognition of that fact, variances to these rules may be approved by the Commissioner provided that animal and human health and ground and surface waters are protected, that no reasonable alternative exists, and that proper engineering techniques are utilized to offset reduced setbacks and/or limitations. Requests for variances to these rules must be submitted in writing to the Commissioner for his/her approval along with provisions for overcoming limitations except as noted below. Variances will be reviewed and acted upon on a site-specific basis. The Commissioner may approve, deny or approve with conditions. Activities occurring under the variance must comply with the conditions of the variance.

Exception: In an emergency, the request for a variance may be made verbally to the Commissioner. In these time sensitive situations, the Commissioner may verbally approve, deny, or approve with conditions. After the emergency has been resolved, a written carcass disposal plan and site sketch shall be provided to the Commissioner.

SECTION 6. EXEMPTIONS

1. Noncommercial pet owners burying or composting their own small animal pets (for example: dogs, cats, birds or fish) on their own land are exempt from these rules.

2. Farm operations or other regulated facilities or individuals, disposing of 500 lbs. per year or less of animal carcasses or offal, by burial or composting, are exempt from the requirements in Section 7.2.E(3) and shall meet the requirements in Sections 8.2 and 8.3 for procedures for small volumes.

3. Individuals disposing of no more than one large (or two medium size) animal(s) per year are exempt from Sections 7.2.E (3) and shall meet the requirements in Sections 8.2 and 8.4.

SECTION 7. ANIMAL CARCASS DISPOSAL CATEGORIES

Animal carcasses, which require disposal, fall into one of the following two categories: Catastrophic and Routine.

1. Disposal of Animal Carcasses from Catastrophic Events

A. Notification Required

In the event of a catastrophic occurrence requiring carcass disposal, the owner must notify the Department.

B. Final Authority for Catastrophic Disposal Plan

In all catastrophic carcass disposal cases, the authorization to implement the carcass disposal plan shall rest with the Commissioner.

C. Procedure

Upon notification of a catastrophe, the Commissioner may take the following steps:

(1) Visit the site and determine whether or not there is a need for carcass disposal;

(2) Authorize the implementation of the carcass disposal plan for the farm or other regulated facility;

(3) Develop the disposal plan if no approved plan exists or if the previously approved plan cannot be implemented, or an alternate approach is more appropriate;

(4) Keep a record on file of the disposal plan used and any authorized amendments;

(5) Ensure compliance with the carcass disposal plan or authorized procedure; and

(6) Undertake any other steps necessary to ensure proper disposal of the carcasses occurs.

D. Acceptable Methods for Catastrophic Animal Carcass Disposal

The owner shall, with the Commissioner's prior approval, use one of the following methods of disposal:

(1) Rendering facilities;

(2) Burial;

(3) Incineration;

(4) Composting;

(5) In-house Composting;

(6) Landfilling (Transport to an approved landfill);

(7) Alkaline hydrolysis; or

(8) Other methods approved by the Commissioner

E. Methods for Disposal of Carcasses Suspected to Contain TSEs

Disposal of carcasses suspected to contain TSEs will be determined on a case by case basis by the Commissioner. Methods known to destroy TSEs include alkaline hydrolysis and high temperature (greater than 1650° C) incineration. Other methods may be approved by the Commissioner based on evidence of effectiveness (NOTE: Other technologies that have promise are thermal hydrolysis, novel pyrolysis (ETL Energy Beam) and plasma arc technology).

F. Catastrophic Disposal of Small Flocks of Poultry

As an alternative to the procedures in these rules, disposal of a small flock of poultry (fewer than 500 birds) may be done by following the procedures outlined in the University of Maine publication: “Safe Disposal of Backyard Poultry Mortalities” 2006. The responsible party having a flock suspected to have a highly contagious disease such as HP Avian Influenza shall report the disposal to the Commissioner.

G. Site Evaluation for Catastrophic Carcass Disposal - All methods of disposal require a site evaluation (setbacks, availability of power, access, etc.). Some methods also require soils evaluation.

(1) Disposal Methods Requiring Soil Evaluation - Methods in which contact between carcasses and associated materials with the soil will require a soil evaluation. These methods include, but are not limited to, composting, incineration using a trench type air curtain burner, and burial.

(2) Soil Evaluation. Sites where a soil evaluation is required must be evaluated by an NRCS employee, a State of Maine Certified Soil Scientist, or other qualified professional in accordance with this and other appropriate sections of this rule.

(3) Disposal Methods not Requiring Soil Evaluation - Plans for disposal methods not requiring soil evaluation shall be developed by qualified individuals with training and/or experience in the particular disposal methods. These methods include, but are not limited to, in-house composting, anaerobic digestion, alkaline hydrolysis, incineration using standard incinerators, acid fermentation, and other methods that are completely enclosed so that there is no contact with the soil or water.

(4) Requirements for Plans for Other Methods Shall be Determined on a Case by Case Basis by the Commissioner.

H. Records of Catastrophic Carcass Disposal Operation

(1) Records Required

The responsible party shall be responsible for maintaining a record of all catastrophic carcass disposal operations. Copies of catastrophic carcass disposal records kept by responsible parties must be provided to the Department.

(2) Minimum Content of Records Required

At a minimum, catastrophic carcass disposal records shall include the following information:

(a) Name of party responsible for the carcasses;

(b) Location (shown on a topographic map, aerial photo or Maine Atlas) of the property where the activity occurred;

(c) Disposal site location (shown on a map or aerial photo of the property). This shall include the GPS coordinates of the disposal site;

(d) Type of animal carcass or animal product disposed of;

(e) Quantity of each animal, product or other material disposed of;

(f) Method of carcass disposal; and

(g) Cause of mortality.

(3) Length of Time Records of Catastrophic Carcass Disposal Must be Maintained.

(a) Burial - A Record of a burial site shall be maintained by the farm or regulated facility for at least 10 years.

(b) Other Land-Based Methods of Disposal - Records of other land-based disposal of carcasses such as composting and air curtain incineration shall be maintained by the farm or regulated facility for a minimum of 3 years.

(c) Non-land Based Disposal Technologies - Records of non land-based disposal of carcasses such as anaerobic digestion or alkaline hydrolysis shall be maintained by the farm or regulated facility for a minimum of 1 year after the resulting product has been disposed of.

(4) For Carcass Disposal by Burial, Composting, or Incineration Using a Trench Air Curtain Burner, the Following Site-Specific Data, Shall be Included:

(a) Soils information, if required;

(b) Engineering techniques employed, if any;

(c) Scaled or dimensioned site plan showing property lines, buildings, slopes, north arrow, waterbodies, disposal plan details and construction details (including carcass thickness for burial) and any other information which is pertinent to the project;

(d) Profile or cross section of the disposal site (burial only);

(e) Erosion control measures;

(f) Date catastrophic event occurred;

(g) Inspection and maintenance schedule and records for the site; and

(h) Person or organization responsible for preparing the plan.

I. Carcass/Debris Separation Required

As much as is reasonably possible, carcasses shall be separated from inorganic debris such as metal or roofing. If reasonable separation is not possible, disposal shall be determined on a case by case basis by the Commissioner in consultation with the Maine Department of Environmental Protection.

J. Storage of Carcasses from Catastrophic Events

Carcasses may be stored only long enough to arrange proper disposal. If ambient air temperatures are above freezing and storage must be for more than 24 hours the responsible party shall seek guidance from the Commissioner on issues such as leachate and vector control. Vector control measures must be put in place to prevent access by vectors to the carcasses.

2. Routine Disposal of Animal Carcasses

A. Applicability - This section applies to both farm and non-farm domestic animal carcass disposal.

B. Routine Disposal - Disposal shall be considered routine when it is a result of normal mortality.

C. Disposal Methods - Acceptable disposal methods for carcasses resulting from normal mortality when carried out according to provisions of this rule are:

(1) Rendering or processing facilities;

(2) Burial;

(3) Incineration;

(4) Gasification/pyrolysis;

(5) Composting;

(6) Anaerobic digestion;

(7) Thermal hydrolysis; or

(8) Other methods approved by the Commissioner.

D. Daily Disposal for Poultry

Carcasses resulting from normal mortality of a commercial poultry operation shall be disposed of on a daily basis or placed in a secure container that will prevent leakage or access by insects, rodents, birds and other animals until properly disposed.

E. Site Evaluation and Plan Development for Routine Disposal

(1) Disposal Methods Requiring Soil Evaluation (Burial, Composting, Open Incineration or Air Curtain Burners) - An NRCS or State of Maine Certified Soil Scientist or other qualified professional shall evaluate soil suitability in accordance with applicable sections of this rule. Plans shall be developed by an NRCS or State of Maine Certified Soil Scientist, a registered professional engineer, a certified geologist, a qualified Soil and Water Conservation District employee or other qualified individual, in accordance with these rules.

(2) Disposal Methods not Requiring Soil Evaluation (Rendering, In-vessel Incineration, Alkaline Hydrolysis, Anaerobic Digestion, Pyrolysis) - Disposal methods not requiring soil evaluation shall be developed by qualified individuals with training and/or experience in the particular disposal methods.

(3) Small Volumes - Burial or composting of less than 500 lbs. of animal carcasses or offal per year, or one large or two medium size animals per year, are exempt from the requirements of Section 7.2.E(1) and shall be done in accordance with Section 8.2.

3. Disposal of Carcasses of Animals Exhibiting Signs of Neurological Diseases

A. Animals that die or are euthanized as a result of a suspected neurological disease such as rabies or Transmissable Spongiform Encephalopathy (TSE) shall be reported to the state veterinarian prior to disposal.

B. The carcasses of animals suspected to have had a neurological disease shall be tested for the presence of TSEs at the owner’s expense. Results of such test shall be provided to the state veterinarian as soon as the results are known.

C. The state veterinarian shall prescribe the appropriate storage and disposal requirements for animals displaying signs of a neurological disease on a case by case basis.

SECTION 8. SITING REQUIREMENTS FOR ANIMAL CARCASS BURIAL SITES

1. Setbacks and Separation Distances for Routine and Catastrophic Burial Sites

A. Burial trenches shall have minimum setback distances set forth in Table 1.

B. Animal carcasses shall be separated above bedrock, water tables and the upper limits of sand or gravel horizons in accordance with Table 2.

C. Farm operations and other regulated facilities, which are exempt from provisions of Section 7.2. E(1), may use the procedures in Section 8.2.

D. If no site can be found to meet all the setbacks in Table 1, the operator may seek a variance from the Commissioner for site specific setbacks. Site specific setbacks shall be developed by a qualified professional and must include provisions to protect sensitive features.

2. Setbacks and Separation Distances for Burial or Composting less than 500 lbs. per Year of Animal Carcasses or Offal, or One Large or Two Medium Size Carcass(es) Per Year, without a Qualified Professional to Evaluate the Site

Burial or composting sites for less than 500 lbs. of small carcasses or offal, or for one large or two medium size animal(s) per year, may be selected without the assistance of a qualified professional provided the following requirements are met:

A. The site must be in an upland position without a large watershed. Compost sites must have a seasonal high water table and bedrock at least 18 inches below the ground surface. Burial sites must have depth to the seasonal high water table and bedrock to accommodate burial according to Section 8.3 or Section 8.4.

B. Burial and compost sites must meet the minimum setback distances set out in Table 3, unless a variance is granted by the Commissioner.

3. Procedure for Burial of 500 Lbs. or Less of Small Carcasses or Offal

A. A trench which is three feet or less wide and no more than 18 inches deep shall be excavated. The bottom of the trench must be at least 24 inches above bedrock and must be above the seasonal high water table. Trenches must follow the contour so that the bottom of the trench is level.

B. For sites with shallow seasonal water table or bedrock, the carcasses or offal may be placed on the soil surface or on fill to achieve the minimum separation distances as an alternative to digging a trench.

C. Carcasses or offal must be placed in the trench or on the surface to a thickness of no more than 12 inches, or one carcass if the carcass is more than 12 inches thick. The carcass(es) or offal shall be limed, and covered with a minimum of 18 inches of soil or 24 inches of compost. The fill surface shall be vegetated or otherwise stabilized to prevent erosion.

D. Burial shall not be done in or on wetland soils unless approved by the Commissioner.

E. Additional trenches may be used if separated by a minimum of three feet, edge of trench to edge of trench.

4. Procedure for Burial of One Large (or Two Medium Size) Carcass(es) Per Year

A. A trench which is 24 inches deep and wide enough to accommodate the carcass shall be excavated. The bottom of the trench shall be above the seasonal high water table and at least 24 inches above bedrock. The bottom of the trench should be level.

B. For sites with a shallow seasonal water table or bedrock, the carcass(es) may be placed on the soil surface or on fill to achieve the minimum separation distances as an alternative to digging a trench.

C. Carcasses shall be placed in the trench or on the surface, limed, and covered with a minimum of 18 inches of soil or 24 inches of compost. The fill surface shall be vegetated or otherwise stabilized.

D. Burial shall not be done in or on wetland soils unless approved by the Commissioner.

5. Setbacks and Separation Distances for Catastrophic Burial

In case of a catastrophic event, the setbacks and separation distances for a burial site shall be in accordance with an approved catastrophic disposal plan. In the event that there is no approved plan or the plan cannot be implemented, the setbacks and separation distances shall be determined by the Commissioner on a case by case basis.

SECTION 9. DESIGN REQUIREMENTS FOR ROUTINE AND CATASTROPHIC ANIMAL CARCASS BURIAL TRENCHES

1. Plan Development - Plans shall be developed by an NRCS or State of Maine Certified Soil Scientist, an engineer, a geologist, a qualified Soil and Water Conservation District employee or other qualified individual in accordance with these rules, except as provided in Section 6.

2. Design Required - All burial trenches must be designed and built in accordance with criteria established by these rules.

3. Surface Water - Surface water shall be diverted away from trenches by the use of berms, diversion ditches or other suitable methods.

4. Engineering Techniques - Appropriate engineering techniques shall be used to overcome site-specific limitations, including, but not limited to, adding fill, installing curtain drains or diversion ditches and using clay liners.

5. Carcasses Limed - Carcasses shall be limed if burial takes place during the summer months (June 1 to September 30 of each year) to prevent offensive odors.

6. Cover Fill - Cover fill depth shall be a minimum of 18 inches and shall be of sandy loam or loamy sand texture. A 24 inch layer of compost may be used in place of soil as fill.

7. Fill Extensions - When fill is applied to a site to meet minimum separation distances, the fill materials shall grade to existing ground surface at no steeper than 3:1 or 33 percent slope.

8. Incidental Inclusions of Other Materials - Provisions shall be made to separate carcasses from other materials except that minor amounts of inorganic debris, or small quantities of manure, bedding and feed are acceptable for burial with carcasses.

9. Winter Storage - Provisions shall be made for winter storage or alternative disposal if burial is the main disposal method.

10. Inspection - Burial trenches shall be periodically inspected to assure that the site is secure. Any evidence of breakouts shall be immediately addressed by liming and re-covering with soil.

11. Animal Carcass Thickness - Animal carcasses shall be piled no thicker than two feet (2') or the thickness of one large animal, except as follows:

A. Farm operations and other regulated facilities which dispose of 500 lbs. or less of animal carcasses by burial, and which do not utilize the services of a professional for site selection or design, shall pile carcasses no thicker than 12 inches or the thickness of one carcass.

B. Variances may be granted for carcass thickness by the Commissioner when site selection and plan design is provided by a qualified professional. Whenever a variance is granted, the separation distance listed in Table 2 shall be increased by 6 inches for each 12 inch increase in thickness of carcasses.

12. Trench Width and Construction - Burial trenches shall be a maximum of 12 feet wide and shall be constructed along the contour so as to be level.

13. Separation Between Trenches - A burial trench shall be separated from other burial trenches by a minimum distance equal to the trench width or to the toe of the fill for adjoining trenches, whichever is greater. If two trenches are of different widths, the separation distance shall be greater or equal to the wider of the two.

14. Shallow Trench Depth - Excavations for trenches should be kept as shallow as is practicable to facilitate carcass decomposition and utilization of nutrients by soil micro-organisms and plants.

15. Burial at Grade - In order to avoid disturbing the soil structure or to maintain separation from the water table or bedrock, carcasses may be placed on the soil surface and covered with a minimum of eighteen inches of soil or two feet of compost. Place fill or compost on the soil surface to the finished grade height and width of the fill extensions and then excavate trenches into the fill material. Finished grade fill extensions shall be 3:1 or 33%. Trench widths shall be a maximum of 12 feet. Burial mounds shall be stabilized similar to trenches to prevent erosion and sedimentation.

16. Stabilization - Cover material over burial trenches shall be vegetated, covered with bark mulch or erosion control mulch, or otherwise stabilized to prevent erosion.

SECTION 10. REQUIREMENTS FOR INCINERATION

1. Types of Incineration

Incineration is the complete destruction of the carcass tissue by burning so that only the mineral content (ash) remains. Methods for achieving this tissue destruction include:

A. Standard (In-vessel) Incinerators;

B. Pyres;

C. Air Curtain Incinerators;

D. Gasification or Pyrolysis Units; and

E. Plasma Arc Gasification.

Standard incinerators, air curtain incinerators, gasification or pyrolysis units and plasma arc gasification are all subject to DEP air licensing regulations – 06-096 CMR 115, and DEP Solid Waste Management Rules 06-096 Chapter 400.

2. General Requirements for Standard (In-vessel) Incinerators

In order to receive a DEP license, the applicant must control emissions from each unit to a level considered by the DEP to represent Best Practical Treatment (BPT), as defined in 06-096 CMR 100 (See Appendix B for a description of Best Practical Treatment as defined by DEP).

3. Pyres. Pyres are permitted for use only in extreme emergencies and must have prior approval from the Commissioner. Siting and operational standards shall be determined on a case by case basis by the Commissioner. Note: The Department will notify the DEP Air Bureau prior to utilizing pyres to dispose of carcasses.

4. Air Curtain Incinerators. Air curtain incinerators may be used for a catastrophic disposal situation provided the following operational and siting standards are met:

A. Siting Standards for Air Curtain Incinerators - Siting shall be determined by the Commissioner on a case by case basis.

B. Operational Standards for Air Curtain Incinerators

(1) Best management practices shall be used at all times when operating an air curtain incinerator

(2) A trained operator shall be on-site at all times when the incinerator is operating.

Note: The Department will notify the DEP Air Bureau prior to utilizing air curtain incinerators to dispose of carcasses.

5. Gasification or Pyrolysis. Gasification or pyrolysis units may be used for either routine or catastrophic disposal situations. The licensing and operational standards that apply to standard incinerators (see Sections 10.1 and 10.2 above) also apply to gasification and pyrolysis.

SECTION 11. COMPOSTING REQUIREMENTS

Composting may be used as both a routine disposal method and as a catastrophic disposal method for animal carcasses and slaughterhouse waste (offal).

1. General Composting Requirements

A. Compost Media for Animal Carcass Composting

The media used for composting carcasses shall provide the conditions that will support hot aerobic composting. The composter should refer to Best Management Practices for Animal Carcass Composting 2011, Maine Department of Agriculture, Conservation and Forestry, for guidance in selecting an appropriate compost medium.

B. Site Evaluation and Selection

Routine mortality compost sites shall be selected on the basis of the standards in Tables 3 through 7 located at the end of these rules. If site modifications or changes to setbacks are needed, this shall be done with the advice of a qualified professional (see definitions). Catastrophic compost sites shall be evaluated for suitability by a qualified professional on a case by case basis (see Appendix C for guidance in doing this).

C. Stormwater and Leachate Control

For all compost methods that may generate leachate or runoff, the surface upon which the compost materials will be placed shall have a slope that is no greater than 6% or less than 1.5%. The preferred slope is between 2% and 4% to allow rainfall to run off from the pad rather than collect on it. A vegetated buffer strip shall be maintained down slope from the pad to act as a filter for any water that leaves the pad. (See Table 8). Vehicle traffic shall be minimized in the vegetated buffer strip to reduce compaction of the soil. Additional storm water controls may be required on a case by case basis. Stormwater control measures shall be designed by the Natural Resources Conservation Service (NRCS), a private engineer, a certified soil scientist or other qualified professional.

D. Testing Requirements

Compost Products From a Disease Outbreak - Compost made from carcasses that resulted from a disease outbreak (such as foot and mouth disease or avian influenza) shall be tested for the survival of the specific disease agent involved.

E. Odor and Vector Attraction

Animal carcass compost sites shall be managed to minimize odors and the attraction of insects and other vectors. All carcasses or offal shall be covered with an appropriate compost medium as soon as possible. In no case shall carcasses remain uncovered for more than 24 hours when temperatures are 40° F or above. Offal shall be covered within 4 hours of delivery to the site.

F. Records

In addition to the records required for catastrophic disposal in Section 7.1.H, the following records shall be kept for catastrophic carcass compost operations:

(1) Location and date the piles were built;

(2) Temperatures. Temperature records shall be maintained if the compost product is to be distributed to the public; and a

(3) Record of disposition of compost - There shall be a record of the final disposition of each batch of compost produced.

These records shall be maintained for one year after the compost product has been distributed.

G. Failure to Reach Temperature Requirements

Compost that fails to meet the method-specific time and temperature requirements must be re-composted or spread on the producer's own fields or forest land.

H. Disposition of Product

(1) Compost produced from routine mortalities and offal may be distributed for general use by the public if it has met the time/temperature standards established for the specific compost system being used. The farm or regulated facility must retain records showing that the time/temperature standard was met. Compost may be spread on the regulated facility’s own fields even if no temperature records are kept or do not indicate that the time/temperature standard has been met.

(2) The disposition of compost made from carcasses that result from a catastrophic event shall be determined on a case by case basis by the Commissioner.

(3) Compost produced from routine mortalities or offal shall be utilized or removed from the regulated facility’s site within two years of its production.

2. Routine Carcass Disposal Compost Methods

Several methods are suitable for routine carcass or offal composting. These include:

A. University of Maryland Bin System (for poultry, small animals and poultry offal);

B. In-vessel compost systems (for poultry, small animals and animal parts);

C. Pre-condition and turn system (for any type of carcass or offal);

D. Turned windrow (for small carcasses or animal parts);

E. Aerated static pile system (may be used for poultry and small carcasses but limited usefulness due to the heterogeneous nature of the mix);

F. Static pile system (may be used for poultry and small carcasses but limited usefulness due to the heterogeneous nature of the mix); and

G. Other methods approved by the Commissioner.

3. Catastrophic Carcass Disposal Compost Methods

Methods that may be used for catastrophic carcass disposal include:

A. Turned windrow method (for offal, animal parts, poultry and small carcasses only);

B. Pre-condition and turn method (for any type of carcass or offal);

C. In-house windrow composting method (for certain poultry and small carcasses);

D. In-vessel compost systems;

E. Static or aerated static pile systems; and

F. Other methods approved by the Commissioner.

4. Requirements for Composting Systems

A. Siting Requirements for Compost Systems

Compost systems shall be sited so as to minimize negative health, environmental, and nuisance impacts. Standards for siting different types of compost systems vary depending on type and level of potential impacts. The standards for several common compost systems follow. Siting standards for other types of compost systems shall be determined by the Commissioner on a case by case basis.

Farms or other regulated facilities that have an existing carcass compost site that fails to meet the siting requirements at the time of the adoption of these rules shall contact the Department for assistance in evaluating the site and may seek a variance from the Commissioner.

(1) General Siting Requirements

(a) Significant sand and gravel aquifer sites shall not be used for uncontained composting operations;

(b) If the separation distances listed in the appropriate table do not exist naturally, engineering techniques such as loam liners, curtain drains, diversion ditches or adding fill may be used to establish these separation distances;

(c) Marshes, bogs, swamps and other areas with saturated soils shall not be used for composting sites;

(d) Composting sites shall be located as close to the source of carcasses as practical and in accordance with setback requirements in the appropriate tables. Whenever possible, the site should also be located so that the prevailing winds will not carry odors from the site to nearby neighbors;

(e) Surface water shall be diverted away from the compost facility;

(f) Compost sites shall be accessible to equipment at all times. If composting is to be done on natural soils, alternative sites or methods may need to be used during times when the soil is too wet to support traffic;

(g) Compost sites shall be designed and built so that no standing water will accumulate around or near the bins, vessels, piles or windrows. Leachate shall be directed to a suitable area to contain and/or treat the leachate; and

(h) Farm operations, individuals or other regulated facilities, who dispose of less than 500 lbs. of animal carcasses or offal per year, or one large animal or two medium size animals per year, by composting, are exempt from requirements (a) and (f) above. Section 8.2 contains special site selection requirements for small volumes.

(2) Siting Requirements for Maryland Bin Composting

(a) Setbacks and Separation Distances

Compost bins shall be set back minimum distances set forth in Table 4. In addition, animal carcasses shall be separated above bedrock, water tables and sand or gravel horizons in accordance with Table 5.

(b) Slope

The surface around the bins shall have a minimum slope of 1.5 percent and a maximum slope of 6 percent sloping away from the bins in all directions.

(3) Siting Requirements for Uncontained Carcass Compost Systems (turned windrow, pre-condition and turn, static pile and aerated static pile systems)

(a) Setbacks and Separation Distances

If the compost site is to be selected by the farmer or someone other than a qualified professional, the site shall meet the minimum distances set forth in Table 6. These setbacks may be modified by a qualified professional as long as adequate provisions or modifications are made to protect sensitive features. In addition, animal carcasses shall be separated above bedrock, water tables and sand or gravel horizons in accordance with Table 7.

(b) Slope

The composting surface shall have a minimum slope of 1.5 percent and a maximum slope of 6 percent. A slope between 2 and 4 percent is preferred.

(4) Siting Requirements for In-house Composting

(a) Setbacks and Separation Distances

Since the composting is done within the barn housing the poultry or livestock itself, no setbacks to sensitive features are required. In addition, since the compost piles or windrows will be inside a building, no separation distances from the water table, bedrock or sand and gravel layers are required.

(b) General Requirements

(i) In order to be suitable for in-house composting, the building must be a set up so that most of the floor can be accessed to build windrows.

(ii) Buildings to be used for in-house composting must be set up so that equipment necessary to manage the compost process may be operated in the building and may access all windrows to manage them.

(5) Siting Requirements for In-vessel (forage bag) Composting

This section applies to composting done inside the long tube-like plastic bags used to store forage. Requirements for other types of in-vessel compost systems shall be established by the Commissioner on a case by case basis.

(a) Setbacks and Separation Distances

The compost site shall meet the minimum distances set forth in Table 4. These setbacks may be modified by a qualified professional as long as adequate provisions or modifications are made to protect sensitive features. In addition, the containers holding animal carcasses shall be separated above bedrock, water tables, and sand or gravel horizons in accordance with Table 5. Separation distances may be modified by a qualified professional with permission of the Commissioner.

(b) Slope and Lay Out

The composting surface shall have a minimum slope of 1.5 percent and a maximum slope of 6 percent. A slope between 2 and 4 percent is preferred. A large open area with a relatively uniform slope is required to lay out the forage bags. The site should allow the forage bags to be placed so that they run up and down the slope and not trap water.

B. Operational Requirements for Compost Systems

(1) Operational Requirements for the University of Maryland Bin System

The University of Maryland Bin Composting System uses wooden or concrete block bins to compost poultry, poultry offal or other small carcasses. The composting is done in two active stages plus a curing stage. Carcasses shall be layered with straw and manure or other appropriate compost medium until the bin is full (see Section 11.1.A). The bin contents shall be allowed to compost for 7-10 days and then moved to a second bin. The moving shall be done so as to mix and loosen the material as much as possible.

After the material has been in the second bin for a minimum of 10 days, the material shall be moved to a curing pile where it shall be held for a minimum of 30 days. The moving shall be done so as to mix and loosen the material as much as possible.

(a) Bin Construction - The compost bins shall be built of decay-resistant wood or other durable materials. They shall be built on an impervious base and shall have a roof to keep out excess moisture

(b) Management of Maryland Bin Composters - The University of Maryland bin system shall be managed as follows:

(i) Temperature shall be monitored and recorded on a daily basis at least until the time/temperature standard has been met. Temperature readings shall be taken at a point near the center of the bin. The compost shall attain a minimum temperature of 131° F (55° C) for a minimum of one day in Stage I and for a minimum of three days in Stage II. Batches that fail to meet this temperature requirement shall be incorporated into subsequent batches and re-composted or be spread on the owner’s land;

(ii) At the end of each day that carcasses are placed in the bin, they shall be covered with manure and bulking agent to reduce odor, fly and vector problems;

(iii) To avoid fly and odor problems, carcasses shall be placed at least 6" from all sides of the compost bins;

(iv) Bin contents shall be moved or turned at least twice during the first 17 to 20 days of composting to assure thorough mixing and complete decomposition. After each turning, care shall be taken to make sure there is no soft tissue on the surface. Any soft tissue on the surface shall be covered immediately with manure, hay, compost or other appropriate cover material; and

(v) Composting shall be done using ingredients that promote hot aerobic composting (See Section 11.1.A).

(2) General Operational Requirements for Systems Using Piles or Windrows (Note: The composter should refer to Best Management Practices for Animal Carcass Composting 2011, Maine Department of Agriculture, Conservation and Forestry, for guidance in pile or windrow construction and management).

(a) Carcasses or offal shall be mixed with manure, bedding materials or other appropriate compost medium and formed into windrows or piles as soon as possible to minimize odor, insect and vector problems (See Section 11.1.A). Carcasses or offal shall make up no more than 20% of the mix by volume.

(b) The mixture shall have sufficient porosity such that it will easily allow air to be pushed or drawn through the pile or windrow (This is generally the case if the bulk density of the material is less than 1000 lbs per cubic yard).

(c) Preparation of carcasses: Large carcasses may be vented by puncturing or opening the abdomen, or may be cut into smaller pieces to facilitate the compost process. In the case of carcasses with highly contagious diseases, such as Foot and Mouth Disease, the Commissioner shall determine if carcasses are to be vented or cut on a case by case basis.

(d) Carcass or offal compost piles or windrows shall be visually checked on a daily basis during the first week after construction. Any exposed carcasses or tissues shall be covered with at least two feet of an appropriate compost material.

(e) Compost piles and windrows shall be constructed to be between four feet (4') and seven feet (7') in height and no more than fifteen feet (15') in width in order to allow for adequate aeration.

(f) Monitoring shall consist of daily checks on temperature and assessment of pile moisture. The thermometer used to check pile temperature shall have at least a three foot (3') probe and a scale that includes the range from 32°F to 212°F (0° to 100° C).

(3) Operational Requirements for the Turned Windrow System

The minimum operational requirements for a turned windrow system are as follows:

(a) In the windrow composting method, temperature shall reach a minimum of 131° F (55° C) for at least 15 days during the composting period. During the high temperature period there must be a minimum of five (5) turnings of the pile. Once this temperature requirement is met, the windrow shall be turned at least once per week. Once the temperature in the windrow drops below 110°F and does not increase after turning, the windrow may be placed in a curing pile;

Temperature monitoring shall be conducted in the following manner:

(i) A set of two temperature readings shall be taken at equally spaced intervals for every 30' of windrow length, but in no case shall there be less than two sets of readings taken for each windrow. One set of readings at each location shall consist of:

• a reading at the three foot depth or core of the pile; and

• a reading at one foot below the surface.

(ii) Temperature readings shall be taken in the same locations each day. An arithmetic average for each windrow may be calculated for each day's readings.

(b) There shall be at least 15 days that the average temperature at either the one foot or three foot depth for the day is 131° F (55° C) or greater.

(4) Operational Requirements for the Static Pile System and the Aerated Static Pile System

The static pile and aerated static pile systems are essentially the same except that the aerated static piles are formed over perforated pipes or ducts that allow air to be introduced with a blower. The minimum operational requirements for the static pile and aerated static pile systems are as follows:

(a) The pile shall be maintained at a temperature of 131° F (55° C) or greater for at least three (3) days at both the three foot and one foot depths in the pile. Detention time in the static pile or aerated static pile shall be at least 21 days, after which the pile may be dismantled and moved to curing;

(b) Temperature monitoring shall be conducted in the following manner:

A set of two temperature readings shall be taken, at equally spaced intervals, for every 30' of pile length, but in no case shall there be less than two sets of readings taken for each pile. The readings shall be taken from both of the following locations:

-Three feet or core of the pile; and

-One foot below the surface.

(c) Temperature readings shall be taken in the same locations each day. There shall be at least three (3) days at each depth and location that the temperature for the day is 131° F (55°C) or greater.

(5) General Operational Requirements for the Pre-condition and Turn Method

(a) Temperature shall be monitored on a daily basis and recorded, if the compost is to be distributed to the public. Temperatures shall be taken at the one foot and three foot depths in the pile. A set of two temperature readings shall be taken at equally spaced intervals for every 30' of windrow length, but in no case shall there be less than two sets of readings taken for each windrow. One set of readings at each location shall consist of:

• a reading at the three foot depth or core of the pile; and

• a reading at one foot below the surface.

Temperatures must be taken at the same locations each day. The compost shall attain a minimum temperature of 131° F (55° C) at the three foot depth at each location for a minimum of three days in the pre-condition stage (Stage I) or for a minimum of fifteen days at either depth during the turning stage (Stage II). The windrow shall be turned at least five times. Batches that fail to meet this temperature requirement shall be incorporated into subsequent batches and re-composted or spread on the farm or regulated facility’s own land.

(b) Carcasses and/or offal shall be layered with an appropriate compost medium and formed into windrows or piles as soon as possible to minimize odor, fly and vector problems (See Section 11.1.A).

(c) For all types of carcasses and offal, a layer of 18 to 24 inches of an appropriate compost medium shall be laid out on the composting surface as a base. Carcasses and/or offal shall be placed on this base in one or more layers depending on carcass or offal size. In all cases there shall be a minimum of two feet between the carcass and/or offal and the outside of the pile or windrow.

(d) Once all the carcasses or offal have been added to the pile, a minimum of two feet of the compost medium shall be placed over the carcasses or offal. No part of the carcass or offal may be less than two feet from the outside of the pile.

(e) Pre-condition and turn compost piles or windrows shall be constructed to be between four feet (4') and seven feet (7') in height depending on size and number of carcasses and no more than fifteen feet (15') in width in order to allow for adequate aeration.

(f) The pre-conditioning period length shall be sufficient to allow most of the soft tissue to be decomposed prior to the first turning of the windrow. The length of the pre-conditioning period will vary by size and type of carcass or offal. See Best Management Practices for Animal Carcass Composting 2011 Maine Department of Agriculture, Conservation and Forestry for guidance in determining the appropriate pre-condition period length.

(6) Operational Requirements for In-house Composting

In-house composting may be done using any of the following methods: turned windrow; pre-condition and turn; static pile; or aerated static pile. The operational requirements shall be the same as the requirements laid out in the sections addressing these methods.

(7) Operational Requirements for In-vessel Composting

Because in-vessel systems vary widely, operational requirements shall be determined on a case by case basis. All systems shall meet the following minimum operational requirements:

(a) Carcasses or offal mixed with manure, bedding or other appropriate compost medium shall be placed in the vessel as soon as possible to minimize odor, fly and vector problems (See Section 11.1.A). Carcasses shall make up no more than 20% of the mix by volume;

(b) Provisions shall be made to treat odors in the exhaust air leaving the vessel;

(c) The contents of the vessel shall be maintained at a temperature of 131° F (55° C) or greater for at least three (3) days throughout the vessel. The composting mixture shall remain in the vessel until all soft tissue is gone but in no case shall it be retained for less than 21 days, after which the contents may be removed to a compost pile or placed in curing;

(d) Monitoring shall consist of daily checks on temperature, assessment of moisture, and visual checks on the vessel and associated equipment. The thermometers used to check vessel temperature will vary based on vessel configuration but shall have the capability of measuring temperatures in the range from 32° to 212° F (0° to 100° C); and

(e) A set of temperature readings shall be taken at equally spaced intervals, depending on vessel configuration, sufficient to give a reasonably accurate representation of the temperature throughout the vessel.

5. Requirements for Catastrophic Composting Systems

A. Methods - Acceptable methods include turned windrow, static pile, aerated static pile, pre-condition and turn, in-house windrows and in-vessel. The preferred method for most situations is pre-condition and turn, especially for disease outbreaks. Authorization by the Commissioner is required before implementing a catastrophic carcass disposal composting process.

B. Siting Requirements - Although the standards used for siting routine compost operations may be used in an emergency, considerations may preclude the use of those standards, especially in the case of a highly contagious disease. For catastrophic events, the protocol outlined in Appendix C is recommended on a case by case basis.

C. Operational Requirements - Operational requirements for composting of catastrophic losses are the same as those for routine mortalities except that:

(1) The disposition of batches that fail to meet the time/temperature standards shall be determined by the Commissioner on a case by case basis;

(2) The compost medium shall be hot material prior to building compost piles if at all possible. Hot sludge based compost is recommended if available;

(3) Compost that results from diseased carcasses shall be tested for the survival of the disease organism prior to being used or distributed; and

(4) In addition to the items needed for routine compost records, the records of a catastrophic disposal compost operation shall also comply with Section 7.1.H. Records of Catastrophic Carcass Disposal Operation.

SECTION 12. RENDERING OR PROCESSING PLANTS

1. Approved Rendering Facilities - Animal carcasses may be rendered at state or federally approved rendering plants. In addition to traditional rendering methods, this may include non-traditional rendering methods such as fluidized bed drying, flash dehydration and extrusion.

2. Secure Containers for Storage - Carcasses to be sent to a rendering or processing plant shall be kept in secure containers that will minimize access by insects, rodents and other animals and minimize the escape of odors and leachate.

3. Length of Storage Time - Carcasses shall not be stored at the farm or regulated facility for more than 72 hours before going to a rendering or processing plant when the ambient air temperature is above 40° F.

4. Biosecurity Precautions Required - Precautions must be taken to prevent the spread of disease from the rendering trucks, storage areas and/or personnel to healthy poultry and livestock.

SECTION 13. REQUIREMENTS FOR OTHER DISPOSAL METHODS

1. Landfilling - Carcasses may be disposed of in a properly engineered landfill that has been licensed or permitted by Maine DEP or its equivalent if not in Maine. Approval of the land fill owner is required before utilizing this method.

2. Pre-processing Technologies -

A. Carcasses may be pre-processed in order to make them suitable for certain disposal or processing technologies. These may include but are not limited to:

Freezing;

Grinding;

Steam Sterilization;

Acid Fermentation (stabilize material for rendering); or

Thermal Hydrolysis (prior to anaerobic digestion).

B. The Commissioner must approve the pre-processing of any carcasses from animals that died or were slaughtered due to a disease outbreak.

3. Technology-Based (In-vessel Processing) Disposal Methods (grinding followed by chemical, physical or biological breakdown of tissues)

A. Carcasses may be processed using technology-based methods meant to decompose the tissues into stable by-products. These may include but are not limited to:

Anaerobic digestion;

Acid fermentation;

Thermal hydrolysis;

Alkaline hydrolysis; or

Thermal depolymerization.

B. The Commissioner must approve the processing of any carcasses from animals that died or were slaughtered due to a disease outbreak.

4. Siting Requirements for Pre-processing Methods, Technology-Based Disposal Methods and Non-traditional Rendering

A. Siting Requirements for Permanent Facilities. Permanent facilities within buildings shall be sited to comply with all local, state and federal regulations. Where possible, the setbacks in Table 4 should be met.

B. Evaluation of Suitability for Traffic. Plans for permanent facilities shall evaluate the suitability of roads and driveways to handle the expected truck traffic at all times of the year.

C. Air Emission Standards. Permanent facilities shall comply with air emission standards as determined by DEP where applicable.

D. Siting for Mobile Units. Mobile units or fixed facilities not enclosed in a building shall be located as close to the source of the carcasses as is practical, while meeting the setback requirements in Table 4, and the separation distances in Table 5. A qualified professional may modify these setbacks or separation distances with the permission of the Commissioner.

5. Operational Requirements for Pre-processing Methods, Technology-Based Disposal Methods and Non-traditional Rendering

All operations utilizing pre-processing, technology-based disposal methods or non-traditional rendering shall:

Have and implement a plan for the disposal or use of the final product;

Comply with best management practices for that technology;

Have skilled operators with proper training to operate the facility;

Operate so as to meet any air emission standards established by DEP; and

Meet any other requirements as determined by the Commissioner.

SECTION 14. BIOSECURITY

1. Basic Biosecurity Measures - All persons responsible for the disposal of animal carcasses shall adhere to standard biosecurity measures when addressing carcass disposal. These include such measures as boot cleaning, changing clothing, and hand washing prior to coming into contact with live animals after contact with carcasses. This includes using disinfectants that cite this use on the label and are currently registered with the USEPA and the Maine Board of Pesticides Control.

2. Routine Mortality - When composting, the operator shall practice good pile construction and maintenance. The operator shall construct compost piles so as to discourage disease vectors (scavengers) from disturbing the pile. Piles or windrows shall be maintained so that any carcass or offal that may be exposed is covered promptly. Equipment used for handling the raw inputs shall be cleaned before handling feed or finished compost products.

3. Catastrophic Events - In the event that a large number of carcasses must be managed quickly due to a large-scale disaster, and equipment must be brought onto the farm, biosecurity protocols shall be established to minimize the amount of traffic on and off the farm to ensure proper disinfection procedures are used, and to limit exposure of livestock to off-farm traffic.

4. Disease Outbreak - In the case of a disease outbreak, the farm operation shall contact the appropriate state and federal animal health authorities for direction on implementing biosecurity measures.

SECTION 15. TRANSPORTATION OF POULTRY AND LIVESTOCK CARCASSES

1. Secure Containers - Poultry or livestock carcasses transported over any public road shall be transported in secure containers.

2. Diseased Carcasses - Carcasses from animals that died or were slaughtered due to a disease outbreak may only be transported from the farm or other regulated facility where they originated with the permission of the Commissioner. A written biosecurity plan shall be required prior to transportation of diseased carcasses.

SECTION 16. SETBACK AND SEPARATION TABLES

TABLE 1. Setbacks for Burial Trenches

SETBACK IF FEATURE IS:

FEATURE

UPSLOPE

DOWNSLOPE

Perennial Waterbodies @

100'

150'

Intermittent Waterbodies @

50'

75'

Public Water System

300'#

300'#

Private Wells (except owners)

150'+

150'+

Private Wells (owner)

100'+

100'+

Public Roads

50'

50'

Residences (except owner)

100'+

100'+

Non Residences (except owner)

50'+

50'+

Buildings (owner)

20'

20'

Property Lines

50'+

50'+

Wetlands of Special Significance

100’

100’

Other Wetlands

Not Within

Not Within

Significant Sand & Gravel Aquifers

Not within

Not within

10-Year Flood Plain

Not within

Not within

Slopes

15% or less

15% or less

Distance Between Burial Trenches

a distance equal to or greater than the width of the trench

@ Setbacks shall be from the normal maximum high water mark.

• This setback may be reduced with written permission from property owner.

This setback may not be reduced.

TABLE 2. Minimum Separation Distance for Burial Trenches

Seasonal Water Table 12"*+

Bedrock 24"*+

Upper Limits of Sand or Gravel Horizons 12"*+

• Based upon carcass thickness of up to 24 inches; for each additional 12 inches thickness of carcasses above 24 inches, increase separation by 6 inches.

• These separation distances may be achieved by the use of engineering techniques such as placing fill, installing curtain drains or diversion ditches.

TABLE 3. Setbacks for Composting or Burial of less than 500 lbs. of Animal Carcasses or Offal per Year, or One Large or Two Medium Size Carcasses per Year, without a Qualified Professional

FEATURE

SETBACK

Perennial Waterbodies @

100'

Intermittent Waterbodies @

50'

Public Water System

300'#

Private Wells (except owners)

150'+

Private Wells (owner)

100'+

Public Roads

50'

Residences (except owner)

100'+

Non Residences (except owner)

50'+

Buildings (owner)

20'

Property Lines

50'+

Wetlands of Special Significance

100’

Other Wetlands

Not Within

Significant Sand & Gravel Aquifers

Not within

10-Year Flood Plain

Not within

Slopes

15% or less

Distance Between Burial Trenches

a distance equal to or greater than the width of the trench

@ Setbacks shall be from the normal maximum high water mark.

• This setback may be reduced with written permission from property owner

This setback may not be reduced.

TABLE 4. Minimum Setback Distances for Carcass Compost Bins and Vessels

Feature Setback

Perennial Waterbodies @ 100'

Intermittent Waterbodies @ 50'

Public Water Supplies 100'#

Private Wells (except owner) 100'

Roads 50'

Buildings (except owner)

Residences 100'+

Non-residences 50'+

Buildings (owner) 20'

Property Lines 50'

Significant Sand and Gravel Aquifers N.A.

Flood Plain Not within 100 year

Wetland Outside (Unless permits obtained)

Slopes 15% or less (Unless otherwise modified)

@ Setbacks shall be from the normal maximum high water mark.

• This setback may be reduced with written permission of adjacent property owner.

! If the barn is located closer to the residence or other building than this setback, the compost sites may be developed next to the barn but shall not be closer to the residence or other building than the nearest point of the barn.

This setback may not be reduced.

TABLE 5. Minimum Vertical Separation Distance between Compost and Soil Limiting Factors for Bins and Vessel Systems

Bins, Vessels & Uncontained

FEATURE Contained Curing Piles Curing Piles

Seasonal Water Table 12"* 18"*

Bedrock 12"* 24"*

Upper Limits of Sand 12"* 18"*

or Gravel Horizons

• Separation distance may be achieved by adding fill or lowering the water table.

TABLE 6. Minimum Setback Distances for Carcass Compost Piles, Windrows, and Curing Piles&

SETBACK IF FEATURE IS:

Facility has > 700 AUs or is a Commercial Composter

Facility has < 700 AUs or is a non-Commercial Composter

FEATURE

UPSLOPE

DOWNSLOPE

UPSLOPE

DOWNSLOPE

Perennial

Waterbodies @

100’

300’

100'

150'

Intermittent Waterbodies @

100’

200’*

50'

75'*

Public Water System

300’#

300’#

300'#

300'#

Private Wells (except owners)

150’+

300’+

150'+

150'+

Private Wells (owner)

100’+

200’+*

100'+

100'+*

Public Roads

100’

200’*

50'

50'*

Residences (except owner)

300’+

300’+

100'+

100'+

Non Residences (except owner)

150’+

150’+*

50'+

50'+*

Buildings (owner)

20’

20’*

20'

20'*

Property Lines

100’+

200’+*

50'+

50'+*

Wetlands of Special Significance

100’

200’*

100’

100’*

Other Wetlands

Not Within

Not Within

Not Within

Not Within

Significant Sand & Gravel Aquifers

Not Within

Not Within

Not within

Not within

10-Year Flood Plain

Not Within

Not Within

Not within

Not within

Slopes

15% or less

15% or less

15% or less

15% or less

Greater than 33% slope

25’

150’

25’

100’

& Most setbacks may be adjusted with permission of the Commissioner based on site specific conditions and management techniques except where otherwise noted.

@ Setbacks shall be from the normal maximum high water mark.

• Must also meet the filter strip requirements (see Table 8), the greater of which prevails.

• This setback may be reduced with written permission from property owner.

This setback may not be reduced.

TABLE 7. Minimum Separation Distances for Uncontained Compost Sites

Paved Unpaved

(Depth below working surface in inches)

Seasonal water Table 12 24

Bedrock 12 24

Upper Limits of sand/gravel Horizons 12 18

These separation distances may be achieved by the use of engineering techniques such as placing fill, installing curtain drains or diversion ditches.

TABLE 8. Compost Site Filter Strip Requirements*

Facilities with < 700 AUs or Non-Commercial Composters

Facilities with > 700 AUs or Commercial Composters

COMMENT

Filter strip width parallel to the contour down slope from compost pad

For pads less than 25 feet in width:

minimum width of 25 feet along the downslope side of the compost pad

For pads > 25 feet but less than 200 ft&: Minimum of 1 ft filter width for each 1 ft of impervious pad width up to 50 feet. Then 1 ft of filter strip width for each 2 feet of impervious pad width between 50 and 200 ft.

---

Note: Pads must also meet the setback requirements in Table 6, which may be greater than the filter strip width.

Filter strip length perpendicular to the contour

Equal to or greater than the length of the compost pad parallel to the contour

Equal to or greater than the length of the compost pad parallel to the contour

---

Minimum Depth to hardpan or water table+

10 inches

15 inches

Minimum Depth to bedrock+

18 inches

24 inches

Vegetative cover Maintenance**

Herbaceous vegetation (grass): mow 1 or 2 times/yr ; forest cover: maintain forest stand and organic duff layer

Run off flow through filter strip

Grade or use stone or erosion and sediment control mulch berm to direct flow as sheet flow at upslope edge of filter strip. For herbaceous filter strips more than 100 ft in width include a mulch or stone berm every 50’ to redistribute flow into sheet flow.

---

Maintain as sheet flow, repair any concentrated flow channels.

Depth to Sand or Gravel Layers+

6”

12”

Erosion and Sediment Control

Disturbed soils shall be stabilized. No traffic shall be allowed in filter strip until vegetation has been well established.

Filter strip slope

≤ 10% slope++;

• Requirements are for new facilities. For existing facilities or new facilities on existing farming operations that only use farm generated materials, reductions to these standards may be authorized by the Commissioner.

** Vehicle traffic shall be minimized within the filter strip to minimize compaction of the soil, rutting, and damage to the vegetation.

*** May be adjusted with permission of the Commissioner based on site specific conditions and management techniques

& Pads greater than 200 ft in width shall require a filter strip designed on a site specific basis by a qualified professional.

• May be achieved by engineering techniques such as diversion ditches, curtain drains or adding fill. Permits may be required for altering wetlands to comply with filter strip requirements.

++ For sites > 10% but less than 20% slope: Site specific modifications may be allowed with permission of the Commissioner.

Bibliography

Seekins, Bill. 2007. Best Management Practices for Large Animal Carcass Composting. Maine Department of Agriculture, Food and Rural Resources.

Seekins, Bill. 2011. Best Management Practices for Animal Carcass Composting. Maine Department of Agriculture, Food, and Rural Resources.

South NTC Bulletin No. 5210-0-05. South National Technical Center. USDA. Soil Conservation Service. Fort Worth, Texas. February, 1990.

South NTC Bulletin No. 5210-0-10. South National Technical Center. USDA. Soil Conservation Service. Fort Worth, Texas. June, 1990.

Maine Department of Environmental Protection. Maine Solid Waste Management Rules. Chapter 410. Composting Facilities. Adopted February 18, 2009.

Maine Department of Agriculture. Guidelines for Siting Compost Operations. November 21, 2005

Cooperative Extension Service. Composting Poultry Carcasses. MP 317. University of Arkansas.

Maryland Cooperative Extension Service. Maryland Freestanding 2-Stage Composter; Isometric Poultry Composting Shed. 1988.1.

Brodie, H. and L. Carr. Composting Animal Mortalities on the Farm. Fact Sheet 717. University of Maryland Cooperative Extension.

Rynk, R (Editor) 1992. On-Farm Composting Handbook. NRAES-54. Northeast Regional Agricultural Engineering Service.

Dougherty, M (editor) 1999. Field Guide to On-Farm Composting. NRAES-114. Natural Resource, Agriculture and Engineering Service.

Natural Rendering: Composting Livestock Mortality and Butcher Waste.

Cornell Waste Management Institute. Department of Crop & Soil Sciences Rice Hall • Ithaca, NY 14853.

Carcass Disposal: A comprehensive Review. National Agricultural Biosecurity Center, Kansas State University. 2004.

University of Maine Cooperative Extension. Safe Disposal of Backyard Poultry Mortalities. 2006.

Maryland Cooperative Extension. Fact Sheet 801: Guidelines for In-house Composting of Catastrophic Poultry Mortality. 2002.

Bowman, G.L., and W. P. Shulaw. 2001. Biosecurity Fundamentals for Extension Personnel. Extension Fact Sheet VME. The Ohio State University.

Bowman,G.L., and W. P. Shulaw. 2001. Disinfection in On-Farm Biosecurity Procedures. Extension Fact Sheet VME. The Ohio State University.

Best Management Practices for the Prevention of Entry of Disease onto Livestock Operations. 2001. New York State Cattle Health Assurance Program.

Ellis, R. 2001. Best Management Practices for Farm Visitors. New York State Cattle Health Assurance Program

Flory, Gary A.; Bendfeldt, E.S. ; Peer, R.W.; Zirkle, C.; Malone, G.W. 2006. Guidelines for In-House Composting Poultry Mortality as a Rapid Response to Avian Influenza. Virginia Department of Environmental Quality and University of Delaware.

Tablante, Nathaniel L.; Carr, L.E.; Malone, G.W.; Patterson, P.H.; Hegngi, F.N.; Felton, G.; Zimmerman, N. Guidelines for In-House Composting of Catastrophic poultry Mortality. Maryland Cooperative Extension. Fact Sheet 801.

Hawkins, Ben; Fraser, H.; Groot-Nibbelink, B.; Joynes, K.; Taylor, T.; Wand, C.; Bradshaw, S.; Fleming, C. Best Management Practices: Deadstock Disposal. Ontario Ministry of Agriculture, Food and Rural Affairs.

Somerville, Robert; Fernie, K.; Smith, A.; Andrews, R.; Schmidt, E.; Taylor, D. 2009. Inactivation of Infectious Prion Agents (TSEs) Utilizing a Thermal Hydrolysis Process. University of Edinburgh, Scotland.

Council for Agricultural Science and Technology (CAST). 2008. Poultry Carcass Disposal Options for Routine and Catastrophic Mortality. Issue Paper 40. CAST, Ames, Iowa.

Air Burners, LLC. 2007. Technical Memorandum: Principle of Operation of Air Curtain Burning. Air Burners, LLC. Palm City, Fl.

Air Burners, LLC. 2007. Technical Memorandum: Avian Influenza Bird Carcass Disposal. Air Burners, LLC. Palm City, Fl.

Shapiro, Alan. 2002. The Use of Air Curtain Destructors for Fuel Reduction. Fire Management Tech Tips. USDA Forest Service Technology and Development Program.

APPENDIX A

Catastrophic Carcass Disposal Plan Template

Farm Name ________________________________________

Primary Disposal Option _____________________________________(composting, burial ?)

Secondary Disposal Option ___________________________________(composting, burial, landfill?)

The site for our catastrophic carcass compost/burial site is in tract___, field_____, on land we own. The site was chosen with the guidance of _____________________ __________________(licensed soil scientist, NRCS field staff, SWCD technician…)(Include name and phone number of person providing technical assistance.)Here we have enough space to compost/bury up to _______ cows.

For equipment to do this we own or have access to the following:

___Bucket Loader(s)

___Compost Turner(s)

___3 foot temperature probe

___3 to 6 foot piece of sharpened rebar

___trucks with dump body

___excavators

___bulldozers

___backhoes

___skid steers

___pulp loaders

___feed mix wagons

___manure spreaders

___Plastic safety fencing to contain the area (___ft.) and fastened to the ground around the finished compost area to discourage predators.

Cover materials for the composting process will include mixes of the following materials:

chopped straw, ground corn stalks, silage, ground hay , wood shavings/sawdust, cow manure, calf and heifer bedding, horse bedding and poultry litter. (see BMP for best ratios)

If we need more than we have on hand, we will get _______________(horse bedding, sludge compost, other bulking materials) from . (Include contact name and phone number for material.)

For Composting, we will need 6X + 6 cubic yards of cover material. (X = number of cows.) . In addition, we will need 1.75X + 1.75 cubic yards of material to build the base. In total, for a 10 cow windrow, we would need approximately 85 cubic yards of material. If our entire herd required composting, we would need ______________ cubic yards of compost material.

In order to create the bed, we would need to lay down an 18 inch deep bed of compost materials laid out in a windrow that is 10 feet wide and 44 feet long (4 x X + 4) for each layout of 10 animals. (X is the number of cows.) (see diagrams in BMP) A 2 feet space will be allowed between the end cows and the end of the windrow.

Windrows will be laid out in pairs, with a one foot gap between each pair. A gap of 10 feet will be allowed before the next pair of windrows. (see diagrams in BMP)

(Note: If burial is the primary option, then the description from the Department of Agriculture trench burial document should be used as guidance for this section.)

If a catastrophe occurred, __________________________________________(Name and phone number) would immediately call:

Local:_______________________________________________________(name and phone number)

State:_______________________________________________________ (name and phone number)

Federal authorities_____________________________________________ (name and phone number)

on implementing biosecurity recommendations. We would immediately minimize traffic on the farm and disinfect people and vehicles coming to the farm and leaving the farm. (How would this be done? Is disinfection equipment for vehicles available on the farm? If not, where will it be obtained?)

________________________ would be in charge of overseeing the composting/burial on our farm. S/he will have received this training from _____________________________. For composting, s/he will oversee the bed building, the carcass layout, and the covering of the carcasses with at least 2 feet of material. (3 feet if it is winter) S/he will use a 3 foot probe to insure coverage is adequate. S/he will visually monitor the pile everyday for the first 7 days, and once a week thereafter. If cracks appear or any carcass part is visible, additional material will be added to cover immediately.

S/he will record Carcass Compost Temperatures 5 days per week, in at least five different places (flagged so that repeat measures are taken in the same spot) in each windrow until the time/temperature standard is met.(see attached) The temperatures will be recorded on a chart and that record will be kept in a safe place.

The pile will be left undisturbed for 10-12 weeks to as long as 6 months, based on levels of decomposition.

The windrow will be turned with a bucket loader, excavator, or compost turner about once a week thereafter for as long as the average pile temperature is above 110 degrees. In order for the compost to leave the farm, it must achieve a minimum of 131° F or 55° C for 3 days, or in the turned windrow phase, have achieved a minimum of 131° F or 55° C for a minimum of 15 days with a minimum of 5 turnings during that time. Otherwise it will be re-composted or spread on the owner’s own fields.

There will be a record maintained of where each batch was spread, whether on own land or someone else’s and it will be included in the Nutrient Management Plan of the landowner as well.

APPENDIX B

BEST PRACTICAL TREATMENT FOR ANIMAL CARCASS INCINERATORS

The following language was taken from a model DEP license for a veterinary incinerator used to dispose of animal carcasses:

1. Best Practical Treatment (“BPT”) for existing equipment means that method which controls or reduces emissions to the lowest possible level considering:

the existing state of technology;

the effectiveness of available alternatives for reducing emissions from the source being considered; and

the economic feasibility for the type of establishment involved.

This source was previously subject to Best Available Control Technology (BACT) requirements. The former BACT determination is now considered Best Practical Treatment for this source. BPT for the Class IV-A veterinary incinerator includes the following:

Operating temperature in the secondary chamber or refractory lined stack shall be maintained at or above 1600oF with a stack gas retention time, at or above 1600oF, of at least 0.5 second.

To ensure an efficient burn and to prevent odors and visible emissions, the secondary chamber shall be preheated, as specified by the manufacturer, until the pyrometer temperature measures a minimum of 1200oF prior to commencing the burn cycle (check with the manufacturer to see that this will still ensure compliance, there is usually test data available or a VE can be done at the source; if not then leave at 1600).

Once the burn cycle has commenced by introduction of primary chamber combustion, the incinerator shall be operated in an efficient manner and as specified by the manufacturer for the period of time between preheat and reaching the set operational temperature to be a minimum of 1600oF in the secondary chamber.

The temperature in the secondary chamber or refractory lined stack shall be maintained at or above 1600oF for the duration of the burn cycle.

A pyrometer and ¼ inch test port shall be installed and maintained at the location of the incinerator or refractory lined stack, which provides sufficient volume to insure a flue gas retention time of not less than 0.5 seconds at the minimum of 1600oF.

A log will be maintained recording the weight of the waste charged, preheat time, charging time and the temperature of the secondary chamber every 60 minutes after start-up until, and including, final shutdown time. For facilities operating a chart recorder, the start time, date, and weight charged may be logged on the chart.

A maximum particulate emission rate of 0.20 gr/dscf corrected to 12% CO2 will be met. Emissions information is based on a licensed allowed particulate matter emission limit of 0.20 gr/dscf corrected to 12% CO2, the burning of propane fuel as an auxiliary fuel, and the use of AP-42 factors: Tables 2.3-1 and 2.3-2 for biomedical waste incineration (dated 7/93) and Table 1.5-1 for liquid propane fuel (dated 07/08):

PM - 0.20 gr/dscf corrected to 12% CO2, based on BACT, and 0.20 lb/103 gallons fuel factor.

SO2 – 0.16 lb/hr based on the AP-42 factors of 2.17 lb/ton and 0.00 lb/103 gallons fuel factor.

NOX – 0.47 lb/hr based on the AP-42 factors of 3.56 lb/ton and 0.207 lb/103 gallons fuel factor.

CO – 0.34 lb/hr based on the AP-42 factor of 2.95 lb/ton and 7.50 lb/103 gallons fuel factor.

VOC – 0.04 lb/hr based on the AP-42 factor of 0.299 lb/ton and 1.0 lb/103 gallons fuel factor.

Visible emissions from the incinerator shall not exceed 10% opacity based on a six (6) minute block average basis.

The ash must be disposed of in accordance with the requirements of the Bureau of Remediation and Waste Management.

The incinerator operator(s) shall receive adequate training to operate the incinerator in accordance with the manufacturer’s specifications and shall be familiar with the terms of the Air Emission License.

2. BPT for new sources and modifications requires a demonstration that emissions are receiving Best Available Technology (BACT) as defined in 06-096 CMR 100. BACT is a top down approach to selecting air emission controls considering economic, environmental and energy impacts. BACT for the Class IV-A (veterinary) incinerator includes the following:

Operating temperature in the secondary chamber or refractory lined stack shall be maintained at or above 16000F with a stack gas retention time, at or above 16000F, of at least 1.0 second.

To ensure an efficient burn, and to prevent odors and visible emissions, the secondary chamber shall be preheated, as specified by the manufacturer, until the pyrometer measures a minimum of 12000F prior to commencing the burn cycle (check with the manufacturer to see that this will still ensure compliance, there is usually test data available or a VE can be done at the source; if not then leave at 1600).

Once the burn cycle has commenced by introduction of primary chamber combustion, the incinerator shall be operated in an efficient manner, and as specified by the manufacturer, for the period of time between preheat and reaching the set operational temperature to be a minimum of 16000F in the secondary chamber.

The temperature in the secondary chamber or refractory lined stack shall be maintained at or above 16000F for the duration of the burn cycle.

A pyrometer and ¼ inch test port shall be installed and maintained at the location of the incinerator or refractory lined stack, which provides sufficient volume to insure a flue gas retention time of not less than 1.0 second at a minimum of 16000F.

A log will be maintained recording the weight of the waste charged, preheat time, charging time and the temperature of the secondary chamber every 60 minutes after start-up until, and including, final shutdown time. For facilities operating a chart recorder, the start time, date, and weight of waste charged may be logged on the chart.

A maximum particulate emission rate of 0.20 gr/dscf corrected to 12% CO2 will be met. Emissions information is based on a licensed allowed particulate matter emission limit of 0.20 gr/dscf corrected to 12% CO2, the burning of propane fuel as an auxiliary fuel, and the use of AP-42 factors: Tables 2.3-1 and 2.3-2 for biomedical waste incineration (dated 7/93) and Table 1.5-1 for liquid propane fuel (dated 07/08):

PM - 0.20 gr/dscf corrected to 12% CO2, based on BACT, and 0.20 lb/103 gallons fuel factor.

SO2 – 0.16 lb/hr based on the AP-42 factors of 2.17 lb/ton and 0.00 lb/103 gallons fuel factor.

NOX – 0.47 lb/hr based on the AP-42 factors of 3.56 lb/ton and 0.207 lb/103 gallons fuel factor.

CO – 0.34 lb/hr based on the AP-42 factor of 2.95 lb/ton and 7.50 lb/103 gallons fuel factor.

VOC – 0.04 lb/hr based on the AP-42 factor of 0.299 lb/ton and 1.0 lb/103 gallons fuel factor.

Visible emissions from the incinerator shall not exceed 10% opacity based on a six (6) minute block average basis.

The ash will be disposed of in accordance with the requirements of the Bureau of Remediation and Waste Management.

The incinerator operator(s) shall receive adequate training to operate the incinerator in accordance with the manufacturer’s specifications and shall be familiar with the terms of the Air Emission License.

APPENDIX C

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

CATASTROPHIC ANIMAL CARCASS DISPOSAL SITE SELECTION PROTOCOL

January 12, 2010

For routine disposal of animal carcasses, site selection is driven primarily by environmental concerns though a number of other factors also come into play such as convenience to the farmer, accessibility during all times of year, option of preference for disposal, aesthetics, interference with farming operations, disease control and site conditions on the farm. Farmers have plenty of time to develop and use a site that meets or can be modified to meet a standard set of conditions. And, the site will be used on a continuing basis for an indefinite time period. In the case of a catastrophe however, the primary driving factor for site selection may be different, depending on the nature of the catastrophe. If the catastrophe is caused by a highly contagious disease such as foot and mouth disease, containing and controlling the disease is of paramount importance. To contain a highly contagious disease, it is necessary to minimize transport distance and time so the diseased animals can be disposed of quickly, effectively and efficiently. There will be no need to worry about interfering with farming operations since the farmer will be out of operation until the farm has been sterilized.

The most viable option for disposing of animals with a highly contagious disease is in most cases by composting them*. Burial is very rarely a viable option in Maine. In order to contain and eliminate the threat of disease spreading, the animals would have to be buried so deep that they would be placed within the groundwater table in almost all of the soils found in Maine. The only cases where disposal of animal carcasses by burial may be a viable option is if the animals die as a result of a fire or other such natural disaster. Disposing of diseased animal carcasses by composting can be done in silage bunkers, manure storage areas, heavy use areas, in open barns or holding areas and even in driveways or parking areas. These are all impermeable areas that need no site preparation and can be easily accessed any time of year, both by the farmer and by others bringing materials (such as hot biosolids compost) for the disposal operation. This does not mean that the other concerns can be ignored; it is just that they are secondary to the primary goal of controlling and containing the spread of disease. Environmental concerns for the one-time use of a composting site are not nearly as great as with burial or a compost site that will be used on a continuing basis. If done properly, the compost (especially if it is hot to start with) will absorb leachate from decomposing carcasses providing protection of the seasonal groundwater table and neighboring streams, wetlands, lakes or ponds. They can therefore, be used in sites with greater limitations than if burial is the option to be used or for routine carcass disposal.

*An exception to this would be a disease such as anthrax which has been shown to be resistant to composting.

Steps to consider when selecting a site for disposal of animal carcasses as the result of a catastrophe (including highly contagious disease):

The site(s) should be as near to the barn housing the animals as possible/practical. A single farm may need more than one site if animals are housed in different locations (such as milking cows in one area and replacement cows in another that is a distance away). The site(s) must be large enough to accommodate the composting of all of the animals in a barn by the windrow method (maximum of 15 feet wide) with large animals (cows or horses) being piled only one carcass high. This minimizes leachate production from the composting process lessening the need for concern with environmental issues.

Look at environmental issues such as setbacks from waterbodies, depth to groundwater and/or bedrock, wells, property lines, roads, and buildings. Maximize setbacks from sensitive features while meeting the primary site location objective of being easily and quickly accessible to the carcasses. Keep in mind that these sites will likely only be used once and composting (done properly and in accordance to MDOA composting guidelines) does not generate much leachate. You can also select a site or sites that would not be considered for routine disposal such as heavy use areas, empty silage bunkers, empty manure storages, parking areas, driveways or farm roads.

Consider site conditions. Pick areas that have the best potential for a successful composting operation. Sites with a slight slope work best and they should have moderately well to well drained soils that are moderately deep or greater to bedrock. It is preferable however to select a site with soil and/or slope limitations near the barns that can be easily modified than to select a site with better site conditions but which is a distance away from the barns.

Aesthetics should also be considered but only after considering all of the other issues listed in 1-3 above. The animals will only be composting for a few months and after which the compost will become a good soil amendment that can be spread on the farmers fields.

Alternate sites may be located in the event of a catastrophic event that does not result in the shutting down of all farming operations. This could include a fire that destroys one building but not all that house animals or contaminated feed that kills a number of animals but does not create a biosecurity threat. It could also include the suffocation of a flock of chickens in a house but does not harm the building.

EFFECTIVE DATE:

January 1, 1962

AMENDED:

February 8, 1968

EFFECTIVE DATE:

November 4, 1978 - transition to APA

RE-ADOPTION:

September 7, 1979

REPEALED AND REPLACED:

October 12, 1996

CONVERTED TO MS WORD:

May 14, 2008

REPEALED AND REPLACED:

April 28, 2012 – filing 2012-82

CORRECTIONS:

February, 2014 – agency names, formatting

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01-001 Chapter 211

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01-001 Chapter 211

Chapter 212 Rules Governing Procurement, Storage, Distribution and Use of Brucellosis Vaccine

Code Me. R. 01-001 Ch. 212 Rules Governing Procurement, Storage, Distribution and Use of Brucellosis Vaccine {#sec-01-001-ch.-212 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 212}

I. Introduction 1

A. Authorization 1

B. Background 1

C. Purpose of Chapter 1

II. Definitions 1

A. Accredited Veterinarian 1

B. Approved Source 1

C. Brucella Abortus Vaccine 1

D. Calfhood Vaccination Certificate for Brucellosis 2

E. Department 2

F. Grade Calves 2

G. Official Brucellosis Tattoo Mark 2

H. Official Ear Tag 2

I. Purebred Calves 2

III. Source and Distribution of Vaccine 2

IV. Storage of Vaccine 3

V. Handling and Administration of Vaccine 3

VI. Record Keeping 3

VII. Fees 3

I. INTRODUCTION

A. Authorization

The 112th legislature authorized the Department to procure, store and distribute brucellosis vaccine to accredited veterinarians, to establish fees to cover the associated costs and co regulate the use of the vaccine. (7 MRSA §1812).

B. Background

1. As of October 1, 1986 the United States Department of Agriculture ceased providing Strain 19, Brucella abortus vaccine to the Department free of charge for distribution to licensed accredited veterinarians.

2. Legislation (7 MRSA §1812) authorized the Department to establish fees to cover the cost of obtaining, storing and distributing Brucellosis vaccine to accredited veterinarians if the Federal government stopped supplying the vaccine.

C. Purpose of Chapter

This chapter establishes the rules governing the procurement, storage, distribution and use of Brucellosis vaccine and establishes fees to cover the costs of the program.

II. DEFINITIONS

A. Accredited Veterinarians

An accredited veterinarian means a licensed veterinarian who has been accredited by the United States Department of Agriculture, Animal Plant Health Inspection Service - Veterinary Services to represent the state and federal government in assuming responsibilities for disease and parasite eradication as defined by the Code of Federal Regulations, 9, Chapter 1 (1-1-86 Edition), Part 161.

B. Approved Source

An approved source means an establishment which holds an unexpired and unrevoked U.S. Veterinary Biologic Establishment License issued by the Deputy Administrator United States Department of Agriculture, Animals Plant Health Inspection Health Inspection Service Veterinary Services to produce Brucella abortus vaccine and which meets the requirements listed in the Code of Federal Regulations, 9, Chapter 1 (1-1-86 Edition), Part 102.

C. Brucella Abortus Vaccine

Brucella Abortus Vaccine means a vaccine prepared by an approved source and meeting the standards established in the Code of Federal Regulations, 9, Chapter 1 (1-1-86 Edition), Part 113.65 as a desiccated live culture bacterial vaccine from smooth colonial forms of the

Brucella Abortus organism identified as Strain 19. Bacterial count requirements of the vaccine shall be for reduced dose vaccine; that is each dose of rehydrated vaccine must contain at least 3.0 billion and not more than 10.0 billion organisms per dose within the expiration period.

D. Calfhood Vaccination Certificate for Brucellosis Calfhood vaccination certificate for Brucellosis means a certificate issued by the Department and designated as the Report of Calfhood Vaccination for Bang's Disease.

E. Department

Department means the Department of Agriculture, Conservation and Forestry.

F. Grade Calves

Grade calves means a domestic animal produced by cross breeding one of purebred stock with one of ordinary stock or ordinary stock with ordinary stock.

G. Official Brucellosis Tattoo Mark

Official Brucellosis tattoo mark means a tattoo mark applied to the right ear and including the U.S. Registered Shield and "V" which will be preceded by a number indicating the quarter of the year and followed by a number corresponding to the last digit of the year the vaccination was done.

H. Official Eartag

Official eartag means the special orange-colored eartag series used to identify calfhood brucellosis vaccinates and purebred registration eartags. These eartags are Veterinary Services approved and conform to the nine character alpha-numeric National Uniform Eartagging System defined in the Code of Federal Regulations, 9, Chapter 1 (1-1-86 Edition) part 78.1

I. Purebred Calves

Purebred calves means a strain established through breeding many generations of unmixed stock. Purebred calves must be identified and registered by a purebred association.

III. SOURCE AND DISTRIBUTION OF VACCINE

A. The Department shall obtain Brucella Abortus Vaccine from an approved source.

B. Brucella Abortus Vaccine shall be distributed by the Department only to accredited veterinarians.

IV. STORAGE OF VACCINE

A. Brucella Abortus Vaccine shall be stored in a refrigerator at a temperature of not less than 35 and not more than 45( F (2(-7(C).

B. Brucella Abortus Vaccine remaining in storage after the expiration date marked on the container shall be either burned or pasteurized within two weeks of the expiration date.

C. Expired Brucella Abortus Vaccine may not be returned to the Department for credit.

V. HANDLING AND ADMINISTRATION OF VACCINE ACCREDITED VETERINARIANS

A. Brucella Abortus Vaccine shall be administered by accredited veterinarians only.

B. Brucella Abortus Vaccine shall be administered only to female cattle between the ages of 120 and 240 days.

C. Brucella Abortus Vaccine shall not be administered to female cattle within 21 days of slaughter.

D. Brucella Abortus Vaccine must be administered immediately after rehydration.

E. The Brucella Abortus Vaccine container and all unused contents shall be burned or pasteurized.

VI. RECORD KEEPING

A. Officially Brucellosis vaccinated purebred calve shall be properly identified by official eartag, registration papers or registration tattoo number.

B. Officially Brucellosis vaccinated grade calves shall be tagged with an official eartag.

C. All officially Brucellosis vaccinated calves must be tattooed with the official Brucellosis tattoo mark. The right ear of the calf is to be used for all identification.

D. The Calfhood Vaccination Certificate for Brucellosis shall be made out in triplicate by an accredited veterinarian. One copy should be left with the owner, one retained by the accredited veterinarian and the original mailed immediately to the Division of Veterinary Services.

VII. FEES

A. The fee for providing Brucella Abortus Vaccine to an accredited veterinarian shall equal the cost of the Brucella Abortus Vaccine to the Department plus a 25% surcharge to cover the cost for storage and handling plus any related shipping costs.

B. The fee for providing vaccination supplies including but not limited to vaccination ear tags, tag pliers, tattoo pliers, dies and tattoo ink to an accredited veterinarian shall equal the cost of these vaccination supplies plus a 25% surcharge to cover the costs for storage and handling plus any related shipping costs.

C. Monies received from the provision and distribution of Brucella Abortus Vaccine and vaccination supplies shall be deposited in a non lapsing dedicated account to be used to purchase vaccine and supplies and to cover the costs for storage and handling and shipping.

EFFECTIVE DATE:

June 21, 1987

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 15, 2008

CORRECTIONS:

February, 2014 – agency

01-001 Chapter 212 page 1

01-001 Chapter 212 page 4

Chapter 213 Rules for the Salmonella Enteritidis Risk Reduction and Surveillance Program for Commercial Egg-Type Flocks

Code Me. R. 01-001 Ch. 213 Rules for the Salmonella Enteritidis Risk Reduction and Surveillance Program for Commercial Egg-Type Flocks {#sec-01-001-ch.-213 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 213}

History

• STATUTORY AUTHORITY
• The statutory authority for the Maine Salmonella enteritidis Risk Reduction and Surveillance Program for commercial egg-type flocks is found in 7 M.R.S.A. § 1758.
• SUMMARY
• The Maine Salmonella enteritidis (“SE”) Risk Reduction and Surveillance Program for commercial Egg-Type Flocks is intended to prevent SE-contaminated eggs from entering the commercial food supply. Its provisions are an enhancement of the US Food and Drug Administration’s (“FDA”) Final Rule on the Prevention of Salmonella Enteritidis in Shell Eggs During Production, Storage, and Transportation. All commercial egg-producing facilities are required to participate in the program. Adherence to the program rules will be monitored by Department of Agriculture, Conservation and Forestry Staff.
• The purpose of this program is to:
• Prevent SE-contaminated eggs from entering the food chain; Ensure SE-clean birds reside and produce in SE-clean houses; andControl and eradicate SE contamination if it is found within a commercial egg-type flock.
• DEFINITIONSAuthorized Agent: A person approved by the Commissioner to collect official samples for submission to an authorized laboratory in accordance with this chapter and the FDA Egg Safety Rule (“ESR”) sampling methodology described in 21 CFR 118.Authorized Lab: A laboratory that is qualified to perform official salmonella monitoring assays in accordance with this chapter and FDA ESR testing methodology described in 21 CFR 118.Commercial Egg Producer: A producer that owns or leases 3,000 or more adult laying hens at a given time in the State of Maine, and whose eggs will be consumed in part or in whole by humans. Commercial Egg-Type Flock: A group of birds owned or leased by a commercial egg producer that reside within a single enclosure or on a single parcel of land for free range birds. Department Staff: Staff members of Maine’s Department of Agriculture, Conservation and Forestry directed by the commissioner or the commissioner's duly authorized agent to carry out these rules. Enclosure: A building, other structure, or separate section within a structure used to house poultry. For structures comprising more than one section containing poultry, each section that is separated from the other sections is considered a separate enclosure.FDA: The United States Food and Drug Administration.FDA Egg Safety Rule: The Final Rule on the Prevention of Salmonella Enteritidis in Shell Eggs During Production, Storage, and Transportation as laid out in 21 CFR 118. Flock: Any group of birds that reside within a single enclosure or on a single parcel of land for free range birds.Molted: The life stage during which hens stop laying eggs and shed their feathers. Producer: A person who owns and/or operates a poultry house containing laying hens which produce shell eggs for human consumption. SE: Salmonella enterica serotype Enteritidis.PROGRAM CRITERIAApplicability: These rules apply to all commercial egg producers that are producing eggs in Maine.FDA Rule Compliance: All commercial egg producers must adhere to all provisions of the FDA’s Egg Safety Rule, Prevention of Salmonella Enteritidis in Shell Eggs During Production, Storage, and Transportation, 21 CFR Parts 16 and 118, July 9, 2009, which is being adopted herein by reference. NPIP Compliance: All birds utilized for egg laying in a commercial egg-type flock must originate from hatcheries certified as SE Clean under the National Poultry Improvement Plan (“NPIP”) or pullets reared under SE monitored conditions.Record sharing: Accurate records, as required by the ESR and this chapter, shall be maintained by the commercial egg producer and provided to Department Staff upon request. Records should include original observations and data collection that is maintained and sufficient to establish traceability of SE test results, including sample handling, storage, and analysis.Sample Collection: Official samples must be collected in accordance with this chapter by an Authorized Agent and submitted to an Authorized Lab. Sampling methodology must be in accordance with the protocols of the FDA’s Egg Safety Rule, Prevention of Salmonella Enteritidis in Shell Eggs During Production, Storage, and Transportation, 21 CFR Parts 16 and 118, July 9, 2009, adopted herein by reference, appropriate to the poultry house layout. Suspect positive or positive samples must be reported to the State Veterinarian or designated Department Staff within 24 hours. Vaccination: Commercial egg producers must implement a poultry vaccination program to protect against infection with SE which includes a minimum of two attenuated live vaccinations and one killed or inactivated vaccine, or a demonstrated equivalent SE vaccination program as determined by a licensed veterinarian and approved by Department Staff.If flocks are molted and returned to production they shall be vaccinated prior to the molt.Serology testing shall be conducted at an Authorized Lab to confirm seroconversion. A seroconversion rate of at least 85% must be maintained in all flocks.If flocks have a seroconversion rate of less than 85%:The producer’s vaccination protocols shall be reviewed, and if deemed necessary by the Department the flock must be revaccinated. The flock in question must be revaccinated if they are housed in an enclosure that has been found to have a positive SE result within the past 5 years.ENVIRONMENTAL SE TESTINGCommercial egg producers must engage in environmental SE testing in accordance with this section. Mandatory samples include: Meconium SE testing for Maine-based pullet flocks;14 -16 weeks of age SE environmental testing; 40-45 weeks of age SE environmental testing; 4-6 weeks post molt SE environmental testing; End of Production/Empty House SE environmental testing; and Monthly Feed Mill SE environmental testing: 10 distinct sites must be sampled monthly at each feed mill owned or leased by a commercial egg producer that is being utilized to feed commercial egg-type flocks.A single sample of the feed dust must be sampled monthly from each feed mill owned or leased by a commercial egg producer that is being utilized to feed commercial egg-type flocks.Where the feed mill is not owned or leased by the commercial egg producer, all feed for the commercial egg-type flock must be obtained from facilities that follow accepted feed industry “Good Manufacturing Practices” including a specific program for SE monitoring and control.END OF PRODUCTION/EMPTY HOUSEOnce a flock has been removed from the poultry house, the following criteria shall be adhered to:All feed and visible manure must be removed from the depopulated enclosure and properly disposed of; The empty enclosure must pass inspection for wildlife exclusion, rodent and insect population control; End of Production/Empty House SE environmental testing shall be conducted after enclosure cleaning, inspection and rodent/insect baiting activities are complete; and Management records documenting the above events and inspections must be maintained and provided to Department staff upon request. RESPONSE TO SALMONELLA POSITIVE SAMPLESAny Group D positive sample identified by an Authorized Lab shall be confirmed and serotyped at National Veterinary Services Laboratory.The response to confirmation of SE in a commercial egg type flock will follow the guidelines of the FDA’s Egg Safety Rule, Prevention of Salmonella Enteritidis in Shell Eggs During Production, Storage, and Transportation, as described in 21 CFR Parts 16 and 118, July 9, 2009, adopted herein by reference.Where a poultry house or enclosure tests positive for SE, that enclosure must remain empty a minimum of 10 days after the last bird is removed.A poultry flock with a positive SE test result is not eligible for import to Maine.VIOLATIONSAs provided for in 7 M.R.S.A. § 1758, any violation of these rules may be enforced as a civil violation for which fines of up to $1,000 per violation may be assessed. Such violations include, but are not limited to:Failure to provide any information required or requested as described in 4D and 4E by the Department for purposes of enforcing the Maine Salmonella enteritidis Risk Reduction and Surveillance Program for commercial egg-type flocks or these rules;Providing false, misleading or incorrect information to the Department by any means, including but not limited to information provided in any report or record required or maintained for purposes of the Maine Salmonella enteritidis Risk Reduction and Surveillance Program for commercial egg-type flocks or these rules; orFailure to comply with any other requirements of this chapter.
• STATUTORY AUTHORITY: 7 M.R.S. § 1758
• EFFECTIVE DATE: July 20, 2024 – filing 2024-144

Chapter 216 Rules Governing the Sale of Dogs and Cats and Importation of Dogs and Cats for Resale or Adoption

Code Me. R. 01-001 Ch. 216 Rules Governing the Sale of Dogs and Cats and Importation of Dogs and Cats for Resale or Adoption {#sec-01-001-ch.-216 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 216}

1. STATUTORY AUTHORITY 1

2. DEFINITIONS 1

A. Accredited Veterinarians 1

B. Adoption 1

C. Canine Diseases 1

D. Feline Diseases 2

E. Import 2

F. Certificate of Veterinary Inspection 2

G. Permit for State Entry 2

H. Pet Shop 2

I. The Commissioner 3

J. The Department 3

K. Valid certificate of immunization 3

3. PERMIT FOR STATE ENTRY 3

4. REQUIRED IMMUNIZATION 3

5. OFFICIAL CERTIFICATE OF VETERINARY INSPECTION 5

6. HOLDING PERIOD 5

7. AGE OF CATS AND DOGS FOR RESALE 5

8. HEALTH RECORD 6

9. VIOLATION 6

1. STATUTORY AUTHORITY

The Statutory Authority is found in 7 MRSA §1753 and §1809 and grants the Commissioner of Agriculture, Conservation and Forestry the authority to promulgate all rules that are deemed proper and necessary to maintain the health of all dogs and cats imported into the State for resale or adoption or offered for resale or adoption within the State.

2. DEFINITIONS

The following terms have the following meanings:

A. Accredited Veterinarian

A licensed veterinarian who has been accredited by the United States Department of Agriculture, Animal Plant Health inspection Service - Veterinary Services to represent the State and Federal Government in assuming responsibilities for disease and parasite eradication as defined by the Code of Federal Regulation 9, chapter 1 (1-1-86 edition), Part 161.

B. Adoption

For the purposes of this Chapter, adoption shall consist of any and all activities undertaken by private parties and/or individuals, and organized or unorganized rescue groups and humane societies with the intent or effect of transferring possession and/or ownership to others of imported animals as described in this rule.

C. Canine Diseases

1. Canine Distemper: A highly contagious viral disease of dogs. The virus is spread by direct contact or aerosol droplets from secretions of infected animals. Infected animals may show gastrointestinal and respiratory distress with pneumonia and neurologic complications. The infected animals may shed virus for several months.

2. Canine ehrlichiosis: A disease of dogs, transmitted by ticks, caused by the obligate intracellular organism, Ehrlichia canis.

3. Heartworm: A parasitic disease of dogs, transmitted by mosquitoes, caused by the filarial organism, Dirofilaria immitis.

4. Hepatitis: A viral infection of dogs that cause symptoms that vary from a slight fever and congestion of the mucus membranes to severe depression, prolonged bleeding time and lose of weight. The virus is shed in urine, feces and saliva of infected animals.

5. Leptospirosis: A bacterial infection of dogs characterized by a sudden onset, weakness, lack of appetite, vomiting and high temperature.

6. Lyme disease: A tickborne, bacterial disease of domestic animals and humans caused by the bacteria, Borrelia burgdorferi.

7. Infectious Tracheobronchitis (canine adenovirus 2 and parainfluenza virus): A viral disease commonly known as Kennel cough, usually mild and self-limiting involving the trachea and bronchi of dogs.

8. Canine Parvo Virus: A viral disease causing a severe hemorrhagic enteritis in dogs of all ages. It has a sudden onset with varying degrees of mortality.

D. Feline Diseases

1. Feline Viral Rhinotracheitis: A viral infection of cats, causing fever, frequent sneezing, conjunctivitis, rhinitis and salivation. Mortality may be high in young kittens and aged cats. The illness is often prolonged and may cause a marked weight loss due to lack of appetite and severe depression.

2. Feline Calici Virus: A disease of the oral cavity, respiratory tract and lungs, causing fever, lack of appetite and severe depression.

3. Panleukopenia. A highly contagious disease of cats, commonly called Feline Distemper. All secretions and excretions of affected animals contain the virus and the infection may be spread by direct contact or by contaminated objects.

E. Import

To move dogs or cats either internationally or interstate into the State of Maine.

F. Official Certificate of Veterinary Inspection

A legible certificate or form signed by an accredited veterinarian and approved by the Chief Livestock official of the State or Country of origin that shows the age, sex, breed, description and health record of each dog or cat and the name of the consignor and consignee.

The certificate or form shall list the vaccines administered to each dog or cat and shall state that the animal(s) is/are not showing signs of infectious, contagious and or communicable diseases.

G. Permit for State Entry

A document issued by the Commissioner of the Department of Agriculture, Conservation and Forestry to the owner or owners of dogs and cats purchased (or dogs and cats whose ownership or care-taking responsibilities have been transferred to another person) for resale or adoption in the State of Maine that must be obtained previous to the time of entry into the State for resale.

H. Pet shop

A place or vehicle in or on which any dogs, cats, rodents, reptiles, fish, pet birds, exotic birds or exotic animals not born and raised on those premises are kept for the purpose of sale to the public.

I. The Commissioner

The Commissioner of the Department of Agriculture, Conservation and Forestry.

J. The Department

The Maine Department of Agriculture, Conservation and Forestry.

K. Valid Certificate of Immunization

A certificate of immunization for rabies specified by the National Association of State Public Health Veterinarians and authenticated by a licensed veterinarian.

3. PERMIT FOR STATE ENTRY

A. Any person or persons importing dogs and/or cats into the State for resale or adoption is required by the Commissioner to obtain a permit from the Department of Agriculture, Conservation and Forestry previous to the time of entry. This permit must accompany shipment.

B. Dogs and cats entering the State that do not have health status that is satisfactory to the Commissioner, may be required to be examined by an accredited veterinarian at the owners' expense and may be held under quarantine until the Commissioner is satisfied that the animal(s) is/are not a threat to animals or humans of the State.

C. Dogs and cats brought into the State for resale or adoption without a permit may be condemned by the Commissioner of Agriculture, Conservation and Forestry and euthanized without indemnity.

D. Upon request and prior to the issuing of a permit, an application for a permit will be sent to the importer. The application must be completed and returned to the Department of Agriculture, Conservation and Forestry, Division of Animal Health and Industry.

E. The receiver of a permit will be required to submit quarterly statements or a copy of all invoices to the Department of Agriculture, Conservation and Forestry stating the number, type and destination of dogs and cats purchased or accepted for resale or adoption in Maine.

F. A new permit may be issued each fiscal year. Permits may be suspended without a hearing for up to 90 days in accordance with 5 MRSA §10004 (1979) if a disease problem exists on the permit holder's premises that requires immediate action be taken to protect public health and safety. Further administrative action may be taken as necessary in accordance with 5 MRSA §10051.

4. REQUIRED IMMUNIZATION

A. Dogs and cats transported into the State of Maine for resale or adoption shall be immunized against diseases not less than 14 days before entry and must be current on their vaccinations for these diseases as evidenced by a statement on the Health Record. Dogs must also be tested for heartworm, Lyme disease and canine ehrlichiosis with the results noted on the Certificate of Veterinary Inspection.

1. Dogs shall be immunized against the following diseases:

a. Canine Distemper

b. Hepatitis

c. Leptospirosis

d. Infectious Tracheobronchitis

e. Canine Parvo Virus

f. Dogs three months old or older must have a current vaccine for rabies as evidenced by a valid certificate of immunization signed by a licensed veterinarian.

2. Cats shall be immunized against the following diseases:

a. Feline Viral Rhinotracheitis

b. Feline Calici Virus

c. Feline Panleukopenia

d. Cats three months old or older must have a current vaccine for rabies as evidenced by a valid certificate of immunization signed by a licensed veterinarian.

B. Dogs and cats acquired within the State for resale or adoption shall be immunized against diseases not less than 14 days before resale or adoption.

1. Dogs shall be immunized against the following diseases:

a. Canine Distemper

b. Hepatitis

c. Leptospirosis

d. Infectious Tracheobronchitis

e. Canine Parvo Virus

f. Dogs three months old or older must have a current vaccine for rabies as evidenced by a valid certificate of immunization signed by a licensed veterinarian.

2. Cats shall be immunized against the following diseases:

a. Feline Viral Rhinotracheitis

b. Feline Calici Virus

c. Feline Panleukopenia

d. Cats three months of age or older must have a current vaccine for rabies as evidenced by a valid certificate of immunization signed by a licensed veterinarian.

5. OFFICIAL CERTIFICATE OF VETERINARY INSPECTION

Dogs and cats entering the State for resale or adoption shall be accompanied by an official Certificate of Veterinary Inspection issued by an accredited veterinarian with a copy sent to the Commissioner. This certificate is valid for 30 days from the date it was issued.

6. HOLDING PERIOD

Dogs and cats imported for resale or adoption shall be retained by the importer for a period of five days if they are six months of age or younger and for a period of 48 hours if they are older than six months of age before being offered for resale or adoption.

A. For the purposes of this Chapter, dogs and cats must be held for this respective five day or 48 hour period in a structure that meets the minimum standards required in the Animal Welfare Rules, Section I and is not in violation of Title 7 Chapter 739, Cruelty to Animals .

B. If, during this holding period, any dog or cat exhibits signs of infectious, contagious, parasitic or communicable disease, included but not limited to coughing, sneezing, vomiting, diarrhea or bloody stool, that animal must be isolated and examined by a veterinarian immediately.

a. If any dog or cat is diagnosed with an infectious, contagious or parasitic disease, the animal must be isolated and treated as directed by the veterinarian, and must not be sold, placed or adopted until the veterinarian has declared it to be in a good state of health.

b. Any dogs or cats that have been deemed exposed to the infected animal must be quarantined, if necessary, under the direction of the veterinarian or a State Veterinarian and held until such time the veterinarian declares them to be free of disease.

7. AGE OF CATS AND DOGS FOR RESALE

No person, or persons shall import for resale or adoption, or offer for resale or adoption in the State of Maine, any dog or cat less than 56 days of age.

8. HEALTH RECORD

Dogs and cats sold in the State shall be accompanied by a health record indicating dates and types of vaccines administered.

9. VIOLATION

Whoever violates this rule commits a civil violation for which a forfeiture not to exceed $500 per day for each violation may be adjudged, except that the total of the forfeitures may not exceed $50,000.

EFFECTIVE DATE:

December 15, 1975

AMENDED:

October 15, 1976 (filed October 16, 1978)

September 12, 1979

REPEALED AND REPLACED:

November 23, 1988

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

AMENDED:

November 25, 2007 – filing 2007-497

CORRECTIONS:

February, 2014 – agency names, formatting

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 220 Importation of Certain Deer into Maine

Code Me. R. 01-001 Ch. 220 Importation of Certain Deer Into Maine {#sec-01-001-ch.-220 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 220}

SUMMARY: These rules establish standards for the importation of certain deer into Maine.

1. Legislative Authority

These rules are issued under the authority of 7 M.R.S.A. §§ 1331(6) and Chapter 303.

2. Definitions

A. Permit for State entry: A document issued by the Maine Department of Agriculture, Conservation and Forestry, Division of Veterinary Services prior to the time of entry into the State authorizing the movement of domesticated deer into the State.

B. Domesticated Deer: Domesticated deer means fallow deer, family cervidae, sub-family Cervinae, genus Dama, kept as domestic animals for the purpose of either breeding stock or for sale as food.

C. Official Health Certificate: An official health certificate means a legible certificate or form issued by an accredited veterinarian and approved by the chief livestock official of the state or country of origin containing the names and addresses of the consignor and consignee. The certificate or form shall also show age, sex, breed, and eartag number or legible tattoo for all deer. All completed test results will be indicated, as well as a statement that the deer are free from visual evidence of communicable disease. In addition, the following statement must appear on the certificate: To the best of my knowledge the deer listed on the health certificate have not been exposed to Brucellosis, Tuberculosis or Bluetongue for one year prior to the date of entry.

D. License: A license means a certificate issued by the Division of Regulations, Maine Department of Agriculture, Conservation and Forestry, entitling the holder to propagate, possess, purchase or sell domesticated deer, or to sell the meat from said deer.

E. Livestock Dealer's License: A certificate issued by the Division of Veterinary Services, Maine Department of Agriculture, Conservation and Forestry, entitling the holder to resell domestic livestock or act as an agent for the sale of domestic livestock in the State of Maine.

3. Animal Health Standards

All domesticated deer moved into the State of Maine unless specifically exempted pursuant to section 4 must be accompanied by the following documents:

A. A permit for state entry from the Maine Department of Agriculture, Conservation and Forestry, Division of Veterinary Services; and

B. An official health certificate; and

C. Proof that the domesticated deer tested negative to an official test for Tuberculosis conducted within 60 days prior to entry; and

D. Proof that the domesticated deer tested negative to an official test for Brucellosis that was conducted within 30 days prior to entry, unless the domesticated deer are less than 180 days of age at the time of entry; and

E. Proof that the domesticated deer tested negative to an official test for Bluetongue that was conducted within 30 days prior to entry, unless the domesticated deer are less that 180 days of age at the time of entry.

4. Domesticated deer moved into the State for slaughter within 24 hours shall be accompanied by a permit for State entry and official health certificate and need not be accompanied by the documents required pursuant to section 3(c)(d)(e)

5. Licensing Requirements

All persons possessing deer must have a license from the Department of Agriculture, Conservation and Forestry, for deer raised for domestic food purposes, or a license from the Department of Inland Fisheries and Wildlife for deer kept for any other reasons, except that licensed livestock dealers who hold each individual deer for 24 hours or less do not require a domesticated deer license.

EFFECTIVE:

July 24, 1989

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 15, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 220 page 2

Chapter 223 Rules for the Operation of Commercial Large Game Shooting Areas

Code Me. R. 01-001 Ch. 223 Rules for the Operation of Commercial Large Game Shooting Areas in Maine {#sec-01-001-ch.-223 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 223}

1. STATUTORY AUTHORITY

The statutory authority for these rules is found in 7 M.R.S., Chapter 202-A, §1342(8).

2. PURPOSE

These rules are intended to clarify statutory requirements for the operation of commercial large game shooting areas, and to minimize risk of disease, and escape among the domesticated large game.

3. DEFINITIONS

In addition to terms defined in 7 M.R.S. §§ 1342(8) and 1342(A)(2), and in Chapter 203 ( Chronic Wasting Disease Surveillance Program Rules ), and Chapter 204 ( Farmed Cervid Licensing Rule ), the terms below shall have the following meanings.

A. Interior Fence: Fencing inside of the perimeter fence that divides the shooting zone into two or more subzones.

B. LGSA: An abbreviation for a licensed commercial large game shooting area in Maine.

C. Official Identification: The identification of cervids with a minimum of two state and federally approved identifiers. The identification must enable the trace-back of cervids to herd of origin.

1. Identification shall include at least one of the following: permanent tattoo, microchip, or official state ear tag.

2. Identification may include one of the following: herd ear tag, leg tag, collar tag, or other identification approved by the Department.

D. Perimeter Fence: Primary fencing that encompasses the shooting zone and defines its area.

E. Secondary Fence: A supplementary barrier attached to the inside posts of a perimeter fence encompassing a shooting zone or subzone containing domesticated boar.

F. Raised On That Farm: Domesticated large game that were born to animals already existing on that LGSA, or that were acquired from other sources before those animals reached 12 months of age.

G. Sub-Zone: An area within a shooting zone that is partitioned by fencing for the purpose of managing domesticated large game or managing hunting activities. Sub-Zones must exceed 15 acres in total area.

4. AUTHORIZED SPECIES

A. LGSA licenses may authorize the harvest of any one or more of the following: domesticated cervids (elk, red deer, elk/red deer hybrids, fallow deer, and sika deer), domesticated boar, and bison.

5. LICENSE APPLICATION FOR AN LGSA AFTER APRIL 1, 2009

A. Persons seeking an LGSA license for a facility as authorized by P.L. 2009, Chapter 249 must apply in writing on an application form provided by the Commissioner.

B. Applications for LGSA licenses pursuant to P.L. 2009, Chapter 249 must be submitted no later than July 1, 2010. The Department will not act on any application until after the submission deadline passes.

C. After the submission deadline, as provided in section 5.B. above, the applications will be evaluated according to the following criteria.

1. Geographic location in relation to Piscataquis County and the counties in which other licensed LGSAs are currently operating. Preference will be given first to applicants located in Piscataquis County, as required by P.L. 2009 Chapter 249, followed by applicants for facilities in counties where licensed LGSAs are not currently located. Consideration will also be given to whether the proposed LGSA parcel is located in one of Maine’s rural northern counties (Aroostook, Franklin, Hancock, Oxford, Penobscot, Piscataquis, Somerset, Washington);

2. Whether the applicant already holds a license to possess farmed cervids in Maine;

3. Whether documentation is provided showing that the parcel in question is owned or is under valid long-term (minimum of 20 years) lease held by the applicant;

4. Whether documentation is provided showing that the parcel in question is of sufficient size to meet the minimum land requirements for a commercial large game shooting area (i.e., 50 acres for cervids; 200 acres for bison or domesticated boar), in addition to land needed to perform other management activities on the proposed LGSA;

5. Whether verification exists, based on a site visit, that the parcel has the physical characteristics to enable appropriate fencing to be constructed and maintained so as to minimize the risk of escape by captive large game; and,

6. Whether documentation has been provided showing that the parcel in question meets all municipal and/or state zoning requirements pertaining to habitat alteration and firearms discharge.

7. In the event that an LGSA license issued pursuant to Chapter 202-A lapses, is revoked by the Department or is surrendered by the licensee, the Department may publish notice of the availability of any license which may be issued in its place pursuant to these rules, and may publish notice of the deadline for the submission of an application for any such license. The Department may withhold action on any application so received until the published deadline for the submission of applications has passed.

8. The preference given to license applicants who propose to locate an LGSA in Piscataquis County during an initial license to be issued pursuant to this section will not apply to any future licenses issued pursuant to a vacancy created by the lapse, revocation, or surrender of an LGSA license.

D. Within 30 days of receipt of an application, an agent of the commissioner will inspect the proposed parcel in the presence of the applicant. The purpose of the inspection shall be to verify that the applicant satisfies the criteria outlined in sections 5.C.1.-7. above, in addition to any other statutory requirements for the licensure of a new LGSA. At the end of the inspection, the inspector will inform the applicant in writing of any deficiencies or necessary modifications that may be required to satisfy application and/or licensing requirements.

E. An inspection showing that the application satisfies all the criteria for licensure does not guarantee issuance of a license to operate a LGSA. Final licensing decisions for available LGSA licenses will be made by the Commissioner, after evaluating all applicants in accordance with the criteria outlined in sections 5.C.1.-7. above.

F. Applicants selected for licensure as an LGSA will first be sent a “Letter of intent to license as a Commercial Large Game Shooting Area” by the Commissioner. The letter of intent will specify all required fencing and facility construction that must be completed before the LGSA license can be issued. Actual issuance of the license is contingent upon successful compliance with these construction requirements.

G. All applicable licensing fees must be submitted to the Department at the time of the submission of the license application. Application fees will be refunded for applicants who are not selected for licensure as an LGSA .

6. LGSA LICENSE RENEWALS

A. A license to operate a commercial large game shooting area in Maine shall be valid for one year, beginning September 1 and ending August 31. LGSA licenses shall specify which species can legally be offered by the licensee for harvest during the coming year.

B. License renewal applications must be submitted on forms provided by the Department and must include a report indicating the number, by species and transport tag number, of all large game killed by clients during the past licensing year.

C. Facilities for which a LGSA license renewal application is submitted must pass a facility site inspection. The on-site inspection must verify that fencing, facilities, feeding practices, and other management activities remain in compliance with licensing requirements. Deficiencies will be documented in writing, and will require resolution before a license is renewed.

D. All applicable licensing fees must be submitted to the Department by September 30 each year. Failure to submit all applicable licensing fees by the September 30 deadline will be considered operation of a Large Game Shooting Area without a license. An LGSA license will be considered lapsed if the licensee fails to submit all applicable licensing fees for a period of one year.

7. EXPANSION OF LGSA LICENSES

A. LGSA license holders must submit a request to the Commissioner for authorization to offer large game that was not authorized under their current license. The request must be in writing and it must specifically identify the additional genus or species that the license holder is proposing to offer for shooting.

B. The Department will conduct an inspection of the LGSA facility within 30 days of the request submitted under section 7.A. above, to determine whether the existing fencing and other physical facilities are adequate to contain the additional species of large game.

C. Facilities found to be in compliance with all existing fencing and physical facility requirements for the proposed added species will be granted authorization for the expansion of their license in writing by the Commissioner within 30 days of the inspection. The written authorization shall operate as an amendment to the LGSA license.

8. PROVISIONAL LICENSE

A. If deficiencies are found by the Department during the initial license inspection, or during an annual inspection for license renewal, or during an inspection pursuant to a license expansion request, the Department may, at its discretion, issue a provisional license conditioned upon the timely correction of the deficiencies.

B. A provisional license issued by the Department pursuant to this rule shall be of such duration, as determined by the Department, to be reasonable and necessary for the correction of the deficiencies as noted by the Department in writing.

C. Failure to correct deficiencies by the end of the time period specified on the provisional license shall be grounds for the Department to deny an initial license, license renewal, or a license expansion request.

9. LICENSE FEE

A. 7 M.R.S., Chapter 202-A, §1342 specifies license fees for LGSAs as follows: “The annual fee for a commercial large game shooting area is $1,000, except that the annual fee for a commercial large game shooting area is $500 for an operation that is licensed to possess domesticated cervids under chapter 202 and harvests only domesticated cervids raised on that farm.”

B. For the purpose of determining when the lower ($500) fee applies, the term “raised on that farm” shall be as defined in section 3.F above.

10. TRANSPORT TAGS AND TAGGING FEES

A. The Department shall issue individually numbered transport tags for the purpose of identifying large game killed on licensed premises, as provided for in 7 M.R.S., Chapter 202-A, §1343. The transport tag must be placed in the hock of each individual large game animal killed by clients before leaving the LGSA facility. Transport tags, or a facsimile containing the identification number, must accompany all parts of a large game animal (e.g., parts taken to a taxidermist, butcher shop, personal residences) to facilitate disease monitoring.

B. Commercial Large Game Shooting Area operators must remit a fee of $25 for each transport tag issued to clients. This fee, representing the sum of all transport tags issued during the previous licensing year, is to be paid to the Department at the time an LGSA license is renewed.

11. TAGGING OF LIVE CERVIDS

A. In accordance with the Chronic Wasting Disease Surveillance Program Rules (01-001 CMR Chapter 203), any live domesticated cervid brought onto a commercial large game shooting area must be accompanied by official identification enabling trace-back to the source herd.

B. Upon request, the Department may supply ear tags to meet live deer tagging requirements at no cost to the operator.

C. Cervids that were born and raised on the premises of a licensed LGSA licensee are exempt from live deer tagging requirements, as are domesticated bison and domesticated boar regardless of source.

12. RECORD KEEPING

A. Written records documenting purchases, sales, live shipments, escaped cervids, and deaths (including harvests) must be kept for all large game confined within commercial large game shooting areas. Records for individual animals must be kept for a minimum of 5 years. Information contained in the records must include, at a minimum, individual animal identification, transportation (harvest) tag numbers, species, sex, and age, where known. The records must be made available to state and federal regulatory officials upon request at all reasonable times.

B. LGSAs must keep a file containing the name and contact information of all clients who harvested large game, along with associated transportation tag numbers. The file must be retained for a minimum of 5 years for each harvest event, and must be made available to state and federal regulatory officials upon request at all reasonable times.

13. HANDLING FACILITIES

A. LGSAs must be equipped with a handling facility if they stock cervids from other cervid farms which are not equipped to handle and tag deer.

B. Handling facilities must be adequate to allow cervids to be handled humanely and safely for the purpose of affixing ear tags prior to release into a shooting zone.

C. Each access lane and catch pen must be designed and constructed of materials adequate for the safe containment of cervids for inspection, identification, and testing. No nails, barbed wire, or other potential hazards may protrude from any facility, lane or pen.

D. Handling facilities must be functional before an initial LGSA license, or license renewal, or a license expansion can be issued.

14. CONFINEMENT

A. Shooting zones must be enclosed by fencing or other barriers sufficient to contain the species of large game contained in that shooting zone, regardless of whether individual large game are currently offered for harvest.

B. The following standards for fencing and confinement of large game apply to all new large game shooting areas licensed after April 1, 2009, to any currently licensed large game shooting area that elects to expand the species of large game offered for harvest after April 1, 2009, and to any currently licensed large game shooting area that elects to modify or expand the fencing within shooting zones and sub-zones.

C. Domesticated Cervids

1. Perimeter fencing must be a minimum of 8 feet in height from the ground surface. Fencing material must be continuous around the perimeter, except at gates and other access points. Materials must be woven wire or chain-link, with hole spacing no more than 2 inches by 6 inches up to a minimum height of 24 inches above ground, and no more than 6 inches by 6 inches for the remainder of the height. Fence bottoms must be no more than 2 inches above grade in all locations, and should preferably be buried below the surface. Fencing may be attached to posts, or to existing trees at a distance that maintains clearances and rigidity of the structure.

2. Perimeter gates and other access points must be of solid materials capable of withstanding contact with large game contained therein. Gate height must be a minimum of 8 feet, and clearances around the sides and bottom must not exceed 2 inches. All perimeter gates must be capable of being locked.

3. An access lane of sufficient width to accommodate motorized equipment must be maintained around the perimeter fencing of each shooting area. The access lane may be placed immediately inside or outside the fence, and it must be kept free of trees and heavy brush.

4. Perimeter fences must be kept in good repair at all times. Fence integrity must be restored promptly wherever they are damaged by fallen trees or large game, so as to prevent escape from captivity. Gaps that are in excess of two inches between the ground and the bottom of a perimeter fence must be filled in with woody debris, soil or rock.

D. Domesticated Boar

1. Standards for the perimeter fence include those described for domesticated cervids in section 14.C.1., above. In addition, all perimeter and interior fencing within shooting zones or sub-zones containing boar must be buried at least 12 inches into the ground, with the buried portion on the inside of the posts.

2. An access lane of sufficient width to accommodate motorized equipment must be maintained around the perimeter fencing of each shooting area. The access lane may be placed immediately inside or outside the fence, and it must be kept free of trees and heavy brush.

3. Perimeter fences must be kept in good repair at all times. Fence integrity must be restored promptly wherever they are damaged by fallen trees or large game, so as to prevent escape from captivity. All fences containing boar must remain buried at all times.

4. Interior fences surrounding sub-zones containing domesticated boar must be at least 6 feet in height. Standards for hole spacing are the same as standards described for the perimeter fencing for cervids in section 14.C.1., above.

5. Domesticated boar less than 6 months of age must not be contained in any part of a shooting zone at any time, unless that area is encompassed by a primary and a secondary fence.

6. The secondary or double fence for perimeter and any interior fencing containing domesticated boar less than 6 months of age must be either of woven wire or chain-link construction with a minimum of 2 inches by 2 inches spacing up to a height of 36 inches of the ground surface. Secondary fences are to be secured to the posts of primary fences on the inside.

7. Standards for gates and other access points in shooting zones and sub-zones containing domesticated boar must be constructed as described for domestic cervids, in section 14.C.2 above, and must include the following modification:

a. The area beneath the gate, when in closed position must be equipped with a continuous, impervious, non-movable material at least 6 inches wide, sufficient to create barrier to digging beneath the fence that spans the entire distance between the gate posts. Materials for this barrier can be constructed of concrete, or wood. If constructed of wood, the barrier must be at least 4 inches thick to withstand traffic, and it must be anchored into the ground to prevent movement by boar.

E. Domesticated Bison

1. The standards for the confinement of domesticated bison within the shooting zone or sub-zones include those described for domesticated cervids, in section 14.C.1. above, except as follows:

a. As an alternative, domesticated bison may be confined within high voltage/low impedance electrical fencing. In this case, fence height must be at least 6 feet above ground level. Electric fences must consist of at least 5 strands of high tensile 12 gauge wire, and each strand must be equipped with materials sufficient to maintain necessary rigidity. Wire may be attached to suitable posts or to available trees, using proper insulators. Electric fences must be maintained in good condition and be kept free from debris at all times. Fences must remain charged sufficiently to deter breach by bison within any subzone containing these animals.

2. An access lane of sufficient width to accommodate motorized equipment must be maintained around the perimeter fencing of each shooting area. The access lane may be placed immediately inside or outside the fence, and it must be kept free of trees and heavy brush.

3. Perimeter fences must be kept in good repair at all times. Fence integrity must be restored promptly wherever they are damaged by fallen trees or large game, so as to prevent escape from captivity. Gaps that are in excess of two inches between the ground and the bottom of a non-electric perimeter fence must be filled in with woody debris, soil or rock.

4. Electric fencing alone is not suitable for containing domesticated cervids or domesticated boar, and LGSA licensees may not stock cervids and boar within shooting zones or sub-zones fenced solely with high tensile electric fencing.

15. HERD MANAGEMENT

Large game confined on the premises of Commercial Large Game Shooting Areas must have free access to the following:

A. Clean water, either free-flowing or placed.

B. Adequate feed to maintain weight and condition at any stage of production.

C. Adequate shelter, which may be either natural or constructed. Natural shelter consists of trees or brush that affords protection from direct sun, wind, rain, and other inclement weather that is large enough to accommodate all large game at one time. Constructed shelter contains a roof, and must afford the same protection from inclement weather as natural shelter. No nails or other potential hazards may be exposed.

D. Large game must be grouped in a way that will allow individuals of each species to receive an adequate amount of food, water, and shelter at all times.

E. Carcasses resulting from natural and accidental mortality on the premises of Commercial Large Game Shooting Areas shall be managed in accordance with the Rules for the Disposal of Animal Carcasses (01-001 CMR Chapter 211).

F. Large game animals must be given access to competent veterinary care, when needed.

16. RECOVERY OR DISPOSITION OF ESCAPED DOMESTICATED LARGE GAME

A. LGSA license holders must report any escaped domesticated large game to the Department within 24 hours of discovery. The license holder shall be responsible for monitoring the movement of the escaped large game and for recovery of the escaped large game, as authorized by the Department.

B. If escaped individuals are cervids that have been at large for longer than 72 hours, but have been returned to the owner’s premises alive, these individuals must be identified and tested for CWD when they ultimately die.

C. The Department may euthanize any captured domesticated large game that is relinquished to the Department by its owner, if known, for the purpose of diagnostic testing for disease. The Department may, in accordance with 7 M.R.S. §1802, condemn any domesticated large game individual that is suspected of being infected with or exposed to CWD, brucellosis, tuberculosis, or other disease of domesticated animals or wild game, for purpose of diagnostic testing.

D. In the event that capture of the escaped large game individual is not practical, the Department will consult with the owner, if known, to determine whether the owner will relinquish the escaped individual to the Department. If the owner agrees to relinquish the escaped individual, or if the owner does not agree to relinquish it, and the Department condemns the escaped domesticated large game animal in accordance with 7 M.R.S. §1802, the Department with cooperation with representatives of the Maine Department of Inland Fisheries and Wildlife, may destroy the escaped individual, and samples may be taken for the purpose of diagnostic testing.

E. LGSA license holders shall pay for reasonable and appropriate costs associated with the capture, euthanasia, or destruction of domesticated large game that escape from their commercial large game shooting areas.

17. ADVERTISING AVAILABILITY OF DOMESTICATED LARGE GAME

A. LGSA licensees may offer for hunting only those species and species groups of domesticated large game for which they are licensed during any given licensing year (September 1 to August 31 annually).

B. A copy of the current commercial large game shooting area license must be posted in plain view on the premises where clients, Department personnel, and the public may view the license during regular business hours. This copy must show which species of large game the licensee is permitted to offer for shooting at that point in time.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §1342(8)
• EFFECTIVE DATE: May 25, 2010 – filing 2010-202
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 226 Rules Governing the Administration of Certain Substances to Animals Entered in Pulling Competitions

Code Me. R. 01-001 Ch. 226 Rules Governing the Administration of Certain Substances to Animals Entered in Pulling Competitions {#sec-01-001-ch.-226 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 226}

SECTION 1. DEFINITIONS

Approved Laboratory means a laboratory designated by the Commissioner for the analysis of drug concentration in blood, urine, saliva or other fluids. This includes the State Health & Environmental Testing Laboratory and other State and private laboratories that may be designated by the Commissioner.

2. Authorized Agent of the Commissioner (or "Agent") means a State Veterinarian, or a licensed, practicing veterinarian contracted to work for the Department or for a licensed pulling venue, who is accompanied by a Department employee.

3. Commissioner means the Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

4. Department means the Maine Department of Agriculture, Conservation and Forestry.

5. Driver means the person(s) that controls/drives the animal(s) that is pulling in a licensed pulling event, also referred to as Teamster.

6. Event means a licensed public pulling competition..

7. Positive Test means any specimen collected for drug analysis by an Agent from an animal who has been entered into a pulling event, which is tested by an approved laboratory and found to contain a prohibited substance regardless of the concentration of substance present.

8. Pulling Permit means a permit from the Commissioner of Agriculture, Conservation and Forestry as described in 7 M.R.S. §97.

9. Specimen means blood, urine, saliva or any other body fluid taken from an animal that has been entered in a pulling event.

10. Prohibited substance means:

A. Any substance, including, but not limited to, a narcotic, stimulant, depressant, tranquilizer, local anesthetic, analgesic, drug or drug metabolite, medication of any type or biological substance, at a level greater than the level found in the normal, untreated animal; or

B. Any substance, regardless of how harmless or innocuous, that might interfere with the detection or quantitation of a narcotic, stimulant, depressant tranquilizer, local anesthetic, analgesic, drug or drug metabolite, medication of any type or biological substance, at a level greater than the level found in the normal untreated animal.

11. Drug means:

A. Articles intended for use in the diagnosis, cure, mitigation, treatment or prevention of disease in man or other animals; and

B. Articles (other than foods) intended to affect the structure or any function of the body of man or other animals; and

C. Articles intended for use as a component of any Articles specified in paragraphs 11 (A) and (B); but does not include devices or their components, parts, or accessories.

The term "drug" does not include water, in liquid or frozen state, or heat.

SECTION 2. PROCEDURES FOR OBTAINING SAMPLES

1. An Agent may test any animal which has been entered into an event as described in 7 M.R.S. §96.

2. Blood samples will be collected only by an Agent. that is a licensed veterinarian.

3. The owner and/or driver of the animal whose specimen is being taken must observe the specimen as it is being taken, the sample as it is sealed, identification and security of the sample and sign required documents to affirm that the person observed the specimen collection, sealing, identification and security of that sample.

4. The sample will be reasonably secured to prevent tampering from the time the sample is taken until that sample is delivered to an approved laboratory.

SECTION 3. NOTIFICATION OF POSITIVE TEST AND HEARING

1. The disclosure of a positive test will be reported to the Department by the approved laboratory.

2. The Department shall report any positive test to the owner and driver.

3. All holders of event permits (and, in the case of a pulling animal, the Pull Events Commission), shall be notified by the Department of a positive test. Such notification shall state the violator's name and address, the time and place where the positive sample was taken, the name of the substance involved and identification of the animal.

4. The Department shall provide the owner and driver receiving a positive test, with notice of the opportunity for a hearing before the Department Official at the time of notification of a positive test.

SECTION 4. DECISION OF THE COMMISSIONER

1. Notification of the decision of the Commissioner will be sent to the owner and driver found responsible for the positive test.

All holders of event permits, (and in the case of a pulling animal, the Pull Events Commission), shall be notified of the decision of the Commissioner.

SECTION 5. PERMIT HOLDERS

1. All permit holders are responsible to ensure that no barred person competes in an event.

2. The Commissioner may initiate action to revoke an event permit if a permit holder allows a barred person to enter an event.

SECTION 6. GRIEVANCE PROCEDURE

1. An aggrieved party's right of appeal or right to judicial review is provided by applicable provisions in the Maine Administrative Procedure Act and Maine Rules of Civil Procedure .

History

• STATUTORY AUTHORITY
• 7 M.R.S. §96
• EFFECTIVE DATE: March 25, 1980
• REPEALED AND REPLACED: December 24, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: July 19, 1998
• CONVERTED TO MS WORD: May 15, 2008
• AMENDED: November 15, 2011 – filing 2011-407
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: September 2, 2017 – filing 2017-134

Chapter 240 Guidelines for Feeding Fish Waste and Other Liquid Based Feed Systems to Swine

Code Me. R. 01-001 Ch. 240 Guidelines for Feeding Fish Waste and Other Liquid Based Feed Systems to Swine {#sec-01-001-ch.-240 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 240}

SUMMARY: The guidelines define generally acceptable agricultural practices for feeding fish waste. The guidelines specify that the waste material should be ground and partially dried, analyzed for nutrient content and used only as a feed supplement based upon the analysis. Furthermore, the material should be fed from containers constructed of an impervious material and should be cleaned within 48 hours after feeding.

I. Introduction

Under authority of 17 MRSA §2805, the following are adopted as generally accepted agricultural practices for the feeding of fish waste and other liquid-based waste products to swine.

Based on the limited information available, dry ground fish waste is a good source of protein. Depending on the composition of the waste, the total crude protein of fish waste could reach 49.5% (Table 1.)

TABLE 1: Proximate Analysis of Fish Wastes

Shrimp Fish Fish Fish Fish

Waste Scale Head Gut Waste

Moisture 6.3 4.6 5.3 15.8 6.7

Total crude protein 49.5 44.8 47.5 55.6 49.5

Ether extract 4.3 6.7 5.9 12.1 4.8

Ash 27.3 35.4 29.1 10.1 27.0

*Afolabi, et al., 1980. Nutrition Reports International Vol. 21. No. 6. 901-906

In addition, the amino acid profile of fish waste is very similar to that of industrial fish meal. This and the relatively lower processing cost could make it economically feasible for ground dry fish waste to replace commercial fish meal as a feed ingredient in many livestock and poultry rations.

II. Source for Feed

Using fish waste as the only feed source in swine operations is not recommended and should not be considered a sound farming practice. In addition, from a practical as well as a nutritional aspect, raw fish waste Is not suitable for incorporation into swine rations. This material to be suitable for incorporation into swine rations should be:

1. ground and partially dried

2. analyzed for nutrient content to allow for proper inclusion in properly balanced rations

3. used only as a supplement to the swine ration, with amounts fed to be determined based on nutritional value of the product

The rate of inclusion of fish waste into swine rations may be affected by the type of ration, the age of the pigs and the stage of reproduction. An average of St could be used as a guideline for adding fish waste to swine rations. High levels of fish products in the ration can result in adverse effects on carcass quality and should be avoided, especially when dealing with feeder pig operations.

The attached swine ration (Appendix 1) is an example of a lactating swine ration with St added fish waste. Other rations could easily be formulated and nutritionally adjusted to meet the requirements of other classes of swine. Farmers are encouraged to contact their Extension County Agent or the Livestock Specialist with the Cooperative Extension Service, University of Maine, Orono for information on swine feed formulation and feeding practices.

III. Feed Containers

Any liquid-based food products should be fed from containers that are constructed of concrete or equally impervious material, tightly built to prevent leakage, and designed so as to allow for cleaning, washing, and disinfection. Such containers should have a curb adequate to confine waste and fluids. The height of the curb should not be less than six inches.

IV. Cleaning

Concrete or other feeding structures should be kept in a clean and sanitary condition by washing or dry cleaning. Refuse should be removed from the feeding area within 48 hours after completion of the feeding, and disposed of in accordance with DEP statutes and regulations.

V. Storage

Fish waste should be ground and partially dried before being stored on the farm. In addition, the material should not be stored in such a way or in such amounts that will create a solid waste, an insect infestation or other offensive problem.

History

• STATUTORY AUTHORITY: 17 M.R.S.A. §2805 (1983)
• EFFECTIVE DATE: August 2, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 15, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: APPENDIX I
• CORRECTIONS: NAME PORKY
• CORRECTIONS: DATE 1/29/86
• CORRECTIONS: TYPE OF RATION LACT-1
• CORRECTIONS: FEED FORMULA & COSTS
• CORRECTIONS: FEED AMOUNT IN RATION COST FOR A COST/CWT
• CORRECTIONS: MATERIALS (LB./TON) 2000 LB. BATCH AS FED
• CORRECTIONS: CORN 1635.000 $0.00 $0.00
• CORRECTIONS: SOY 49 210.000 $0.00 $0.00
• CORRECTIONS: FISH WASTE 49.5% 100.000 $0.00 $0.00
• CORRECTIONS: LIMESTONE 15.000 $0.00 $0.00
• CORRECTIONS: DICAL 25.000 $0.00 $0.00
• CORRECTIONS: SALT 10.000 $0.00 $0.00
• CORRECTIONS: VIT-MIX 5.000 $0.00 $0.00
• CORRECTIONS: TOTAL COST PER 2000 POUND $0.00
• CORRECTIONS: NUTRIENT CONTENT OF SELECTED FEED MIX
• CORRECTIONS: NUTRIENT LEVEL UNITS
• CORRECTIONS: ENERGY 1428.800 CAL/LB.
• CORRECTIONS: MAX FIBER 2.148 %
• CORRECTIONS: FAT 3.573 %
• CORRECTIONS: CALCIUM 1.110 %
• CORRECTIONS: TOTAL PHOS. 0.665 %
• CORRECTIONS: SODIUM 0.254 %
• CORRECTIONS: VIT. A 3855.725 IU/LB.
• CORRECTIONS: VIT. D 3200.000 IU/LB.
• CORRECTIONS: RIBOFLAVIN 2.873 MG/LB.
• CORRECTIONS: PROTEIN 14.896 %
• CORRECTIONS: MIN LYSINE 0.631 %
• CORRECTIONS: MIN METH 0.260 %
• CORRECTIONS: MIN METH + CYST 0.489 %
• CORRECTIONS: MIN ARGININE 0.820 %
• CORRECTIONS: MIN LEUCINE 1.430 %
• CORRECTIONS: MIN TRYPTOPHANE 0.247 %
• CORRECTIONS: MIN CHOLINE 554.323 MG/LB.
• CORRECTIONS: PANT. ACID 14.791 MG/LB.
• CORRECTIONS: NIACIN 32.790 MG/LB.
• CORRECTIONS: XANTHOPHYLL 8.175 MG/LB.
• CORRECTIONS: M. EL-BEGEARMI, 86
• CORRECTIONS: 01-001 Chapter 240 page 4

Chapter 250 American Ginseng

Code Me. R. 01-001 Ch. 250 Rules for Certifying American Ginseng {#sec-01-001-ch.-250 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 250}

SUMMARY: This chapter specifies the requirements for producing and certifying cultivated American ginseng for export from the State of Maine.

I. STATUTORY AUTHORITY

The Department of Agriculture is authorized by 7 MRSA §2225 to promulgate rules regarding the certification of cultivated ginseng.

II. DEFINITIONS

A. "Ginseng" means any part of the plant known as Wild American Ginseng (Panax quinquefolius L).

B. "Cultivated ginseng" means any part of a ginseng plant that was grown in prepared beds.

C. "Wild ginseng" means ginseng growing, living or found in a natural state.

D. "Wild simulated ginseng" means cultivated ginseng grown in a wooded site where wild ginseng is not established.

E. "Dealer" means a person who buys cultivated, wild and/or wild simulated ginseng for the purpose of resale in a raw form.

F. "Grower" means a person who grows cultivated ginseng and/or wild simulated ginseng to sell.

G. "Foreign ginseng" means ginseng that is grown outside this state.

H. "Person" means any individual, partnership, corporation or other business entity.

I. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

J. "Green ginseng" means a ginseng root from which the moisture has not been removed by drying.

K. "Grower license" means an annual permit issued by the Department which enables a person to cultivate ginseng for sale.

L. "Dealer license" means an annual permit issued by the Department which enables a person to buy cultivated, wild and/or wild simulated ginseng for resale.

III. COLLECTION, CULTIVATION, HARVEST AND SALE OF AMERICAN GINSENG

A. Collecting Wild Ginseng

No grower's or dealer's license will be issued for the collection of wild ginseng for the purpose of sale or distribution.

B. Cultivation and Harvest of Ginseng

1. Prior to preparing the beds for planting growers must obtain a written determination from the Department that the area where the beds are to be located is free of wild ginseng. This determination will be made after a site inspection by the Department, which must be arranged by the grower. Anyone growing ginseng prior to the enactment of this rule is exempt from this requirement.

2. All growers shall keep true and complete records of ginseng cultivation including]

a. Origin of seed and rootlets for planting

b. Location of beds, including site maps

c. Planting dates

d .Harvesting dates

e. Weight of ginseng harvested

f. Detailed information of sales transactions

g. Any other information the Department deems necessary regarding the cultivation, harvesting and selling of ginseng.

3. Planting, harvest and sales records shall be kept for a period of 5 years and shall be submitted annually to the Department.

4. Dealers must keep records on forms provided by the Department and make them available upon request.

C. Growers and Dealers

1. All growers shall register with the Department and obtain a grower's license prior to planting any ginseng and shall renew their license annually. Licenses will expire on December 31 of each year. The fee for the license is $10.00 and the Department will assign a license number to each person registered under this subsection.

2. All dealers shall register with the Department and obtain a dealer's license prior to dealing in ginseng. Licenses shall be obtained annually and will expire on December 31 of each year. The fee for the license will be $25.00 and the Department will assign a license number to each person registered under this subsection. Any person who acts as a dealer and a grower must register and obtain licenses as both.

D. Sale of Ginseng

1. All ginseng roots intended for sale shall be certified by Department personnel on forms provided by the Department.

2. Certification shall include inspection of the roots to insure maturity and determine the weight of each shipment.

3. Any grower or dealer holding ginseng after March 31 of the year after harvest must notify the Department. The Department will weigh the ginseng and will provide an official receipt of the weight of the remaining ginseng. Any future certification of this ginseng will be issued against this weight receipt.

4. No dealer may purchase or receive foreign ginseng unless it is accompanied by a valid certificate, issued by the state or country of origin. The certification shall include the source, year of harvest, weight and number of rootlets. The dealer shall retain a copy of each written certificate received. If a dealer receives ginseng not accompanied by a valid certificate of origin, the uncertified ginseng must be returned within 30 days to the state or country of origin.

EFFECTIVE DATE:

July 22, 1995

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 15, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 250 page 3

Chapter 252 Regulations Governing Certification of Seed Potatoes in the State of Maine

Code Me. R. 01-001 Ch. 252 Rules Governing Certification of Seed Potatoes in the State of Maine {#sec-01-001-ch.-252 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 252}

SUMMARY: This chapter outlines the procedures and standards governing the certification of seed potatoes in the State of Maine.

1. INTRODUCTION

A. Definitions

(1) The Terms

(a) Bacterial Ring Rot means a tuber-borne potato disease caused by the bacterium, Corynebacterium sepedonicum also known as Clavibacter michiganense pv. sepedonicum .

(b) Certification means the act of endorsing that the potatoes have been inspected and at the time of inspection met the standards or requirements specified in this Chapter for seed potatoes. Certification does not mean or constitute any warranty that the potatoes are merchantable, disease free, or fit for a particular purpose. Except where the Commissioner has indicated other tests are superior, the measurement method or basis for determining compliance with the standards is visual inspection of the fields and post- harvest laboratory testing using ELISA, PCR or other suitable molecular method.

(c) Certified Seed means seed potatoes entered into the Maine Seed Potato Certification Program and passing the field year field inspection, and Post-Harvest Test requirements as well as the other requirements established in this Chapter.

(d) Certified Seed Class means seed potatoes entered into the Maine Seed Potato Certification Program with an appropriate field year designation and passing field inspection, Post-Harvest Test and other requirements established in this Chapter for this class of seed potatoes.

(e) Commissioner means the Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

(f) Department means the Maine Department of Agriculture, Conservation and Forestry.

(g) Disease Tested Tuber(s) means potato tuber(s) selected and tested for freedom from the following diseases and pathogens: Bacterial Ring Rot, Blackleg, Potato Spindle Tuber Viroid, Potato viruses X, Y, A, M, S, Leafroll, Potato Mop Top Virus and the Necrotic Strain of Potato Virus Y (PVY-N).

(h) Field Year means a seed potato classification designating the number of years a particular lot has been grown in the field after greenhouse propagation, not to exceed six years after 2011.

(i) Foundation Farming Operation means all potato acreage on the farm has been entered into the Maine Seed Potato Certification Program.

(j) Foundation Seed Class means seed potatoes entered into the Maine Seed Potato Certification Program with an appropriate field year designation and passing field inspection, Post-Harvest Test and other requirements established in this Chapter for this class of seed potatoes.

(k) Inspector or Seed Potato Inspector means a representative of the Department who is duly authorized to carry-out the services of the Maine Seed Potato Certification Program.

(l) Leafroll means a potato disease caused by the potato leafroll virus.

(m) Lot means a population of certified seed potatoes of one variety, field year and class that is identified by one certification number.

(n) Maine Seed Potato Certification Program means the program established in this Chapter for certification of seed potatoes.

(o) Mini-tuber means a tuber produced in a greenhouse from nuclear stock.

(p) Mosaic means potato disease caused by potato virus A, potato virus X, potato virus Y, potato virus M or a combination of potato viruses A, X, M and Y.

(q) Necrotic Strain of Potato Virus Y (PVY-N) means a strain of Potato Virus Y that causes a necrotic reaction in certain varieties of tobacco.

(r) Nuclear Seed means propagation material, including mini-tubers and plantlets, which involves in vitro techniques and is grown under controlled conditions.

(s) Nuclear Seed Origination Source means any farm or operation that is authorized by the Commissioner for such production.

(t) Post-Harvest Test means the test authorized by the Department for determining the disease content of recently harvested samples of seed potatoes. Each sample must represent a specific lot of seed potatoes in storage.

(u) Potato Mop Top Virus means a soil-borne virus in the pomovirus group which may cause discoloration or necrotic rings in infected tubers, and various types of mottling and stunting in above-ground portions of infected plants.

(v) Production or Crop Handling Equipment means equipment used in producing potatoes that contacts either the foliage or the tubers of potato plants.

(w) Roguing means the removal of diseased and off-type potato plants from a field of seed potatoes.

(x) Root Knot Nematode means the nematode species belonging to the genus Meloidogyne .

(y) Separate Farming Operation means distinct production units which use the same crop handling equipment but which clean and disinfect the equipment between use on each production unit. Separate farming operations must be established and separated by identifiable physical boundaries (i.e. a road, woods, field devoted to a different crop) and must remain the same once established, unless approval for a change is requested by the producer and approved by the Department.

(z) Shipping Inspection Tags means the tags or bulk certificates identifying the variety name, grade, size, and class of seed potatoes, which are issued by department staff prior to shipment.

(aa) Single Hill Selection means the method of seed potato propagation whereby tubers are selected, tested to ensure freedom from certain pathogens, and retained for planting as Nuclear Seed.

(bb) Sod Ground means land on which grass and/or legume species were produced the previous year.

(cc) Spindle Tuber means the potato disease caused by the Potato Spindle Tuber Viroid pathogen.

(dd) Tobacco Rattle Virus means a virus vectored by the stubby root nematode which can cause stem mottling of potato foliage and discoloration or necrotic rings in infected tubers.

(ee) Tolerance means the allowable upper limit of observed disease during field inspection, post-harvest test, and laboratory evaluation.

(ff) Total Virus means the sum or total of the virus diseases Leafroll and Mosaic.

(gg) Vine kill means treating the vines mechanically or chemically to cause them to die.

(hh) Zero Tolerance means that the disease or related pathogen was not found during the inspection and testing process in the case of Bacterial Ring Rot, Potato Spindle Tuber Viroid, or Root Knot Nematode. This is not intended, nor may it be construed to mean, that the lot inspected is free from the disease in question.

2. PRODUCTION REQUIREMENTS

A. Application(s) and Eligibility

(1) Generally

(a) The requirements to certify seed potatoes in the Maine Seed Potato Certification Program include a Field Year Designation, Field Inspections, Post-Harvest Testing and a Shipping Point Inspection as provided in these rules. If planting a protected variety, documentation must be supplied indicating that the grower has permission to plant the protected variety and certify the seed.

(2) Field Inspections

(a) Applications for inspection of potato fields to be entered into the Maine Seed Potato Certification Program must be made on forms available from the Department.

(b) All the information required on the application form shall be complete and accurate.

(c) Full payment of the entry fee is required with the application. For a listing of the entry fees for the Maine Seed Potato Certification Program, see Section 8. Fee Schedule, A.

(d) The application and deposit must be received by the Department by June 15 of the current crop year. Applications not received by this date will be accepted at the discretion of the Department, but will be withheld if payment is due on past accounts.

(e) Applications that are not accompanied by the full entry fee will be held and not be entered into the Maine Seed Potato Certification Program until the full entry fee is paid.

(f) Evidence satisfactory to the Department proving origin and quality of seed must accompany the application including:

(i) Import Permit numbers or certification numbers in the case of growers using their own seed.

(ii) Designation of field year as defined in this Chapter.

(iii) Class of seed as either Certified or Foundation Seed Class.

(iv) Variety of seed potatoes.

(g) Seed potatoes that pass the field inspection requirements in Maine shall be entered into the Post-Harvest Test unless otherwise provided in this Chapter.

(3) Post-Harvest Test

(a) Applications for the Post-Harvest Testing of samples of seed potatoes must be made on forms available from the Department

(b) All information required on the application form must be complete and accurate.

(c) The application form and the entire fee for the Post-Harvest Test must be received by the Department prior to testing as determined by the Department. The Department can extend this deadline for the entire industry or for designated geographic areas if unusual weather or unforeseeable problems make it difficult for the deadline date to be met.

(d) The fee schedule for the Post-Harvest Test appears on the application form (see Fee Schedule).

B. Designation of Field Years in the Maine Seed Potato Certification Program

(1) Seed Originating from a Foundation Farming Operation

Year Produced Field Year Production

in Field Designation Information

Year 0 Nuclear Seed An approved laboratory producing Nuclear Seed minitubers and/or plantlets; See Appendix I for Nuclear laboratory procedures.

Year 1 Field Year 1 Planting of mini-tubers or transplants in soil

Year 2 Field Year 2 General release of most varieties from an approved Nuclear seed origination source.

Year 3 Field Year 3

Year 4 Field Year 4

Year 5 Field Year 5

Flush out Tablestock/Processing potato producers

Growers Own Seed

All years, Pursuant to (2)(H)(2)(a-g)

(2) Propagation of Nuclear Seed

(a) The number of years of propagation from Disease Tested Tuber(s) must be designated at an approved Nuclear Seed Origination Source.

(b) NuclearSeed may be propagated on an approved Nuclear Seed Origination Source, using meristem tissue culture or any other existing or new methods of vegetative propagation approved by the Commissioner.

(c) NuclearSeed shall be increased in the laboratory/greenhouse and planted into the field at an approved Nuclear Seed Origination Source.

(3) Field Propagation of Seed on a Foundation Farming Operation that Passes the Requirements for Foundation Seed Class

(a) Mini-tubers or plantlets will be designated as: Field Year 1

(b) Field Year 1 planted will be designated as: Field Year 2

(c) Field Year 2 planted will be designated as: Field Year 3

(4) Propagation of seed that passes the requirements for Certified or Foundation Seed Classes

Field Year 3 passing seed requirements will be designated as: Field Year 4

Field Year 4 passing seed requirements will be designated as: Field Year 5

(5) Field Year Designation for Imported Seed

(a) All seed from an out-of-state source shall comply with Department Rule Chapter 255 - Imported Seed Potatoes .

(b) Seed potatoes imported into the state shall meet all the requirements for certification under the Maine Seed Potato Certification Program, including the Post-Harvest Test requirement as prescribed by this Chapter.

(c) All import certificates shall specify the imported seed’s field year, which shall meet or exceed the criteria for its equivalent field year in the Maine Seed Potato Certification Program.

(d) The Commissioner shall determine and designate the field year of the imported seed, which will be given the same field year designation as equivalent Maine seed in the Maine Seed Potato Certification Program.

C. Production and Importation of Nuclear Seed

(1) Authorization

(a) The Commissioner may authorize Nuclear Seed Origination Sources in Maine to produce NuclearSeed from Disease Tested Tuber(s).

(b) Any person seeking authorization to produce, import or sell NuclearSeed in Maine shall apply to the Department and comply with all terms and conditions as the Commissioner may require.

(2) Methods of Propagation

(a) Nuclear Seed shall be propagated from Disease Tested Tuber(s). Methods of propagation may include meristem tissue culture or any other existing or new method of vegetative propagation approved by the Commissioner, which breaks the normal tuber-to-tuber cycle of propagation.

(3) Testing Requirements

(a) The initial Disease Tested Tuber(s) must be tested and found free of the following diseases and pathogens: Bacterial Ring Rot ( Clavibacter spp.) , Blackleg ( Pectobacterium spp. and Dickeya spp .), Bacterial Wilt ( Ralstonia spp.) and Potato Spindle Tuber Viroid.

(b) Plants produced from Disease Tested Tuber(s) must be tested and found free of the following diseases and pathogens: Potato Spindle Tuber Viroid, the Necrotic Strain of Potato Virus Y (PVY-N), Potato Mop Top Virus, Leafroll and Mosaic viruses.

(4) Importation Requirements

(a) No shipper, handler or importer of Nuclear Seed or person selling such material shall bring into the State of Maine any Nuclear Seed unless a Seed Potato Import Permit has been issued, the Nuclear seed inspected and appears to be free from all injurious insects and diseases issued to the shipper, handler or importer.

(b) Any Nuclear Seed, except Disease Tested Tuber(s) transported into the State must have been grown in a soilless pasteurized potting mix or from an approved hydroponic greenhouse production system.

(c) Seed Potato Inspectors may inspect, at the point of destination, all Nuclear Seed coming into the State whether under certificate or not, and if such seed is found to be infested or infected with any injurious insect or disease, shall cause it to be destroyed or returned to the consignor at the consignor’s expense.

D. Production and Sale of Field Year Seed 1, 2 and 3 on a Foundation Farming Operation

(1) Authorization of a Foundation Farming Operation

(a) The Commissioner shall authorize Maine potato growers to produce Field Year Seed 1, 2 and 3 only when they can demonstrate the capability of producing such.

(b) Any person seeking authorization to produce or import Field Year Seed 1, 2 and 3into Maine shall apply to the Department and comply with all terms and conditions as the Commissioner may require.

(2) Additional Criteria for Authorization of Production and Sale of Field Year Seed 1, 2 and 3 on a Foundation Farming Operation in Maine

(a) If, pursuant to Section 6.A., the Bacterial Ring Rot disease or pathogen is confirmed on a Foundation Farming Operation producing Field Year Seed 1, 2 and 3, such Foundation Farming Operation is prohibited from selling Field Year Seed 1, 2 and 3 for three years following confirmation of the disease or pathogen, unless the operation:

(i) eliminates all seed lots on the farming operation the year that the Bacterial Ring Rot disease or pathogen is confirmed; and

(ii) is free of Bacterial Ring Rot disease during the summer field inspection program and during storage in all the new lots obtained. If Bacterial Ring Rot disease is found in any of the new lots obtained on the Foundation Farming Operation, all Field Year Seed 1, 2 and 3 lots on the operation drop to Field Year 4, except for Field Year Seed 1 and 2 lots which are free of Bacterial Ring Rot disease and which are to be replanted on the same operation. The field year of such lots drops to Field Year 3 if younger than Field Year 3. See also 6.A.(2) for additional requirements when the Bacterial Ring Rot disease is confirmed; and

(iii) submits to a USDA-APHIS approved laboratory a 400 tuber sample of the progeny of all the new lots which were free of the Bacterial Ring Rot disease during summer field inspection per 15 acres of production. The Department must find these samples free of the Bacterial Ring Rot pathogen through the testing protocol specified in 6.A.(1) of this Chapter prior to sale of such progeny as Field Year Seed 1, 2 and 3. If the Bacterial Ring Rot pathogen is confirmed during laboratory testing of the progeny of any of the new lots, all Field Year 1, 2 and 3 lots on the Foundation Farming Operation drop to Field Year 4 except for Field Year Seed 1and 2 lots which are free of the Bacterial Ring Rot pathogen and which are to be replanted on the same operation. The field year of such lots drops to Field Year 3 if younger than Field Year 3. See also 6.A.(2) for additional requirements when the Bacterial Ring Rot pathogen is confirmed.

(b) If, pursuant to Section 6.A., the Bacterial Ring Rot disease or pathogen is confirmed in two out of three succeeding years on a Foundation Farming Operation producing Field Year Seed 1, 2 and 3, such farming operation:

(i) cannot sell Field Year Seed 1, 2 and 3 for one year following confirmation of the Bacterial Ring Rot disease or pathogen the second time;

(ii) cannot sell Field Year Seed 1, 2 and 3 for the second and third years following confirmation of the Bacterial Ring Rot disease or pathogen for the second time, unless the operation:

1. eliminates all seed lots on the farming operation each of the two years following the year that the Bacterial Ring Rot disease or pathogen was confirmed for the second time; and

2. is free of Bacterial Ring Rot disease during the summer field inspection program and during storage, in all the new lots obtained, each of the two years following the year that the Bacterial Ring Rot disease or pathogen was confirmed. If Bacterial Ring Rot disease is present in any of the new lots obtained on the Foundation Farming Operation, all Field Year Seed 1, 2 and 3 lots on the operation drop to Field Year 4, except for Field Year Seed 1 and 2 lots which are free of Bacterial Ring Rot disease and which are to be replanted on the same operation. The field year of such lots drops to Field Year 3 if younger than Field Year 3. See also 6.A.(2) for additional requirements when the Bacterial Ring Rot pathogen is confirmed.

3. submits to a USDA-APHIS approved laboratory, at grower’s cost, a 400-tuber sample of the progeny of all the new lots which were free of the Bacterial Ring Rot disease during summer field inspection each of the two years following the year that the Bacterial Ring Rot disease or pathogen was confirmed for the second time, per 15 acres of production. The USDA-APHIS approved laboratory must find these samples free of the Bacterial Ring Rot pathogen through the testing protocol specified in 6.A.(1) of this Chapter prior to sale of such progeny as Field Year Seed 1, 2 and 3. If the Bacterial Ring Rot pathogen is confirmed during laboratory testing of the progeny of any of the new lots, all Field Year Seed 1, 2 and 3 lots on the Foundation Farming Operation drop to Field Year 4, except for Field Year Seed 1, 2 and 3 lots which are free of the Bacterial Ring Rot pathogen and which are to be replanted on the same Foundation Farming Operation. The field year of such lots drops to Field Year 3 if younger than Field Year 3. See also 6.A.(2) for additional requirements when the Bacterial Ring Rot pathogen is confirmed.

(c) All potato fields planted on a Foundation Farming Operation producing Field Year Seed 1, 2 and 3 must be entered into the Maine Seed Potato Certification Program.

(d) All seed lots planted on the Foundation Farming Operation Field Year Seed 1, 2 and 3 must be of the Foundation Class except that seed lots of the Certified Class which were produced on a farming operation where all potatoes were checked for Bacterial Ring Rot may be planted provided that:

(i) These seed lots are rogued such that they contain no more than 0.5% total virus prior to the first inspection.

(ii) These seed lots are planted at least 500 feet from any Field Year 1, 2 or 3 field.

(iii) If either 1 or 2 above is not met, then all Field Year Seed 1, 2 and 3 lots within 500 feet of the Certified Class lot on the farm or farming operation will be designated Field Year 3, except that seed potatoes designated as Field Year 3 at planting will be designated Field Year 4.

(e) All plots planted with and/or Field Year 1,2 and 3 must be located on sod ground or on ground where potatoes were not grown the previous year.

(f) Fields planted with Field Year 2 must be located on ground where potatoes were not grown the previous year or on ground where Field Year 2 of the same variety was harvested the previous year.

(3) Designation of Field Year 1, 2 and 3 Seed produced on a Foundation Farming Operation that meet the requirements of this Chapter will be designated as follows:

(a) Field Year 1 seed will be designated as: Field Year 2

(b) Field Year 2 seed will be designated as: Field Year 3

(c) Field Year 3 seed will be designated as: Field Year 4

(4) Production and Sanitation Requirements

(a) Field Year 1, 2 and 3 Seed produced on a Foundation Farming Operation shall be entered into the Maine Seed Potato Certification Program and must be in conformity with the requirements of this Chapter.

(b) All plots planted with Nuclear Seed and/or Field Year 1, 2 and 3 Seed should be free of volunteer plants.

(c) Nuclear Seed derived from the same mother plant, mother tuber, or meristem must be planted together in segregated units. Subunits may be established for testing purposes at the request of the grower.

(d) Within a row different units must be separated by a minimum of three feet, and must be permanently marked and labeled at both ends. A field map must be submitted with the Inspection Application.

(e) All units planted with Nuclear Seed and/or Field Year 1, 2 and 3 Seed must have at least one blank row between different field years of the same variety.

(f) Field Year 1 Seed of the same variety may be composited at harvest.

(g) All plots planted with Field Year 1, 2 and 3 Seed should be planted before other potato fields. In cases where this is not possible, crop handling equipment must be thoroughly washed and completely disinfected prior to planting Field Year Seed 1, 2 and 3 plots.

(h) All plots planted with Field Year 1, 2 and 3 Seed must be harvested before other potato fields.

(i) Crop handling equipment used in the production of the Foundation Class of seed may be used for Field Year 1, 2 and 3 Seed provided that the machinery is thoroughly washed and completely disinfected under the direction of a Seed Potato Inspector prior to entry into Foundation Seed fields. Crop handling equipment used in the production of the Certified Class of seed may not be used in the production of Field Year 1, 2, and 3 Seed unless these seed lots are planted at least 500 feet from any Field Year 1, 2 or 3 Seed field as provided by 2.D.(2)(d) of this section.

(j) All cultural operations and spraying must be completed in fields planted with Field Year 1, 2 and 3 Seed before working in other fields.

(k) Growers must notify their inspector when herbicides or insecticides are applied to their seed and/or fields. Field notification must be done prior to Inspector entering their field.

(l) Crop handling equipment must be thoroughly washed to remove soil and organic matter and completely disinfected between fields containing different varieties and seedlings of Field Year 1, 2 and 3 Seed.

(m) Crop handling equipment must be thoroughly washed to remove soil and organic matter and completely disinfected prior to harvesting fields containing Field Year 1, 2 and 3 Seed.

(5) Field Disease Tolerances for Field Year 1, 2 and 3 Seed

(a) Foliage of plants produced from Nuclear Seed must be visually inspected and must contain no more than 0.1% total virus. In fields in which this tolerance is exceeded, growers will be given the opportunity to rogue the field to bring it within the tolerance specified.

(b) If upon re-inspection of fields which exceed the tolerance specified in 2.D.(6)(a) of this section the Inspector finds that the virus level still exceeds 0.1%, the lot will drop to the next appropriate field year.

(c) Foliage of plants produced from Field Year 1 must be visually inspected and must contain no more than 0.25% total virus. In fields in which this tolerance is exceeded, growers will be given the opportunity to rogue the field to bring it within the tolerance specified.

(d) If upon re-inspection of fields which exceed the tolerance specified in 2.D.(6)(c) of this section the Inspector finds that the virus level still exceeds 0.25%, the lot will drop to the next appropriate field year.

(e) If Potato Spindle Tuber Viroid is found during the inspection of Nuclear Seed, all plants derived from the same mother plant, mother tuber or meristem shall be rejected from the Maine Seed Potato Certification Program.

(f) Plants produced from Field Year 2, 3, and 4 must be inspected in the field during the growing season in the same manner and must meet the same standards as the Foundation Seed Class.

(6) Post-Harvest Testing of Field Year 1, 2 and 3 Seed on a Foundation Farming Operation

(a) The Post-Harvest Testing requirement is waived for Field Year 1 Seed providing that such seed potatoes are not sold as seed during the year that this requirement is waived.

(b) All lots of Field Year 2 and 3 Seed must be Post-Harvest tested. Field Year 1 may be tested upon request of the producing grower.

(c) Sample sizes and disease tolerances for the Post-Harvest Testing of Field Year 1, 2 and 3 Seed are discussed in the Post-Harvest section of Production Requirements, 2.F.(2)(a) and 2.F.(6)(a) respectively.

(7) Storage and Sizing of Field Year 1, 2 and 3 Seed on a Foundation Farming Operation

Field Year 1, 2 and 3 Seed must be stored and handled in a seed potato storage facility where all potatoes have been inspected and found to be free from Bacterial Ring Rot during the growing season.

(b) Field Year 1, 2, and 3 Seed of each variety must be stored separately and must be segregated from non-nuclear potatoes in storage.

(c) When packed for shipment, Field Year 1, 2 and 3 Seed must meet the grade requirements for certified seed (Department Rule Chapter 253 - Official Seed Potato Grade for Maine Certified Seed Potatoes ), except the undersize tolerance is waived for Field Year 1 and 2 Seed. Growers who purchase Field Year 1, 2 and 3 Seed are encouraged to separate the seed sizes before planting for uniform emergence.

(d) Any sanitary practices which the Inspector deems necessary during sizing or packing to avoid disease and contamination must be followed.

(8) Requirements Not Met

(a) Nuclear Field Year 1, 2 and 3 Seed that is not produced in accordance with the requirements specified in this Chapter will not be eligible for propagation as Field Year 2 and 3 Seed. Seed potatoes produced in such instances and which pass the requirements for the Certified or Foundation Seed Class will be designated Field Year Seed 3, except that seed potatoes designated as Field Year 3 Seed at planting will be designated Field Year 4.

E. Field Inspection for Certified and Foundation Seed Classes

(1) Frequency of Inspection

(a) Each field entered in the Maine Seed Potato Certification Program shall receive at least two field inspections by the Department, spaced approximately one month apart during the growing season.

(b) One or more additional inspections by the Department for Bacterial Ring Rot will be made after the second inspection and before top kill.

(c) One or more additional inspections by the Department for Bacterial Ring Rot may be made during harvest.

(2) Field Inspection for Foundation Seed Class

(a) To be eligible for the Foundation Seed Class, seed potatoes must be inspected in the field during the growing season in the same manner as the Certified Seed Class and must meet the tolerances for the Certified Seed Class.

(b) Maine does not designate the Foundation Seed Class based upon tolerances during field inspection but designates this class based upon disease levels observed in the Post-Harvest Test and other requirements set forth herein for the Foundation Seed Class.

(3) Tolerances for Certified Seed Class

Maximum tolerances allowed for the Certified Seed Class during field inspections are:

Disease or Condition

First Inspection

Second Inspection

Leafroll

2%

1%

Mosaic

3%

2%

Total Virus

3%

3%

Varietal Mixture

1%

0.25%

Potato Spindle Tuber Viroid

Zero

Zero

Bacterial Ring Rot

Zero

Zero

Root Knot Nematode

Zero

Zero

Blackleg FY1

0.1%

0.1%

FY2

0.2%

0.2%

FY3

1.0%

1.0%

FY4

2.0%

2.0%

FY5

2.0%

2.0%

Any field which according to the Department’s sampling methods, exceeds the maximum tolerances, for all the diseases listed except blackleg, allowed for the Certified Seed Class during any field inspections will be rejected from the Maine Seed Potato Certification Program.

Any field exceeding the blackleg tolerance for that particular generation will be downgraded to the next generation in which it meets that blackleg tolerance.

(4) Appeal of Inspections

Any grower of Certified Seed may appeal the decision of an Inspector by making such appeal in writing to the Maine Seed Potato Certification Program, in the Department. Such appeal must be received within one week following the inspection and must state clearly the reason for the appeal and show cause why a re-inspection, or lab test (at the grower’s expense) should be conducted. Roguing or sorting will not be permitted between the time of inspection and examination following appeal.

Upon receipt of the appeal notice, the Maine Seed Potato Certification Program will re-inspect the lot within three working days, providing the plants are healthy enough to be re-inspected, and will notify the grower of the results.

(5) Intentions to Vine Kill

(a) Growers shall notify the Inspector at least two days prior to commencing vine kill.

(6) Inspection of Processing and Tablestock Fields

(a) In order for seed potatoes produced on a farming operation on which some lots are not entered into the Maine Seed Potato Certification Program to be offered for sale in the state, either of the following must occur:

(i) all lots not entered for certification must be visually inspected by the Department and found free of Bacterial Ring Rot; or

(ii) any lot otherwise passing all the requirements of the Certified Seed Class must also have 400 randomly selected tubers per 40 acres of production tested by a USDA-APHIS approved laboratory and found free of the Bacterial Ring Rot pathogen according to the protocol in 6.A.(1)

(iii) The grower or his/her representative must contact his/her Inspector to verify that a correct sample has been taken. The grower must submit the sample to the laboratory and he/she and the Department must directly receive the results of the laboratory evaluation. The cost of the testing will be borne by the grower or his/her representative.

(b) These requirements are waived for seed that is produced for a grower’s own use or that is sold out-of-state.

(c) These requirements are also waived for the non-seed portion of a lot on a farming operation provided that a portion of the same lot is entered in the Maine Seed Potato Certification Program on that farming operation.

(d) If the Bacterial Ring Rot pathogen is found during either of the options specified in 2.E.(6)(a) of this section, the requirements contained in 6.A.(2) and 6.A.(3) must also be met.

F. Post-Harvest Test Requirements

(1) Varieties, Classes and Field Years of Seed Potatoes to be Tested

(a) The Post-Harvest Test will be conducted as a laboratory evaluation of the appropriate number of plants/tubers specified in 2.F.(2). The number of tubers to be tested must comply with the requirements of this Chapter. The testing costs of a USDA-APHIS approved laboratory will be borne by the producer.

(b) All varieties, classes and field years of seed potatoes must be Post-Harvest Tested to be eligible for certification, except as specified below:

(i) The Post-Harvest Test requirement is waived for seed potatoes of any variety or seedling grown on an aggregate of no more than one acre by any grower, provided that such seed potatoes are not to be sold as seed potatoes during the year that the requirement is waived.

(ii) The Post-Harvest Test requirement is waived for Field Year 1 Seed providing that such seed potatoes are not sold as seed during the year that the requirement is waived.

(iii) The Post-Harvest Test requirement is waived for seed potatoes of any variety and field year for out of state export that meet the requirements of (2 .9. (a) ). Seed lots must be entered for Post-Harvest testing immediately after harvest as defined by the Department, or the samples will not be eligible for post-harvest testing.

(2) Size of Sample

Samples will be lab tested at the following rates: 200 tuber sample for 0-4.9 acres, 250 tuber sample for 5-40 acres, 250 tuber sample plus 10 tubers for each addition acre over 40 acres. The sample(s) must be representative of the field and/or stored seed potatoes tested.

(3) Size of Tubers

The size of the tubers for the Post-Harvest Test must be not less than 1 ½” in diameter and should not exceed 3 ¼ “ in diameter.

(4) Representative Sample

The sample taken for the Post-Harvest Test must be representative of the field and/or stored seed potatoes to be tested.

(5) Sample Quality Requirement

Samples with less than 50% ability to test owing to such factors as sample degradation or lack of suitable plant tissue to conduct testing will be granted certification on the basis of the results of the summer field inspection.

(6) Disease Tolerances

(a) Foundation Seed Class

(i) Seed potatoes from which samples show 1/2% or less total virus diseases Leafroll (PLRV) and Mosaic (PVY) in the Post-Harvest Test, and no Potato Spindle Tuber Viroid, Bacterial Ring Rot, or Root Knot Nematode in Inspections will be designated as Foundation Seed Class providing they meet the other requirements of this class.

(ii) The disease tolerances for Foundation Seed in the Post-Harvest Test are:

D isease Tolerance

Leafroll (PLRV) 1/2%

Mosaic (PVY) 1/2%

Total Virus 1/2%

Potato Spindle Tuber Viroid* Zero Tolerance

Bacterial Ring Rot* Zero Tolerance

Root Knot Nematode* Zero Tolerance

(iii) Seed represented by the samples not meeting the tolerances listed in 2.F.(6)(a)(i) and (ii) above will be designated as Certified Class Seed providing it meets the tolerances and other requirements of this Class.

(iv) See also the Additional Requirements for Foundation Seed Class, Section 5.

(b) Certified Seed Class

Seed potatoes from which samples show 5% or less total of the virus diseases Leafroll (PLRV) and Mosaic (PVY) in the Post-Harvest Test, and no Potato Spindle Tuber Viroid or Bacterial Ring Rot in Field Inspections will be designated as Certified Seed Class providing they meet the other requirements of this class.

The disease tolerances for Certified Seed in the Post-Harvest Test are:

D isease Tolerance

Leafroll (PLRV) 5%

Mosaic (PVY) 5%

Total Virus 5%

Potato Spindle Tuber Viroid* Zero Tolerance

Bacterial Ring Rot* Zero Tolerance

Root Knot Nematode* Zero Tolerance

(7) Rejection from Maine Seed Potato Certification Program

(a) Seed potatoes represented by a sample in the Post-Harvest Test not passing the tolerances for the Certified Seed Class defined in this section will be rejected from certification and cannot be sold as seed.

(b) Samples having a Post-Harvest Test result of no greater than 9% can elect to have their sample retested.

(i) Any such request must be made in writing to the Commissioner within 10 business days of receipt of the grower’s Post-Harvest Test results.

(ii) Retesting will be conducted on the originally submitted PHT sample utilizing a different method of testing as the initial test (i.e. if initial test was conducted using ELISA method, the retest may be conducted by PCR method or other suitable molecular method).

(iii) All testing costs will be paid by the grower requesting the test.

(8) Averaging of Lots

(a) If two of more Post-Harvest Test samples are collected from the same lot of seed potatoes, Post-Harvest Test results from these samples will automatically be averaged unless the grower can demonstrate that the seed potatoes represented by those samples have been segregated in storage.

(b) Averaging of the Post-Harvest Test results of two or more samples which have been segregated in storage will be allowed at the discretion of the Inspector and under the following conditions:

(i) Lots of potatoes represented by Post-Harvest Test samples which have no more than a 0.5% difference in total virus readings require no blending to be averaged.

(ii) Lots of potatoes represented by Post-Harvest Test samples with a total virus reading greater than a 0.5% difference must be blended in order to be averaged.

(iii) Lots of potatoes represented by Post-Harvest Test samples with a total virus reading greater than 1% may not be averaged to meet Foundation tolerance.

(iv) Lots of potatoes represented by Post-Harvest Test samples with a total virus reading greater than 5% may not be averaged to meet Certified tolerance.

(c) If two or more lots are to be blended to meet Foundation tolerance, then amounts of each lot involved must be mixed proportionally, under the direction of the Seed Potato Inspector, to meet this tolerance.

(9) Shipments for Out of State Export for Commercial Planting

(a) Seed potatoes may be certified and shipped for out-of-state export, excluding the Post-Harvest Test results, based upon the tolerances allowed during the field inspections providing all other certification requirements are met according to Chapter 253: OFFICIAL SEED POTATO GRADE FOR MAINE CERTIFIED SEED POTATOES.

(i) See also the Packing Requirements (4.A.(3)) for out-of-state export shipments.

G. Other Seed Potato Production Requirements

(1) Sprout Inhibitor

Any field or seed in storage treated or partially treated with any sprout inhibitor applied to the growing crop or seed while in storage, shall be rejected from the Maine Seed Potato Certification Program and cannot be sold as seed potatoes.

(2) Other Diseases and Pests

Any disease or pest not covered by these rules that might adversely affect the Maine potato industry or Maine agriculture in the judgment of the Commissioner will be cause for potatoes to be rejected or withdrawn from certification, provided that action by the Commissioner shall become final after opportunity for a hearing is afforded the grower(s).

(3) Special Conditions

Any condition such as foliage diseases, excess weed, hail injury, foreign plants, chemical damage, insect damage or soil conditions that interfere with proper inspection may be cause for rejection from certification.

H. Waivers and Special Certifications

(1) General Waiver

(a) The Commissioner may, upon application of one or more growers and for good cause, temporarily waive any of the requirements for the field year designation and/or Post-Harvest Testing, provided that seed potato quality in Maine is not thereby jeopardized.

(b) Any such waiver may be granted only upon written application of the grower(s) involved, providing the following information:

(i) The specific request including the amount, variety, generation, Post-Harvest Test results, and other specific information.

(ii) Documentation must be provided by the person requesting the waiver of the quantity and availability of seed of the variety, both in-state and in other states and provinces.

(iii) The disease content of the available seed, both in-state and in other states and provinces.

(iv) The economic impact on the industry through loss of contracts, established markets, and other relevant information if the waiver is not granted.

(v) Possible impacts of the waiver on the seed industry.

(c) If the Commissioner grants such waiver, the grower(s) shall comply with the terms and conditions required by the Commissioner.

(d) The Commissioner shall give public notice in a newspaper of general circulation in the area where the potatoes are to be grown and in such other publications or forms as the Commissioner finds appropriate of all requests for waivers under this section and shall provide a minimum of five days for interested persons to comment. Any person making request to receive copies of all such notices shall be provided with them.

(e) Prior to granting any waiver the Commissioner must review all waiver requests with the Maine Potato Board’s Seed Executive Council. The Commissioner must provide all the information on each wavier to the Council prior to the review. The Seed Executive Council shall make recommendations to the Commissioner regarding if the waiver should be granted and any conditions that should be applied to the waiver. If the Commissioner’s decision on waivers is different than the recommendation of the Seed Executive Council, the Commissioner will provide the Seed Council with an explanation as to why the recommendations were not followed.

(2) Certification of Grower Seed Plot

(a) Growers may seek certification for seed potatoes grown by them exclusively for their own use and not for sale. Such certification may be allowed regardless of the field year, provided all other requirements are met for certification.

(b) In order to qualify for “Grower’s Own Seed” lot, a grower must produce tablestock and/or processing potatoes in the farming operation.

(c) The seed produced from the seed plots will be designated as “Grower’s Own” providing it meets the requirements of the Certified Seed Class.

(d) The seed plot used to produce “Grower’s Own” must be entered into the Maine Seed Potato Certification Program and pass all of the requirements for the Certified Seed Class.

(e) Seed potatoes classified as “Grower’s Own” cannot be sold as seed.

(f) Seed lots not meeting all requirements of this section will not qualify for the “Grower’s Own” designation.

(g) All potatoes used as seed on any farm in Maine must qualify as “Grower’s Own” under this section or otherwise be certified or authorized under this Chapter. Potatoes not so certified or authorized do not meet the minimum standards for planting under 7 M.R.S. §951-A.

(3) Certification of Experimental Varieties and Seedlings

(a) The Commissioner may allow for certification of Experimental new varieties or seedlings which are produced or imported by Maine growers for the purpose of testing their adaptability for commercial use in the state and which are not available from an authorized Nuclear Seed Origination Source and not currently commercially produced in the state.

(b) Varieties or seedlings shall be deemed to be commercially produced when a total of one hundred acres or more have been certified in the State in the current or in any previous year.

(c) Any person seeking such certification shall apply to the Commissioner in writing and shall provide such information and comply with the terms and conditions as the Commissioner may require, including meeting all pertinent requirements of the Maine Seed Potato Certification Program.

(d) Varieties or seedlings accepted for certification as Experimental will be designated Experimental in the Maine Seed Potato Certification Program.

(e) Production from a Research and/or Experimental facility cannot be sold as seed. Seed produced at these facilities can be used for evaluation and commercial trials if part of a breeding or program but, not entered for recertification. Each facility that ships seed for evaluation and or commercial trials must file a report with the Commissioner by July 1^st of each year on the volume, variety and location of all shipments of seed.

3. STORAGE REQUIREMENTS

A. Storage Sanitation

(1) Disinfection and Disease Control

(a) Bins, handling equipment and all the immediate surroundings in which Certified or Foundation Seed Classes are to be stored or handled shall be cleaned and disinfected before the potatoes are brought into storage or are handled.

(b) No class of certified seed can be stored in a storage with potato lots known to be infected with the Bacterial Ring Rot disease or pathogen. Any seed potatoes placed in a storage with potato lots known to be infected with the Bacterial Ring Rot disease or pathogen will immediately lose their certification status.

B. Records and Bin Identification

(1) Required Procedures

(a) Accurate records of amounts of certified seed potatoes harvested must be kept by the grower.

(b) Seed potatoes of different field years, classes or varieties must be kept in separate storage bins.

(c) Bins containing seed potatoes shall be separated from each other and easily identified to enable Inspectors to locate all certified seed potatoes stored in bins and to post bin cards.

(d) Bin cards identifying the seed potatoes must be completed and posted by the Seed Potato Inspector upon examining the seed potatoes in the storage bins.

(e) Bin cards must show the amount of seed potatoes stored in each bin, field certification number, and the Post-Harvest Test sample number which represents the potatoes in the storage bin.

C. Sprout Inhibitors on Tablestock/Processing Potatoes in Storages Containing Seed Potatoes

(1) Sprout Inhibitors Applied as a Gas

(a) All seed potatoes in a storage treated with any gaseous applied sprout inhibitor will be rejected from the Maine Seed Potato Certification Program.

(2) Sprout Inhibitors Applied as a Liquid

(a) Sprout inhibitors may be applied as a liquid to tablestock/processing potatoes in the same storage as seed potatoes providing the application is approved by an Inspector and is in accordance with this section.

(b) Liquid sprout inhibitors applied at time of shipment must be applied at a rate not to exceed the rate that is recommended by the manufacturer.

(c) Liquid sprout inhibitors may be applied on the packing line by a contact applicator.

(d) Liquid sprout inhibitors may be applied on the packing line as a spray providing the spray is hooded and exhausted, and further providing this spray is applied in an area and in a manner, such that stored seed potatoes cannot be contaminated.

(e) All seed potatoes in a storage where sprout inhibitor has not been applied according to the specifications described in this section will be rejected from the Maine Seed Potato Certification Program.

4. PACKING REQUIREMENTS

A. Tolerances and Tagging

(1) Grade of Seed Potatoes

(a) All Certified or Foundation Seed Class seed potatoes must be packed to meet the official seed potato grade as defined in Department Rule, Chapter 253 - Official Seed Potato Grade for Maine Certified Seed Potatoes .

(b) All seed potatoes not meeting the Maine Seed Potato Grade will not be issued a Shipping Inspection Tag and cannot be sold as seed.

(2) Size of Seed Potatoes

(a) Sizes and identification of seed potatoes in the Certified Seed Class shall be as follows:

Size Identification on Tag

1” - 3 1/4” Blue tag + Grade + Size + + Variety Name + the word “Certified”

B 1 ½” - 2” Blue tag + Grade + Size + + Variety Name + the word “Certified”

(b) Sizes and identification of seed potatoes in the Foundation Seed Class shall be as follows:

Size Identification on Tag

1” - 3 1/4” Blue tag+ Grade + Size + Grower Name + Variety Name + the word “Foundation”

B 1 ½” - 2” Blue tag+ Grade + Size + Grower Name + Variety Name + the word “Foundation”

(c) There are no restrictions on size and shape requirements for fingerling seed potatoes.

(3) Shipments for Out of State Export for Commercial Plantings

(a) Seed potatoes may be certified and shipped for out-of-state export, excluding the Post-Harvest Test results, based upon the tolerances allowed during the field inspections providing all other certification requirements are met according to Chapter 253: OFFICIAL SEED POTATO GRADE FOR MAINE CERTIFIED SEED POTATOES.

(b) Shipments of certified seed potatoes for out of state export prior to availability of Post-Harvest Test results must be inspected by an Inspector at shipping point.

(c) The shipment shall be tagged by an Inspector with a blue shipping tag stating the grade, size, variety, grower name of the shipper and the word “Certified”, except that the words “Field Foundation” may be used if the maximum disease tolerances established for the Foundation Seed Class in the Post-Harvest Test are not exceeded during field inspection and all other requirements of the Foundation Seed Class are met.

(4) Special Permits

(a) Special permits to ship Maine Certified and/or Foundation Class seed potatoes not conforming to the packing requirements in this section may be granted by the Department upon oral or written application by the shipper, stating the justification for the request, variety, grade, field year, approximate quantity to be shipped, receiver, and time and destination of the proposed shipment.

(b) The Department shall verify that the receiver has been notified of the cause of the special permit and has agreed to accept the seed potatoes as shipped.

(c) Any shipments made under such a permit must be inspected by an Inspector and identified and tagged as seed as prescribed by the Department.

(d) Any shipments made under such a permit must meet the requirements in the Maine Seed Potato Grade for foreign material, decay, freezing or soft breakdown (see also Department Rule, Chapter 253, Official Seed Potato Grade for Maine Certified Seed Potatoes ).

(e) Any shipment made under such a permit must in all respects other than as authorized under the terms of the special permit, meet all other requirements of the Maine Seed Potato Certification Program.

(f) Special permit shipments shall be tagged with a red shipping tag stating grower name, grade, size and variety. Bulk Certificates will be marked “Special Permit” and shall detail the reason.

(g) The shipper receiving such a special permit shall comply with such terms and conditions as the Department deems appropriate in issuing the special permit.

(5) Bulk Shipments

(a) Bulk shipment of Certified and Foundation Class seed potatoes is permitted, provided such shipments are identified by a bulk certificate issued by a Seed Potato Inspector.

(b) The Bulk Certificate must state the variety, size, grade, certification number and field year of potatoes in the load.

The Bulk Certificate must be attached to and may be used to identify the lot only as long as it is in the original conveyance as identified on the certificate.

(6) Other Requirements

(a) Other requirements for packing seed potatoes are specified in Department Rule, Chapter 253 - Official Seed Potato Grade for Maine Certified Seed Potatoes .

B. Records and Facility Requirements

(1) Required Procedures

(a) Any person, firm or corporation engaged in grading, sizing or packing Maine certified seed potatoes which have been bought or otherwise obtained from others for proposed sale shall be considered a seed packer.

(b) Any seed packer must notify the area Seed Potato Inspector for prior approval before receiving any seed potatoes.

(c) Approval will be granted only to those seed packers who demonstrate compliance with the following requirements, which shall be adhered to at all times during packing operations:

(i) Either separate grading and handling equipment shall be used for seed or grading and handling equipment must be thoroughly washed and completely disinfected and meet the approval of the Inspector before handling seed.

(ii) Complete and accurate records must be kept showing the grower, variety and amount of potatoes received by each seed packer.

(iii) Seed potato records shall be kept and made available to an Inspector or other representative of the Department upon request.

(iv) If certified seed potatoes from different growers are mixed in a packing operation, the certification tag will be stamped with the seed packer’s name or the name of the packing operation.

(v) If large lots from individual growers are handled and kept separate, the grower’s shipping tag may be used.

(d) Sanitary and handling procedures, including cleaning and disinfecting of equipment and the shipping and handling methods used to ensure against varietal mixture and other contamination, must be provided by the packer and approved by the Seed Potato Inspector.

(e) Whenever a Seed Potato Inspector determines that any seed packer is not complying with the requirements stated above, the seed potatoes will be rejected from the Maine Seed Potato Certification Program.

C. Truck Sanitation

(1) Sanitation Requirement

(a) All trailer trucks into which Certified or Foundation Class Seed is to be loaded must be cleaned and disinfected before loading.

(b) If an Inspector observes Certified or Foundation Class Seed being packed into a trailer truck which is not cleaned and disinfected thoroughly, the Inspector will not issue tags or bulk certificates for that load.

5. ADDITIONAL REQUIREMENTS FOR FOUNDATION SEED CLASS

A. Total Farm Entered

(1) Entry Requirements and Procedures if Fields are Rejected

(a) All potato fields planted on a farm or farming operation using the same production equipment must be entered into the Maine Seed Potato Certification Program in order for any seed potatoes produced on such farm or operation to be eligible for the Foundation Seed Class.

(b) Fields rejected during first or second field inspections must be inspected by the Department before harvest and found free from Bacterial Ring Rot in order to allow any of the remaining fields on the same farm or farming operation using the same production equipment to be eligible for Foundation Seed Class.

B. Bacterial Ring Rot

(1) Penalties if the Bacterial Ring Rot Pathogen is Found on a Foundation Class Farming Operation

(a) All seed potatoes produced on a farm or farming operation using the same production equipment are ineligible as Foundation Seed Class if the Bacterial Ring Rot pathogen is confirmed in any field or laboratory sample submitted from the farm or farming operation.

(b) Crop handling equipment may be used in more than one farming operation, provided that the machinery is thoroughly washed and disinfected between farming operations under the direction of a Seed Potato Inspector.

(c) If the Bacterial Ring Rot pathogen is confirmed in a production unit involved in a separate farming operation, all seed potatoes produced in the other production unit(s) are ineligible as Foundation Seed Class.

C. Spindle Tuber

(1) Penalties if Spindle Tuber is Found on a Foundation Class Farming Operation

(a) Any seed potato lot in which Potato Spindle Tuber Viroid has been detected cannot be sold as seed.

(b) Any seed potato lot represented by a Post-Harvest Test sample in which Potato Spindle Tuber Viroid has been detected cannot be sold as seed.

D. Freedom from Volunteers

Fields planted with Field Year 1, 2 and 3 Seed must be free of volunteer plants to be eligible for Foundation Seed Class.

E. Storage Requirements

Foundation Seed Class potatoes must be stored and handled in a seed potato storage facility where all potatoes have been inspected and found free from Bacterial Ring Rot during the growing season.

F. Packing and Shipping Requirements

Any sanitary practices which the Inspector deems necessary during sizing or packing to avoid disease and contamination must be followed.

G. Recommended Production Practices

(1) Blank Row Recommendation

(a) All plots planted with different varieties of Field Year 1, 2 or 3 Seed should be separated from other potatoes and from each other by at least one blank row.

(2) Production Recommendations

(a) All acreage planted with Nuclear and Field Year 1, 2 or 3 Seed should be planted and harvested before other potato fields.

(b) Tuber-Unit Planting is recommended when planting Nuclear or Field Year 1 Seed to ensure that rogueing can be completed effectively.

(c) All cultural operations and spraying should be completed in plots planted with Nuclear or Field Year 1, 2 or 3 Seed before working in other fields to minimize spread of latent Mosaic.

(d) Weeds, diseases and insects should be controlled using approved herbicides, fungicides and insecticides as recommended by the manufacturer as well as using them safely, effectively and timely.

(e) The grower must notify his/her Inspector when herbicides or insecticides are applied to his/her seed potatoes.

6. DISEASES

A. Bacterial Ring Rot

(1) Testing Requirements for the Bacterial Ring Rot Pathogen

(a) Potato plants and/or tubers must be submitted to the Department’s USDA-APHIS approved laboratory for testing:

(i) if suspected by the Inspector as being infected with the Bacterial Ring Rot pathogen;

(ii) if required to meet the phytosanitary regulations of other countries; or

(iii) if otherwise required to meet the provisions of this Chapter.

(b) The requirements of this Chapter also apply to seed potato samples voluntarily submitted for testing in the Department’s USDA-APHIS approved laboratory.

(c) The Department’s USDA-APHIS approved laboratory will test all samples submitted for Bacterial Ring Rot testing, except as provided in 6.A.(1)j.

(d) The grower or his/her representative shall be notified by the Inspector, if possible, prior to removal of a suspect plant and/or tuber from the grower’s property.

(e) In the event that a suspect plant or plant part is observed on a grower’s property, no certification will be issued until the required laboratory test results indicate the sample is apparently free from the Bacterial Ring Rot pathogen.

(f) The following laboratory tests are acceptable for use when testing samples for the Bacterial Ring Rot pathogen: Enzyme Linked Immunosorbant Assay, Latex Agglutination, Gram Stain, Immunofluorescent Antibody Staining, Polymerase Chain Reaction.

(g) Plants and/or tubers which exhibit visual symptoms of the Bacterial Ring Rot pathogen will be declared positive upon confirmation of two laboratory tests, at least one of which is serological (examples: Enzyme Linked Immunusorbant Assay, Latex Agglutination, Immunofluorescent Antibody Staining).

(h) All potato tuber samples submitted for laboratory testing to meet phytosanitary requirements of other countries or to meet the requirements of this Chapter must be collected in the presence and under the supervision of a Seed Potato Inspector or other Department official. All other samples will not be considered to be official and will not be eligible to meet the phytosanitary requirements of other countries or to meet the requirements of this Chapter.

(i) The Department’s USDA-APHIS approved laboratory will utilize the following protocol to determine the presence of the Bacterial Ring Rot pathogen, in the event that plants and/or tubers which do not exhibit visible symptoms of this pathogen, test positive through the use of any of the laboratory tests specified in 6.A.(1)(f):

(i) The grower or his/her representatives will be notified by the Department that the seed lot in question cannot be sold as seed or entered into the Maine Seed Potato Certification Program until additional confirmatory tests are completed.

(ii) The Department’s USDA-APHIS approved laboratory will test the sample using at least two additional laboratory tests from the list noted in 6.A.(1)(f). These tests must be different from the initial test conducted in 6.A.(1)(i).

(iii) If both of these tests are negative for the Bacterial Ring Rot pathogen, the lot is allowed to remain in the Maine Seed Potato Certification Program.

(j) The grower or his/her representative may request that a seed lot submitted for testing for the Bacterial Ring Rot pathogen to meet the phytosanitary regulations of other countries be tested in a laboratory other than the Department’s USDA-APHIS approved laboratory. Such other laboratory must follow the Bacterial Ring Rot testing protocol established in this section. The grower must submit the sample to the laboratory, at his/her expense, and he/she and the Department must directly receive the results of the laboratory evaluation.

(i) In the event that the laboratory results are positive for the Bacterial Ring Rot pathogen, the lot will be rejected from the Maine Seed Potato Certification Program and cannot be sold as seed. Additionally, the requirements contained in 6.A.(2) and 6.A.(3) of this Chapter must be met.

(ii) In the event that the laboratory results are negative for the Bacterial Ring Rot pathogen, and the Department has reason to believe that the seed lot is infected with this pathogen, the Department may have the seed lot tested, according to the protocol established in this Section, to ensure its freedom from the Bacterial Ring Rot pathogen. In the event that a USDA-APHIS approved laboratory Results are positive for the Bacterial Ring Rot pathogen, the lot will be rejected from the Maine Seed Potato Certification Program and cannot be sold as seed. Additionally, the requirements contained in 6.A.(2) and 6.A.(3) of this Chapter must be met.

(k) The grower or his/her representative and the Department shall be notified of the results of the laboratory tests within a reasonable time after they become available.

(l) Final notification of the Department’s decision will be sent to the grower or his/her representative in writing. A final decision by the Department to deny certification will be accompanied by a statement of the appeal rights of the grower.

(m) All testing costs will be borne by the grower or his/her representative.

(2) Requirements when the Bacterial Ring Rot Disease or Pathogen is Found

(a) The lot in which the Bacterial Ring Rot disease or pathogen is found in accordance with these regulations shall be rejected from the Maine Seed Potato Certification Program and cannot be sold as seed.

(b) All other seed potato lots that otherwise pass the requirements of the Maine Seed Potato Certification Program, that were produced on a farming operation on which the Bacterial Ring Rot disease or pathogen has been found in accordance with these regulations:

(i) will automatically be designated as Certified Class seed;

(ii) will have a # symbol printed after each such lot in the Seed Potato Certification Program Seed Directory;

(iii) cannot be sold as seed or be planted as seed subject to the following exceptions;

Lots which are tested according to the protocol established in 6.A.(1) of this Chapter at a level of 400 tubers per each 40 acres of production and found free of the Bacterial Ring Rot pathogen can be sold or planted by the grower as seed but cannot be entered in the Maine Seed Potato Certification Program.

2. Lots which are tested according to the protocol established in 6.A.(1) of this Chapter at a level of 400 tubers for each 15 acres of production and found free of the Bacterial Ring Rot pathogen can be entered into the Maine Seed Potato Certification Program. The progeny of such lots must also be tested according to the protocol established in 6.A.(1) of this Chapter and found free of the Bacterial Ring Rot pathogen prior to sale or use by the grower as seed. Testing must be conducted at a level of 400 tubers per 15 acres of production if the progeny of such lots is to be sold as Foundation Class Seed, or 400 tubers per 40 acres of production if the progeny is to be sold as Certified Class Seed.

(iv) will drop to Field Year 4 if designated lower than Field Year 4, if such lots are sold as seed the year that the Bacterial Ring Rot pathogen is found.

(c) Fields from which potatoes infected with the Bacterial Ring Rot pathogen were harvested cannot be used to produce Certified or Foundation Class seed for one year following discovery of the pathogen.

(d) Crop handling equipment may be used in separate farming operations, provided that the machinery is thoroughly washed, and completely disinfected under the direction of a Seed Potato Inspector, between farming operations.

(e) If the Bacterial Ring Rot disease or pathogen is found in a production unit involved in a separate farming operation, all seed potatoes produced in the other production unit(s) are ineligible as Foundation Seed Class.

(3) Additional Requirements If the Bacterial Ring Rot Disease or Pathogen is Found During Packing and Handling

(a) If Bacterial Ring Rot is found in seed potatoes of the Certified or Foundation Seed Class during a packing operation, certification of potatoes from the same bin, and potatoes grown from the same seed source in other bins, will be rejected from the Maine Seed Potato Certification Program and cannot be sold as seed.

(b) If Bacterial Ring Rot is found in seed potatoes during the packing operation, certification of all other potatoes stored on the farm or any operation using the same equipment will be rejected from the Foundation Seed Class and re-designated into the Certified Seed Class.

(c) Packing of seed potatoes of the Certified Seed Class from remaining bins in the storage or packing house in which Bacterial Ring Rot has been found will not be permitted until the affected seed lot is segregated or “binned up” so as to be inaccessible when seed potatoes from other bins are being graded, stored or packed.

(d) After Bacterial Ring Rot has been found, Shipping Inspection Tags will not be issued until the entire storage or packing house work area and potato grading and handling equipment has been cleaned and disinfected by the shipper and meets the approval of the Seed Potato Inspector.

(e) All seed potatoes in the storage or packing house in which Bacterial Ring Rot has been found must be inspected for grade by a Seed Potato Inspector prior to shipment.

B. Potato Spindle Tuber Viroid

(1) Potato Spindle Tuber Viroid Identification

(a) Potato plants and/or tubers which are entered into the Maine Seed Potato Certification Program and which the Inspector suspects of being infected with Potato Spindle Tuber Viroid shall be submitted to the Department’s USDA-APHIS approved laboratory for testing.

(b) The grower or his/her representative shall be notified by the Inspector, if possible, prior to removal of the suspect plant and/or tuber from the grower’s property.

(c) The samples shall be analyzed by generally accepted laboratory procedures for the detection of Potato Spindle Tuber Viroid.

(d) The grower or his/her representative and the Department shall be notified of the results of the laboratory test as they become available.

(2) Discovery During Field Inspection or Post-Harvest Test

Seed potatoes in which Potato Spindle Tuber Viroid has been detected during field inspection or Post-Harvest Test cannot be sold as seed.

C. Symptomless Disease Carriers

(1) Designation

The Commissioner may, with input from the industry, designate, based upon experimental evidence, a list of potato varieties or seedlings which do not consistently express visual symptoms of diseases regulated by the Maine Seed Potato Certification Program.

(2) Disease Testing Requirement

(a) The Commissioner may require that samples of any of these varieties be laboratory tested if there is reason to suspect that such variety(ies) contains disease levels exceeding the tolerances specified in this Chapter. The appropriate plant or plant parts will be tested by the Department’s USDA-APHIS approved laboratory to determine the level of disease(s) in the seed lot.

(b) The number of samples to be taken will be statistically determined to adequately assess the disease content of the seed lot.

(c) Samples for laboratory testing may be collected during field inspection or in the Post-Harvest Test.

(3) Penalty if Disease Tolerances are Exceeded

If the appropriate disease tolerances cited in this Chapter are exceeded during laboratory testing, then the seed lot shall be rejected from the Maine Seed Potato Certification Program.

D. Other Regulated Diseases

Potato Mop Top Virus and Tobacco Rattle Virus

Potato Mop Top Virus and Tobacco Rattle Virus will be regulated according to the Canada/US – Management Plan for Potato Viruses that Cause Tuber Necrosis , dated October 25, 2004, adopted by the United States Department of Agriculture’s Animal and Plant Health Inspection Service and the Canadian Food Inspection Agency. This plan is incorporated in these rules by reference. See document at: https://www.aphis.usda.gov/plant_health/plant_pest_info/potato/downloads/pvy/NecroticVirusManagementPlan.pdf .

E. Suggested Grower Practices for Disease Control

(1) Equipment and Storage Disinfection

(a) All equipment and storages should be cleaned and disinfected in accordance with appropriate industry standards each year prior to use.

(b) Disinfectants should be available at all seed storages and no one should be allowed entry into the storage without first disinfecting their footwear.

(c) Equipment from seed farms which is used on other farming operations should be thoroughly cleaned and disinfected prior to being used on the seed farm.

(2) If Bacterial Ring Rot is Discovered

(a) Any field of potatoes in which Bacterial Ring Rot was found should be treated with a sprout inhibitor providing the treatment can be applied at the proper stage of growth to effectively control sprouting.

(b) Any field in which Bacterial Ring Rot was found should not be planted to potatoes for the next two consecutive years and should be treated with a sprout inhibitor or effective herbicide the year following detection of Bacterial Ring Rot to control volunteers.

(c) For the next two years after the detection of Bacterial Ring Rot the farming operation should:

(i) thoroughly clean and disinfect, under the supervision of a Seed Potato Inspector, all machinery, storages and equipment used in the production of seed potatoes.

(ii) dispose of all seed potatoes produced on that farming operation and acquire and plant new lots of seed of the Foundation Seed Class.

(iii) laboratory test 400 tubers of each variety, field year and source of seed produced on the farming operation before such seed can be sold. The cost of this test will be charged to the grower.

7. REJECTION FROM MAINE SEED POTATO CERTIFICATION PROGRAM

A. Reasons and Effects

(1) Reasons

Except as otherwise provided herein, potatoes that do not meet all of the requirements of this Chapter shall fail certification and be rejected from the Maine Seed Potato Certification Program.

(2) Effects

(a) Potatoes failing certification and therefore rejected from the Maine Seed Potato Certification Program cannot be sold as seed. Further, seed potatoes, except as otherwise specifically authorized by this Chapter, cannot be used as seed.

(b) Except as otherwise provided in this Chapter, future field years of any seed potatoes which fail certification requirements, or are not properly certified or certifiable, are ineligible for certification.

8. FEE SCHEDULE

A. Field Inspection

Fee

(a) The fee for field inspections is established in conjunction with the Maine Potato Board’s Seed Executive Council.

(b) Full payment of the entry fee for the Maine Seed Potato Certification program is required with the application form.

(2) Services Provided

(a) Two field inspections during the growing season timed approximately one month apart.

(b) One or more field inspections for Bacterial Ring Rot after second inspection and before completion of harvest.

(c) One or more field inspections for Bacterial Ring Rot may be made during harvest.

(d) One or more field inspections for Bacterial Ring Rot only on fields not otherwise entered for certification or on fields rejected because of virus if requested by the grower.

B. Post-Harvest Testing

(1) Fee

(a) The fee for Post-Harvest Testing seed samples is established in conjunction with the Maine Potato Board’s Seed Executive Council.

(b) The fee schedule will be found on the application form and cover letter.

C. Shipping Inspections

Fee

(a) The fee for inspection of seed potatoes during the shipment season is established in conjunction with the Maine Potato Board’s Seed Executive Council.

(b) The State of Maine shipping tag shall not be replicated in any shape, working or color.

(2) Services Provided

(a) Inspection of facilities to ensure compliance with the rules governing the Maine Seed Potato Certification Program.

(b) Inspection of seed potatoes during packing and shipping.

(c) Issuing of the proper Shipping Inspection Tags to identify the potatoes’ grade, size, class, grower’s name, field years (on bulk certificates) and variety name and ensure compliance of the rules governing the Maine Seed Potato Certification Program.

D. Timely Payment

(1) Payment of fees for services provided is due within thirty (30) days of receipt of the services.

(2) If payment is not received within thirty (30) days, the Department reserves the right to withhold further service until the delinquent account is paid. The Department also reserves the right to require advance cash payment for subsequent service to producers who maintain delinquent accounts.

(3) A late charge of ten (10) percent, plus interest of eight (8) percent per annum will be assessed on accounts that are more than thirty (30) days overdue.

APPENDIX I. Laboratory procedures at an authorized Nuclear Seed Origination Source

involved in producing Nuclear Seed¹

In the Laboratory & Greenhouse

Disease Testing Tubers

a. Sprout tubers & remove apical tip

b. Plant remainder in greenhouse

c. Disease Test² and discard

d. Transfer tip to test tube culture medium and grow plantlet

e. Section plantlets into separate nodes,

f. Disease Test² one node

Produce plantlets

Transplant plantlets to greenhouse.

Harden plants off and Disease Test²

Grow to produce minitubers

Planted in soil (First Year) (See Section 2.B.)

Plant minitubers in field (Disease Test²)

2. Transplant plantlets into field (Disease Test²)

¹ Other methods of Pre-nuclear Seed production are acceptable. (See 2.C.2.)

² Laboratory test means testing for the Bacterial Ring Rot, Blackleg, PLRV, PVA, PVS, PVX, PVY, PVY-N, Potato Mop Top

Virus, and PSTV pathogens.

History

• STATUTORY AUTHORITY: 7 M.R.S. Chapter 401, §§ 2101-2105; 7 M.R.S. Chapter 1 §12; and 7 M.R.S. Chapter 411 §2352
• EFFECTIVE DATE: November 1, 1976 (filed October 16, 1978)
• AMENDED: March 7, 1978 (filed October 16, 1973)
• AMENDED: March 3, 1980
• AMENDED: August 19, 1980
• AMENDED: March 15, 1981- Section 6 (EMERGENCY)
• AMENDED: July 30, 1981
• AMENDED: June 17, 1983 -added Section 20
• AMENDED: May 21, 1984
• AMENDED: September 23, 1985
• AMENDED: September 1, 1986
• AMENDED: June 7, 1987
• AMENDED: January 26, 1989 (EMERGENCY)
• AMENDED: April 31, 1991
• AMENDED: June 11, 1993
• AMENDED: March 11, 1993 (EMERGENCY)
• AMENDED: June 25, 1994
• AMENDED: April 21, 1995 (EMERGENCY)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: July 16, 1997 - Section IX (A)
• AMENDED: April 10, 1998 (EMERGENCY - expires July 9, 1998).
• AMENDED: May 5, 1998
• AMENDED: September 22, 1998 - §II(E)(2)(a), §II(F)(6)(c)(1), §VI(B)(2)(a) - (EMERGENCY - expires December 21, 1998)
• AMENDED: May 25, 1999
• AMENDED: May 25, 2005 – filing 2005-181
• AMENDED: July 8, 2007 – filing 2007-237 (major substantive, final adoption)
• AMENDED: June 29, 2013 – filing 2013-124 (major substantive, final adoption)
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: May 29, 2016 – filing 2016-097
• AMENDED: September 2, 2018 – filing 2018-177
• AMENDED: August 29, 2021 – filing 2021-173

Chapter 253 Official Seed Potato Grade for Maine Certified Seed Potatoes

Code Me. R. 01-001 Ch. 253 Official Seed Potato Grade for Maine Certified Seed Potatoes {#sec-01-001-ch.-253 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 253}

Summary: This is the official description of the Maine Seed Potato Grade.

I. Inspections

All shipments of Maine Certified Seed Potatoes are required to be inspected by an authorized Maine Seed Potato Inspector at time of packing and must meet the requirements of the prescribed grade in order to be issued official tag or bulk shipping permits.

II. Maine Seed Potato Grade

The "Maine Seed Potato Grade" shall consist of unwashed potatoes identified as certified seed of one variety by the State of Maine which meet the following requirements as to quality and size:

A. Fairly well shaped

B. Free from:

1. Freezing injury

2. Blackheart

3. Late blight tuber rot

4. Nematode or tuber moth injury

5. Bacterial ring rot

6. Soft rot or wet breakdown

C. Free from serious damage caused by:

1. Hollow heart

2. Vascular ring discoloration

D. Free from damage by other causes (see Table I & II).

III. Size

A. Minimum diameter, unless otherwise specified, shall be not less than 1 1/2 inches.

B. Maximum size, unless otherwise specified, shall not exceed 3 1/4 inches in diameter or 12 oz. in weight.

IV. Tolerances

In order to allow for variations incident to proper grading and handling in the foregoing grade, the following tolerances, by weight, are provided:

A. For defects

1. 10 percent for potatoes in any lot which are seriously damaged by hollow heart.

2. 5 percent for potatoes in any lot which are seriously damaged by vascular ring discoloration.

3. 10 percent for potatoes which fail to meet the remaining requirements of the grade including, therein, not more than 5 percent for external defects and not more than 5 percent for internal defects: Provided, that, included in these tolerances not more than the following percentages shall be allowed for the defects listed:

Percent

a. Bacterial Ring Rot 0.00

b. Serious damage caused by dry or moist type Fusarium Tuber Rot 2.00

c. Late Blight Tuber Rot 1.00

d. Nematode or Tuber Moth Injury 0.00

e. Varietal Mixture 0.25

f. Frozen Soft Rot or Wet Breakdown 0.50

Provided, that en route or at destination an additional 0.50 percent or a total of 1 percent shall be allowed for potatoes which are frozen or affected by soft rot or wet breakdown.

B. For off-size

1. For undersize - Three percent for potatoes in any lot which fail to meet the required or specified minimum diameter except that 5 percent shall be allowed when the specified minimum diameter is 2 1/4 inches or more or 5 oz. or more minimum weight.

2. For oversize - Ten percent for potatoes in any lot which fail to meet the required or specified maximum size.

V. Application of Tolerances

Individual samples shall have not more than double the tolerances specified, except that at least one defective or offsize potato may be permitted in any sample: Provided, that en route or act destination one-tenth of the samples may contain three times the tolerances permitted for potatoes which are frozen or affected by soft rot or wet breakdown; and provided further, that the averages for the entire lot are within the tolerances specified for the grade.

VI. Samples for Grade and Size Determination

Individual samples shall consist of at least 20 pounds. The number of such individual samples drawn for grade and size determination will vary with the size of the lot.

VII. Definitions

A. Fairly well shaped

"Fairly well shaped" means that the potato is not materially pointed, dumbbell-shaped or otherwise materially deformed.

B. Nematode or Tuber Moth Injury

"Nematode or tuber Moth Injury" means the presence of or any evidence of Nematode or Tuber Moth.

C. Damage

"Damage" means any defect or any combination of defects specified in Tables I and II of this Chapter which materially detracts from the internal or external appearance of the potato, or any external or internal defect which cannot be removed without a loss of more than 5 percent of the total weight of the potato.

D. Serious Damage

"Serious damage" means any defect or any combination of defects specified in Table I and II of this Chapter which seriously detracts from the internal or external appearance of the potato, or any external or internal defect which cannot be removed without a loss of more than 10 percent of the total weight of the potato.

E. Freezing Injury

"Freezing injury" means that the potato is frozen or shows evidence of having been frozen.

F. Zero Tolerance

"Zero tolerance (0.00) means none found during the normal inspecting procedures. Certification of a lot is not a guarantee that the lot inspected is free of a zero tolerance disease or injury.

G. Shriveling

Damage by shriveling means that the individual potato is more than moderately shriveled, spongy or flabby.

H. Soft Rot or Wet Breakdown

"Soft rot or wet breakdown' means any soft, mushy, or leaky condition of the tissue.

I. External Defects

"External defects" are defects which can be detected externally. However, cutting may be required to determine the extent of the injury. See Table I.

J. Internal Defects

"Internal Defects" are defects which cannot be detected without cutting the potato. See Table II.

K. Permanent Defects

"Permanent defects" are defects which are not subject to change during storage or shipment.

L. "Condition defects" are defects which may develop or change during storage or shipment.

Table 1. External Defects

Defect

When Materially detracting from the appearance of potato

When removal causes a loss of more than 5 percent of the total weight of the potato

Air Carck

Bruises

Cuts or trimming

Enlarged Lenticels

Folded ends

External Discoloration

Surface cracking

Plea Beetle Injury

Dry rots

Rhizoctonia

Scab, pitted

Scab, russet

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

Scab, surface

When more than 5 percent of surface affected.

Second growth

Growth cracks

X

X

Wireworm or grass damage

Dirt

Insects or worms

Shriveling

Sprouts

Pressure bruises and sunken areas-with underlying flesh discolored.

When any hole in a potato 2 1/2 inches in diameter or 6 ounces in weight is more than 3/4-inch long, or when the aggregate length of all holes is more than 1 1/4 inches, or correspondingly shorter or longer holes in smaller or larger potatoes.

Dirt or other foreign matter is considered as causing damage when the individual potato is more than slightly dirty or slightly stained, or when more than a moderate amount of loose dirt or other foreign matter is present in the sample.

When present inside the potato.

When more than moderately shriveled, spongy or flabby.

When more than 10 percent of the potatoes in any lot have any sprout more than 1 inch in length.

................. When removal causes a loss of more than 10% of the total weight.

Table II. Internal Defects

Defect

Damage

Ingrown sprouts

Internal discoloration occurring interior to the vascular ring

When removal causes a loss of more than 5 percent of the total weight of the potato.

When more than the equivalent of three scattered light brown spots 1/8 inch in diameter in a potato 2 1/2 inches in diameter or 6 ounces in weight, or correspondingly lesser or greater number of spots in smaller or larger potatoes.

Defect

Serious Damage

Internal discoloration confined to the vascular ring

When removal causes a loss of more than 10 percent of the total weight of the potato.

History

• STATUTORY AUTHORITY: Title 7, (§ 2101-2105
• EFFECTIVE DATE: November 1, 1976 (Filed 10-16-78)
• AMENDED: May l, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 15, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 253 page 6

Chapter 255 Imported Seed Potatoes

Code Me. R. 01-001 Ch. 255 Imported Seed Potatoes {#sec-01-001-ch.-255 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 255}

1. DEFINITIONS

The terms used in this Chapter shall have the same meaning as those defined in CMR 01-001, Chapter 252.

2. IMPORT PERMIT REQUIRED

An import permit will be required on all imported seed potatoes planted or intended to be planted in Maine. Applications for an import permit can be obtained from the Division of Plant Industry, Maine Department of Agriculture, Conservation and Forestry. No import permit will be granted unless the Department determines that the seed potatoes to be imported meet all applicable standards for Maine certified seed potatoes.

3. ISSUANCE OF PERMIT REQUIRED

Upon approval of application by the Department, an import permit will be issued. Seven days prior to expected arrival date, the importer must notify the Division of Plant Industry's Inspector Supervisor at the Presque Isle office. The person to whom seed potatoes are being shipped shall be responsible for obtaining the proper permits.

4. PHYTOSANITARY CERTIFICATE ALSO REQUIRED

In addition to the import permit required by section 1, the incoming shipment shall be accompanied by a phytosanitary certificate issued by the exporting state or country affirming that:

A. Bacterial Ring Rot

1. The farm or farming operation on which the seed was produced has been free from bacterial ring rot (Corynebacterium sepedonicum or Clavibacter michiganense pv. sepedonicum) for the previous five 5) growing seasons.

2. The seed lot was found free of bacterial. ring rot during the current growing and packing season inspection.

B. The seed lot was produced in an area free of Golden Nematode (Globodera rostochiensis), the Columbia Root Knot Nematode (Meloidogyne chitwoodi) and potato wart (Synchytrium endobioticum).

5. TAGGING

All imported shipments of seed must be tagged as "Certified Seed Potatoes" or a similar designation indicating a higher quality. Certification must be done by a legal certifying agency in the State or country of origin. All shipments must be in new containers provided that in the case of bulk shipments, new trucks are not required where an inspector of the shipping state or country certifies that the truck has been satisfactorily cleaned and disinfected.

6. INSPECTION BEFORE DELIVERY

Any and all lots or shipments of imported seed potatoes must be held and not delivered until inspected by a member of Division of Plant Industry's Certified Seed Inspection Staff.

7. SAMPLE PLANTED AND OBSERVED

A sample taken at time of inspection of incoming seed will be planted and observed during the growing season for disease. content.

8. FORFEITURE

Any seed potatoes imported into the State of Maine in violation of this regulation shall immediately be sent out of the state or destroyed at the option and expense of the owners, his or their responsible agents and under the direction of the Commissioner of Agriculture, Conservation and Forestry.

9. FEE

In 2007, the fee for an import permit shall be $25.00 per application plus an additional $0.10 per hundred weight except the additional per hundred weight fee is not charged when the application is for minitubers or plantlets. In 2008 and subsequent years, the fee for an import permit shall be $25.00 per application plus an additional $0.20 per hundred weight except the additional per hundred weight fee is not charged when the application is for minitubers or plantlets.

10. VIOLATIONS

Any person who violates any of the provisions of this Chapter is subject to a civil penalty not to exceed $500.00.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 2101 - 2105; 7 M.R.S.A. Chapter 1, §12; and 7 M.R.S.A. Chapter 411, §2352
• EFFECTIVE DATE: November 28, 1981 (Ch. 254)
• AMENDED: February 24, 1982 (EMERGENCY)
• AMENDED: April 27, 1982 (repeal of Ch. 254 & Adoption of Ch. 255)
• AMENDED: May 1, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: July 8, 2007 – effective date of major substantive final adoption, filing 2007-238
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 255 page 3

Chapter 257 Rules Governing the Establishment and Operation of Seed Potato Production Areas

Code Me. R. 01-001 Ch. 257 Rules Governing the Establishment and Operation of Seed Potato Production Areas {#sec-01-001-ch.-257 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 257}

INTRODUCTION

1. AUTHORIZATION

A. Statutory Authorization and Scope

1. The Statutory Authority for establishing Seed Potato Production Areas in the State of Maine is found in 7 MRSA §§ 2101-2105.

2. This chapter defines the rules governing any Seed Potato Production Areas established in the State of Maine.

3. Seed Potato Production Areas established in the State must comply with all rules relating to Certification of Seed Potatoes including CMR 01-001, Chapter 252, 253, 255, 259 and 30.

2. DEFINITIONS

A. The Terms

1. The terms used in this rule are defined in CMR 01-001, Chapter 252.

3. APPLICATION

A. Procedure

1. Seed growers in any area who wish to apply for designation as a Seed Potato Production Area must apply to the Department in writing. All potato growers in such area or their agents, shall sign the letter of application.

2. Any seed grower who lives in an area which cannot qualify as a Seed Potato Production Area may apply to the Department in writing for recognition of compliance with all the rules in this chapter.

B. Decision

1. The Department shall designate an area as a Seed Potato Production Area if the applicants therefore satisfy the Department that they are in compliance, and will remain in compliance, with all the rules in this chapter.

2. If a seed grower who lives in an area which cannot qualify as a Seed Potato Production Area can satisfy the Department that he is in compliance, and will remain in compliance with all the rules in this chapter, the Department shall designate such seed grower(s) as having met all the requirements of a Seed Potato Production Area.

4. GEOGRAPHIC AREA

A. Isolation

1. Seed Potato Production Areas must be isolated from other areas with clearly defined boundaries that are outlined on a topographical map.

5. PRODUCTION PRACTICES IN THE SEED POTATO PRODUCTION AREA

A. Class of Seed

1. Seed growers within the Seed Potato Production Area shall plant seed potatoes of the Foundation Class having a generation designation of generation 4 or less as defined in the Rules Governing the Certification of Seed Potatoes in the State of Maine (CMR 01-001, Chapter 252). Seed growers will strive to plant only seed potatoes having a generation designation of generation 3 or less.

2. All tablestock and processing growers in the Seed Potato Production Area shall plant at a minimum seed potatoes of the Certified Class as defined in the Rules Governing the Certification of Seed Potatoes in the State of Maine (CMR 01-001, Chapter 252) which do not exceed 0.5% total virus in the PostHarvest test.

3. Seed growers within the Seed Potato Production Area shall ensure that a supply of seed potatoes of the Certified class which do not exceed 0.5% total virus in the Post-Harvest Test are available to homeowners for vegetable gardens of one half acre or less within the Seed Potato Production Area.

4. Seed potato growers within the Seed Potato Production Area must conform with all the requirements for the production of Foundation Class seed potatoes as defined in CMR 01-001, Chapter 252.

5. All potato growers within the Seed Potato Production Area shall submit copies of their reporting forms for Title 7 MRSA §951-A, "Minimum Standards for Potato Seed Planting', to the Division of Plant Industry in Presque Isle.

B. Disease Control

1. The Department of Agriculture, Conservation and Forestry will annually hold a Roguing School at the University of Maine's Aroostook Research Farm in Presque Isle which must be attended by all persons who will be hired to rogue seed potato fields within the Seed Potato Production Area.

2. Seed fields within the Seed Potato Production Area having a total virus reading of greater than 0.1% during the first seed inspection shall be rogued to the satisfaction of the Seed Inspector prior to the second inspection.

3. Seed growers within the Seed Potato Production Area shall utilize information provided by the Cooperative Extension Service's Integrated Pest Management program to monitor for insects and diseases and shall conduct a timely insect and disease control program to minimize the spread of these pests.

4. All varieties, generations and sources of seed shall be separated from each other by at least one blank row.

C. Bacterial Ring Rot

1. The boundaries of a field or fields within the Seed Potato Production Area will be defined by the inspector of the Maine Seed Potato Certification Program.

2. Any field of potatoes in which Bacterial Ring Rot was found must be treated with a sprout inhibitor providing the treatment can applied at the proper be stage of growth to effectively control sprouting.

3. Any field of potatoes in which Bacterial Ring Rot was found cannot be planted to potatoes for the next two consecutive years and shall be treated with a sprout inhibitor or effective herbicide the year following detection of Bacterial Ring Rot to control volunteers.

4. Seed growers within the Seed Potato Production Area shall be notified of the presence and location of Bacterial Ring Rot if found within the area.

5. In order to sell as seed any potatoes produced on a farming operation on which Bacterial Ring Rot was found, the farming operation must comply with the following requirements for the next two years of production:

a) thoroughly clean and disinfect, under the supervision of a seed inspector, all machinery, storages and equipment used in the production of seed potatoes.

b) dispose of all seed potatoes produced on that farming operation and acquire and plant new lots of seed of the Foundation class.

c) laboratory test 400 tubers for each variety, generation and source of seed produced on the farming operation before such seed can be sold.

6. Farming operations on which Bacterial Ring Rot was found shall not be eligible to purchase seed potatoes from the Maine Seed Potato Board for one year following detection of Bacterial Ring Rot.

7. All potato fields planted within the Seed Potato Production Area not entered into the Maine Seed Potato Certification Program must be inspected for Bacterial Ring Rot by a seed inspector.

8. The seed growers entered into the Maine Seed Potato Certification Program within the Seed Potato Production Area will incur the costs of the Bacterial Ring Rot inspection on fields of processing and tablestock producers who have not entered their crops into the certification program. The fees for such inspections will be sufficient to cover the cost of labor and other expenses incurred in conducting the inspection.

D. Equipment and Storage Disinfection

1. All equipment and storages within the Seed Potato Production Area shall be cleaned and disinfected in a manner approved by the inspector each year prior to use.

2. Disinfectants shall be available at all seed storages within the Seed Potato Production Area and no one will be allowed entry into the storage without first disinfecting their footwear.

3. Seed growers within the Seed Potato Production Area will make available to the inspector all equipment necessary to inspect the seed potatoes for compliance with CMR 01-001, Chapter 253, Official Seed Potato Grade for Maine Certified Seed Potatoes .

4. All seed potatoes shall be transported in new sacks or in equipment that has been thoroughly cleaned and disinfected and approved by an inspector.

5. Equipment from seed farms which is used on other farming operations must be thoroughly cleaned and disinfected prior to being used on the seed farm.

E. Imported Seed

1. Seed potatoes imported into the Seed Potato Production Area must have sufficient documentation for an inspector to establish that the seed potatoes were produced on a farm that has been free from Bacterial Ring Rot for three years preceding the year the potatoes were imported into the area and met all the requirements for the Foundation Seed Class.

2. A four hundred tuber sample of seed potatoes from seed lots imported from other states and countries onto seed farms in the Seed Potato Production Area shall be tested for Bacterial Ring Rot by either a laboratory or field test.

F. Vehicle Entry

1. Any vehicle and/or equipment used to handle or transport potatoes from the Seed Potato Production Area must be properly cleaned and disinfected to the satisfaction of the inspector prior to handling or transporting potatoes from the Seed Potato Production Area.

2. Any vehicle and/or equipment used to handle or transport potatoes that in the judgment of the inspector has not been cleaned or disinfected properly shall be removed from the Seed Potato Production Area immediately.

G. Rotation

1. The practice of planting seed potatoes in a field in which potatoes were grown the previous year is not recommended.

2. Seed potatoes may be planted for not more than two consecutive years on the same field.

3. Seed potatoes grown on the same field for two consecutive years shall be of the Foundation Class and shall follow Foundation Class Seed of the same variety.

H. Cull Potatoes

1. Cull potatoes produced in the Seed Potato Production Area shall be disposed of in such a manner that they will not germinate or pose a source of disease to the growers in the Seed Area.

2. Cull potatoes transported within the Seed Potato Production Area shall be covered to prevent spillage during transit.

I. Recommended Production Practices

1. Seed growers within the Seed Potato Production Area are encouraged to utilize a truck cleaning and disinfection station for all trucks entering the area. Such stations should be isolated from fields and storages in the Seed Potato Production Area.

2. Seed growers within the Seed Potato Production Area are encouraged to tuber unit plant their seed plot to aid in rouging diseases from such plots.

3. Seed growers within the Seed Potato Production Area are encouraged to provide a storage environment that maintains physiological vigor of seed.

4. Seed growers within the Seed Potato Production Area are encouraged to initiate vine-killing based upon a buildup in population of winged green peach aphids.

5. A laboratory test is recommended for Bacterial Ring Rot testing of seed lots imported into the Seed Potato Production Area.

6. ENFORCEMENT

A. Inspection

1. Seed Potato Inspectors with the Maine Department of Agriculture, Conservation and Forestry have the authority to inspect the production practices required within the Seed Potato Production Area and to recommend necessary changes to comply with these rules.

B. Penalties

1. Any person who violates any of these rules shall be subject to a civil penalty not exceeding $500 and shall be denied participation in the Seed Potato Production Area until such time as the farming operation is in compliance with these rules.

C. Withdrawal

1. If any area designated by the Department as a Seed Potato Production Area fails to comply with any of the rules in this chapter, the Department shall notify the landowners involved of that fact and shall withdraw the designation for that entire Area.

D. Periodic Reporting

1. Landowners within the Seed Potato Production Area shall make such periodic reports as the Department may require. Any change in ownership shall be promptly reported to the Department.

7. GENERAL WAIVER

1. The Commissioner may, upon application of one or more growers and for good cause, temporarily waive any of the requirements of this chapter provided that seed potato quality in the Seed Potato Production Area is not thereby jeopardized.

2. Any such waiver shall be granted only upon written application of the grower(s) involved, citing the reasons justifying such waiver and providing such other information as the Commissioner may require.

3. If the Commissioner grants such waiver, the grower(s) shall comply with the terms and conditions required by the Commissioner.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2103-B
• EFFECTIVE DATE: August 7, 1989
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 15, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 259 Minimum Standards for Planting Potatoes

Code Me. R. 01-001 Ch. 259 Minimum Standards for Planting Potatoes {#sec-01-001-ch.-259 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 259}

1. STATUTORY PROHIBITION

Title 7 M.R.S.A. §951-A provides that no potato seed, the product of which is intended for sale, may be planted in lots of one acre or more unless it meets the minimum disease standards of Maine certified seed as defined by the Commissioner of Agriculture, Conservation and Forestry. Section 951-A further provides that in the event of an insufficient volume of seed of any variety for planting, application to plant seed of a higher disease content may be made to the Commissioner. If approved by the Commissioner, this seed will qualify. The statute establishes a fine of $20.00 per acre or part acre planted in violation of these provisions.

2 RECORDS REQUIRED

Evidence of certified seed shall be certification records of seed producer, bin location and evidence of sale to person planting. Seed plots grown by a producer to provide seed for his/her own operation not inspected during the growing season but tested in the Florida Test and showing less than 5% total virus and no evidence of Ring Rot shall be eligible under this regulation. In addition, each grower shall keep records by variety and by field of seed source during each growing season and report planting records on such forms as may be provided by the Commissioner.

3. IMPORTED SEED AUTHORIZED

Out-of-state seed imported and meeting state and importing standards will qualify.

History

• STATUTORY AUTHORITY: Title 7 M.R.S.A. §§ 951-A; 12
• EFFECTIVE DATE: November 28, 1981
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 15, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 259 page 1

Chapter 261 Field Seed Certification

Code Me. R. 01-001 Ch. 261 Field Seed Certification {#sec-01-001-ch.-261 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 261}

SUMMARY: Regulations governing production, certification, testing, storing and preparation for sale of field seed.

1. General Provisions

A. The Division of Plant Industry is the designated official seed certifying agency in certifying the varietal purity, quality, vitality and disease-freedom of seeds of field crops in accordance with these rules and standards.

B. Classes of Seed

1. Breeder Seed - Seed recognized by the Division as being seed of a variety (cultivar) that has been produced by a recognized plant breeder or plant breeders responsible for the maintenance breeding of that variety under conditions which have insured that the specific characteristics of the variety have been maintained and which provides the source for the initial and recurring increases of seed of the Certified classes.

2. Foundation Seed - The approved progeny of Breeder or Foundation Seed produced by seed growers authorized by the Division for the production of seed of this class, and which has been so managed as to maintain its specific genetic identity and purity. The seed is graded by a Division seed grain inspector. Foundation is the highest class of seed of commerce.

3. Registered Seed - The approved progeny of Breeder or Foundation Seed so managed as to maintain satisfactory genetic identity and purity. The production is supervised and approved by the Division. The seed is graded by a Division seed grain inspector.

4. Certified Seed - the approved progeny of Breeder, Foundation, or Registered Seed so managed as to maintain satisfactory genetic identity and purity. The production is approved by the Division. This seed is graded by a Division seed grain inspector.

C. An application for inspection and certification shall be made to the certifying agency on or before June 1 of each year.

D. Varieties

1. The production of certified seed of more than 1 variety of a crop on the same farm shall be approved by the certifying agency.

2. Certified seed shall not be produced on land which grew any of the following plants the previous year:

a. An inseparable species having the same growing season, except when summer fallowing intervenes.

b. Plants of another variety of the same species.

c. Plants of the same variety unless such plants came from certified seed.

E. Detrimental conditions

1. A field containing more than an occasional weed which produces seed not readily separable from the crop seed, or weed growth that will impair seed quality, or prevent adequate field inspection is ineligible for certification. Field borders and weedy areas in the field shall require mowing before harvest if in the judgment of the inspector such action is necessary.

2. Crops submitted for certification shall be rogued of weeds, other varieties and other crop plants by the grower before field inspection.

3. Crops which show lack of vigor, lack of uniformity, evidence of inadequate cultural care, which are weedy or are subject to other conditions detrimental to production of high quality seed are ineligible for certification.

4. The seed of that portion of a crop to be field inspected which is less than 6 feet from an inseparable species, a variety of the same species, or the same variety grown from noncertified seed shall not be harvested for certification.

F. Field inspection

1. A field inspection shall be performed by the certifying agency when the identity of the variety, mixtures, weediness, disease infection, vigor and crop quality can best be determined.

2. Seed submitted for certification shall be harvested and handled in such a manner as to avoid mixtures and shall be stored and processed in a place and manner approved by the certifying agency.

3. Final certification by the official certifying agency shall be based upon inspection of a minimum representative sample of 5 pounds of cleaned seed. The submitted sample of cleaned seed shall be representative of the entire lot of seed to be offered for sale.

4. Analysis, examinations, and germination tests of seed shall be conducted in accordance with sections 2 to 4 of the rules of the Association of Official Seed Analysts effective July 1, 1965. These are available from the Maine Department of Agriculture, Conservation and Forestry, Division of Plant Industry, State Office Building, Augusta, Maine 04333.

G. A bag or container of seed to be offered for sale or sold as certified, registered or foundation shall be identified as to variety. Seed offered for sale or sold as certified, registered or foundation shall be placed in new bags or containers and have attached thereto an official tag issued by the official certifying agency.

H. Seed produced in another state or country and sold and delivered in this state as certified, registered or foundation shall have been certified by a legally constituted agency of the state or country of origin in accordance with rules and standards equivalent to those established herein. Seed 0f such origin represented or labeled as registered shall have been produced and certified in accordance with rules and standards equal to or better than those established for Maine certified seed.

I. The minimum quality standards for foundation and certified seed, other than those affecting genetic purity established in this regulation, may be modified by the Commissioner of Agriculture, Conservation and Forestry when application of the standard would threaten continued normal propagation of a crop variety.

J. Conditioning of Seed

1. Conditioners requiring certification services shall apply to the certifying agency having jurisdiction where the services are to be performed. In approving the conditioner to condition seed of Certified classes, each certifying agency shall stipulate that the following requirements must be met:

a. Facilities shall be available to perform conditioning without introducing admixtures.

b. Identity of the seed must be maintained at all times.

c. Records of all operations relating to certification shall be complete and adequate to account for all incoming seed and final disposition of seed.

d. Conditioners shall permit inspection by the certifying agency of all records pertaining to Certified seed.

e. Conditioners approved to condition seed for certification shall designate an individual who shall be responsible to the certifying agency for performing such duties as may be required.

f. Approval of conditioners shall be on an annual basis.

2. Seed lots of the same variety and seed class may be blended and the seed class retained. If lots of different classes are blended, the lowest class shall be applied to the resultant blend. Such blending can only be done as authorized by the certifying agency.

K. Any disease or pest that might adversely affect Maine Agriculture, in the opinion of the Maine Commissioner of Agriculture, Conservation and Forestry will be cause for withdrawal of certification.

2. Individual Crop Standards

A. Small grains

1. Field Standards for small grain seed shall be as follows:

Maximum Each Class

Factor Foundation or Registered Certified

Other varieties .02% .05%

• Inseparable other crops 1 per acre 5 per acre

Bunt none none

** Other smuts 0.5% 2.0%

---

• No rye, vetch, or winter barley is permitted in wheat.

** Seed from fields having more than 0.5% other smuts shall be treated with a fungicide approved by the Commissioner.

Note: Rye shall be 660 feet from fields which would be a source of contamination.

2. Seed standards for small grain seed shall be as follows:

Classes of seed

Factor Foundation or Registered Certified

Pure seed (minimum)

Oats 98.0% 98.0%

Wheat, Barley, Rye, Buckwheat 96.0% 96.0%

Inert matter (maximum)

Oats 2.0% 2.0%

Wheat, Barley, Rye, Buckwheat 4.0% 4.0%

Weeds (maximum) 2 per lb. 2 per lb.

Noxious weeds (maximum) none none

Other crops - no rye or vetch allowed

(maximum) 1 per 2 lbs. 2 per lb.

Other varieties - same crop

(maximum) .02% .05%

Germination (minimum) 90.0%

Except rye which shall be 80.0%

B. Field beans

1. Field Standards for field beans shall be as follows:

Maximum Each Class

Factor Foundation or Registered Certified

Other varieties .05% .10%

Inseparable other crops none none

Bacterial bean blight

(percent of plants infected) 0.001% 0.005%

Anthracnose or common

bean mosaic 0.001% 0.005%

---

Note: Field beans must be planted in not less than 18-inch rows to be eligible for certification.

2. Seed Standards for field bean seed shall be as follows:

Classes of Seed

Factor Foundation or Registered Certified

Pure seed (minimum) 99.0% 99.0%

Inert matter (maximum) 1.0% 1.0%

Weeds (maximum) none none

Other crops (maximum) 1 per 3 lbs. 1 per lb.

Other varieties -

same crop (maximum) .05% .10%

Germination (minimum) 90.0%

Garden vegetable beans (minimum) 85.0%

• Badly damaged seed (maximum) 1.0%

Bacterial Blight infected

seed (maximum) none none

---

• Badly damaged refers to beans which are seriously injured or badly discolored by frost, weather, disease, insects or other causes to seriously affect the seed lot.

History

• STATUTORY AUTHORITY: 7 MRSA, §§ 2101 - 2104
• EFFECTIVE DATE: July 19, 1979
• AMENDED: March 14, 1981
• AMENDED: August 4, 1982 - Sections 1(B), 1(J), 2
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 15, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 261 page 6

Chapter 265 Discontinuation of Maine Apple Tree Pool

Code Me. R. 01-001 Ch. 265 Discontinuation of Maine Apple Tree Pool Program {#sec-01-001-ch.-265 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 265}

The Maine Apple Tree Pool will be discontinued as of July 1, 1984. The remaining balance in the Pool of approximately $10,000 (estimate) will be used for Horticultural Development Programs, including strawberry and raspberry development.

EFFECTIVE DATE:

July 1, 1984

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 15, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

Chapter 266 Hemlock Woolly Adelgid Quarantine

Code Me. R. 01-001 Ch. 266 Hemlock Woolly Adelgid Quarantine {#sec-01-001-ch.-266 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 266}

SUMMARY: This chapter establishes a quarantine against the Hemlock Woolly Adelgid to prevent its artificial spread in the State and to protect Maine’s forest, timber, and wildlife resources from this destructive pest.

Section 1: HEMLOCK WOOLLY ADELGID QUARANTINE

1. Pest. A quarantine is established against Hemlock Woolly Adelgid ( Adelges tsugae Annand) and possible carriers.

2. Regulated articles: Plants and plant products of hemlock ( Tsuga spp.) listed below:

A. Rooted plants (seedlings & nursery stock);

B. Hemlock branches;

C. Hemlock needles;

D. Chips with top material (branches and/or needles); and

E. Uncomposted bark with top material (branches and/or needles).

3. Area Under Quarantine

In Maine, in:

1. The entire counties of Androscoggin, Cumberland, Kennebec, Knox, Lincoln, Sagadahoc, Waldo, and York;
2. Portions of Franklin County including the Minor Civil Divisions of Carthage, Chesterville, Farmington, Jay, New Sharon, and Wilton;
3. Portions of Hancock County including the Minor Civil Divisions of Amherst, Aurora, Bar Harbor, Blue Hill, Brooklin, Brooksville, Bucksport, Castine, Cranberry Isles, Dedham, Deer Isle, Eastbrook, Ellsworth, Fletchers Landing Twp, Franklin, Frenchboro, Gouldsboro, Hancock, Hancock County Island, Lamoine, Mariaville, Mount Desert, Orland, Osborn, Otis, Penobscot, Sedgwick, Sorrento, Southwest Harbor, Stonington, Sullivan, Surry, Swans Island, T10 SD BPP, T16 MD BPP, T22 MD BPP, T28 MD BPP, T7 SD BPP, T9 SD BPP, Tremont, Trenton, Verona Island, Waltham, and Winter Harbor;
4. Portions of Oxford County including the Minor Civil Divisions of Albany Twp, Batchelders Grant Twp, Bethel, Brownfield, Buckfield, Canton, Denmark, Dixfield, Fryeburg, Gilead, Greenwood, Hanover, Hartford, Hebron, Hiram, Lovell, Mason Twp, Mexico, Milton Twp, Norway, Otisfield, Oxford, Paris, Peru, Porter, Rumford, Stoneham, Stow, Sumner, Sweden, Waterford, West Paris, and Woodstock;
5. Portions of Penobscot County including the Minor Civil Divisions of Bangor, Brewer, Carmel, Clifton, Dixmont, Eddington, Etna, Hampden, Hermon, Holden, Newburgh, Newport, Orrington, Plymouth, and Veazie; and
6. Portions of Somerset County including the Minor Civil Divisions of Canaan, Detroit, Fairfield, Mercer, Norridgewock, Palmyra, Pittsfield, Skowhegan, and Smithfield;

Sub County designation is based on a standardized annual survey of all towns adjacent to the regulated area.

B. In the eastern United States outside of Maine, counties included in the USDA Forest Service’s (USDA-FS) distribution maps found on the USDA-FS website or on a list maintained by the Department.

C. In the western United States and Canada, the State of Alaska, the State of California, the State of Oregon, the State of Washington, and the Provinces of British Columbia and Nova Scotia.

Section 2. RESTRICTIONS FROM QUARANTINE AREAS

All regulated articles having originated or previously been held in an area under quarantine are prohibited entry into non-quarantined areas in the State of Maine except as specifically allowed and conditioned below.

1. Rooted hemlock plants originating from or having previously been held in an area under quarantine are prohibited entry into non-quarantined areas in the State of Maine unless treated by a method approved by the State Plant Regulatory Official.

2. Rooted hemlock plants which have been transported through an area under quarantine are prohibited entry into non-quarantined areas in the State of Maine except in accordance with the following conditions:

A. The vehicle transporting the regulated articles must be enclosed by a covering adequate to prevent the introduction of Hemlock Woolly Adelgid (such as canvas, plastic, or closely woven cloth) or must be in an enclosed trailer body;

B. The regulated articles were not offloaded in the area under quarantine; and

C. No regulated articles were added to the shipment in the quarantined area.

3. Hemlock chips with top material and uncomposted bark with top material from quarantined areas may be imported into non-quarantined areas in the State of Maine provided that said material is shipped only to sites within Maine that the Maine Forest Service, Department of Agriculture, Conservation & Forestry preapprove. Such sites must have a compliance agreement with the Maine Forest Service.

Section 3. RESTRICTIONS FROM NON-QUARANTINED AREAS

1. Rooted hemlock plants from nonquarantined areas shipped into nonquarantined areas in Maine must be accompanied by a State Phytosanitary Certificate, or a Certificate of Origin, signed by a plant regulatory official in the originating state, indicating the number and type of regulated articles, and attesting to the fact that the regulated articles:

A. Originated from a nonquarantined area;

B. Have not been held in an area under quarantine; and

C. Have not been exposed to regulated articles from quarantined areas.

Section 4. VIOLATIONS

1. Any written agreement to ship or receive roundwood with bark, uncomposted bark, and chips with bark from quarantined to preapproved sites in Maine may be canceled by the Maine Forest Service if the person who entered into it fails to comply with the provisions of this rule. If the person has been given notice of cancellation orally, written confirmation of the decision and the reasons for it will be provided within ten working days. The Maine Forest Service may reinstate written agreements if it finds that the reason(s) for cancellation has (have) been rectified.

2. A person who violates this rule commits a civil violation punishable under 7 M.R.S.A. § 2303.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. Chapter 409 §§ 2301-2303
• EFFECTIVE DATE: October 1, 1988
• AMENDED: January 10, 2001
• AMENDED: August 5, 2007 – filing 2007-317
• AMENDED: September 25, 2013 – filing 2013-223
• AMENDED: March 15, 2020
• AMENDED: October 30, 2023 – filing 2023-214

Chapter 267 License Fees to Sell Nursery Stock

Code Me. R. 01-001 Ch. 267 License Fees to Sell Nursery Stock {#sec-01-001-ch.-267 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 267}

SUMMARY: This chapter specifies fees for licenses required for businesses selling nursery stock in Maine.

I. STATUTORY AUTHORITY

The Department of Agriculture is authorized by 32 MRSA, §1901, sub-§1-B to promulgate rules to establish fees for licenses to sell nursery stock.

II. DEFINITIONS

A. "Nursery stock" means:

a. woody plants, including ornamental and fruiting trees, shrubs, vines and all viable parts of these plants;

b. herbaceous plants, including florist stock plants, annuals, perennials, vegetable seedlings, herbs, potted plants and all viable parts of these plants; and

c. any other plant or plant part designated by the commissioner.

"Nursery stock" does not include cut Christmas trees, wreaths, field crops, seeds, dried herbs and flowers, and cut flowers.

B. "Retail sales area" means the area occupied by nursery stock that is offered for sale to retail customers.

C. "Gross annual sales" means the total revenue generated from sales from each establishment location per year.

D. "Educational institution" means any public school or educational program, any public post-secondary institution, any private school or educational program approved for tuition purposes if both male and female students are admitted.

III. FEES FOR OBTAINING A LICENSE TO SELL NURSERY STOCK

A. An applicant who has a nursery stock retail sales area in excess of 150 square feet or gross annual sales of nursery stock in excess of $500, shall pay a license fee of $25 per year.

B. An applicant who has gross annual sales of nursery stock of $500 or less and a nursery stock retail sales area of 150 square feet or less shall pay a license fee of $5 per year.

C. Educational institutions are exempt from the license fee.

EFFECTIVE DATE:

May 28, 2000

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 267 page 2

Chapter 270 Maine Apiary Rules and Regulations

Code Me. R. 01-001 Ch. 270 Maine Apiary Program Rules and Regulations {#sec-01-001-ch.-270 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 270}

INTRODUCTION

I. Statutory Authorization and Scope

A. The statutory authority for the Maine Apiary Program is found in 7 MRSA chapters 521, 523, 525, 527, 529, 531.

B. The statutory authority for proposing and adopting rules is found in 5 MRSA, The Maine Administrative Procedure Act , Chapter 375.

II. Definition of Terms

A. The terms used in these rules are defined below:

1. Abate means to take steps to terminate the risk of spread of contamination including destruction of contaminated hives and/or equipment.

2. Acarapis woodi means an endoparasitic mite of adult honey bees that lives in the anterior thoracic trachea,commonly referred to as the " tracheal mite".

3. Africanized honey bee means honey bees of the subspecies Apis mellifera scutellata.

4. American foulbrood means an infectious spore-forming bacterial disease caused by Bacillus larvae .

5. Apiary means all colonies, hives, and equipment assembled in one location.

6. Beehive means man-made box or receptacle for housing a colony of bees.

7. Brood means all bees in their immature stages (eggs, larvae, and pupa).

8. Certified health certificate means a statement issued by a state or federal official certifying that bees or beekeeping equipment are apparently free of regulated pests, diseases, or genetic material based on an inspection.

9. Chalkbrood means the fungal disease of honey bee larvae caused by Ascosphaera apis .

10. Colony means an aggregate of worker bees, drones, queen, and developing young, living together in a hive or other dwelling.

11. Commissioner means the Commissioner of the Maine Department of Agriculture, Conservation and Forestry.

12. Contaminated means infected, exposed to infection, or liable to carry infection, with disease of the honey bee.

13. Department means the Maine Department of Agriculture, Conservation and Forestry.

14. Disease means any contagious and infectious pathogen or parasite of honey bees which is detrimental to beekeeping and the beekeeping industry, such as American foulbrood, European foulbrood, and Chalkbrood.

15. European foulbrood means bacterial disease of honey bee larvae caused by Melissococcus pluton .

16. Frame means the movable wooden or plastic enclosing border of honeycomb.

17. Genetic material means any material used in biological reproduction, including, but not limited, to all life stages of bees, sperm, and ova.

18. Hive means man-made home for honey bees, also, referred to as a colony.

19. Hive body means wooden box that encloses the frame for holding honeycomb, also referred to as a super.

20. Honey bee means the species of bee identified as Apis mellifera .

21. Non-regulated pests and genetic material means those diseases, pests and parasites or genetic material of minimal impact to the beekeeping industry that are not subject to regulation.

22. Nuclei means any division or portion of a hive that contains comb, immature honey bees, adult honey bees, and a queen honey bee; usually 5 frames or less, used to form a new colony.

23. Parasite means any organism which derives nutrients by living on or in a honey bee and is detrimental to beekeeping and the beekeeping industry, such as Varroa destructor and Tropilaelaps spp.

24. Queen means sexually developed female honey bee.

25. Regulated pests and genetic material means those diseases, parasites, or genetic material designated by the Commissioner that must be abated due to their negative impact on the beekeeping industry.

26. Resmethrin means a synthetic pyrethroid insecticide used to abate infected or infested honey bee colonies.

27. State apiary inspector means any person designated by the Commissioner to inspect honey bee colonies in order to determine presence of pests or unwanted genetic material and enforce Maine Apiary Program statutes and rules.

28. Super means hive body used for the storage of surplus honeycomb.

29. Tropilaelaps spp. means external parasitic mites found on certain species of honey bees.

30. Varroa destructor means external parasitic mite of certain species of honey bee that feed on living larvae, pupae, and adult honey bees.

III. Licensing Requirements

A. Licensing

1. All persons owning honey bees that remain within the state shall notify the Commissioner of the number of colonies and their location by June 15th of each year.

2. All persons owning honey bees shall forward to the Commissioner for deposit with the Treasurer of State, an annual license fee in accordance with the fee schedule listed below.

3. All fees received pursuant to this subsection must be paid to the Treasurer of State and credited to a separate, nonlapsing account in the Department. Money received pursuant to this subsection must be used for the expenses of administering this chapter.

4. No license fee may be less than $10.00 per beekeeper. A license may be issued for a one-year, 2-year or 3-year period. Licenses for a period in excess of one year may be issued only with the agreement of or at the request of the applicant. The fee for a 2‑year license is 2 times the annual fee. The fee for a 3‑year license is 3 times the annual fee.

5. Fee Schedule

Number of Colonies

License/Permit Fee

1 – 10

$10.00

11 – 30

20.00

31 – 70

30.00

71 – 100

40.00

101 - 200

55.00

201 - 300

75.00

301 - 400

90.00

401 - 500

105.00

501 - 600

120.00

601 - 700

135.00

701 - 800

150.00

801 - 900

165.00

901 - 1000

180.00

1001 - 1500

215.00

1501 - 2000

250.00

2001 - 3000

365.00

3001 - 4000

470.00

4001 - 5000

500.00

5001 - 6000

520.00

6001 - 7000

540.00

7001+

550.00

IV. Importation Requirements

A. Import Permits

1. Honey bees or used honey bee equipment shipped or moved from any other state or country into the State of Maine must be accompanied by a permit issued by the Department.

2. The Department shall issue a permit for the importation of honey bees or used honey bee equipment when the applicant submits:

a. A completed Import Notification of Bees application form;

b. A certified health certificate from the state of origin; and

c. The permit fee according to the fee schedule found in III Licencing Requirements Part A, 5. Fee Schedule.

3. The application, certified health certificate, and permit fee must be received by the Department and the permit issued prior to movement of honey bees or equipment into the State of Maine.

B. Application Forms

1. An Import Notification of Bees application form shall be supplied by the Department upon request and the following information must be supplied by the applicant.

a. The number of colonies or the number of boxes containing comb, or both, to be moved into the State of Maine.

b. Place of origin. The locality; city or cities, if any; the county or counties; and the state of origin of the hives or boxes of comb.

c. Destination. Any property, locality and county in the State of Maine in which the colonies or boxes of comb will be placed.

d. Date of entry. The proposed date of entry into the State of Maine.

e. Purpose. Facts pertaining to the purpose for which the honey bees or equipment are to be moved into the State of Maine.

f. Bees leased or brokered for pollination purposes. In the event that honey bees are leased or brokered to another beekeeper for pollination purposes:

(1) The name and address of the individual who leased the bees to the pollinator; and

(2) A list of all brands or other evidence of identity of brokered or leased bees.

C. Certification of Health Inspection

1. No honey bees or used honey bee equipment may be shipped into the State of Maine without a certified health certificate signed by a legally authorized inspector at the point of shipment indicating that they are free from regulated diseases, parasites, or unwanted genetic material based on actual inspection made within 30 days of the date of shipment.

2. Certified health certificates shall indicate the city, county and state of origin in addition to the destination of the bees or equipment within the State of Maine.

D. Permit Fees

A fee for all bees to be shipped or moved into the State of Maine must be forwarded to the Commissioner for deposit with the Treasurer of State, in accordance with the fee schedule contained in Section III ,Licsening Requirements, Part A, 5. Fee Schedule.

All fees received pursuant to this subsection must be paid to the Treasurer, State of Maine and credited to a separate, nonlapsing account in the Department. Money received pursuant to this subsection must be used for the expenses of administering this chapter.

3. The permit fee for imported colonies must accompany the Import Notification of Bees application form and the certified health certificate prior to issuance of an entry permit from the Department.

V. Honey Bee Diseases, Parasites, and Genetic Material

A. Regulated pests and genetic material shall be:

1. American foulbrood ( Bacillus larvae )

2. Varroa mite (Varroa jacobsoni)

3. Tropilaelaps mite ( Tropilaelaps spp.)

4. Africanized honey bees ( Apis mellifera scutellata )

5. Asian honey bee ( Apis cerana )

B. Non-regulated pests and genetic material shall include, but not be limited to:

1. Nosema disease ( Nosema apis and N. ceranae )

2. Chalkbrood ( Ascosphaera apis )

3. European foulbrood ( Melissococcus pluton )

4. Stonebrood ( Aspergillus flavus )

5. Varroa mite ( Varroa destructor )

6. Honey bee tracheal mite ( Acarapis woodi )

7. Bee lice ( Braula coeca )

8. Sacbrood (filterable virus)

9. Honey bee paralysis (filterable virus)

10. External mites such as: Acarapis dorsalis and Acarapis externus

11. Non-parasitic mites such as: Mellitiphis alvearius and Neocypholaelaps indica

C. Regulation

1. Honey bees must be maintained in a hive with fully removable frames which permit the thorough examination of every comb in order to detect the presence of disease. Whenever removable frame requirements are not met, the state apiary inspector shall notify the owner of the condition in writing.

2. All honey bees infected with a regulated honey bee disease, parasite, or unwanted genetic material together with the equipment contaminated by any such disease, parasite, or genetic material are declared to be a danger to spreading the disease or parasite.

3. All honey bees and equipment which are suspected by the Commissioner to be infected or infested with a regulated disease, parasite, or unwanted genetic material shall be quarantined in a location and manner stipulated by the Commissioner.

4. The presence of a regulated disease, parasite, or unwanted genetic material shall be confirmed using a suitable method.

5. Upon confirmation, the beekeeper shall be notified by the state apiary inspector and allowed 7 days to eliminate the condition in a manner prescribed by the Commissioner (Title 7 Maine Revised Statutes, Chapter 525)

6. If no corrective action is taken within 7 days, the infected or infested colonies shall be abated by the state apiary inspector according to Title 7 Maine Revised Statutes Chapter 525.

D. Possession and Sale

1. It is unlawful for any person to knowingly own or possess honey bees having any regulated disease, parasite, or unwanted genetic material.

2. It is unlawful for any person to knowingly own or possess bee equipment and appliances contaminated by any regulated disease, parasite, or unwanted genetic material.

3. It is unlawful to sell, barter, or give away bees, equipment, or appliances from any apiary without a certificate of inspection from the apiary inspector.

C. Procedures for Abatement of Regulated Diseases, Parasites and Unwanted Genetic Material

1. American foulbrood

The diseased honey bees and contaminated equipment may be abated by either the state apiary inspector or beekeeper, with the supervision and approval of the state apiary inspector.

The beekeeper, with the approval of the state apiary inspector, may select one of the three procedures outlined below for abatement of American Foulbrood.

c. Procedure 1 - Burning

(1) Destroy the diseased honey bees with an insecticide such as resmethrin according to label instructions or by pouring 1 cup of diesel fuel into a colony with closed entrances.

(2) Burn the contaminated hives and equipment, including honey bees, honey, frames, supers, bottoms, and lids, to ash in a hole not less than 18 inches deep. Cover the ash remains with at least 6 inches of soil.

d. Procedure 2 - Scorching

(1) The scorching procedure must be carried out on calm days and away from buildings.

(2) Destroy the honey bees and burn the frames, inner cover and queen excluders, as specified by Procedure 1.

(3) Stack the supers no more than five high, upside down, on a bottom board.

(4) Pour one cup of a 1:1 (diesel:Kerosene) mix on the bottom board and ignite the mix, creating a "chimney fire". Alternatively, 3-4 crumpled sheets of newspaper may be used as a fuel source.

(5) The fire must completely fill the area inside the supers; it should burn for, approximately one-half minute.

(6) To extinguish the fire, place a tight fitting cover on top of the stack, to smother the flames.

(7) When there is no visible flame , the stack of hive bodies may be pushed over and any remaining fire extinguished with water.

(8) Paint the inside of the outer cover with the fuel mix and ignite.

(9) After the equipment has cooled, examine to be sure that all of the interior areas are charred.

(10) If areas were missed, use a butane torch to scorch uncharred areas.

(11) With a clean hive tool, remove the charred wood. The equipment may now be reused.

(12) A butane or propane torch may be used instead of a chimney fire to char the hive bodies, covers, and bottom boards.

e. Procedure 3 - Ethylene Oxide Fumigation

(1) If a fumigation chamber is available and the owner/operator of the equipment agrees to pay the fees involved, all contaminated hive equipment may be re-used after fumigation.

(2) All honey must be extracted prior to fumigation.

(3) The contaminated equipment must be fumigated according to ethylene oxide label instructions and OSHA Safety and Health Standards (Occupational Safety and Health Administration, 29 CFR 1910.1000).

(4) A biological indicator test must be used in connection with the fumigated equipment in order to show effectiveness.

(5) All fumigated equipment must be branded with the initials "ETO" and the year by the chamber operator.

(6) Records must be kept of each load number, the type of beekeeping equipment, and the owner of the fumigated equipment.

(7) After each load is fumigated, the beekeeper must be advised of the germination test results and instructed regarding re-use of the equipment.

2. Asiatic mites ( Varroa jacobsoni and Tropilaelaps spp.)

a. If an infestation of asiatic mites is discovered within the State of Maine, the problem will be resolved according to United States Department of Agriculture (USDA) criteria.

b. Registered acaracides used according to label directions, cultural practices, and/or fumigation of honey bees and equipment may be employed by the Department as a control measure for these mites if no federal regulations are in effect.

3. Africanized honey bees ( Apis mellifera scutellata )

a. Infestations of African honey bees will be identified by a method prescribed by the Commissioner.

b. Incipient infestations of Africanized honey bees will be resolved according to USDA regulations if any are in effect.

c. If no Federal regulations are in effect, colonies of honey bees with a high probability of being "Africanized" will be:

(1) Quarantined.

(2) Requeened with stock containing European germplasm.

(3) Resampled after the first generation of European offspring has emerged.

(4) If the subsequent sampling reveals honey bees with a high probability of being "European", the quarantine will be lifted.

(5) Colonies of honey bees identified as "Africanized" that exhibit extreme aggressive behavior will be exterminated if the requeening process fails or the public is at risk as determined by the state apiary inspector.

VI. Inspection

A. Inspections

1. The State Apiarist and part-time bee inspectors employed by the Commissioner shall make such inspections of the apiaries or hive locations throughout the State as the Commissioner deems necessary to determine the presence of regulated honey bee diseases, parasites, or unwanted genetic material.

2. State apiary inspectors shall, so far as practicable, inspect or cause to be inspected at least once each year any or all apiaries within the State of Maine.

3. State apiary inspectors may enter at all reasonable times, upon the premises or apiary locations of any beekeeper to examine bees, equipment, and appliances to determine the presence of regulated honey bee diseases, parasites, or unwanted genetic stock..

B. Method of Inspection

1. Inspection shall include lifting brood-containing frames from the colony and examining the brood on both sides of the frame for evidence of disease.

2. Adult and immature honey bees will be sampled for parasitic mites according to the most current sampling technique described by USDA-Agricultural Research Service (ARS) or USDA-Animal and Plant Health Inspection Service (APHIS).

C. Marking of Colonies

1. Upon finding a colony to be diseased with American foulbrood in any degree, the inspector shall plainly mark on each hive body, super, and cover of such diseased colony, the letters "AFB" preceded by a numeral indicating the total number of hive bodies and supers occupied by the diseased colony, followed by the date and the initials of the state apiary inspector.

2. The entrances of such diseased colonies will be reduced and cracks between supers will be sealed to prevent robbing and further spread of disease.

D. Quarantine of Apiaries with Regulated Diseases and Parasites

1. Whenever a state apiaryinspector finds that American foulbrood disease or regulated mite infestation exists in any apiary, the inspector shall quarantine the apiary by giving written notice to the owner or operator.

2. When such notice has been given as provided above, it shall be unlawful for the owner or operator or any other person to move the apiary, or any part thereof, until the disease has been eradicated and written permission has been received from the state apiary inspector.

3. When in the opinion of the state apiary inspector the disease has been eradicated, the state apiary inspector shall issue a written permit releasing the apiary from quarantine.

E. Inspection Certificates

1. Any state apiary inspector shall, within 30 days after examination, issue certificates that the honey bee equipment and appliances are apparently free from regulated diseases and parasites and contamination if so found.

2. The certificates shall be filed as follows: one copy to the owner, and one copy to the state apiary inspector's files.

VII. Protection From Damage

A. Disturbing Honey Bees on Another Person’s Land

1. No person may enter upon the land of another for the purpose of capturing, destroying or interfering with a colony or swarm of honey bees or removing honey, except by the consent of the owner of the land.

B. Damage to Hives From Bears

1. Any licensed beekeeper or the licensed beekeeper’s designee may obtain a permit to trap or hunt bears that are damaging hives from the Department of Inland Fisheries and Wildlife.

EFFECTIVE DATE:

June 5, 1985

AMENDED:

August 23, 1985 (EMERGENCY)

August 25, 1986

October 16, 1987 (EMERGENCY)

May 11, 1988 (EMERGENCY)

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

AMENDED:

April 1, 1998 - also converted to MS Word

NON-SUBSTANTIVE CORRECTIONS:

April 28, 1998 - minor punctuation and spelling

May 15, 2008 – boldfacing

CORRECTIONS:

February, 2014 – agency names, formatting

AMENDED:

June 24, 2019 – filing 2019-102

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 272 European Larch Canker Quarantine

Code Me. R. 01-001 Ch. 272 European Larch Canker Quarantine {#sec-01-001-ch.-272 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 272}

SUMMARY: This chapter establishes a quarantine against the European larch canker to prevent its movement from Hancock, Knox, Lincoln, Sagadahoc, and Waldo Counties and parts of Androscoggin, Cumberland, Penobscot, and Washington Counties to other parts of the State, to protect Maine's forest and timber resources.

SECTION 1: EUROPEAN LARCH CANKER QUARANTINE.

A quarantine is established against the following pest and possible carriers.

1. Pest. European Larch Canker ( Lachnellula willkommi (Dasycypha)).

2. Regulated articles.

A. Logs, pulpwood, branches, twigs, plants, scion, and other propagative material of the Larix or Pseudolarix spp., except for seeds;

B. Any other article, product, or means of conveyance, which, in the determination of the commissioner of the Department of Agriculture, Conservation and Forestry, presents the risk of spread of European larch canker.

3. Area Under Quarantine.

The entire counties of Hancock, Knox, Lincoln, Sagadahoc, and Waldo;

Portions of Androscoggin County including the Minor Civil Divisions of Durham, Lisbon, and Sabattus;

Portions of Cumberland County including the Minor Civil Divisions of Brunswick, Chebeague Island, Freeport, Harpswell, North Yarmouth, Pownal, and Yarmouth;

Portions of Penobscot County including the Minor Civil Divisions of Alton, Argyle Twp, Bangor, Bradford, Bradley, Brewer, Burlington, Carmel, Carroll Plt, Charleston, Clifton, Corinna, Corinth, Dexter, Dixmont, Eddington, Edinburg, Enfield, Etna, Exeter, Garland, Glenburn, Grand Falls Twp, Greenbush, Greenfield Twp, Hampden, Hermon, Holden, Howland, Hudson, Indian Island, Kenduskeag, Lagrange, Lakeville, Lee, Levant, Lincoln, Lowell, Mattamiscontis Twp, Maxfield, Milford, Newburgh, Newport, Old Town, Orono, Orrington, Passadumkeag, Plymouth, Pukakon Twp, Springfield, Stetson, Summit Twp, T3 R1 NBPP, and Veazie;

Portions of Washington County including the Minor Civil Divisions of Addison, Alexander, Baileyville, Baring Plt, Beals, Beddington, Berry Twp, Big Lake Twp, Calais, Cathance Twp, Centerville Twp, Charlotte, Cherryfield, Codyville Twp, Columbia, Columbia Falls, Cooper, Crawford, Cutler, Day Block Twp, Deblois, Dennysville, Devereaux Twp, Dyer Twp, East Machias, Eastport, Edmunds Twp, Fowler Twp, Grand Lake Stream Plt, Greenlaw Chopping Twp, Harrington, Indian Twp Res, Jonesboro, Jonesport, Kossuth Twp, Lambert Lake Twp, Lubec, Machias, Machiasport, Marion Twp, Marshfield, Meddybemps, Milbridge, Northfield, Pembroke, Perry, Pleasant Point, Princeton, Robbinston, Roque Bluffs, Sakom Twp, Steuben, T18 MD BPP, T19 ED BPP, T19 MD BPP, T24 MD BPP, T25 MD BPP, T26 ED BPP, T30 MD BPP, T36 MD BPP, T37 MD BPP, T42 MD BPP, T43 MD BPP, T6 ND BPP, T6 R1 NBPP, Talmadge, Topsfield, Trescott Twp, Vanceboro, Waite, Washington County Island, Wesley, Whiting, and Whitneyville.

SECTION 2: DEFINITIONS.

1. Certificate. A document in which an inspector affirms that a specified regulated article is free of European larch canker and may be moved to any destination outside the area under quarantine.

2. Compliance Agreement. A written agreement between the State of Maine and a person engaged in growing, handling, receiving, or moving regulated articles in which the person agrees to comply with its specified provisions.

3. Inspector. Any employee of the Maine Department of Agriculture, Conservation, and Forestry or other person authorized by the commissioner to enforce this chapter.

4. Limited Permit. A document in which an inspector affirms that the regulated article identified on the document is eligible for movement in accordance with this chapter only to a specified destination and only in accordance with specified conditions.

5. Person. Any association, company, corporation, firm, individual, joint stock company, partnership, society, or other entity.

6. Trip Ticket. A form used to identify the origin and destination of a truckload of wood in accordance with 10 M.R.S.A. Chapter 501, Subchapter II-A.

SECTION 3: RESTRICTIONS.

1. Movement within Quarantined Areas – Movement of a regulated article solely within the quarantined area is allowed without restriction.

2. Movement out of a Quarantined Area with Certificate – Regulated articles for which a certificate has been issued in accordance with this chapter may be moved out of a quarantined area provided the following conditions are met:

The regulated article originated in an area free of European larch canker based on an inspection of the site OR;

The regulated article has been grown, produced, stored, or handled so that the regulated article is free of European larch canker OR;

The regulated article has been inspected and found free of European larch canker.

3. Movement out of a Quarantined Area without a Certificate – Regulated articles for which no certificate has been issued in accordance with this chapter may be moved out of a quarantined area provided all of the following conditions are met:

A. The article originated outside the regulated area; AND

The point of origin is clearly indicated on shipping documents, and its identity is maintained; AND

The article is moved through a regulated area with minimal stops in an enclosed vehicle to prevent the introduction of European larch canker.

4. Movement to sites under Compliance Agreements - Regulated articles may be moved out of a quarantined area only if the regulated articles are moved to a specified destination under a compliance agreement for specified handling, processing, or utilization, and this movement will not result in the spread of the European larch canker. The destination and other conditions must be listed in the compliance agreement.

5. Transiting Quarantined Areas – Regulated articles which originate outside the quarantined area may transit through the quarantined area without a certificate or limited permit only if:

A. The regulated article is safeguarded in an enclosed vehicle; AND

B. The point of origin of the regulated article is specified on the waybill, invoice, or shipping document accompanying the shipment.

6. Transiting Non-Quarantined Areas – Regulated articles which move from a quarantined area to another quarantined area and which transit a non-quarantined area may do so under a limited permit or compliance agreement provided the vehicle in which the regulated article is transported moves through the quarantined area without stopping, except for dropoff loads, refueling, or traffic conditions such as traffic lights or stop signs.

7. Other Federal or State Requirements - The regulated article moving under a certificate or limited permit must also be eligible for unrestricted movement under all other Federal and State quarantines applicable to the regulated article.

SECTION 4: ATTACHMENT AND DISPOSITION OF CERTIFICATES AND LIMITED PERMITS.

1. Attachment - A certificate or limited permit required for the movement of a regulated article must be attached to the outside of the container containing the regulated article or to the regulated article itself, if not in a container, at all times during the movement. The requirements of this section may also be met by attaching the certificate or limited permit to the consignee’s copy of the waybill, invoice, or shipping document, provided the regulated article is sufficiently described on the certificate or limited permit and on the waybill, invoice, or shipping document, to identify it. For logs and pulpwood, the requirements of this section may also be met by a statement stamped on a trip ticket accompanying the shipment, which attests to the fact that the regulated articles in the shipment are being moved under a certificate or limited permit issued by the State of Maine and meets all the terms and conditions of this chapter. Stamps attesting to these requirements can only be affixed to a trip ticket by a person who has entered into a compliance agreement with the State of Maine.

2. Disposition - The certificate or limited permit for the movement of a regulated article must be furnished by the carrier to the consignee at the destination of the regulated article.

SECTION 5: VIOLATIONS

1. The Maine Department of Agriculture, Conservation and Forestry may cancel a written compliance agreement or limited permit based on a violation of, or non-compliance with, any of its terms or conditions or any other provision of this rule. If the person has been given notice of cancellation orally, written confirmation of the decision and the reasons for it will be provided within ten working days. The Department may reinstate written agreements if it finds that the reason(s) for cancellation has (have) been rectified.

2. A person who violates this rule commits a civil violation punishable under 7 M.R.S.A. § 2303.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. Chapter 409, Section 2301
• EFFECTIVE DATE: January 2, 2010
• AMENDED: October 30, 2023 – filing 2023-215
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 273 Criteria for Listing Invasive Terrestrial Plants

Code Me. R. 01-001 Ch. 273 Criteria for Listing Invasive Terrestrial Plants {#sec-01-001-ch.-273 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 273}

SUMMARY: This chapter establishes criteria to be used in evaluating non-native terrestrial invasive plants which are offered for sale or import in Maine that could have adverse economic and/or ecological impacts in Maine. This chapter also establishes the list of evaluated plants that meet the criteria and prescribes the restrictions on the distribution and sale of those plants.

I. Definitions

A. Biological potential - The ability of a species to increase its numbers, either sexually and/or asexually, and occupy more space.

B. Ecoregion – An ecoregion is a geographic area where ecosystems are generally similar. Ecoregion maps are published by the US Environmental Protection Agency.

C. Invasive plant - A non-native species that has spread into native or minimally managed plant communities (habitats) in Maine that causes economic or environmental harm by developing self-sustaining populations that become dominant and/or disruptive to native species.

D. Minimally managed habitats - Minimally managed habitats are habitats where management efforts and investments of time, money and labor are infrequent or nonexistent. These habitats may at one time have been intensively managed. Minimally managed habitats may include, but are not limited to forests, woodlots, rights-of-way, riverbanks, coastal plains, pastures, meadows and vacant lots.

E. Native plant - A species that has evolved over hundreds or thousands of years in a particular ecoregion. Generally, only plants found in this country before European settlement are considered native to the United States.

F. Naturalized plant - A non-native plant that does not need human help to reproduce and maintain itself over time in an area where it is not native.

G. Non-native plant - A species that is not native or naturally occurring (based on its distribution and current knowledge of the species) within Maine. A species may be native to North America, but non-native in Maine.

H. Spatial gaps - This term is used in reference to the ability of a species to disperse away from existing occurrences. It is a distance from the location of the original introduction of a plant which exceeds the average distance a propagule (seed or other viable plant part) from that plant would normally establish. The longer distance movement (over a spatial gap) and establishment is facilitated by wind, water, animals or some other reason. This type of growth contrasts with a plant that spreads contiguously and undispersed within a habitat.

I. Species - As utilized in this chapter, "species" includes all synonyms, subspecies, hybrids, varieties, forms and cultivars of that species.

J. Invasive terrestrial plant species of special concern - A non-native plant species that has spread into native or minimally managed plant habitats in Maine that may cause economic or environmental harm. Species of special concern may be effectively contained through alternative regulatory measures instead of prohibiting sale or import.

K. Terrestrial plant – As utilized in this chapter, “terrestrial plant” includes plants that grow in upland habitats but may also include plants that are able to grow in wetlands or as emergent aquatic plants. Terrestrial plants may grow in agricultural fields, rangelands, forests, urban landscapes, wildlands, and along waterways. Terrestrial plants include trees, shrubs, vines, grasses and herbaceous plants.

II. Criteria for Evaluating Terrestrial Plant Species

In order to include a plant on a list of invasive terrestrial plant species administered by the Maine Department of Agriculture, Conservation and Forestry the following criteria must be met:

A. Be non-native to Maine, and

B. Have the potential for rapid growth, dissemination and establishment in minimally managed habitats, and

C. Have the biological potential for widespread dispersion and for dispersing over spatial gaps, and

D. Have the biological potential for existing in high numbers or large colonies in minimally managed habitats, and

E. Have the potential to displace native species in minimally managed habitats.

III. Prohibitions and restrictions

No person shall import, export, buy, sell, or intentionally propagate for sale or distribution any living and viable portion of any plant species, which includes all of their cultivars, varieties and hybrids, listed in Section V.

IV. Transition

The effective date for prohibition or restriction of the plants listed in Section V that are already growing in Maine or in the channels of trade in Maine at the time this rule is adopted are indicated in the Section V list of regulated invasive terrestrial plant species.

V. List of Regulated Invasive Terrestrial Plant Species

Evaluated plant species that meet the criteria for all of the categories listed in section II.

Scientific name

Common name

Effective Date

Acer ginnala

Amur maple

1/1/2018

Acer platanoides

Norway maple

1/1/2018

Aegopodium podagraria

Bishop’s weed, goutweed

1/1/2018

Ailanthus altissima

Tree of heaven

1/1/2018

Alliaria petiolata

Garlic mustard

1/1/2018

Amorpha fruticosa

False indigo bush

1/1/2018

Ampelopsis glandulosa

Porcelain berry

1/1/2018

Artemisia vulgaris

Common mugwort

1/1/2018

Berberis thunbergii

Japanese barberry

1/1/2018

Berberis vulgaris

Common barberry

1/1/2018

Celastrus orbiculatus

Asiatic bittersweet

1/1/2018

Elaeagnus umbellata

Autumn olive

1/1/2018

Euonymus alatus

Winged euonymus,burning bush

1/1/2018

Euphorbia cyparissias

Cypress spurge

1/1/2018

Fallopia baldschuanica

Chinese bindweed, silver lace vine

1/1/2018

Fallopia japonica

Japanese knotweed

1/1/2018

Frangula alnus

Glossy buckthorn

1/1/2018

Hesperius matronalis

Dame’s rocket

1/1/2018

Impatiens glandulifera

Ornamental jewelweed

1/1/2018

Iris pseudacorus

Yellow iris

1/1/2018

Ligustrum vulgare

Common privet

1/1/2018

Lonicera japonica

Japanese honeysuckle

1/1/2018

Lonicera maackii

Amur or bush honeysuckle

1/1/2018

Lonicera morrowii

Morrow’s honeysuckle

1/1/2018

Lonicera tatarica

Tartarian honeysuckle

1/1/2018

Lythrum salicaria

Purple loosestrife

1/1/2018

Microstegium vimineum

Stilt grass

1/1/2018

Paulownia tomentosa

Paulownia, princess tree

1/1/2018

Persicaria perfoliata

Mile a minute weed

1/1/2018

Phellodendron amurense

Amur cork tree

1/1/2018

Populus alba

White cottonwood

1/1/2018

Robinia pseudoacacia

Black locust

1/1/2018

Rosa multiflora

Multiflora rose

1/1/2018

Alnus glutinosa

European alder

1/1/2024

Angelica sylvestris

Woodland angelica

1/1/2024

Anthriscus sylvestris

Wild chervil, raven's wing

1/1/2024

Aralia elata

Japanese angelica tree

1/1/2024

Butomus umbellatus

Flowering rush

1/1/2024

Elaeagnus angustifolia

Russian olive

1/1/2024

Euonymus fortunei

Wintercreeper, climbing spindle tree

1/1/2024

Festuca filiformis

Fine-leaved sheep fescue

1/1/2024

Ficaria verna

Lesser celandine

1/1/2024

Glaucium flavum

Yellow hornpoppy

1/1/2024

Glechoma hederacea

Ground ivy, creeping charlie

1/1/2024

Glyceria maxima

Great mannagrass, reed mannagrass

1/1/2024

Hippophae rhamnoides

Sea buckthorn

1/1/2024

Ligustrum obtusifolium

Border privet

1/1/2024

Lonicera xylosteum

Dwarf honeysuckle

1/1/2024

Lythrum virgatum

European wand loosestrife

1/1/2024

Miscanthus sacchariflorus

Amur silvergrass

1/1/2024

Petasites japonicus

Fuki, butterbur, giant butterbur

1/1/2024

Phalaris arundinacea

Reed canary grass, variegated ribbon grass

1/1/2024

Photinia villosa

Photinia, christmas berry

1/1/2024

Phragmites australis

Common reed

1/1/2024

Phyllostachys aurea

Golden bamboo

1/1/2024

Phyllostachys aureosulcata

Yellow groove bamboo

1/1/2024

Pyrus calleryana

Callery ("Bradford") pear

1/1/2024

Ranunculus repens

Creeping buttercup

1/1/2024

Rubus phoenicolasius

Wineberry

1/1/2024

Silphium perfoliatum

Cup plant

1/1/2024

Sorbus aucuparia

European mountain-ash

1/1/2024

Tussilago farfara

Coltsfoot

1/1/2024

Valeriana officinalis

Common valerian

1/1/2024

VI. Variances

A. A variance may be granted by the State Horticulturist to allow for importation and field experimentation of invasive plants listed in Section V for scientific, educational, or other purposes under conditions prescribed by the State Horticulturist. Any variance(s) shall be in the form of a permit issued by the State Horticulturist.

B. Preserved specimens in the form of herbaria or other preservation means are exempt from this rule.

C. Varieties, cultivars, hybrids and/or subspecies that have been shown not to be invasive through scientific research and analysis may be considered exempt from this rule after review by a committee established by the Department.

Data submitted must include sources with no financial interest in the species, such as universities, agricultural experiment stations, cooperative extension, USDA or botanical gardens; and

Regulatory status in nearby states shall also be considered.

VII. Species Watch List

Evaluated plant species that do not currently meet all the criteria contained in section II but may meet those criteria within the next five years. These species are not subject to the prohibitions in Section III.

Scientific Name

Common Name

Actinidia arguta

Hardy kiwi

Akebia quinata

Chocolate vine; five-leaf akebia

Arum italicum

Italian arum

Broussonetia papyrifera

Paper mulberry

Buddleja davidii

Butterfly bush

Clematis terniflora

Yam-leaved virgin’s bower, sweet autumn

Dioscorea oppositifolia

Indian yam

Dioscorea polystachya

Chinese yam

Eragrostis curvula

Weeping lovegrass

Filipendula ulmaria

Queen of the meadow

Lespedeza bicolor

Bicolor lespedeza, two-colored bush-clover

Ligustrum ovalifolium

California privet

Lonicera caerulea

Honeyberry, haskap

Lychnis flos-cuculi or Silene flos-cuculi

Ragged robin

Morus alba

White mulberry

Quercus acutissima

Sawtooth oak

Rosa rugosa

Rugosa rose, beach rose

Saccharum ravennae or Tripidium ravennae

Ravenna grass, hardy pampas grass

Salvia glutinosa

Sticky sage

Silybum marianum

Milk thistle

Spiraea japonica

Japanese spiraea

Symplocos paniculata

Sapphire-berry

Syringa reticulata

Japanese tree lilac

Toona sinensis

Chinese cedar

Ulmus pumila

Siberian elm

Viburnum dilatatum

Linden arrowwood

Viburnum sieboldii

Siebold viburnum

Wisteria floribunda

Japanese wisteria

Wisteria sinensis

Chinese wisteria

VIII. Invasive Terrestrial Plant Species of Special Concern

Scientific Name

Common Name

Rosa rugosa

Rugosa rose, beach rose

IX. Invasive Terrestrial Plant Species of Special Concern – Conditions governing sale or display of species of special concern.

An invasive terrestrial plant species of special concern that is sold or offered for sale in Maine shall have attached in a conspicuous place on the container used to hold the invasive terrestrial species of special concern, and where no container is used on the plant itself, a label with the words Invasive Species-Harmful to the Environment in at least 14-point bold type. Where it is impracticable to display a label, written notice shall be provided upon sale to the purchaser. The label or written notice shall be of a design approved by the Department of Agriculture, Conservation and Forestry and shall offer alternative non-invasive species and provide instructions for the care or tending of the invasive species to prevent their spread in the State.

In lieu of the label required under Chapter 273, Section IX. A., above, the retail outlet may post a sign or signs identifying the plants as invasive terrestrial species of special concern. The sign or signs must be conspicuous and unobstructed and appear at no less than six-foot intervals around the listed plants. The sign specifications include:

1. The sign must be 8.5inches tall and 11 inches wide;
2. The sign must be made of rigid, weather resistant material and be maintained to last during the entire time that species of special concern are offered for sale;
3. The sign must have lettering in at least 40-point type in the Arial font or similar sans serif font;
4. The sign must be light colored (white, beige, yellow or pink) with dark, bold letters (black, blue or green); and
5. The sign must include the following wording, “Invasive Plant – May be Harmful to the Environment”, “Ask About Alternative Plants”, and “Follow Species Specific Instructions Provided by the Vendor”.

The plant vendor must provide species specific guidance at the time of sale to notify the purchaser about the invasive potential of the species and what habitat types to avoid when installing the plant.

No person selling or offering for sale an invasive terrestrial plant species of special concern shall conceal, detach, alter, deface, or destroy any label, sign, or notice required under this section.

The effective date for plants listed in Section IX that are already growing in Maine or in the channels of trade in Maine at the time this rule is adopted shall be 1/1/2024.

X. Periodic Review

The plant lists in Section V, VII and VIII may be reviewed and amended on a five-year basis unless a person petitions the Department with significant scientific research and analysis that, in the Department’s determination, warrants review for possible amendment to the list at an earlier date.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. Chapter 405-A Section 2211
• EFFECTIVE DATE: December 25, 2011 – filing 2011-469
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: January 14, 2017 – filing 2017-003
• AMENDED: May 24, 2022 – filing 2022-092 (reordered and posted 10-13-2022)
• AMENDED: AMENDED (nonsubstantive formatting issues resolved by agency of jurisdiction):
• AMENDED: September 24, 2025

Chapter 274 Rules for Growing Hemp

Code Me. R. 01-001 Ch. 274 Rules for Growing Hemp {#sec-01-001-ch.-274 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 274}

SUMMARY: These rules establish the requirements for becoming licensed to grow hemp, including fees, application and licensing processes, and procedures for monitoring the growth of hemp. These rules also align with the Department’s State of Maine Hemp Program Plan approved by the United States Department of Agriculture, Agricultural Marketing Service.

I. Definitions

Acceptable hemp THC level - The acceptable hemp THC level is when the application of the measurement of uncertainty to the reported delta-9 tetrahydrocannabinol content concentration level on a dry weight basis produces a distribution or range that includes the total THC limit in the definition of hemp in Section I(N). For example, if the reported delta-9 tetrahydrocannabinol content concentration level on a dry weight basis is 0.35% and the measurement of uncertainty is +/−0.06%, the measured delta-9 tetrahydrocannabinol content concentration level on a dry weight basis for this sample ranges from 0.29% to 0.41%. Because 0.3% is within the distribution or range, the sample is within the acceptable hemp THC level or as otherwise defined in federal law.

Biomass – Harvested hemp which includes the stalks and leaves and may include flowers, buds and/or seeds.

Cannabinoid - A group of closely related chemical compounds which include THC (tetrahydrocannabinol), THCA (tetrahydrocannabinolic acid), CBD (cannabidiol), CBDA (cannabidiolic acid), CBN (cannabinol), CBG (cannabigerol), CBC (cannabichromene), CBL (cannabicyclol), CBV (cannabivarin), THCV (tetrahydrocannabivarin), CBDV (cannabidivarin), CBCV (cannabichromevarin), CBGV (cannabigerovarin), CBGM (cannabigerol monomethyl ether), CBE (cannabielsoin), CBT (cannabicitran), and other active constituents that are naturally occurring in the Cannabis sativa L. plant.

Certificate of analysis – A report issued by a third-party ISO 17025 accredited laboratory, which indicates the delta-9-tetrahydrocannabinol, tetrahydrocannabinolic acid, and total tetrahydrocannabinol content of hemp on a dry weight basis.

Certified seed source – A source of hemp seeds that are certified by a third party as producing hemp having a total tetrahydrocannabinol concentration of not more than 0.3% on a dry weight basis or as otherwise defined in federal law. Certification may include a certificate of analysis from a third-party ISO 17025 accredited laboratory that indicates the parent plant seed source tested at or below 0.3% total tetrahdrocannabinol on a dry weight basis or as otherwise defined in federal law.

Clone – A hemp plant produced using any part of another hemp plant other than the seeds of that hemp plant.

Commercial purposes – Offering seed, plants, plant parts, extracts, or other derivatives of the hemp plant into commerce or distribution to another person for that purpose.

Criminal history report - A report detailing an individual’s conviction status related to a controlled substance within the past 10 years for all 50 states and the federal level, which must be dated within sixty days prior to the date of application submission, to be renewed every three years.

Decarboxylation – The chemical reaction that converts THCA into delta-9 THC, the intoxicating component of cannabis. The decarboxylated value is also calculated using a molecular mass conversion ratio that sums delta-9 THC and eighty-seven and seven tenths (87.7) percent of THC-acid (Total THC=(delta-9 THC) +(0.877*THCA)).

Department –The Maine Department of Agriculture, Conservation and Forestry.

Dry weight – The weight of hemp plant material with no greater than 12% moisture content.

Grower license – The document issued to an individual after a successful application and review process, and following departmental receipt of a signed license agreement and submission of all licensing fees. The license allows the individual to possess, cultivate, grow and harvest hemp under Maine law.

Growing area – The land or surface area on which a licensee cultivates or plans to cultivate hemp.

Hemp – The plant Cannabis sativa L. and any part of that plant, including the seeds and all derivatives, extracts, cannabinoids, isomers, acids, salts and salts of isomers, whether growing or not, with a total tetrahydrocannabinol concentration that is not more than 0.3% on a dry weight basis including any measurement of uncertainty, or as otherwise defined in federal law. "Hemp" includes agricultural commodities and products derived from hemp and topical or ingestible consumer products, including food, food additives, and food products derived from hemp, which in their final forms contain a total tetrahydrocannabinol concentration of not more than 0.3% including any measurement of uncertainty or as otherwise defined in federal law.

Indoor facility – A building, greenhouse, cold frame, hoop house, high tunnel, or other agricultural or horticultural method of enclosing the growing area.

Key participant - A person who has a direct or indirect financial interest in an entity producing hemp, such as an owner or partner in a partnership. Key participant also includes a person in a corporate entity at an executive level including a chief executive officer, chief operating officer and chief financial officer. Key participant does not include other management positions such as farm, field or shift managers. With respect to colleges and universities conducting hemp research, the principal investigator is considered the applicant, with co‐principal investigators as key participants.

Law enforcement agency – A federal, state, or local agency responsible for maintaining public order and enforcing the law, particularly activities involving prevention, detection, and investigation of crime, and the apprehension of violators.

Licensee – An individual possessing a hemp license.

License agreement – A document signed by the licensee agreeing to abide by these rules and any other terms and conditions the Department deems necessary for enforcing the hemp law.

Licensing period – The time in which a hemp license is valid. Licenses are issued for up to one year and expire on April 30.

Lot - A contiguous area in a field, greenhouse, or indoor growing structure containing the same variety or strain of cannabis throughout planted at the same time and intended to be harvested at the same time. A “lot” is defined by the producer in terms of farm location, field acreage, and variety (i.e., cultivar).

Measurement of uncertainty – The parameter, associated with the result of a measurement, that characterizes the dispersion of the values that could reasonably be attributed to the particular quantity subject to measurement.

Non-contiguous growing area – A growing area on which a licensee grows or plans to grow hemp that is separated from other growing areas by more than 50 miles.

Performance based sampling - An alternative sampling method to ensure, at a confidence level of 95 percent, that the cannabis plant species Cannabis sativa L variety or strain that will be subject to the alternative sampling method will not test above the acceptable hemp THC level.

Planting date - Planting date for an outdoor licensing agreement is the date seed is sown outdoors or when a seedling or clone is field planted. Planting date for an indoor licensing agreement is the day seed, seedlings or clones are planted inside.

Planting report – A report each licensed grower must provide to the Department within 14 days after planting hemp seeds, seedlings or clones. The report includes a listing of the varieties of seeds, seedlings or clones planted in each lot and a copy of a certificate of analysis which indicates the parent plants for the planted seed, seedlings or clones were found to contain no more than 0.3% total THC on a dry weight basis or as otherwise defined in federal law for each lot and for each hemp variety or strain planted. The report includes a final legal description of the land area or indoor facility to be used for the production of hemp, and a map, aerial photograph or global positioning coordinates sufficient for locating each lot in each field, site or indoor facility where hemp is growing, the total acres planted, the type of propagule planted, the planting date and estimated harvest date.

Remediation – The process of rendering non-compliant cannabis, compliant. Remediation can occur by removing and destroying flower material, while retaining stalk, stems, leaf material and seeds. Remediation can also occur by shredding the entire plant into a biomass like material, then re-testing the shredded biomass material for compliance.

Sample – Plant parts taken as representative of an individual plant or the combined total plants in an individual lot in a growing area.

Seedling – A hemp plant or rooted cutting that is not flowering, less than 24 inches in height and less than 24 inches in width.

Strain – A group of plants or an individual plant that exhibit(s) distinctive observable physical characteristic(s) or has a distinct genetic composition.

Tetrahydrocannabinol (THC) – Delta-9-tetrahydrocannabinol, the natural or synthetic equivalents of the substances contained in the plant, or in the resinous extractives of, Cannabis sativa L., or any synthetic substances, compounds, salts, or derivatives of the plant or chemicals and their isomers with similar chemical structure and pharmacological activity.

Tetrahydrocannabinolic Acid (THCA) – the acid form of tetrahydrocannabinol contained in the plant which can be converted into delta-9-THC through decarboxylation of other chemical processes. On average 87.7% of THCA is converted to delta-9-THC after decarboxylation.

Total THC – On a dry weight basis, the post-decarboxylation value of THC, either after testing with gas chromatography or a similar chromatograph technique which uses heat that converts THCA from the acid form into the neutral form of THC or total THC can also be calculated using liquid chromatography (LC) which keeps the THCA intact. This technique requires use of the following conversion formula: [Total THC = (0.877 x THCA) + THC] which calculates the maximum total THC in a given sample.

Variety – A group of plants or an individual plant that exhibit(s) distinctive observable physical characteristic(s) or has a distinct genetic composition. Varieties are also known as cultivars.

II. Application Process

A. Each applicant for a hemp grower license must submit a signed, complete, accurate and legible application to the Department at least 30 days prior to her/his intended planting date.

B. Applicants applying to renew a grower license must submit the same information and fees as applicants applying for a new grower license. In addition, applicants for renewal must include, on the application, the licensing numbers of any previous grower licenses held and year of issuance of those grower licenses.

C. The applicant must provide:

Name, address, telephone number, email address and other contact information as needed for the individual that will become the licensee;

Name of business, address of principal business location, full name and title of all key participants, a business email address, the business employer identification number and other contact information as needed;

If required by the USDA-AMS federal regulations, 7 CFR 990, a criminal history report for all key participants and authorized representatives;

A detailed description of the land area or indoor facility to be used for the production of hemp including, but not limited to: a map, aerial photograph or global positioning coordinates sufficient for locating production fields; the floor plan of any indoor facilities; and the boundaries, dimensions, and size of the growing area;

A signed and dated statement that the applicant is the owner or legal occupant of the growing area or indoor facility to be used for cultivation of hemp, or a statement, signed by the owner of the growing area or indoor facility, consenting to that use;

The estimated planting date for the first crop.

Any other information the Department determines is necessary for enforcing the hemp law and these rules.

E. Each applicant for grower licensure shall submit a non-refundable application fee of $100 with the application. Fees will not be refunded if a license is not granted.

F. Incomplete applications will not be processed.

G. False, inaccurate or misleading information provided on an application is grounds for license denial. Grower licenses may be denied to applicants who have previously had a hemp grower license revoked or have violated any rules or statutes contained in CMR 01-001 Chapter 274 or MRS Title 7, Chapter 406-A.

III. Issuance of License Agreement and Grower License

A. Upon approval of an application, the applicant for a grower license must pay the license fee. License fees are determined by the hemp crop to be grown. License fees must be paid prior to license issuance. All license fees are non-refundable for any reason.

A $100.00 license fee with no additional per acre or square foot fee is required for growing hemp indoors or outdoors exclusively for production of:

1. seedlings for planting,
2. immature leafy greens, or
3. microgreens.

A $100.00 license fee with no additional per acre or square foot fee is required for growing hemp exclusively for:

1. research purposes in cooperation with a recognized educational institution where no plant parts or derivatives will be used for commercial purposes or the entire crop will be destroyed.

A $250.00 license fee with no additional per acre or square foot fee is required for growing hemp indoors or outdoors exclusively for the production of:

1. seed for food oil or grain;
2. fiber;
3. immature plants for human or animal food or feed;
4. breeding of new cultivars indoors on less than 100 square feet; or
5. soil remediation where no plant parts or derivatives will be used for commercial purposes or the entire crop will be destroyed.

A $500 plus $50.00/acre fee is required for growing hemp for production of floral material, viable seed or any other commercial purpose not listed in Section III(A)(1) or (3) to be planted outdoors and $500.00 plus $0.25 per square foot of growing area for growing hemp for production of floral material, viable seed or any other commercial purpose not listed in Section III(A)(1) or (3) to be planted indoors, as reported on the application. Indoor facilities that will plant hemp on multiple levels within a structure shall calculate the square feet of growing area by adding the surface area of each tier together. The maximum license fee for an individual license agreement shall be $20,000. Partial acreage or square footage should be rounded up to the next whole acre or square foot.

All grower license fees include THC lab analysis for one hemp lot. An additional fee of $60.00 per additional lot must be submitted with the grower planting report.

B. Grower licenses are only for the site or sites listed in the license agreement. Non-contiguous growing areas as defined in this rule require a separate license.

C. Each applicant must sign a license agreement. The failure of the licensee to comply with any term or condition of the licensing agreement shall be grounds for license revocation. By signing the license agreement, the grower licensee agrees to the following terms and conditions:

1. Within 14 days after planting hemp seeds, seedlings or clones, the grower licensee shall:

2. submit a planting report;

3. submit any required sampling fees for additional lots; and

4. provide the street address and geospatial location for each lot or greenhouse where hemp will be produced including all grow locations to the United States Department of Agriculture, Farm Service Agency;

The grower licensee must allow the inspection and sampling of the hemp crop at any and all times that the Department deems appropriate;

All records relating to production, planting, cultivation, and harvest of the hemp crop must be kept for a period of 3 years. The records must be made available to the Department upon request;

The Department may require reporting of any information or data associated with the planting, cultivation, and harvest of the hemp crop. The Department may also require reporting of the types of commodities or products derived from the harvested hemp and manufactured or sold within or outside the state. The grower licensee must submit all required reports by the due dates specified by the Department; and

Grower licensees must comply with any other terms and conditions the Department determines necessary for enforcing the hemp law and these rules.

D. All grower licenses shall expire on April 30 of the year following the growing season. Licensees must re-apply to participate in the program each year. All outdoor grown hemp plant material must be planted and harvested within the licensing period. Indoor grown hemp must be planted within the license period, and harvesting can take place in a concurrent license period after license renewal that occurs within 30 days of the previous license expiration.

E. No hemp plants shall be included in other licensed cannabis production programs. No growing area may contain Cannabis sativa L . plants which the licensee knows or has reason to know are of a variety that will produce a plant that, when tested, will contain more than 0.3% total THC on a dry weight basis or as otherwise defined in federal law.

F. Amendments to an existing grower license are limited to reduction in the number of acres or square footage planted within the original growing area and changes to contact information.

Any grower licensee who wishes to reduce the growing area for hemp cultivation must submit to the Department, within 10 days of planting, an updated detailed description of the growing area including global positioning system location and map or a new floor plan for an indoor facility for each lot.

Additions to the original growing area must be done through a new grower license application and new license agreement.

Annual grower license fees are calculated based on the acreage reported in the application. No reimbursements of license fees shall result from a reduction in the actual number of acres or square footage of hemp planted during any licensing year.

Any changes related to the information required under Section II(C) of this rule must be reported to the Department within 10 days of the change.

Grower licenses are non-transferrable.

IV. Sampling and Inspection

A. All licensed hemp lots may be subject to sampling to verify that the total THC concentration of the hemp variety or strain planted does not exceed the acceptable hemp THC level. Sampling is required unless the hemp is grown exclusively for microgreens, immature plants for human or animal food or feed, seedlings or a Department approved variety or strain that meets the requirements for performance based sampling, including:

Varieties that have consistently demonstrated to result in compliant hemp plants;

When a producer is conducting research on hemp and the plants will not enter commerce or will be destroyed; and

When a producer has consistently produced compliant hemp plants over an extended period of time.

B. The grower licensee will be notified prior to inspection and sampling. During inspection and sampling, the licensee or an authorized representative must allow complete and unrestricted access to all hemp plants within the licensed growing area.

C. Unless exempted by Section IV(A), all hemp lots must be sampled prior to harvest. If a lot has not been sampled within 30 days prior to the intended harvest date, the licensee must notify the Department of the intent to harvest the hemp lot and allow for sampling.

D. All hemp plants within each lot may be sampled to ensure compliance with all the requirements of this chapter.

Each sample will be divided into two parts. One part will be used for testing, and the other retained for retesting.

Quantitative laboratory determination of the total THC concentration on a dry weight basis will be performed.

A sample test result greater than 0.3% total THC or as otherwise defined in federal law shall be prima facie evidence that at least one Cannabis sativa L. plant or part of a plant in the licensed growing area contains THC above the allowable limit and the licensee is therefore not in compliance. Such a result shall be grounds to suspend or revoke the hemp license, subject to an opportunity for the licensee to request a hearing. Any request for a hearing must be made to the Department, in writing, within 10 days of the receipt of the sample test result. Sample test results may be provided to the appropriate law enforcement agencies.

The grower licensee may request a retest of the retained portion of the sample. Any request for retesting must be made to the Department, in writing, within 10 days of the receipt of test results. The grower licensee must pay all analysis costs and shipping fees associated with the retest. If a retest is conducted, the results of the retest shall be final.

Upon completion of testing, any remaining samples will be destroyed 10 days after receipt of test results.

If a harvested lot exceeds the total THC limit, then the ISO 17025 accredited laboratory shall send the certificate of analysis containing the result within 24 hours of completing the lot test to the Department by electronic mail.

The Department will provide the certificate of analysis for the harvested lot to the licensed grower and request the licensee respond within 48 hours by providing a proposed action plan for disposal, destruction, or remediation of the non-compliant hemp crop.

The proposed action plan for disposal and destruction of harvested lot(s) will be reviewed and approved by the Department prior to implementation.

Failure to respond to the Department within 48 hours as required by chapter 274 section IV(D)(7) above may be enforced as a civil violation and shall be grounds for license suspension or revocation.

A harvested lot exceeding the acceptable potency level shall not be processed into hemp concentrate or used to formulate hemp products or hemp-infused products. Concentrate, products or infused products created from such a harvest lot may result in the required disposal or destruction of those concentrates or products.

The grower licensee is responsible for the full cost of disposal, destruction and/or remediation.

V. Violations

A. Any violation of 7 M.R.S.A §2231, or of these rules, may be enforced as a civil violation and shall be grounds for license suspension or revocation. Such violations include, but are not limited to:

Failure to comply with any term or condition of the grower license agreement;

Failure to provide any information required or requested by the Department for purposes of enforcing the hemp law or these rules;

Providing false, misleading or incorrect information pertaining to the licensee’s cultivation of hemp to the Department by any means, including but not limited to information provided in any application, report, record or inspection required or maintained for purposes of the hemp law or these rules;

Failure to provide a legal description of the land or building/facility where hemp is produced;

Failure to submit a required report;

Failure to pay required fees;

Failure to destroy any crop following grower license revocation in accordance with Section V(B), below;

Growing Cannabis sativa L. that when tested is shown to have a total-THC concentration greater than 0.3% on a dry weight basis or as otherwise defined in federal law; or,

Refusal or failure by a licensee or authorized representative to fully cooperate and assist with the inspection process.

B. When instructed to correct a violation, the grower licensee must:

propose a written corrective action plan to the Department within 10 days of receipt of any notice of violation. The plan shall also include a proposed date for completion of the corrective action plan

obtain written Department approval for the corrective action plan;

comply with the approved corrective action plan; and

report to the Department in writing every six months for the next two calendar years explaining how the registrant is complying with 7 M.R.S.A. §2231 and CMR 01-001 Chapter 274.

C. A grower licensee that negligently produces Cannabis sativa L. with a total-THC concentration greater than 0.3% on a dry weight basis or otherwise defined in federal law must arrange for destruction of the non-compliant hemp crop.

D. A person who negligently violates these rules three times in a five-year period shall be ineligible to produce hemp for a period of five years beginning on the date of the third violation.

E. Licenses that are revoked for any reason will result in crop destruction.

The licensee must destroy the crop in a manner approved by the Department within 10 days of notification of license revocation.

The licensee is responsible for paying all costs associated with crop destruction.

VI. Other Violations

If the Commissioner determines that a licensee intentionally, willfully, and/or knowingly violated 7 M.R.S.A. §§ 2231, 2157, 2158-A, or these rules, the Department may take more significant enforcement action than if the licensee made a good faith effort to comply with the law and these rules.

VII. Severability

The provisions of this rule are severable. If any provision of this rule is invalid, or if any application of this rule to any person or circumstance is invalid, the invalidity shall not affect any other provisions or applications which can be given effect without the invalid provision or application.

History

• STATUTORY AUTHORITY: 7 M.R.S. Chapter 406-A §2231
• EFFECTIVE DATE: April 4, 2016 – filing 2016-058
• AMENDED: February 4, 2020 – filing 2020-015
• AMENDED: February 19, 2023 – filing 2023-024
• ACCESSIBILITY CHECK: July 9, 2025
• ACCESSIBILITY CHECK: NONSUBSTANTIVE EDITS BY APAO (correction of a cross-reference in § I, sub-§ A; addition of more headings in the rule document): September 10, 2025

Chapter 275 Emerald Ash Borer Quarantine

Code Me. R. 01-001 Ch. 275 Emerald Ash Borer Quarantine {#sec-01-001-ch.-275 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 275}

SUMMARY: This chapter establishes a quarantine against the Emerald Ash Borer ( Agrilus planipennis ) (EAB) to prevent its movement from infested areas outside the State and parts of Aroostook, Franklin, Oxford, Penobscot, Piscataquis and Somerset Counties and all of Androscoggin, Cumberland, Kennebec, Knox, Lincoln, Sagadahoc, Waldo and York Counties within the State to uninfested parts of the State, to protect Maine's forest, ornamental tree, and timber resources.

SECTION 1: DEFINITIONS

1. Certificate. A document in which an inspector affirms that a specified regulated article is free of emerald ash borer and may be moved to any destination outside the area under quarantine.

2. Compliance Agreement. A written agreement between the State of Maine, Department of Agriculture, Conservation and Forestry, and a person engaged in growing, handling, receiving, or moving regulated articles, in which the person agrees to comply with its specified provisions.

3. Infested. The presence of emerald ash borer or the existence of the circumstances that make it reasonable to believe that the emerald ash borer is established.

4. Inspector. Any Maine Department of Agriculture, Conservation and Forestry employee or other person authorized by the commissioner to enforce this chapter. The State Plant Regulatory Official may also authorize an inspector from another state where the regulated article originates.

5. Limited Permit. A document in which an inspector affirms that the regulated article identified on the document is eligible for movement in accordance with this chapter only to a specified destination and only in accordance with specified conditions.

6. Person. Any association, company, corporation, firm, individual, joint stock company, partnership, society, or other entity.

7. Trip Ticket. A form used to identify the origin and destination of a truckload of wood in accordance with 10 M.R.S. Chapter 501, Subchapter II-A.

SECTION 2: EMERALD ASH BORER QUARANTINE

A quarantine is established against the following pest and possible carriers.

1. Pest. Emerald ash borer ( Agrilus planipennis ).

2. Regulated Articles

The emerald ash borer;

Firewood of all hardwood (non-coniferous) species;

Ash ( Fraxinus spp. ) species: rooted plants, green lumber with any bark, live edge, or wane, and other material living, dead, cut, or fallen, including logs, stumps, roots, and branches of the genus Fraxinus; and

Any other article, product, or means of conveyance not listed in paragraphs A, B, or C may be designated as a regulated article if an inspector determines that it presents a risk of spreading emerald ash borer and notifies the person in possession of the article, product, or means of conveyance that it is subject to the restrictions of the regulations.

3. Area Under Quarantine.

The entire counties of Androscoggin, Cumberland, Kennebec, Knox, Lincoln, Sagadahoc, Waldo, and York;

The northeast portion of Aroostook County including the following Minor Civil Divisions: Allagash, Caswell, Connor Twp, Cross Lake Twp (T17 R5 WELS), Cyr Plt, Eagle Lake, Fort Kent, Frenchville, Grand Isle, Hamlin, Madawaska, Madawaska Lake Twp (T16 R4 WELS), New Canada, New Sweden, Saint Agatha, Saint Francis, Saint John Plantation, Sinclair Twp (T17 R4 WELS), Stockholm, T16 R5 WELS, T16 R6 WELS, T16 R8 WELS, T16 R9 WELS, Van Buren Cove Township (T17 R3 WELS), Van Buren, and Wallagrass;

Southern Franklin County including the following Minor Civil Divisions: Avon, Carthage, Chesterville, Farmington, Industry, Jay, Madrid Twp, New Sharon, New Vineyard, Perkins Twp, Phillips, Rangeley, Rangeley Plt, Sandy River Plt, Strong, Temple, Township 6 North of Weld, Township D, Township E, Washington Twp, Weld, and Wilton;

Most of Oxford County including the following Minor Civil Divisions: Adamstown Twp, Albany Twp, Andover, Andover North Surplus Twp, Andover West Surplus Twp, Batchelders Grant Twp, Bethel, Brownfield, Buckfield, Byron, C Surplus, Canton, Denmark, Dixfield, Fryeburg, Gilead, Grafton Twp, Greenwood, Hanover, Hartford, Hebron, Hiram, Lincoln Plt, Lovell, Magalloway Twp, Mason Twp, Mexico, Milton Twp, Newry, Norway, Otisfield, Oxford, Paris, Peru, Porter, Richardsontown Twp, Riley Twp, Roxbury, Rumford, Stoneham, Stow, Sumner, Sweden, Township C, Upton, Waterford, West Paris, and Woodstock;

Southern Penobscot County including the following Minor Civil Divisions: Alton, Argyle Twp, Bangor, Bradford, Brewer, Carmel, Charleston, Corinna, Corinth, Dexter, Dixmont, Eddington, Etna, Exeter, Garland, Glenburn, Hampden, Hermon, Holden, Hudson, Indian Island, Kenduskeag, Levant, Newburgh, Newport, Old Town, Orono, Orrington, Plymouth, Stetson, and Veazie;

Southern Piscataquis County including the following Minor Civil Divisions: Abbot, Atkinson Twp, Dover-Foxcroft, Guilford, Milo, Orneville Twp, Parkman, Sangerville, Sebec, and Wellington;

Southern Somerset County including the following Minor Civil Divisions: Anson, Athens, Brighton Plt, Cambridge, Canaan, Cornville, Detroit, Fairfield, Harmony’ Hartland, Madison, Mercer, Norridgewock, Palmyra, Pittsfield, Ripley, Saint Albans, Skowhegan, Smithfield, Solon, and Starks;

AND

Within the United States, entire states of Alabama, Arkansas, Connecticut, District of Columbia, Delaware, Georgia, Illinois, Indiana, Iowa, Kentucky, Maryland, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Vermont, Virginia, West Virginia, Wisconsin, and any additional parishes, counties or other civil divisions that are infested with emerald ash borer as determined by the state agency with regulatory authority, United States Department of Agriculture, Animal & Plant Health Inspection Service or the United States Forest Service. Including all areas listed on the most current version of the Emerald Ash Borer Known Infested Counties map as published by USDA-APHIS-PPQ and currently found on the World Wide Web at: https://www.aphis.usda.gov/aphis/maps/plant-health/eab-map;

AND

All Canadian provinces, counties, regional districts, or other civil divisions infested with emerald ash borer as determined by provincial authorities or the Canadian Food Inspection Agency (CFIA). Including all areas listed on the most current version of the Emerald Ash Borer Regulated Areas of Canada map published by CFIA on the World Wide Web at https://www.inspection.gc.ca/DAM/DAM-plants-vegetaux/STAGING/text-texte/pestrava_agrpla_ministerial_pdf_1337372111445_eng.pdf.

AND

Any other infested areas as determined by the Commissioner of the Department of Agriculture, Conservation and Forestry and posted on a map published on the Department website.

SECTION 3: MOVEMENT OF REGULATED ARTICLES

Regulated articles may be moved from a quarantined area only if moved under the conditions described in Sections 4 and 5 of this rule.

SECTION 4: INTRASTATE MOVEMENT OF REGULATED ARTICLES

1. Movement within Quarantined Areas – Movement of a regulated article solely within the quarantined area of the state is allowed without restriction.

2. Movement out of a Quarantined Area with Certificate – Regulated articles for which a certificate has been issued in accordance with this chapter may be moved out of a quarantined area provided the following conditions are met:

A. The regulated article originated outside the quarantine area and has not been exposed to emerald ash borer while in this area; OR

B. The regulated article is moved directly through the quarantined area without stopping (except for refueling or for traffic conditions, such as traffic lights or stop signs) or has been stored, packed, or handled at locations approved by an inspector as not posing a risk of infestation by emerald ash borer; OR

C. The regulated article has been grown, produced, manufactured, stored, or handled in a manner that, in the inspector’s judgment, prevents the regulated article from presenting a risk of spreading emerald ash borer.

3. Movement out of a Quarantined Area without a Certificate – Regulated articles for which no certificate has been issued in accordance with this chapter may be moved out of a quarantined area provided the article is moved by the Maine Department of Agriculture, Conservation and Forestry for experimental or scientific purposes.

4. Movement out of a Quarantined Area Pursuant to a Limited Permit - Regulated articles may be moved out of a quarantined area under a limited permit issued by the Maine Department of Agriculture, Conservation and Forestry if the regulated article is to be moved to a specified destination for specified handling, processing, or utilization, and this movement will not result in the spread of the emerald ash borer. The destination and other conditions must be listed in the limited permit.

5. Movement under a Compliance Agreement - Regulated articles may be moved out of a quarantined area if the regulated article is to be moved under a compliance agreement for specified handling, processing, or utilization, and this movement will not result in the spread of the emerald ash borer. The destination and other conditions must be listed in the compliance agreement.

6. Transiting Quarantined Areas – Regulated articles that originate outside the quarantined area may transit through the quarantined area without a certificate or limited permit only if:

A. The regulated article is safeguarded in an enclosed vehicle or with adequate covering against infestation during the months of May through September; and

B. The point of origin of the regulated article is specified on the waybill, invoice, or shipping document accompanying the shipment.

7. Transiting Non-Quarantined Areas – Regulated articles which move from a quarantined area to another quarantined area and which transit a non-quarantined area may do so under a limited permit or compliance agreement provided the regulated article is in a completely enclosed vehicle during the months of May through September, and the vehicle moves through the quarantined area without stopping, except for drop-off loads, refueling, or traffic conditions such as traffic lights or stop signs.

8. Other Federal or State Requirements - The regulated article moving under a certificate or limited permit must also be eligible for unrestricted movement under all other Federal and State quarantines applicable to the regulated article.

SECTION 5: IMPORTING EMERALD ASH BORER; PROHIBITION

1. No person may import living emerald ash borer ( Agrilus planipennis ) into Maine except pursuant to a limited permit specifically authorizing movement of this pest.

2. No person may import into Maine any of the regulated articles listed in Section 2 of this rule if those regulated articles originate from or have been exposed to the environment in any infested area except pursuant to a limited permit specifically authorizing the movement of that article.

SECTION 6: ATTACHMENT AND DISPOSITION OF CERTIFICATES AND LIMITED PERMITS

1. Attachment - A certificate or limited permit required for the movement of a regulated article must be attached to the outside of the container containing the regulated article or to the regulated article itself, if not in a container, at all times during the movement. The requirements of this section may also be met by attaching the certificate or limited permit to the consignee’s copy of the waybill, invoice, or shipping document, provided the regulated article is sufficiently described on the certificate or limited permit and on the waybill, invoice, or shipping document, to identify it. For logs, the requirements of this section may also be met by a statement stamped on a trip ticket accompanying the shipment, which attests to the fact that the regulated articles in the shipment are being moved under a certificate or limited permit issued by the State of Maine and meets all the terms and conditions of this chapter. Stamps attesting to these requirements can only be affixed to a trip ticket by a person who has entered into a compliance agreement with the State of Maine.

2. Disposition - The certificate or limited permit for the movement of a regulated article must be furnished by the carrier to the consignee at the destination of the regulated article.

SECTION 7: VIOLATIONS

1. The Maine Department of Agriculture, Conservation and Forestry may cancel a written compliance agreement or limited permit based on a violation of, or non-compliance with, any of its terms or conditions or any other provision of this rule. If the person has been given notice of cancellation orally, written confirmation of the decision and the reasons for it will be provided within ten working days. The Department may reinstate written agreements if it finds that the reason(s) for cancellation has (have) been rectified.

2. A person who violates this rule commits a civil violation punishable under 7 M.R.S.A. § 2303.

EFFECTIVE DATE:

April 10, 2019 – filing 2019-062

AMENDED:

March 15, 2020 – filing 2020-049

April 21, 2021 – filing 2021-083

November 26, 2023 – filing 2023-240

ACCESSIBILITY CHECK: July 9, 2025

Chapter 302 Method of Sale of Commodities

Code Me. R. 01-001 Ch. 302 Method of Sale of Commodities {#sec-01-001-ch.-302 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 302}

SUMMARY: The Model State Method of Sale of Commodities Regulation prescribes the proper units of measurement for food and nonfood commodities.

1. Conformity to National Method of Sale Regulations

10 MRSA §2628 states "The methods, units, terms and other requirements for the sale of commodities, as adopted by the National Conference on Weights and Measures and published in the National Bureau of Standards, 'Model State Method of Sale of Commodities Regulation,' and supplements thereto or revisions thereof, shall apply to the sale of commodities in the State of Maine, except insofar as specifically modified, amended or rejected by a regulation issued by the state sealer.'

Note: Copies may be obtained by writing to: Division of Regulations, Maine Department of Agriculture, Conservation and Forestry, 28 State House Station, Augusta, Maine 04333 or the Office of Weights and Measures, National Bureau of Standards, Washington, D. C. 20234.

2. Modification to Permit Sale of Milk in Three Quart Volume

The State Sealer specifically modifies and amends section 1.6. (a) of the Model State Regulation for the Method of Sale of Commodities (1983), as adopted by the 1982 National Conference on Weights and Measures and published by the National Bureau of Standards in N.B.S. Handbook 130 (1983), to read as follows:

"1.6. FLUID MILK PRODUCTS.--All fluid milk products, including but not limited to milk, lowfat milk, skim milk, cultured milks, and cream shall be packaged for retail sale only in volumes per subsection 1.6(a), or subsection 1.6(b) or (c): Provided, that inch-pound sizes less than 1 gill and metric sizes less than 100 milliliters shall be permitted, ( and further provided that the sale of fluid milk products in the inch-pound volume of three liquid quarts shall be automatically suspended for any time during the life of this second proviso when there is not in effect a valid minimum wholesale and/or retail price or prices established for the three-quart container by the Maine Milk Commission. This second proviso shall become effective upon the effective date of the August, 1983 amendment to this chapter, and shall expire upon issuance by the Maine Milk Commission of its first order establishing minimum prices for all package sizes and types regulated by that body on the basis of the major investigation and hearing currently pending before it.

(a) Inch-Pound Volumes - 1 gill, 1/2 liquid pint, 10 fluid ounces, 1 liquid pint, 1 liquid quart, 1/2 gallon, 3 liquid quarts, 1 gallon, 1-1/2 gallons, 2 gallons, 1-1/2 gallons, or multiples of 1 gallon."

History

• STATUTORY AUTHORITY: 10 MRSA §2628
• EFFECTIVE DATE: October 3, 1973
• AMENDED: August 16, 1983
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 15, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 302 page 2

Chapter 303 Packaging and Labelling

Code Me. R. 01-001 Ch. 303 Packaging and Labeling {#sec-01-001-ch.-303 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 303}

SUMMARY: Definition of package; declaration of identity, responsibility and quantity; prominence and placement of label on all packages offered for sale in the State.

1. Conformity to National Packaging and Labeling Regulations

10 MRSA §2629 provides that "the packaging and labeling requirements for consumer and nonconsumer packages, as adopted by the National Conference on Weights and Measures and published in the National Bureau of Standards, 'Model State Packaging and Labeling Regulation,' and supplements thereto or revisions thereof, shall apply to any package kept for the purpose of sale or offered or exposed for sale in the State of Maine, except insofar as specifically modified, amended or rejected by a regulation issued by the state sealer."

Note: Copies of the regulations on packaging and labeling may be obtained by writing the Division of Inspections, Department of Agriculture, 28 State House Station, Augusta, Maine 04333, or the Office of Weights and Measures, National Bureau of Standards, Washington, D.C. 20234.

History

• STATUTORY AUTHORITY: 10 MRSA §2629
• EFFECTIVE DATE: October 3, 1973
• ACCEPTED FOR FILING: October 16, 1978 (Secretary of State)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 303 page 1

Chapter 304 Weights and Measures

Code Me. R. 01-001 Ch. 304 Weights and Measures {#sec-01-001-ch.-304 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 304}

SUMMARY: National Bureau of Standards, Handbook 44 as adopted by the National Conference on Weights and Measures is the technical requirements, specifications and tolerances for commercial weights and measures, and weighing and measuring devices.

1. Technical Requirements for Commercial Devices

10 MRSA §2353 provides that "specifications, tolerances and other technical requirements for commercial weighing and measuring devices as adopted by the National Conference on Weights and Measures and published in National Bureau of Standards Handbook 44, 'Specifications, Tolerances and Other Technical Requirements for Commercial Weighing and Measuring Devices,' and supplements thereto or revisions thereof, shall apply to commercial weighing and measuring devices in the State, except insofar as modified or rejected by regulation."

Note: Copies may be purchased at cost from the Office of Weights and Measures, National Bureau of Standards. Washington, D.C., 20234. Spare copies are kept in the Department of Agriculture, Division of Inspections for viewing. Many public and law libraries will have copies although they may not be up to date.

History

• STATUTORY AUTHORITY: 10 MRSA §2353
• EFFECTIVE DATE: October 3, 1973
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: May 19, 2008 – bolding
• NON-SUBSTANTIVE CORRECTIONS: Corrections:
• NON-SUBSTANTIVE CORRECTIONS: February, 2014 – agency names, formatting
• NON-SUBSTANTIVE CORRECTIONS: 01-001 Chapter 304 page 1

Chapter 306 Regulations for Adoption of Type Evaluation of Weighing and Measuring Devices

Code Me. R. 01-001 Ch. 306 Regulations for Adoption of Type Evaluation of Weighing and Measuring Devices {#sec-01-001-ch.-306 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 306}

1. DEFINITIONS

2. Type approval - The term "type approval" means an approval granted to a device manufacturer or distributor by the State Sealer covering a specific type of weighing or measuring equipment, which, for purposes of identification, is assigned a designation that positively identifies the model, pattern, or design of the device.

3. National type evaluation program - The term "National Type Evaluation Program" shall be construed to mean a program of cooperation between the National Institute of Standards and Technology, the National Conference on Weights and Measures, the States, and the private sector for determining, on a uniform basis, conformance of a type with the relevant provisions of National Institute of Standards and Technology Handbook 44, "Specifications, Tolerances and other Technical Requirements for Weighing and Measuring Devices”, National Institute of Standards and Technology Handbook 105-1, "Specification and Tolerances for Reference Standards and Field Standard Weights (NIST Class F)." National Institute of Standards and Technology Handbook 105-2, "Specifications and Tolerances for Reference Standards and Field Standard Weights and Measures, Specification and Tolerances for Field Standard Measuring Flask", or National Institute of Standards and Technology Handbook 105-3, "Specifications and Tolerances for Reference Standards and Field Standard Weights and Measures, Specifications and Tolerances for Graduated Neck Type Volumetric Field Standards."

4. Type evaluation - The term "type evaluation" shall be construed to mean the testing, examination, and/or evaluation; of a type by a participating laboratory under the National Type Evaluation Program.

5. Type - The term "type" shall be construed to mean a model or models of a particular measurement system, instrument, element, or a field standard that positively identifies the design. A specific type may vary in its measurement ranges, size, performance and operating characteristics as specified in the Certificate of Conformance.

6. Participating laboratory - The term "Participating Laboratory" shall be construed to mean any State Measurement Laboratory that has been certified by the National institute of standards and Technology, in accordance with its program for the Certification of Capability of State Measurement Laboratories, to conduct a type evaluation under the National Type Evaluation Program.

7. Certificate of Conformance - The term "Certificate of Conformance" shall be construed to mean a document issued by the National Institute of Standards and Technology based on testing in participating laboratories, said document constituting evidence of conformance of a type with the requirements of National Institute of Standards and Technology Handbooks 44, 1051, 105-2, 105-3.

8. Requirements

Type approval requirement - No Weighing or measuring device shall be sold, offered for sale, or used in the state unless that device is given type approval by the State Sealer. Said type approval shall be granted by the State Sealer upon his determination that the design or pattern of the device is such that it will perform accurately and correctly.

A. Exceptions to type approval requirement Type approval shall not be required when:

(a) In the case of an individual device, the State Sealer permits the sealing of the device for testing purposes, or to prevent economic hardship;

(b) The State Sealer deems the device or piece of equipment to be of such simple design and predictable response that considerations beyond the accuracy and correctness of individual devices are unnecessary; or

(c) The device has received a certificate of conformance in accordance with the National Type Evaluation Program.

History

• STATUTORY AUTHORITY: 10 MRSA §2402(3)
• EFFECTIVE DATE: October 6, 1993
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 306 page 2

Chapter 307 Fees for Testing Weighing and Measuring Devices

Code Me. R. 01-001 Ch. 307 Fees for Testing Weighing and Measuring Devices {#sec-01-001-ch.-307 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 307}

SUMMARY: This chapter establishes fees of the State Sealer and the Sealers of Weights & Measures to be paid by the person for whom service is rendered.

1. DEFINITIONS

For purposes of this rule the following terms shall have the following meanings.

CNG: Compressed Natural Gas

Dispensing Nozzle: A dispensing nozzle is one which is capable of dispensing a single grade of product. Each additional grade of product dispensed from a single nozzle shall constitute an additional dispensing nozzle.

LNG: Liquefied Natural Gas

LPG: Liquefied Petroleum Gas also referred to Propane or Butane

2. FEES

A. Scale capacity of 110,000 pounds or over, $200.00.

B. Scale capacity of 10,000 pounds to 109,999 pounds, $150.00.

C. Scale capacity of 5,000 to 9,999 pounds, $80.00.

D. Scale capacity of 1,500 pounds to 4,999 pounds, $70.00.

E. Scale capacity of 500 pounds to 1,499 pounds, $35.00.

F. All other scales, $20.00.

G. Hopper Batching Scales, $125.00.

H. Monorail Scales, $75.00.

I. Taximeters, $30.00.

J. Retail Motor Fuel Dispensers, $20.00 annual registration per dispensing nozzle.

K. Vehicle Tank Meters, $75.00.

L. Wholesale Terminal or Rack Meters, $150.00.

M. LPG/CNG & LNG Meters, $100.00.

N. Linear Measuring Devices/Cordage Meters, $20.00.

O. Calibrating Vehicle tanks, $80.00 for the first 100 gallons, $2.00 for each additional 100 gallons or fractional part thereof and $20.00 for each capacity indicator.

P. Testing Railroad Track Scales not using State of Maine owned standards, $250.00.

Q. Requested hire of State of Maine standards and equipment shall be charged mileage at a rate of $1.00 per mile round trip and a rate of $80.00 per hour while on-site for each State of Maine testing unit used.

R. Weighing and measuring devices and equipment tested or calibrated in the Maine Metrology Laboratory shall be charged at a rate of $80.00 per hour.

S. Coin Operated Timing Devices, $20.00 (such as car wash, parking meters, laundries, vacuum cleaners and air dispensers).

T. Retort Thermometers, $30.00.

U. Herring Boat Calibrations, $4.00 per Hogshead (HH) for the first 100HH or part thereof, plus $1.00 for each additional HH or part thereof in excess of 100HH, plus the cost of rental pump.

History

• STATUTORY AUTHORITY: Title 10 MRS §2701
• EFFECTIVE DATE: July 1, 1977 (APA Office Note: this date is prior to the Maine Administrative Procedure Act and is stated in the 1981 rule filing below.)
• AMENDED: November 28, 1981 – filing 81-285
• AMENDED: February 16, 1991- filing 91-57
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 18, 2017 – filing 2017-202

Chapter 308 Roadside Advertising of Gasoline and Gasoline Pricing

Code Me. R. 01-001 Ch. 308 Roadside Advertising of Gasoline and Gasoline Pricing {#sec-01-001-ch.-308 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 308}

SUMMARY: Roadside signs advertising the retail price of gasoline (and other automotive fuels) must display the price charged per gallon. Advertisement of the price charged per half-gallon is prohibited on roadside signs. Road-side signs may advertise the price charged per liter so long as the price charged per gallon also appears on such signs. Retail motor fuel dispensers must calculate and display sales either in total gallons and dollars or total liters and dollars.

1. Roadside signs

A. Definitions. For purposes of this chapter, the following words shall have the following meanings:

1. "Gasoline" includes gasoline, diesel fuel sold for automotive use, and gasohol.

2. A "roadside sign" is any type of sign or notice located on or near a gasoline filling station which advertises the price of gasoline being sold at that station and is visible to motorists passing by that station.

B. Required Disclosure. In order to avoid consumer confusion and facilitate price comparison, all roadside signs must display the price charged per whole gallon. No roadside sign shall display the price charged per half-gallon. Dollar numerals shall be as large or larger than cent numerals. Fractional cent numerals shall be at least one-half (1/21 the height and one-half (1/2) the width of the cent numerals. There must be a clear interval between numerals. Incomplete roadside signs, including those with numerals missing or obscured, must be completed, corrected or the numerals removed.

C. Additional Optional Disclosure on Metric Sales. In order to avoid consumer confusion and facilitate price comparison, gasoline filling stations selling gasoline by the liter may also display the price charged per liter on roadside signs. The word "liter," or an abbreviation thereof, must prominently appear in conjunction with the price displayed. The provisions of subsection B above also apply to such signs. on roadside signs displaying both a per-gallon and per-liter price, the numerals of the per-gallon price must be no less than one-half the height and one-half the width of the numerals of the per-liter price.

2. Retail Sales of Gasoline

As of January 1, 1982 all retail motor fuel dispensers must compute and display any retail sale of gasoline as specified in either subsection A or subsection B below.

A. Sale by the Gallon

1. Calibrate the dispenser to pump gasoline by the gallon And to register the unit price in cents per gallon.

2. Compute and display the sale in whole gallons and total dollars.

B. Sale by the Liter

1. Calibrate the dispenser to pump gasoline by the liter and to register the unit price in cents per liter.

2. Affix labels to the face of the pump using figures that are the same size as or larger than existing figures, as follows: (a) immediately beneath the unit price indication, add the term "cents per liter"; (b) immediately beneath "cents per liter" add the equivalent unit price per gallon; (c) immediately beneath the total volume display, add the term "liters." To illustrate:

$

2

7

2

Total Sale

1

0

0/10

Liters

2

7

2/10

Cents per Liter

$1.03 PER GALLON

3. Responsibility for Compliance

Both the owner and operator of a gasoline filling station shall be responsible for complying with the provisions of this chapter.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §§ 2402(3)& (14), 2622
• EFFECTIVE DATE: In order to allow the industry sufficient time to comply with the amendments of this chapter, the effective date shall be January 1, 1982 except for section l(B) which shall become effective July 10, 1981.
• EFFECTIVE DATE: Original Chapter 308 was effective May 1, 1980.
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 308 page 3

Chapter 309 Multiple Draft Weighing

Code Me. R. 01-001 Ch. 309 Multiple Draft Weighing {#sec-01-001-ch.-309 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 309}

SUMMARY: This rule allows multiple draft weighing of vehicles when the State Sealer so authorizes.

1. Definitions

a. Multiple draft weighing: "Multiple draft weighing" means the weighing of the load being carried on a motor vehicle of which all of the axles or axle groups cannot be simultaneously weighed, by weighing the individual axle loads or axle group loads, adding the results and accepting their sum as the total weight of the load.

b. Person: "Person" means both plural and the singular, as the case demands, and includes individuals, partnerships, corporations, companies, societies and associations.

2. Multiple draft weighing is prohibited except when authorized in writing by the State Sealer.

3. Any person proposing to use multiple draft weighing shall send a written request to the State Sealer for authorization to do so, supplying all information necessary for the State Sealer to determine whether to issue the authorization.

4. Multiple draft weighing shall be authorized and may be used only where:

a. The State Sealer has determined that the equipment and method used result in a weight which is accurate within +/- .2%;

b. The parties to a transaction in which multiple draft weighing is to be used have agreed In writing to Its use and the State Sealer has received a copy of their agreement; and

c. The weight obtained is not used to determine the value of or payment for the commodity weighed.

5. The State Sealer may attach reasonable conditions to any authorization, including but not limited to the term of the authorization, the type of equipment and method of use, the manner in which the weighing is conducted, and any required studies, recordkeeping and reporting.

6. No alteration or change In the weight obtained may be made on account of the use of the multiple draft weighing or on account of any equipment used or the method of its use.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2353, §2402
• EFFECTIVE DATE: September 30, 1985
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 309 page 2

Chapter 311 Commercial Feed

Code Me. R. 01-001 Ch. 311 Commercial Feed {#sec-01-001-ch.-311 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 311}

SUMMARY: Provides manufacturer and/or distributor of commercial feeds information as to how feed ingredients and/or mixtures shall be labeled as to guarantees, listing of ingredients, drugs and feed additives, use and cautionary statements and any other information as to limitations and/or prohibitions that may be necessary to protect man and animal.

1. Definitions and Terms

A. The names and definitions for commercial feeds shall be the Official Definition of Feed Ingredients adopted by the Association of American Feed Control Officials, except as the Commissioner designates otherwise in specific cases.

B. The terms used in reference to commercial feeds shall be the Official Feed Terms adopted by the Association of American Feed Control Officials, except as the Commissioner designates otherwise in specific cases.

C. The following commodities are hereby declared exempt from the definition of commercial feed, under the provisions of Section 712 (2) of the Act: hay, straw, stover, silages, cobs, husks, and hulls when unground and when not mixed or intermixed with other materials: Provided that these commodities are not adulterated within the meaning of Section 717 (1), of the Act.

2. Label Format

Commercial feeds shall be labeled with the information prescribed in this regulation on the principal display panel of the product and in the following general format:

A. Net weight

B. Product name and brand name if any

C. If drugs are used:

1. The word "medicated" shall appear directly following and below the product name in type size no smaller than one half the type size of the product name.

2. The purpose of medication (claim statement).

3. The required direction for use and precautionary statements or reference to their location if the detailed feeding directions and precautionary statements required by Regulations 6 and 7 appear elsewhere on the label.

4. An active drug ingredient statement listing the active drug ingredients by their established name and the amounts in accordance with Regulation 4 D.

D. The guaranteed analysis of the feed as required under the provisions of Section 715 (1) (C) of the Act include the following items, unless exempted in 8 of this subsection, and in the order listed:

1. Minimum percentage of crude protein.

2. Maximum percentage of equivalent protein from non-protein nitrogen as required in Regulation 4 E.

3. Minimum percentage of crude fat.

4. Maximum percentage of crude fiber.

5. Minerals, to include, in the following order: a, minimum and maximum percentages of calcium (Ca), b, minimum percentages of phosphorus (P), c, minimum and maximum percentages of salt (NaCl), and d, other minerals.

6. Vitamins in such terms as specified in Regulation 4 C.

7. Total Sugars as Invert on dried molasses products or products being sold primarily for their molasses content.

8. Exemptions

a. Guarantees for minerals are not required when there are no specific label claims and when the commercial feed contains less than 6% of mineral elements.

b. Guarantees for vitamins are not required when the commercial feed is neither formulated for nor represented in any manner as a vitamin supplement.

c. Guarantees for crude protein, crude fat, and crude fiber are not required when the commercial feed is intended for purposes other than to furnish these substances or they are of minor significance relating to the primary purpose of the product, such as drug premixes, mineral or vitamin supplements, and molasses.

E. Feed ingredients, collective terms for the grouping of feed ingredients, or appropriate statements as provided under the provisions of Section 715 (1) (D) of the Act.

1. The name of each ingredient as defined in the Official Definitions of Feed Ingredients published in the Official Publication of the Association of American Feed Control Officials , common or usual name, or one approved by the Commissioner.

2. Collective terms for the grouping of feed ingredients as defined in the Official Definitions of Feed Ingredients published in the Official Publication of the Association of American Feed Control Officials in lieu of the individual ingredients; Provided that:

a. When a collective term for a group of ingredients is used on the label, individual ingredients within that group shall not be listed on the label.

b. The manufacturer shall provide the feed control official, upon request, with a listing of individual ingredients, within a defined group, that are or have been used at manufacturing facilities distributing in or into the state.

F. Name and principal mailing address of the manufacturer or person responsible for distributing the feed. The principal mailing address shall include the street address, city, state and zip code; however, the street address may be omitted if it is shown in the current city directory or telephone directory.

G. The information required in Section 715 (1) (A)-(E) of the Act must appear in its entirety on one side of the label or on one side of the container. The information required by Section 715 (1) (F)-(G) of the Act shall be displayed in a prominent place on the label or container but not necessarily on the same side as the above information. When the information required by Section 715 (1) (F)-(G) is placed on a different side of the label or container, it must be referenced on the front side with a statement such as "see back of label for directions for use". None of the information required by Section 715 of the Act shall be subordinated or obscured by other statements or designs.

3. Brand and Product Names

A. The brand or product name must be appropriate for the intended use of the feed and must not be misleading. If the name indicates the feed is made for a specific use, the character of the feed must conform therewith. A mixture labeled "Dairy Feed", for example, must be suitable for that purpose.

B. Commercial, registered brand or trade names are not permitted in guarantees or ingredient listings.

C. The name of a commercial feed shall not be derived from one or more ingredients of a mixture to the exclusion of other ingredients and shall not be one representing any components of a mixture unless all components are included in the name: Provided, that if any ingredient or combination of ingredients is intended to impart a distinctive characteristic to the product which is of significance to the purchaser, the name of that ingredient or combination of ingredients may be used as a part of the brand name or product name if the ingredient or combination of ingredients is quantitatively guaranteed in the guaranteed analysis, and the brand or product name is not otherwise false or misleading.

D. The word "protein" shall not be permitted in the product name of a feed that contains added non-protein nitrogen.

E. When the name carries a percentage value, it shall be understood to signify protein and/or equivalent protein content only, even though it may not explicitly modify the percentage with the word "protein": Provided, That other percentage values may be permitted if they are followed by the proper description and conform to good labeling practice. When a figure is used in the brand name (except in mineral, vitamin, or other products where the protein guarantee is nil or unimportant), it shall be preceded by the word "number" or some other suitable designation.

F. Single ingredient feeds shall have a product name in accordance with the designated definition of feed ingredients as recognized by the Association of American Feed Control Officials unless the Commissioner designates otherwise.

G. The word "vitamin", or a contraction thereof, or any word suggesting vitamin can be used only in the name of a feed which is represented to be a vitamin supplement, and which is labeled with the minimum content of each vitamin declared, as specified in Regulation 4 C.

H. The term "mineralized" shall not be used in the name of a feed, except for "TRACE MINERALIZED SALT". When so used, the product must contain significant amounts of trace minerals which are recognized as essential for animal nutrition.

I. The term "meat" and "meat by-products" shall be qualified to designate the animal from which the meat and meat by-products is derived unless the meat and meat by-products are from cattle, swine, sheep and goats.

4. Expression of Guarantees

A. The guarantees for crude protein, equivalent protein from non-protein nitrogen, crude fat, crude fiber and mineral guarantees (when required) will be in terms of percentage by weight.

B. Commercial feeds containing 6% or more mineral elements shall include in the guaranteed analysis the minimum and maximum percentages of Calcium (Ca), the minimum percentage of phosphorus (P), and if salt is added, the minimum and maximum percentage of salt (NaCl). Minerals, except salt (NaCl), shall be guaranteed in terms of percentage of the element. When calcium and/or salt guarantees are given in the guaranteed analysis such shall be stated and conform to the following:

1. When the minimum is 5.0% or less, the maximum shall not exceed the minimum by more than one percentage point.

2. When the minimum is above 5.0%, the maximum shall not exceed the minimum by more than 20% and in no case shall the maximum exceed the minimum by more than 5 percentage points.

C. Guarantees for minimum vitamin content of commercial feeds and feed supplements, when made, shall be stated on the label in milligrams per pound of feed except that:

1. Vitamin A, other than precursors of vitamin A, shall be stated in USP units per pound.

2. Vitamin D, in products offered for poultry feeding, shall be stated in International Chick Units per pound.

3. Vitamin D for other uses shall be stated in USP units per pound.

4. Vitamin E shall be stated in International or USP units per pound.

5. Guarantees for vitamin content on the label of a commercial feed shall state the guarantees as true vitamins, not compounds, with the exception of the compounds, Pyridoxine Hydrochloride, Choline Chloride, Thiamine, and d-Pantothenic Acid.

6. Oils and premixes containing vitamin A or Vitamin D or both may be labeled to show vitamin content in terms of units per gram.

D. Guarantees for drugs shall be stated in terms of percent by weight, except:

1. Antibiotics present at less than 2,000 grams per ton (total) of commercial feed shall be stated in grams per ton of commercial feed.

2. Antibiotics present at more than 2,000 grams per ton (total) of commercial feed shall be stated in grams per pound of commercial feed.

3. Labels for commercial feeds containing growth promotion and/or feed efficiency levels of antibiotics, which are to be fed continuously as the sole ration, are not required to make quantitative guarantees except as specifically noted in the Federal Food Additive Regulations for certain antibiotics, wherein, quantitative guarantees are required regardless of the level or purpose of the antibiotic.

4. The term "milligrams per pound" may be used for drugs or antibiotics in those cases where a dosage is given in "milligrams" in the feeding directions.

E. Commercial feeds containing any added non-protein nitrogen shall be labeled as follows:

1. Complete feeds, supplements, and concentrates containing added nonprotein nitrogen and containing more than 5% protein from natural sources shall be guaranteed as follows: Crude Protein, minimum, % (This includes not more than % equivalent protein from non-protein nitrogen).

2. Mixed feed concentrates and supplements containing less than 5% protein from natural sources may be guaranteed as follows: Equivalent Crude Protein from Non-Protein Nitrogen, minimum, %.

3. Ingredient sources of non-protein nitrogen such as Urea, Diammonium Phosphate, Ammonium Polyphosphate Solution, Ammoniated Rice Hulls, or other basic non-protein nitrogen ingredients defined by the Association of American Feed Control Officials shall be guaranteed as follows: Nitrogen, minimum, % Equivalent Crude Protein from Non-Protein Nitrogen, minimum, %.

F. Mineral phosphatic materials for feeding purposes shall be labeled with the guarantee for minimum and maximum percentage of calcium (when present), the minimum percentage of phosphorus, and the maximum percentage of fluorine.

5. Ingredients

A. The name of each ingredient or collective term for the grouping of ingredients, when required to be listed, shall be the name as defined in the Official Definitions of Feed Ingredients as published in the Official Publication of American Feed Control Officials , the common or usual name, or one approved by the Commissioner.

B. The name of each ingredient must be shown in letters or type of the same size.

C. No reference to quality or grade of an ingredient shall appear in the ingredient statement of a feed.

D. The term "dehydrated" may precede the name of any product that has been artificially dried.

E. A single ingredient product defined by the Association of American Feed Control Officials is not required to have an ingredient statement.

F. Tentative definitions for ingredients shall not be used until adopted as official, unless no official definition exists or the ingredient has a common accepted name that requires no definition, (i.e. sugar).

G. When the word "iodized" is used in connection with a feed ingredient, the feed ingredient shall contain not less than 0.007% iodine, uniformly distributed.

6. Directions for Use and Precautionary Statements

A. Directions for use and precautionary statements on the labeling of all commercial feeds and customer-formula feeds containing additives (including drugs, special purpose additives, or non-nutritive additives) shall be adequate:

1. To enable safe and effective use for the intended purposes by users with no special knowledge of the purpose and use of such articles; and,

2. Shall include, but not be limited to, all information prescribed by all applicable regulations under the Federal Food, Drug and Cosmetic Act .

B. Adequate directions for use and precautionary statements are required for feeds containing non-protein nitrogen as specified in Regulation 7.

C. Adequate directions for use and precautionary statements necessary for safe and effective use are required on commercial feeds distributed to supply particular dietary needs or for supplementing or fortifying the usual diet or ration with any vitamin, mineral, or other dietary nutrient or compound.

7. Non-Protein Nitrogen

A. Urea and other non-protein nitrogen products defined in the Official Publication of the Association of American Feed Control Officials are acceptable ingredients only in commercial feeds for ruminant animals as a source of equivalent crude protein and are not to be used in commercial feeds for other animals and birds.

B .If the commercial feed contains more than 8.75% of equivalent crude protein from all forms of non-protein nitrogen, added as such, or the equivalent crude protein from all forms of non-protein nitrogen added as such, exceeds one third of the total crude protein, the label shall bear adequate directions for the safe use of feeds and a precautionary statement: "CAUTION: USE AS DIRECTED"

The directions for use and the caution statement shall be in type of such size so placed on the label that they will be read and understood by ordinary persons under customary conditions of purchase and use.

C. On labels such as those for medicated feeds which bear adequate feeding directions and/or warning statements, the presence of added non-protein nitrogen shall not require a duplication of the feeding directions or the precautionary statements as long as those statements include sufficient information to ensure the safe and effective use of this product due to the presence of non-protein nitrogen.

8. Drug and Feed Additives

A. Prior to approval of a registration application and/or approval of a label for commercial feed which contain additives (including drugs, other special purpose additives, or non-nutritive additives) the distributor may be required to submit evidence to prove the safety and efficacy of the commercial feed when used according to the directions furnished on the label.

B. Satisfactory evidence of safety and efficacy of a commercial feed may be:

1. When the commercial feed contains such additives, the use of which conforms to the requirements of the applicable regulation in the Code of Federal Regulations , Title 21, or which are "prior sanctioned" or "generally recognized as safe" for such use, or

2. When the commercial feed is itself a drug as defined in Section 712 (7) of the Act and is generally recognized as safe and effective for the labeled use or is marketed subject to an application approved by the Food and Drug Administration under Title 21 U.S.C. 360(b).

9. Adulterants

A. For the purpose of Section 717 (1) (A) of the Act, the terms "poisonous or deleterious substances" include but are not limited to the following:

1. Fluorine and any mineral or mineral mixture which is to be used directly for the feeding of domestic animals and in which the fluorine exceeds 0.30% for cattle; 0.35% for sheep; 0.45% for swine; and 0.60% for poultry.

2. Fluorine bearing ingredients when used in such amounts that they raise the fluorine content of the total ration-above the following amounts: 0.009% for cattle; 0.01% for sheep; 0.014% for swine; and 0.035% for poultry.

3. Soybean meal, flakes or pellets or other vegetable meals, flakes or pellets which have been extracted with trichlorethylene or other chlorinated solvents.

4. Sulfur dioxide, Sulfurous acid, and salts of Sulfurous acid when used in or on feeds or feed ingredients which are considered or reported to be a significant source of vitamin B1 (Thiamine).

B. All screenings or by-products of grains and seeds containing weed seeds, when used in commercial feed or sold as such to the ultimate consumer, shall be ground fine enough or otherwise treated to destroy the viability of such weed seeds so that the finished product meets the restrictions for primary and secondary noxious weed seeds as stated in the Maine Seed Law.

10. Good Manufacturing Practices

A. For the purposes of enforcement of Section 717 (4) of the Act the Commissioner adopts the following as current good manufacturing practices:

1. The regulations prescribing good manufacturing practices for medicated feeds as published in the Code of Federal Regulations , Title 21, Part 133, Sections 133.100-133.110.

2. The regulations prescribing good manufacturing practices for medicated premixes as published in the Code of Federal Regulations , Title 21, Part 133, Sections 133.200-133.210.

History

• STATUTORY AUTHORITY: 7 MRSA §§ 711-724
• EFFECTIVE DATE: January 1, 1971
• RE-ADOPTED: August 23, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 312 Pet Food

Code Me. R. 01-001 Ch. 312 Pet Food {#sec-01-001-ch.-312 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 312}

SUMMARY: Provides manufacturer and/or distributor of commercial feeds information as to how feed ingredients and/or mixtures shall be labeled as to guarantees, listing of ingredients, drugs and feed additives, use and cautionary statements and any other information as to limitations and/or prohibitions that may be necessary to protect man and animal.

1. Definitions and Terms

A. Principal Display Panel means the part of a label that is most likely to be displayed, presented, shown or examined under normal and customary conditions of display for retail sale.

B. Ingredient Statements means a collective and contiguous listing on the label of the ingredients of which the pet food is composed.

C. Immediate Container means the unit, can, box, tin, bag, or other receptacle or covering in which a pet food is displayed for sale to retail purchasers, but does not include containers used as shipping containers.

2. Label Format and Labeling

A. The statement of net content and product name must be shown on the principal display panel. All other required information may be placed elsewhere on the label but shall be sufficiently conspicuous as to render it easily read by the average purchaser under ordinary conditions of purchase and sale.

B. The declaration of the net content shall be made in conformity with the United States "Fair Packaging and Labeling Act" and the regulations promulgated thereunder.

C. The information which is required to appear in the "Guaranteed Analysis" shall be listed in the following order:

Crude protein(Minimum Amount)

Crude Fat(Minimum Amount)

Crude Fiber(Maximum Amount)

Moisture(Maximum Amount)

Additional guarantees shall follow moisture.

D. The label of a pet food shall specify the name and address of the manufacturer, packer, or distributor of the pet food. The statement of the place of business should include the street address, if any,-of such place unless such street address is shown in a current city directory or telephone directory.

E. If a person manufactures, packages, or distributes a pet food in a place other than his principal place of business, the label may state the principal place of business in lieu of the actual place where each package of such pet food was manufactured or packaged or is to be distributed, if such statement is not misleading in any particular.

F. A vignette, graphic or pictorial representation of a product on a pet food label shall not misrepresent the contents of the package.

G. The use of the word "proven" in connection with label claims for a pet food is improper unless scientific or other empirical evidence establishing the claim represented as "proven" is available.

H. No statement shall appear upon the label of a pet food which makes false or misleading comparisons between that pet food and any other pet food.

I. Personal or commercial endorsements are permitted on pet food labels where said endorsements are factual and not other-wise misleading.

J. When a pet food is enclosed in an outer container or wrapper which is intended for retail sale, all required label information must appear on such outside wrapper or container unless all of the required label information is readily legible through apertures or transparencies in such outside container or wrapper..

K. The words "Dog Food", "Cat Food", or similar designations must appear conspicuously upon the principal display panels of the pet food labels.

L. The label of a pet food shall not contain an unqualified representation or claim, directly or indirectly, that the pet food therein contained or a recommended feeding thereof, is or meets the requisites of a complete, perfect, scientific or balanced ration for dogs or cats unless such product or feeding:

1. Contains ingredients in quantities sufficient to provide the estimated nutrient requirements for all stages of the life of a dog or cat, as the case may be, which have been established by a recognized authority on animal nutrition, such as the Committee on Animal Nutrition of the National Research Council of the National Academy of Sciences* or,

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• To the extent that the product's ingredients provide nutrients in amounts which substantially deviate from those nutrient requirements estimated by such a recognized authority on animal nutrition, or in the event that no estimation has been made by a recognized authority on animal nutrition of the requirements of animals for one or more stages of said animals' lives, the product's represented capabilities in this regard must have been demonstrated by adequate testing.

2. Contains a combination of ingredients which when fed to a normal animal as the only source of nourishment will provide satisfactorily for fertility of male and female, gestation and lactation, normal growth from weaning to maturity without supplementary feeding, and will maintain the normal weight of an adult animal whether working or at rest and has had its capabilities in this regard demonstrated by adequate testing.

M Labels for products which are compounded for or which are suitable for only a limited purpose (i.e. a product designed for the feeding of puppies) may contain representations that said pet food product or recommended feeding thereof, is or meets the requisites of a complete, perfect, scientific or balanced ration for dogs or cats only:

1. In conjunction with a statement of the limited purpose for which the product is intended or suitable (as, for example, in the statement 'a complete food for puppies'). Such representations and such required qualification therefor shall be juxtaposed on the same panel-and in the same size, style and color print; and

2. Such qualified representations may appear on pet food labels only if:

a. The pet food contains ingredients in quantities sufficient to satisfy the estimated nutrient requirements established by a recognized authority on animal nutrition, such as the Committee on Animal Nutrition of the National Research Council of the National Academy of Sciences for such limited or qualified purpose; or

b. The pet food product contains a combination of ingredients which when fed for such limited purpose will satisfy the nutrient requirements for such limited purpose and has had its capabilities in this regard demonstrated by adequate testing.

3. Brand and Product Names

A. No flavor designation shall be used on a pet food label unless the designated flavor is detectable by a recognized test method, or is one the presence of which provides a characteristic distinguishable by the pet. Any flavor designation on a pet food label must either conform to the name of its source as shown in the ingredient statement or the ingredient statement shall show the source of the flavor.

Distributors of pet food employing such flavor designation or claims on the labels of the product distributed by them shall, upon request, supply verification of the designated or claimed flavor to the appropriate control official.

B. The designation "100%" or "All" or words of similar connotation shall not be used in the brand or product name of a pet food if it contains more than one ingredient. However, for the purpose of this provision, water sufficient for processing, required decharacterizing agents and trace amounts of preservatives and condiments shall not be considered ingredients.

C. The term "meat" and "meat by-products" shall be qualified to designate the animal from which the meat and meat by-products are derived unless the meat and meat by-products are from cattle, swine, sheep, and goats. For example, "horsemeat" and "horsemeat by-products".

D. The name of the pet food shall not be derived from one or more ingredients of a mixture to the exclusion of other ingredients and shall not be one representing any components of a mixture of a pet food product unless all components or ingredients are included in the name except as specified by Regulations 3 A., E., or F.; Provided, That if any ingredient or combination of ingredients is intended to impart a distinctive characteristic to the product which is significant to the purchaser, the name of that ingredient or combination of ingredients may be used as a part of the name of the pet food if:

1. The ingredient or combination of ingredients is present in sufficient quantity to impart a distinctive characteristic to the product;

2. It does not constitute a representation that the ingredient or combination of ingredients is present to the exclusion of other ingredients; and

3. It is not otherwise false or misleading.

E. When an ingredient or a combination of ingredients derived from animals, poultry, or fish constitutes 95% or more of the total weight of all ingredients of a pet food mixture, the name or names of such ingredient(s) may form a part of the product name of the pet food; Provided, That where more than one ingredient is part of such product name, then all such ingredient names shall be in the same size, style, and color print.

F. When an ingredient or a combination of ingredients derived from animals, poultry or fish constitutes at least 25% but less than 95% of the total weight of all ingredients of a pet food mixture the name or names of such ingredient or ingredients may form a part of the product name of the pet food only if the product name also includes a primary descriptive term such as "meatballs" or "fishcakes" so that the product name describes the contents of the product in accordance with an established law, custom or usage or so that the product name is not misleading. All such ingredient names and the primary descriptive term shall be in the same size, style and color print.

G. Contractions or coined names referring to ingredients shall not be used in the brand name of a pet food unless it is in compliance with Regulation 3 A., D., E., or F.

4. Expression of Guarantees

A. The sliding scale method of expressing a guaranteed analysis (for example, protein 15‑18%") is prohibited.

B. Pursuant to Section 715 (1) (C) of the Act, pet foods containing 5% or more mineral ingredients, shall include in the guaranteed analysis the minimum and maximum percentages of calcium (Ca) and salt (NaCl), and the minimum percentages of phosphorus (P) and iodine (1), if added. Minerals, except salt (NaCl), when quantitatively guaranteed, shall be stated in terms of percentage of the element. The label of the pet food which is formulated as and represented to be a mineral supplement shall include a guarantee of all the minerals contained in the ingredient statement.

C. Pursuant to Section 715 (1) (C) of the Act, the label of the pet food which is formulated as and represented to be a vitamin supplement, shall include a guarantee of the minimum content of each vitamin declared in the ingredient statement. Such vitamin guarantees shall be stated in units or milligrams per pound or ppm, as provided herein; Vitamin E in USP or International Units; vitamin A, other than precursors of vitamin A, in USP Units, vitamin D in USP Units; all other vitamins as true vitamins, not compounds, except pyridoxine hydrochloride, choline chloride, and thiamine; oils and concentrates containing vitamin A or vitamin D or both may be additionally labeled to show vitamin content in units per gram; and providing that the term "d-pantothenic acid" be used in stating the pantothenic acid guarantee.

D. The vitamin Potency of pet food products distributed in containers smaller than 1 lb. may be guaranteed in approved units per ounce.

E. If the label of a pet food does not represent the pet food to be either a vitamin or a mineral supplement, but does include a table of comparison of a typical analysis of the vitamin, mineral, or nutrient content of the pet food with levels recommended by a recognized animal nutrition authority, such comparison may be stated in the units of measurement used by the recognized authority. The statement in a table of comparison of the vitamin, mineral, or nutrient content shall constitute a guarantee, but need not be repeated in the guaranteed analysis. Such table of comparison may appear on the label separate and apart from the guaranteed analysis.

5. Ingredients

A ."The maximum moisture in all pet foods shall be guaranteed and shall not exceed 78.00% or the natural moisture content of the constituent ingredients of the product, whichever is greater. Pet foods such as those consisting principally of stew, gravy, sauce, broth or juice which are so labeled, may contain moisture in excess of 78.00%".

B. Each ingredient of the pet food shall be listed in the ingredient statement, and names of all ingredients in the ingredient statement must be shown in letters or type of the same size. The failure to list the ingredients of a pet food in descending order by their predominance by weight in non-quantitative terms may be misleading. Any ingredient for which the Association of American Feed Control Officials has established a name and definition shall be identified by the name so established. Any ingredient for which no name and definition has been so established shall be identified by the common or usual name of the ingredient. Brand or trade names shall not be used in the ingredient statement.

C. The term "dehydrated" may precede the name of any ingredient in the ingredient list that has been artificially dried.

D. No reference to quality or grade of an ingredient shall appear in the ingredient statement of a pet food.

6. Directions for Use

A. The label of a pet food product which is suitable only for intermittent or supplemental feeding or for some other limited purpose should:

1. bear a clear and conspicuous disclosure to that effect; or

2. contain specific feeding directions which clearly state that the product should be used only in conjunction with other foods.

7. Drugs and Pet Food Additives

A. An artificial color may be used in a pet food only if it has been shown to be harmless to pets. The permanent or provisional listing of an artificial color in the United States Food and Drug Regulations as safe for use, together with the conditions, limitations, and tolerances, if any, incorporated therein, shall be deemed to be satisfactory evidence that the color is, when used pursuant to such regulations, harmless to pets.

B. Prior to approval of a registration application and/or approval of a label for pet food, which contains additives, (including drugs, other special purpose additives, or non-nutritive additives) the distributor may be required to submit evidence to prove the safety and efficacy of the pet food, when used according to directions furnished on the label. Satisfactory evidence of the safety and efficacy of a pet food may be:

1. When the pet food contains such additives, the use of which conforms to the requirements of the applicable regulation in the Code of Federal Regulation , Title 21, or which are "prior sanctioned" or "Generally Recognized as Safe" for such use or

2. When the pet food itself is a drug as defined in Section 712 (7) of the Act and is generally recognized as safe and effective for label use or is marketed subject to an application approved by the Food and Drug Administration under Title 21, U.S.C. 355 or 357.

C. The medicated labeling format recommended by Association of American Feed Control Officials shall be used to assure that adequate labeling is provided.

History

• STATUTORY AUTHORITY: 7 MRSA §§ 711-724
• EFFECTIVE DATE: January 1, 1971
• RE-ADOPTED: August 23, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 313 Seeds

Code Me. R. 01-001 Ch. 313 Seeds {#sec-01-001-ch.-313 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 313}

SUMMARY: Provides reference for taking official samples, designates testing laboratory, statement of prohibition of primary noxious weed seeds, labeling of certified seed, standard of germination for vegetable seeds, how treated seeds shall be labeled, how lawn seeds may be labeled, and prohibition of advertising based on official I analysis results.

1. Sampling, Inspecting and Analysis

Sampling, inspecting, analysis, tests, tolerances, and examination of agricultural, vegetable or tree and shrub seeds will be in accordance with the rules, regulations and procedures of the Association of Official Seed Analysts of North America.

2. Official Testing Laboratory

The Maine Agricultural Experiment Station will be the official seed testing laboratory.

3. Analysis Tag Requirement

All agricultural, vegetable or tree and shrub seeds on the premises of a retail merchant shall bear the complete analysis tag as prescribed by law. Labeling requirements as set forth in Section 1043 shall be considered to have been complied with if the information is not on each individual bag of seed packaged from bulk containers sold over the counter in the presence of the purchaser; provided, however, that bulk containers from which sales are made are properly and conspicuously labeled to give purchasers such information as is required by Section 1043.

4. Prohibition

All agricultural seeds containing primary noxious-weed seeds are prohibited from sale.

5. Certified Seed Labeling

No person shall sell, offer or expose for sale any seed, the label or package of which shall have printed thereon the term "Certified", alone or with other words, or shall so use any other term or form of words which suggest that there has been inspection and certification or either, unless such seeds have been produced under certification by the legally constituted inspection officials of the state of origin or foreign country.

6. Vegetable Seed Standards

The standards of vegetable seeds in the State of Maine will be those provided for by the rules and regulations of the Federal Seed Act. They are as follows:

Percent

Artichoke 60

Asparagus 70

Asparagusbean 75

Beans, garden (varieties other than Corneli 14, Earligreen,

Improved Tendergreen (Resistant Tender-green),King

Green, Logan, Processor, Ranger, Rival, Seminole,

Slenderwhite, Slimgreen, Tenderbest, Tendercrop,

Tenderlong 15, Tenderwhite, Topcrop, Topmost, Wade,

Whiteseeded Tendergreen and Woodruff's Hyscore) 75

Beans, garden (varieties Corneli 14, Earligreen, Improved

Tender-green,(Resistant Tendergreen),King Green, Logan,

Processor, Ranger, Rival, Seminole, Slenderwhite, Slimgreen,

Tenderbest, Tendercrop, Tenderlong 15, Tenderwhite, Topcrop,

Topmost, Wade,Hhite-seeded, Tendergreen, and Woodruff's Hyscore) 70

Bean, lima 70

Bean, runner 75

Beet 65

Broadbean 75

Broccoli 75

Brussels sprouts 70

Burdock, great 60

Cabbage 75

Cabbage, tronchuda 75

Cantaloupe (See muskmelon)

Cardoon 60

Carrot 55

Cauliflower 75

Celeriac 55

Celery 55

Chard, Swiss 65

Chicory 65

Chinese cabbage 75

Chives 50

Citron 65

Collards 80

Corn, sweet 75

Cornsalad 70

Cowpea; 75

Cress, garden 75

Cress, upland 60

Cress, water 40

Cucumber 80

Dandelion 60

Eggplant 60

Endive 70

Kale 75

Kale, Chinese 75

Kohlrabi 75

Leek 60

Lettuce 80

Muskmelon 75

Mustard 75

Mustard, spinach 75

Okra 50

Onion 70

Onion, Welsh 70

Pak-choi 75

Parsley 60

Parsnip 60

Pea 80

Pepper 55

Pumpkin 75

Radish 75

Rhubarb 60

Rutabaga 75

Salsify 75

Sorrel 65

Soybean 75

Spinach 60

Spinach, New Zealand 40

Squash 75

Tomato 75

Tomato, husk 50

Turnip 80

Watermelon 70

Standards for vegetable seeds are subject to change under the Federal Seed Act. This Department will furnish information on changes upon request.

Vegetable Seeds not meeting the established standards of germination must show the actual germination and the month and year in which the germination test was completed, and also show the words "Below Standard" in a conspicuous place on the label or the container.

7. Definition

"Origin" shall mean by state or states, or foreign countries.

8. Treated Seed

The term "treated" when used in connection with the labeling of any seedstock shall be construed to mean that the seed has received an application of a substance or has been subjected to a process for which a claim is made. Labeling for treated seed shall include commonly accepted coined, chemical (generic), or abbreviated chemical name; the word(s) "poison", "poison treated" or similar wording for mecurials or similarly toxic-substances; and cautionary statement "Do not use for food, feed or oil purposes". This requirement follows closely the regulations of the Federal Seed Act pertaining to treated seed.

9. Lawn Seed Labeling

"Lawn grass seed" or "lawn seed mixture" may be labeled as such provided the mixture contains not less than 55 percent by weight of the pure seed of the recognized lawn or turf producing grasses and white clover which are now or later may be generally used in such mixtures. Such grasses shall include the bent grasses, (Agrostis spp ), including redtop (Agrostis alba); blue grasses (Poa spp.); fescues (Festuca spp.); excluding meadow fescue (Festuca pratensis); Norlea variety of perennial ryegrass (Lolium perenne); and white clover (Trifolium repens). Such a mixture shall contain not more than 15 percent by weight of inert matter, 1.5 percent of weed seeds, and 10 percent of timothy.

The name or names used to designate or describe other special purpose mixtures or indicate their special composition, shall be truly descriptive and the mixture shall contain not less than 25 percent by weight of the pure seed of kinds of plants known to be reasonably well suited or adapted for the particular purpose indicated in the usage name used. (Such for Instance as Shady Spot Mixture).

When a mixture is given the name of a park, club, or some other public place, it shall not be considered properly labeled unless it actually is a mixture or formula of grasses used in that place from which the name has been taken.

10. Official Analysis Prohibition

The use on the label or in connection with any advertising of the results of any official analysis is strictly prohibited.

History

• STATUTORY AUTHORITY: 7 MRSA (1046
• EFFECTIVE DATE: About 1951
• RE-ADOPTED: August 23, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 19, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 313 page 5

Chapter 315 Agricultural Liming Materials Regulations

Code Me. R. 01-001 Ch. 315 Agricultural Liming Materials Regulations {#sec-01-001-ch.-315 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 315}

Section 1. Labeling

A. The following information is the minimum information required for all lime labels and shall apply to both bagged and bulk liming materials.

1. Basic information required

a. Name and principal office address of the manufacturer or distributor

b. Brand name

c. Type of material

d. Calcium carbonate equivalent

e. % Elemental calcium and magnesium

f. "Guaranteed Dry Weight Analysis" statement ---

g. Fineness classification

h. % Moisture (A moisture content over 5% will be required on the label)

i. Net weight

B. All required labeling Information for agricultural liming materials shall be conspicuously posted at each site from which agricultural liming materials are delivered, stored or sold in bulk.

C. All agricultural liming material labels shall contain a statement expressing the minimum total neutralizing value stated as calcium carbonate equivalence. The minimum neutralizing value shall not be lower than 60%.

D. The minimum percent of elemental calcium, calcium carbonate and calcium oxide and elemental magnesium, magnesium carbonate and magnesium oxide contained on the label of agricultural liming materials shall be expressed in the following form and format.

Total Calcium (Ca) %

Calcium Carbonate (Ca Co %

Calcium Oxide (CaO) %

Total Magnesium (Mg) %

Magnesium Carbonate (MgCo3) %

Magnesium Oxide (MgO) %

E. Fineness classifications listed on agricultural liming material labels will include fine, medium and coarse sized classifications.

1. The sieve-size minimums for each classification shall be as follows:

Classification Sieve Size Minimums

Fine-sized 95% through 20-mesh

60% through 60-mesh

50% through 100-mesh

Medium-sized 90% through 20-mesh

50% through 60-mesh

30% through 100-mesh

Coarse-sized All materials failing to meet minimums for either of above classifications.

2. Fineness classification system will be used for all material types except for Burnt lime, Hydrated lime and Marl.

History

• STATUTORY AUTHORITY: 7 MRSA (770 (Supp. 1987-88)
• EFFECTIVE DATE: January 1, 1989
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 315 page 2

Chapter 329 Rule Governing Maine Milk and Milk Products

Code Me. R. 01-001 Ch. 329 Rule Governing Maine Milk and Milk Products {#sec-01-001-ch.-329 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 329}

SUMMARY: This Rule outlines the procedures and standards governing the inspection and examination, licensing, permitting, testing, labeling and sanitation of milk and milk product production and distribution.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2910
• STATUTORY AUTHORITY: PAGE
• STATUTORY AUTHORITY: SECTION I GENERAL 1
• STATUTORY AUTHORITY: A. DEFINITIONS………………………………………………………………...…………..1
• STATUTORY AUTHORITY: 1. ABNORMALITIES OF MILK……………………………………………...……1
• STATUTORY AUTHORITY: 2. ACIDIFIED MILK 1
• STATUTORY AUTHORITY: 3. ACIDIFIED SOUR CREAM 3
• STATUTORY AUTHORITY: 4. ACIDIFIED SOUR HALF-AND-HALF 3
• STATUTORY AUTHORITY: 5. ADULTERATED MILK AND MILK PRODUCTS 4
• STATUTORY AUTHORITY: 6. AND/OR 6
• STATUTORY AUTHORITY: 7. ASEPTIC PROCESSING 6
• STATUTORY AUTHORITY: 8. ASEPTICALLY PROCESSED MILK AND MILK PRODUCTS 6
• STATUTORY AUTHORITY: 9. AUTOMATIC MILKING INSTALLATION 6
• STATUTORY AUTHORITY: 10. BULK MILK HAULER/SAMPLER 6
• STATUTORY AUTHORITY: 11. BULK MILK PICKUP TANKER 6
• STATUTORY AUTHORITY: 12. BUTTER 6
• STATUTORY AUTHORITY: 13. BUTTERMILK 6
• STATUTORY AUTHORITY: 14. CHEESE 7
• STATUTORY AUTHORITY: 15. CLEAN…………………………………………………………………....………7
• STATUTORY AUTHORITY: 16. CLEAN-IN-PLACE (CIP)CLEANING…………………………………………..7
• STATUTORY AUTHORITY: 17. COMMISSIONER 7
• STATUTORY AUTHORITY: 18. COMMON NAME………………………………………………………………..7
• STATUTORY AUTHORITY: 19. CONCENTRATED (CONDENSED) MILK. 7
• STATUTORY AUTHORITY: 20. COOLING POND ………………………………………………………………..8
• STATUTORY AUTHORITY: 21. COTTAGE CHEESE …………………………………………………………….8
• STATUTORY AUTHORITY: 22. CREAM 9
• STATUTORY AUTHORITY: 23. CULTURED MILK 9
• STATUTORY AUTHORITY: 24. DAIRY FARM 10
• STATUTORY AUTHORITY: 25. DAIRY PLANT SAMPLER 10
• STATUTORY AUTHORITY: 26. DEPARTMENT 11
• STATUTORY AUTHORITY: 27. DRUG 11
• STATUTORY AUTHORITY: 28. DRY CURD COTTAGE CHEESE 11
• STATUTORY AUTHORITY: 29. EGGNOG 13
• STATUTORY AUTHORITY: 30. FDA 14
• STATUTORY AUTHORITY: 31. FD&C……………………………………………………………………………14
• STATUTORY AUTHORITY: 32. FALSE POSITIVE…… …………………………………………………………14
• STATUTORY AUTHORITY: 33. FALSE VIOLATIVE 14
• STATUTORY AUTHORITY: 34. FOOD ALLERGENS…………………………………………………………... 14
• STATUTORY AUTHORITY: 35. FROZEN MILK – CONCENTRATE 14
• STATUTORY AUTHORITY: 36. FROZEN YOGURT 14
• STATUTORY AUTHORITY: 37. GOAT MILK 15
• STATUTORY AUTHORITY: 38. GOAT’S MILK ICE CREAM 15
• STATUTORY AUTHORITY: 39. GRADE A MILK AND MILK PRODUCTS…………………………………...16
• STATUTORY AUTHORITY: 40. GRADE A DRY MILK AND WHEY PRODUCTS 16
• STATUTORY AUTHORITY: 41. GRAS 16
• STATUTORY AUTHORITY: 42. HACCP ………………………………………………………………………..16
• STATUTORY AUTHORITY: 43. HALF-AND-HALF 16
• STATUTORY AUTHORITY: 44. HEAT TREATED 17
• STATUTORY AUTHORITY: 45. HEAVY CREAM OR HEAVY WHIPPING CREAM 17
• STATUTORY AUTHORITY: 46. HERMETICALLY SEALED CONTAINER …………………………………...17
• STATUTORY AUTHORITY: 47. HOMOGENIZED 17
• STATUTORY AUTHORITY: 48. HOOVED MAMMALS MILK…………………………………...……………..17
• STATUTORY AUTHORITY: 49. ICE CREAM AND FROZEN CUSTARD 18
• STATUTORY AUTHORITY: 50. ICE CREAM MIX 22
• STATUTORY AUTHORITY: 51. INDUSTRY PLANT SAMPLER…………………… …………………………23
• STATUTORY AUTHORITY: 52. LACTOSE REDUCED MILK 23
• STATUTORY AUTHORITY: 53. LIGHT CREAM 23
• STATUTORY AUTHORITY: 54. LIGHT MILK 23
• STATUTORY AUTHORITY: 55. LIGHT WHIPPING CREAM, MEDIUM CREAM OR WHIPPING CREAM 24
• STATUTORY AUTHORITY: 56. LOW-SODIUM MILK 24
• STATUTORY AUTHORITY: 57. LOW-FAT MILK 24
• STATUTORY AUTHORITY: 58. LOW-FAT YOGURT 24
• STATUTORY AUTHORITY: 59. MILK 26
• STATUTORY AUTHORITY: 60. MILK DISTRIBUTOR 26
• STATUTORY AUTHORITY: 61. MILK PLANT 26
• STATUTORY AUTHORITY: 62. MILK PRODUCER 27
• STATUTORY AUTHORITY: 63. MILK PRODUCTS 27
• STATUTORY AUTHORITY: 64. MILK TANK TRUCK 27
• STATUTORY AUTHORITY: 65. MILK TANK TRUCK CLEANING FACILITY 27
• STATUTORY AUTHORITY: 66. MILK TANK TRUCK DRIVER 27
• STATUTORY AUTHORITY: 67. MILK TRANSPORT TANK 28
• STATUTORY AUTHORITY: 68. MILK TRANSPORTATION COMPANY 28
• STATUTORY AUTHORITY: 69. MISBRANDED MILK AND MILK PRODUCTS 28
• STATUTORY AUTHORITY: 70. NCIMS 30
• STATUTORY AUTHORITY: 71. NONFAT YOGURT 30
• STATUTORY AUTHORITY: 72. NOT PASTEURIZED 31
• STATUTORY AUTHORITY: 73. OFFICIAL DESIGNATED LABORATORY 31
• STATUTORY AUTHORITY: 74. OFFICIAL LABORATORY 31
• STATUTORY AUTHORITY: 75. PASTEURIZATION 32
• STATUTORY AUTHORITY: 76. PERSON 32
• STATUTORY AUTHORITY: 77. PORTABLE/TEMPORARY MILKING PARLOR 32
• STATUTORY AUTHORITY: 78. RAW MILK 32
• STATUTORY AUTHORITY: 79. RECIEVING STATION 32
• STATUTORY AUTHORITY: 80. RECONSTITUTED OR RECOMBINED MILK AND MILK PRODUCTS … 32
• STATUTORY AUTHORITY: 81. REDUCED FAT MILK 33
• STATUTORY AUTHORITY: 82. REGULATORY AGENCY 33
• STATUTORY AUTHORITY: 83. SANITIZATION 33
• STATUTORY AUTHORITY: 84. SHEEP MILK 33
• STATUTORY AUTHORITY: 85. SHERBET 33
• STATUTORY AUTHORITY: 86. SKIM, FAT-FREE, NONFAT MILK 36
• STATUTORY AUTHORITY: 87. SOUR CREAM OR CULTURED SOUR CREAM 37
• STATUTORY AUTHORITY: 88. SOUR HALF-AND-HALF OR CULTURED SOUR HALF-AND-HALF 37
• STATUTORY AUTHORITY: 89. STERILIZED 38
• STATUTORY AUTHORITY: 90. TIME/TEMPERATURE CONTROL FOR SAFETY OF MILK AND
• STATUTORY AUTHORITY: MILK PRODUCTS…………………………………………………………..….38
• STATUTORY AUTHORITY: 91. TRANSFER STATION 39
• STATUTORY AUTHORITY: 92. ULTRA-PASTEURIZATION 40
• STATUTORY AUTHORITY: 93. WATER BUFFALO………………… …………………………………………40
• STATUTORY AUTHORITY: 94. WHIPPED CREAM 40
• STATUTORY AUTHORITY: 95. WHIPPED LIGHT CREAM 40
• STATUTORY AUTHORITY: 96. YOGURT 40
• STATUTORY AUTHORITY: SECTION II - ADULTERATED OR MISBRANDED MILK OR MILK PRODUCTS 41
• STATUTORY AUTHORITY: SECTION III - LICENSING AND PERMITS 41
• STATUTORY AUTHORITY: A. LICENSING OF MILK DISTRIBUTORS 41
• STATUTORY AUTHORITY: B. MILK DISTRIBUTOR LICENSE FEE SCHEDULE 42
• STATUTORY AUTHORITY: C. PERMITS 42
• STATUTORY AUTHORITY: 1. MILK PRODUCER 42
• STATUTORY AUTHORITY: 2. BUILK MILK HAULER/SAMPLER 42
• STATUTORY AUTHORITY: 3. RECEIVING STATIONS……………………………………………………….42
• STATUTORY AUTHORITY: 4. MILK TANK TRUCK CLEANING FACILITIES……………………………..42
• STATUTORY AUTHORITY: 5. TRANSFER STATIONS………………………………………………………..42
• STATUTORY AUTHORITY: 6. MILK TRANSPORTATION COMPANY………………………………...……42
• STATUTORY AUTHORITY: 7. PORTABLE/TEMPORARY MILKING PARLOR……….……………………42
• STATUTORY AUTHORITY: SECTION IV - INSPECTION OF DAIRY FARMS AND MILK PLANTS 42
• STATUTORY AUTHORITY: INSPECTION FREQUENCY……………………………………………………………42BULK MILK PICKUP TANKER……………………………………………….43DAIRY PLANT, INDUSTRY PLANT AND BULK MILK HAULER
• STATUTORY AUTHORITY: SAMPLER……………………………………………………………………….43
• STATUTORY AUTHORITY: DAIRY PLANTS…………………………...……………………………………43MILK TANK TRUCK CLEANING FACILITY AND TRANSFER
• STATUTORY AUTHORITY: STATIONS………………………………………………………………………44
• STATUTORY AUTHORITY: DAIRY FARMS…………………………………………………………………44PORTABLE/TEMPORARY MILKING PARLORS……………………....……44FROZEN DAIRY DESSERT PLANTS…………………………………………44SINGLE SERVICE CONTAINER MANUFACTURERS……………………...44REQUIREMENTS FOR FOLLOW UP INSPECTION…………….……………………44CAUSES FOR IMMEDITAELY STOPPING THE MOVEMENT OF MILK AND
• STATUTORY AUTHORITY: MILK PRODUCTS…………………….…………………………………………………44
• STATUTORY AUTHORITY: INSPECTION/AUDIT REPORT PLACEMENT……………………………….………..45PERMIT AND LICENSE HOLDER COMPLIANCES…………………………………45
• STATUTORY AUTHORITY: SECTION V - STANDARDS FOR MILK AND MILK PRODUCTS ……………………………….….45
• STATUTORY AUTHORITY: PROCESSING STANDARDS.…………………………………………………………..45
• STATUTORY AUTHORITY: 1. PASTEURIZED CHEESE FROM GRADE “A” RAW MILK…………………46
• STATUTORY AUTHORITY: 2. HEAT-TREATED CHEESE FROM GRADE “A” RAW MILK……………….46
• STATUTORY AUTHORITY: CHEMICAL, PHYSICAL, BACTEROLOGICAL, AND TEMPERATURE
• STATUTORY AUTHORITY: STANDARDS – TABLE 1………………………………………………………………46
• STATUTORY AUTHORITY: SECTION VI - SANITATION REQUIREMENTS FOR PRODUCTION AND PROCESSING 52
• STATUTORY AUTHORITY: A. SANITATION REQUIREMENTS FOR DAIRY FARMS 52
• STATUTORY AUTHORITY: 1. ABNORMAL MILK 52
• STATUTORY AUTHORITY: 2. MILKING BARN, STABLE OR PARLOR – CONSTRUCTION 52
• STATUTORY AUTHORITY: 3. MILKING BARN, STABLE OR PARLOR – CLEANLINESS 53
• STATUTORY AUTHORITY: 4. COW YARD 53
• STATUTORY AUTHORITY: 5. MILKHOUSE OR ROOM – CONSTRUCTION AND FACILITIES 53
• STATUTORY AUTHORITY: 6. MILKHOUSE OR ROOM – CLEANLINESS 56
• STATUTORY AUTHORITY: 7. TOILET 56
• STATUTORY AUTHORITY: 8. WATER SUPPLY 56
• STATUTORY AUTHORITY: 9. UTENSILS AND EQUIPMENT – CONSTRUCTION 57
• STATUTORY AUTHORITY: 10. UTENSILS AND EQUIPMENT – CLEANING 57
• STATUTORY AUTHORITY: 11. UTENSILS AND EQUIPMENT – SANITATION 57
• STATUTORY AUTHORITY: 12. UTENSILS AND EQUIPMENT – STORAGE 57
• STATUTORY AUTHORITY: 13. MILKING – FLANKS, UDDERS AND TEATS 57
• STATUTORY AUTHORITY: 14. PROTECTION FROM CONTAMINATION 57
• STATUTORY AUTHORITY: 15. DRUG AND CHEMICAL CONTROL 58
• STATUTORY AUTHORITY: 16. PERSONNEL – HAND-WASHING FACILITIES 59
• STATUTORY AUTHORITY: 17. PERSONNEL – CLEANLINESS 59
• STATUTORY AUTHORITY: 18. COOLING 59
• STATUTORY AUTHORITY: 19. INSECT AND RODENT CONTROL 59
• STATUTORY AUTHORITY: 20. requirements for automatic milking installations 59
• STATUTORY AUTHORITY: B. SANITATION REQUIREMENTS FOR PASTEURIZED, ULTRA-
• STATUTORY AUTHORITY: PASTEURIZED, ASEPTICALLY PROCESSED MILK AND MILK PRODUCTS 59
• STATUTORY AUTHORITY: C. SANITATION REQUIREMENTS FOR NOT-PASTEURIZED MILK AND
• STATUTORY AUTHORITY: MILK PRODUCTS 59
• STATUTORY AUTHORITY: 1. FLOORS--CONSTRUCTION 59
• STATUTORY AUTHORITY: 2. WALLS AND CEILINGS--CONSTRUCTION 59
• STATUTORY AUTHORITY: 3. DOORS AND WINDOWS……………………………………………………...60
• STATUTORY AUTHORITY: 4. LIGHTING AND VENTALATION 60
• STATUTORY AUTHORITY: 5. TOILET-SEWAGE DISPOSAL FACILITIES.. 60
• STATUTORY AUTHORITY: 6. WATER SUPPLY 60
• STATUTORY AUTHORITY: 7. HAND-WASHING FACILITIES 60
• STATUTORY AUTHORITY: 8. SEPARATE ROOMS 60
• STATUTORY AUTHORITY: 9. MILK PLANT CLEANLINESS………………………………………………...60
• STATUTORY AUTHORITY: 10. CLEANING AND SANITIZING OF CONTAINERS AND EQUIPMENT..….61
• STATUTORY AUTHORITY: 11. PROTECTION FROM CONTAMINATION….……………………………......61
• STATUTORY AUTHORITY: 12. COOLING OF NOT PASTEURIZED MILK…………………………………...61
• STATUTORY AUTHORITY: 13. BOTTLING AND PACKAGING 61
• STATUTORY AUTHORITY: 14. VEHICLES 61
• STATUTORY AUTHORITY: 15. CONSTRUCTION AND REPAIR OF CONTAINERS AND EQUIPMENT 61
• STATUTORY AUTHORITY: 16. STORAGE OF CLEANED CONTAINERS AND EQUIPMENT 61
• STATUTORY AUTHORITY: 17. STORAGE OF SINGLE-SERVE CONTAINERS, UTENSILS AND MATERIALS 61
• STATUTORY AUTHORITY: 18. PERSONNEL--CLEANLINESS 62
• STATUTORY AUTHORITY: 19. SURROUNDINGS 62
• STATUTORY AUTHORITY: D. SANITATION REQUIREMENT FOR BULK MILK HAULER/SAMPLERS AND
• STATUTORY AUTHORITY: MILK TANK TRUCKS 62
• STATUTORY AUTHORITY: E. SANITATION REQUIREMENTS FOR SINGLE SERVICE CONTAINER
• STATUTORY AUTHORITY: MANUFACTURERS 62
• STATUTORY AUTHORITY: SECTION VII - ANIMAL HEALTH 62
• STATUTORY AUTHORITY: TUBERCULOSIS TESTING REQUIREMENTS 62CONDITIONS FOR MILK FROM HERDS UNDER A TUBERCULOSIS ERADICATION PROGRAM 62GRACE PERIOD AND OTHER REQUIREMENTS FOR TUBERCULOSIS TESTING 62BRUCELLOSIS TESTING REQUIREMENTS 62CONDITIONS FOR MILK FROM HERDS UNDER A BRUCELLOSIS ERADICATION PROGRAM .63USDA STATE BRUCELLOSIS STATUS DETERMINATION 63OTHER TESTING 63RECORD REQUIREMENTS 64
• STATUTORY AUTHORITY: SECTION VIII -TRANSFERRING; DELIVERY CONTAINERS; COOLING 64
• STATUTORY AUTHORITY: SECTION IX - MILK AND MILK PRODUCTS FROM POINTS BEYOND THE LIMITS OF
• STATUTORY AUTHORITY: ROUTINE INSPECTION 64
• STATUTORY AUTHORITY: SECTION X – REQUIRED APPROVAL OF PLANS FOR CONSTRUCTION AND RECONSTRUCTION…………………………………………………………………………...….……..64
• STATUTORY AUTHORITY: SECTION XI - PERSONNEL HEALTH….…………………………………………………...….….…..64
• STATUTORY AUTHORITY: SECTION XII - PROCEDURE WHEN INFECTION OR HIGH RISK OF INFECTION IS
• STATUTORY AUTHORITY: DISCOVERED …………………………………………………..………...……………………….…..…65
• STATUTORY AUTHORITY: REPORTS RECEIVED BY MILK PLANT OPERATORS MUST BE REPORTED
• STATUTORY AUTHORITY: TO DEPARTMENT 65
• STATUTORY AUTHORITY: EMPLOYEES ARE RESPONSIBLE TO REPORT TO PLANT IN ORDER TO PREVENT LIKELIHOOD OF DISEASE 65DIAGNOSED WITH AN ILLNESS DUE TO 65IS EXPOSED TO, OR SUSPECTED OF CAUSING A CONFIRMED FOODBORNE DISEASE 65LIVES IN THE SAME HOUSEHOLD AS A PERSON WHO ATTENDS OR WORKS IN A DAY CARE CENTER OR SCHOOL………………………...…66DAIRY PLANT EMPLOYEES MUST REPORT IF…………………………...………..66HAS A SYMPTOM ASSOCIATED WITH………………….………………….66HAS A PUSTULAR LESION SUCH AS A BOIL OR INFECTION
• STATUTORY AUTHORITY: WOUND THAT IS……………..………………………………..………………66
• STATUTORY AUTHORITY: IMMEDIATE RESTRICTION FROM DUTIES………………………..……………….66
• STATUTORY AUTHORITY: TABLE 5- REMOVAL OF RESTRICTIONS WHEN INFECTION OR
• STATUTORY AUTHORITY: HIGH RISK OF INFECTION IS DISCOVERED 67
• STATUTORY AUTHORITY: IMMEDIATE EXCLUSION OF THE AFFECTED DAIRY PRODUCTS……….….…67IMMEDIATE MEDICAL AND BACTERIOLOGICAL EXAMINATION 67THE HAACCP SYSTEM MUST ADDRESS THE PUBLIC HEALTH CONCERNS 68
• STATUTORY AUTHORITY: SECTION XIII -EXAMINATION OF MILK AND MILK PRODUCTS 68
• STATUTORY AUTHORITY: A. SAMPLE COLLECTION 68
• STATUTORY AUTHORITY: 1. ALL SAMPLES MUST BE COLLECTED AND DELIVERED TO A MILK PLANT, RECEIVING STATION, TRANSFER STATION OR OTHER LOCATION APPROVED BY THE DEPARTMENT………………………….68
• STATUTORY AUTHORITY: 2. INDUSTRY PLANT SAMPLERS COLLECT OFFICIAL SAMPLES FOR REGULATORY PURPOSES AT A MILK PLANT, RECEIVING STATION
• STATUTORY AUTHORITY: OR TRANSFER STATION 68
• STATUTORY AUTHORITY: TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 68TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 68TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 68TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 69TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 69TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 69TYPES OF SAMPLES COLLECTED IN SPECIFIC TIME PERIODS 69REQUIREMENTS FOR SAMPLING 69SEASONAL SAMPLING REQUIREMENTS………………………………….69WATER SAMPLE REQUIREMENTS…………………………………………69FAILURE TO PROVIDE REQUIRED SAMPLES MAY RESULT IN ENFORCEMENT ACTION……………………………………………………70
• STATUTORY AUTHORITY: B. METHODOLOGY FOR EXAMINATION OF SAMPLES 70
• STATUTORY AUTHORITY: 1. REQUIRED TESTS AND CHECKS OVER CONSECUTIVE SIX (6)
• STATUTORY AUTHORITY: MONTHS..………………………………………………………………………70
• STATUTORY AUTHORITY: 2. REQUIRED TESTS FOR RAW MILK FOR PASTEURIZATION, ULTRA-PASTEURIZATION OR ASEPTIC PROCESSING AND PACKAGING…….70
• STATUTORY AUTHORITY: 3. REQUIRED TESTS FOR HEAT TREATED MILK AND MILK
• STATUTORY AUTHORITY: PRODUCTS……………………………………………………………………..70
• STATUTORY AUTHORITY: 4. REQUIRED TESTS FOR ON NOT PASTEURIZED MILK AND MILK PRODUCTS……………………………………………………………………..70
• STATUTORY AUTHORITY: 5. REQUIRED TESTS FOR CONTAINERS……………………………………...70
• STATUTORY AUTHORITY: 6. REQUIRED TESTS FOR SAMPLES FROM SAME MILK OR MILK PRODUCTS……………………………………………………………………..70
• STATUTORY AUTHORITY: C. VIOLATIONS 71
• STATUTORY AUTHORITY: 1. WRITTEN NOTICE…………………………………………………………….71
• STATUTORY AUTHORITY: 2. SUSPEND DISTRIBUTION OF PRODUCT AND PLANT INSPECTION 71
• STATUTORY AUTHORITY: 3. PERMIT SUSPENSION AND OTHER PROTOCOL 71
• STATUTORY AUTHORITY: 4. POSITIVE PHOSPHATASE TEST…………………………………………….71
• STATUTORY AUTHORITY: 5. POSITIVE PESTICIDE RESIDUE TEST 72
• STATUTORY AUTHORITY: 6. POSITIVE DRUG RESIDUE TEST 72
• STATUTORY AUTHORITY: 7. UNSTERILE MILK CONTAINERS 72
• STATUTORY AUTHORITY: 8. CORRECTIVE ACTIONS FOR CONTAINER VIOLATIONS 72
• STATUTORY AUTHORITY: 9. WATER SAMPLE VIOLATIONS 72
• STATUTORY AUTHORITY: D. INDEPENDENT TESTING OF NOT PASTEURIZED MILK PRODUCTS…………..72
• STATUTORY AUTHORITY: E. METHODS OF ANALYSIS 73
• STATUTORY AUTHORITY: 1. SAMPLING PROCEDURES 73
• STATUTORY AUTHORITY: 2. REFERENCED METHODS OF ANALYSIS 74
• STATUTORY AUTHORITY: SECTION XIV – DRUG RESIDUE TESTING AND FARM SURVEILLANCE………………………74
• STATUTORY AUTHORITY: A. INDUSTRY RESPONSIBILITIES 74
• STATUTORY AUTHORITY: 1. MONITORING AND SURVEILLANCE 74
• STATUTORY AUTHORITY: 2. REPORTING AND FARM TRACEBACK 75
• STATUTORY AUTHORITY: 3. Record Requirements 75
• STATUTORY AUTHORITY: B. DEPARTMENT RESPONSIBILITIES 75
• STATUTORY AUTHORITY: 1. DEPARTMENT RESPONSIBILITIES FOR POSITIVE DRUG TESTS 75
• STATUTORY AUTHORITY: 2. MONITORING AND SURVEILANCE 75
• STATUTORY AUTHORITY: 3. DEPARTMENT OR LEO REVIEW……………………………………………76
• STATUTORY AUTHORITY: 4. SUFFICIENT RECORDS……………………………………………………….77
• STATUTORY AUTHORITY: 5. ROUTINE TESTING……………………………………………………………77
• STATUTORY AUTHORITY: 6. DRUG RESIDUE ENFOREMENT……………………………………………..77
• STATUTORY AUTHORITY: 7. DEPARTMENT RECORDS…………………………………………………….78
• STATUTORY AUTHORITY: C. APPEAL PROCESS 78
• STATUTORY AUTHORITY: SECTION XV - LABELING 78
• STATUTORY AUTHORITY: A. ALL BOTTLES 78
• STATUTORY AUTHORITY: B. MILK TANK TRUCK AND VEHICLE LABELING 80
• STATUTORY AUTHORITY: C. ALL RAW MILK CANS MUST BE IDENTIFIED BY NAME OR NUMBER OF PRODUCER 81
• STATUTORY AUTHORITY: D. LABELING – EMERGENCY SUPPLIES 81
• STATUTORY AUTHORITY: E. IDENTITY LABELING 81
• STATUTORY AUTHORITY: F. MISLEADING LABELS 81
• STATUTORY AUTHORITY: SECTION XVI - ENFORCEMENT………………………………………………………………………81
• STATUTORY AUTHORITY: SECTION XVII - REPEAL AND DATE OF EFFECT…………………………………………………..82
• STATUTORY AUTHORITY: SECTION XVIII -REFERENCES 82
• STATUTORY AUTHORITY: Please contact the Department of Agriculture, Conservation and Forestry, 28 State House Station, Augusta, ME 04333, phone 207/287-3841, for copies of the following attachments:
• STATUTORY AUTHORITY: ATTACHMENTS
• STATUTORY AUTHORITY: MILK PLANT INSPECTION REPORT
• STATUTORY AUTHORITY: DAIRY FARM INSPECTION REPORT
• STATUTORY AUTHORITY: MANUFACTURING PLANT INSPECTION REPORT
• STATUTORY AUTHORITY: MILK PLANT EQUIPMENT TESTS REPORT
• STATUTORY AUTHORITY: BULK MILK PICKUP TANKER, HAULER REPORT AND SAMPLER EVALUATION FOR
• STATUTORY AUTHORITY: SECTION I - GENERAL
• STATUTORY AUTHORITY: Any person, firm or corporation required to hold a valid permit or license under 7 MRS, Chapter 601, Milk and Milk Products, §2901-C or §2902-A must comply with this rule and in addition any person, firm or corporation which participates in the State/United States Public Health Service/Food and Drug Administration (USPHS/FDA) voluntary Cooperative Program for the Certification of Interstate Milk Shippers (IMS program) must comply with all requirements and is subject to the administrative procedures outlined in the 2019 USDA Grade “A” Pasteurized Milk Ordinance herein referred to as the “PMO”. All further references to “PMO” in this Rule mean the 2019 edition of the PMO. LINK: https://www.fda.gov/food/milk-guidance-documents-regulatory-information/national-conference-interstate-milk-shipments-ncims-model-documents
• STATUTORY AUTHORITY: A. DEFINITIONS
• STATUTORY AUTHORITY: 1. ABNORMALITIES OF MILK: The following types of lacteal secretions are not suitable for sale for human consumption:
• STATUTORY AUTHORITY: (a) Abnormal Milk: Milk that is visibly changed in color, odor, and/or texture.
• STATUTORY AUTHORITY: (b) Undesirable Milk: Milk that, prior to the milking of the animal, is expected to be unsuitable for sale, such as milk containing colostrum.
• STATUTORY AUTHORITY: (b) Contaminated Milk: Milk that is un-saleable or unfit for human consumption following treatment of the animal with veterinary products, i.e. antibiotics, which have withhold requirements, or treatment with medicines or insecticides not approved for use on dairy animals by FDA or the Environmental Protection Agency (EPA).
• STATUTORY AUTHORITY: ACIDIFIED MILK -
• STATUTORY AUTHORITY: (a) “Acidified milk” is the food produced by souring one or more of the optional dairy ingredients specified in paragraph (c) of this Section with one or more of the acidifying ingredients specified in paragraph (d) of this Section, with or without the addition of characterizing microbial organisms. One or more of the other optional ingredients specified in paragraph (b) and (e) of this Section may also be added. When one or more of the ingredients specified in paragraph (e)(i) of this Section are used, they must be included in the souring process. All ingredients used are safe and suitable. Acidified milk contains not less than 3.25 percent milk fat and not less than 8.25 percent milk solids not fat and has a titratable acidity of not less than 0.5 percent, expressed as lactic acid. The food may be homogenized and may be pasteurized or ultra-pasteurized prior to the addition of the microbial culture and, when applicable, the addition of flakes or granules of butterfat or milk fat.
• STATUTORY AUTHORITY: (b) Vitamin addition requirements (optional)
• STATUTORY AUTHORITY: (i) If added, vitamin A must be present in such quantity that each 946 milliliters (1-quart) of the food contains not less than 2,000 International Units thereof, within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) If added, vitamin D must be present in such quantity that each 946 milliliters (1-quart) of the food contains 400 International Units thereof, within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (c) Optional dairy ingredients: Cream, milk, partially skimmed milk, or skim milk, used alone or in combination.
• STATUTORY AUTHORITY: (d) Optional acidifying ingredients: Acetic acid, adipic acid, citric acid, fumaric acid, glucono-delta-lactone, hydrochloric acid, lactic acid, malic acid, phosphoric acid, succinic acid, and tartaric acid.
• STATUTORY AUTHORITY: (e) Other optional ingredients.
• STATUTORY AUTHORITY: (i) Concentrated skim milk, nonfat dry milk, buttermilk, whey, lactose, lactalbumins, lactoglobulins, or whey modified by partial or complete removal of lactose and/or minerals, to increase the nonfat solids content of the food: provided, that the ratio of protein to total nonfat solids of the food, and the protein efficiency ratio of all protein present, must not be decreased as a result of adding such ingredients.
• STATUTORY AUTHORITY: (ii) Nutritive carbohydrate sweeteners. Sugar (sucrose), beet or cane; invert sugar (in paste or syrup form); brown sugar; refiner’s syrup; molasses (other than blackstrap); high fructose corn syrup; fructose; fructose syrup; maltose; maltose syrup, dried maltose syrup; malt extract; dried malt extract; malt syrup, dried malt syrup; honey; maple sugar; or any other sweeteners listed in 21 CFR Part 168 (2016), except table syrup.
• STATUTORY AUTHORITY: (iii) Flavoring ingredients.
• STATUTORY AUTHORITY: (iv) Color additives that do not impart a color simulating that of milk fat or butterfat.
• STATUTORY AUTHORITY: (v) Stabilizers.
• STATUTORY AUTHORITY: (vi) Butterfat or milk fat, which may or may not contain color additives, in the form of flakes or granules.
• STATUTORY AUTHORITY: (vii) Aroma- and flavor-producing microbial culture.
• STATUTORY AUTHORITY: (viii) Salt.
• STATUTORY AUTHORITY: (ix) Citric acid, in a maximum amount of 0.15 percent by weight of the dairy ingredients used, or an equivalent amount of sodium citrate, as a flavor precursor.
• STATUTORY AUTHORITY: 3. ACIDIFIED SOUR CREAM -
• STATUTORY AUTHORITY: (a) “Acidified sour cream” is the result of the souring of pasteurized cream with safe and suitable acidifiers, with or without addition of lactic acid producing bacteria. Acidified sour cream contains not less than 18 percent milk fat; except that when the food is characterized by the addition of nutritive sweeteners or bulky flavoring ingredients, the weight of the milk fat is not less than 18 percent of the remainder obtained by subtracting the weight of such optional ingredients from the weight of the food; but in no case does the food contain less than 14.4 percent milk fat. Acidified sour cream has a titratable acidity of not less than 0.5 percent, calculated as lactic acid.
• STATUTORY AUTHORITY: (b) Optional ingredients.
• STATUTORY AUTHORITY: (i) Safe and suitable ingredients that improve texture, prevent syneresis, or extend the shelf life of the product.
• STATUTORY AUTHORITY: (ii) Rennet.
• STATUTORY AUTHORITY: (iii) Safe and suitable nutritive sweeteners.
• STATUTORY AUTHORITY: (iv) Salt.
• STATUTORY AUTHORITY: (v) Flavoring ingredients, with or without safe and suitable coloring as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice, including concentrated fruit and fruit juice.
• STATUTORY AUTHORITY: (b) Safe and suitable natural and artificial food flavoring.
• STATUTORY AUTHORITY: 4. ACIDIFIED SOUR HALF-AND-HALF -
• STATUTORY AUTHORITY: (a) “Acidified sour half-and-half” is the result of the souring of pasteurized half-and-half with safe and suitable acidifiers, and with or without addition of lactic acid producing bacteria. Acidified sour half-and-half contains not less than 10.5 percent but less than 18 percent milk fat; except that when the food is characterized by the addition of nutritive sweeteners or bulky flavoring ingredients, the weight of the milk fat is not less than 10.5 percent of the remainder obtained by subtracting the weight of such optional ingredients from the weight of the food; but in no case does the food contain less than 8.4 percent milk fat. Acidified sour half-and-half has a titratable acidity of not less than 0.5 percent, calculated as lactic acid.
• STATUTORY AUTHORITY: (b) Optional ingredients.
• STATUTORY AUTHORITY: (i) Safe and suitable ingredients to improve texture, prevent syneresis, or extend the shelf life of the product.
• STATUTORY AUTHORITY: (ii) Rennet.
• STATUTORY AUTHORITY: (iii) Safe and suitable nutritive sweeteners.
• STATUTORY AUTHORITY: (iv) Salt.
• STATUTORY AUTHORITY: (v) Flavoring ingredients, with or without safe and suitable coloring, as follows:
• STATUTORY AUTHORITY: (c) Fruit and fruit juice, including concentrated fruit and fruit juice.
• STATUTORY AUTHORITY: (d) Safe and suitable natural and artificial food flavoring.
• STATUTORY AUTHORITY: 5. ADULTERATED MILK AND MILK PRODUCTS -
• STATUTORY AUTHORITY: Any milk or milk product shall be deemed to be adulterated:
• STATUTORY AUTHORITY: If it bears or contains any poisonous or deleterious substance (such as an emerging contaminant) which may render it injurious to health; but in case the substance is not an added substance such food shall not be considered adulterated under this clause if the quantity of such substance in such food does not ordinarily render it injurious to health; orIf it bears or contains any added poisonous or added deleterious substance (other than one which is (i) a pesticide chemical in or on a raw agricultural commodity; (ii) a food additive; (iii) a color additive; or (iv) any animal drug) which is unsafe within the meaning of Section 406 of the Federal Food, Drug and Cosmetic Act (21 U.S.C. section 342(a)(1) (2005)) (hereinafter referred to as FD&C), orIf it is a raw agricultural commodity and it bears or contains a pesticide chemical which is unsafe within the meaning of Section 408(a) of the FD&C (21 U.S.C. section 346a (2019)); orIf it is, or it bears or contains, any food additive which is unsafe within the meaning of Section 409 of the FD&C (21 U.S.C. section 348 (2018)): provided, that where a pesticide chemical has been used in or on a raw agricultural commodity in conformity with an exemption granted or a tolerance prescribed under Section 408 of the FD&C (21 U.S.C. section 346a (2019)) and such raw agricultural commodity has been subjected to processing such as canning, cooking, freezing, dehydrating, milling, the residue of such pesticide chemical remaining in or on such processed food shall, notwithstanding the provisions of Section 406 and 409 of the FD&C (21 U.S.C. section 346a (2019) and 21 U.S.C. section 348 (2018)), not be deemed unsafe if such residue in or on the raw agricultural commodity has been removed to the extent possible in good manufacturing practice and the concentration of such residue in the processed food when ready to eat is not greater than the tolerance prescribed for the raw agricultural commodity; or
• STATUTORY AUTHORITY: If it is, or it bears or contains, any animal drug (or conversion product thereof) which is unsafe within the meaning of Section 512 of the FD&C(21 U.S.C. section 360b (2018)) ; orIf it consists in whole or in part of any filthy, putrid or decomposed substance, or if it is otherwise unfit for food; orIf it has been prepared, packed, or held under unsanitary conditions whereby it may have become contaminated with filth, or whereby it may have been rendered injurious to health; orIf it is, in whole or in part, the product of a diseased animal or of an animal which has died otherwise than by slaughter; orIf its container is composed, in whole or in part, of any poisonous or deleterious substance which may render the contents injurious to health; orIf it has been intentionally subjected to radiation, unless the use of radiation was in conformity with a regulation or exemption in effect pursuant to Section 409 of the FD&C (21 U.S.C. section 348 (2018)); orIf any valuable constituent has been in whole or in part omitted or abstracted therefrom; or (ii) if any substance has been substituted wholly or in part therefor; or (iii) if damage or inferiority has been concealed in any manner; or (iv) if any substance has been added thereto or mixed or packed therewith so as to increase its bulk or weight, or reduce its quality or strength, or make it appear better or of greater value than it is; orIf it is, or it bears or contains, a color additive which is unsafe within the meaning of Section 706(a) of the FD&C (21 U.S.C. section 379e (1993); orIf it is confectionery, and - (i) has partially or completely imbedded therein any non-nutritive object: provided, that this clause shall not apply in the case of any non-nutritive object if such object is of practical functional value to the confectionery product and would not render the product injurious or hazardous to health; (ii) bears or contains any alcohol other than alcohol not in excess of one-half of 1 percent by volume derived solely from the use of flavoring extracts; or (iii) bears or contains any non-nutritive substance: provided, that this clause shall not apply to a safe non-nutritive substance which is in or on confectionery by reason of its use for some practical functional purpose in the manufacture, packaging or storage of such confectionery if the use of the substance does not promote deception of the consumer or otherwise result in adulteration or misbranding in violation of any provision of this rule: and provided further that the Commissioner may, for the purpose of avoiding or resolving uncertainty as to the application of this clause, issue regulations allowing or prohibiting the use of particular non-nutritive substances; or(n) If it is oleomargarine or margarine or butter and any of the raw material used therein consisted in whole or in part of any filthy, putrid, or decomposed substance, or such oleomargarine or margarine or butter is otherwise unfit for food.
• STATUTORY AUTHORITY: 6. AND/OR - Where the term “and/or” is used, “and” shall apply where appropriate; otherwise “or” shall apply.
• STATUTORY AUTHORITY: 7. ASEPTIC PROCESSING - “Aseptic processing”, when used to describe a milk product, means that the product has been subjected to sufficient heat processing, and packaged in a hermetically sealed container, to conform to the applicable requirements of Title 21 CFR 113 and the provisions of Section V and maintain the commercial sterility of the product under normal non-refrigerated conditions.
• STATUTORY AUTHORITY: 8. ASEPTICALLY PROCESSED MILK AND MILK PRODUCTS - “Aseptically processed milk and milk products” are products that have been subjected to sufficient heat processing and packaged in a hermetically sealed container, to conform to the applicable requirements of Title 21 CFR 113 and the provisions of Section V and to maintain the commercial sterility of the product under normal non-refrigerated conditions.
• STATUTORY AUTHORITY: 9. AUTOMATIC MILKING INSTALLATION (AMI) - The term “automatic milking installation” covers the entire installation of one or more automatic milking units, including the hardware and software utilized in the operation of individual automatic milking units, the animal selection system, the automatic milking machine, the milk cooling system, the system for cleaning and sanitizing the automatic milking unit, the teat cleaning system, and the alarm systems associated with the process of milking, cooling, cleaning and sanitation.
• STATUTORY AUTHORITY: 10. BULK MILK HAULER/SAMPLER - A “bulk milk hauler/sampler” is any person who collects official samples and/or transports raw milk from a farm and/or raw milk products to or from a farm, milk plant, receiving station or transfer station and has in their possession a permit from any state to sample such products.
• STATUTORY AUTHORITY: 11. BULK MILK PICKUP TANKER - A “bulk milk pickup tanker” is a vehicle, including the truck, tank and those appurtenances necessary for its use, used by the bulk milk hauler/sampler or milk tank truck driver to transport bulk raw milk for pasteurization or processing from a dairy farm to a milk plant, receiving station or transfer station.
• STATUTORY AUTHORITY: 12. BUTTER - “Butter” means the food product which is made exclusively from milk or cream or both, with or without common salt, and with or without additional coloring matter, and containing not less than 80% by weight of milk fat.
• STATUTORY AUTHORITY: 13. BUTTERMILK - “Buttermilk” is a fluid product resulting from the manufacture of butter from milk or cream. It contains not less than 8 1/4 percent of milk solids not fat.
• STATUTORY AUTHORITY: Dry Buttermilk: Grade "A" dry buttermilk means dry buttermilk, which complies with the applicable provisions of this Rule.Dry Buttermilk Products: Grade "A" dry buttermilk products means dry buttermilk products, which comply with the applicable provisions of this Rule.Concentrated (Condensed) Buttermilk: Concentrated (condensed) buttermilk means the product resulting from the removal of a considerable portion of water from buttermilk.
• STATUTORY AUTHORITY: (d) Concentrated (Condensed) and Dry Buttermilk and Buttermilk Products: Grade "A" concentrated (condensed) and dry buttermilk and buttermilk products means concentrated (condensed) or dry buttermilk and buttermilk products, which comply with the applicable provisions of this Rule. The words "concentrated (condensed) and
• STATUTORY AUTHORITY: dry milk products" shall be interpreted to include concentrated (condensed) and dry buttermilk and buttermilk products.
• STATUTORY AUTHORITY: 14. CHEESE - “Cheese” is the consolidated curd of milk used as an article of food.
• STATUTORY AUTHORITY: 15. CLEAN - “Clean” means that direct product contact surfaces have had the effective and thorough removal of product and/or contaminants.
• STATUTORY AUTHORITY: 16. CLEAN-IN-PLACE (CIP) CLEANING - “Clean-in-place (CIP) cleaning” means the removal of soil from product contact surfaces in their process position by circulating, spraying, or flowing chemical solutions and water rinses onto and over the surfaces to be cleaned. Components of the equipment, which are not designed to be cleaned-in-place, are removed from the equipment to be cleaned out-of-place (COP) or manually cleaned. Product contact surfaces must be inspectable, except when the cleanability by CIP has been documented and accepted by the Department. In such accepted equipment, all product and solution contact surfaces do not have to be readily accessible for inspection, i.e., permanently installed pipelines and silo tanks.
• STATUTORY AUTHORITY: 17. COMMISSIONER - “Commissioner” means the Commissioner of the Maine Department of Agriculture, Conservation and Forestry or his/her duly authorized agent.
• STATUTORY AUTHORITY: 18. COMMON NAME - “Common name” means the generic term commonly used for domestic animals, i.e., cattle, goats, sheep, horses, water buffalo, etc.
• STATUTORY AUTHORITY: 19. CONCENTRATED (CONDENSED) MILK - “Concentrated (condensed) milk” means a fluid product, unsterilized and unsweetened, resulting from the removal of a considerable portion of the water from the milk, which, when combined with potable water in accordance with instructions printed on the container, results in a product conforming with the milk fat and milk solids not fat levels of milk as defined in this section.
• STATUTORY AUTHORITY: Concentrated (Condensed) Milk Products: “Concentrated (condensed) milk products” means and includes homogenized concentrated (condensed) milk, concentrated (condensed) skim milk, concentrated (condensed) reduced fat or low-fat milk, and similar concentrated (condensed) products made from concentrated (condensed) milk or concentrated (condensed) skim milk, which when combined with potable water in accordance with instructions printed on the container label, conform with the definitions of the corresponding milk products in this Section.
• STATUTORY AUTHORITY: (b) Grade "A" Concentrated (Condensed) Skim Milk: “Grade "A" concentrated (condensed) skim milk” means concentrated (condensed) skim milk, which complies with the applicable provisions of the PMO.
• STATUTORY AUTHORITY: 20. COOLING POND - ”Cooling Pond” means a man-made structure designed for the specific purpose of cooling cows.
• STATUTORY AUTHORITY: 21. COTTAGE CHEESE -
• STATUTORY AUTHORITY: (a) “Cottage cheese” means the soft uncured cheese prepared by mixing cottage cheese dry curd with a creaming mixture as provided in paragraph (b) of this Section. The milk fat content is not less than 4 percent by weight of the finished food, within limits of good manufacturing practice. The finished food contains not more than 80 percent of moisture.
• STATUTORY AUTHORITY: (b) The creaming mixture is prepared from safe and suitable ingredients including, but not limited to, milk or substances derived from milk. Any ingredients used that are not derived from milk must serve a useful function other than building the total solids content of the finished food and shall be used in a quantity not greater than is reasonably required to accomplish their intended effect. The creaming mixture may be pasteurized; however, heat labile ingredients, such as bacterial starters, may be added following pasteurization.
• STATUTORY AUTHORITY: (c) The name of the food consists of the following two phrases which must appear together:
• STATUTORY AUTHORITY: (i) The words “cottage cheese” which must appear in type of the same size and style.
• STATUTORY AUTHORITY: (ii) The statement “not less than ... percent milk fat” or “... percent milk fat minimum”, the blank being filled in with the whole number that is closest to, but does not exceed, the actual fat content of the product. This statement of fat content must appear in letters not less than one-half of the height of letters in the phrase specified in paragraph (c)(i) of this Section, but in no case less than one-eighth of an inch in height.
• STATUTORY AUTHORITY: (d) When the optional process described in Title 21 CFR 133 (2019) is used to make the cottage cheese dry curd, the label must bear the statement “directly set” or “Curd set by direct acidification”. Wherever the name of the food appears on the label so conspicuously as to be seen under customary conditions of purchase, the statement specified in this paragraph, showing the optional process used must immediately and conspicuously precede or follow such name without intervening written, printed, or graphic matter.
• STATUTORY AUTHORITY: (e) The common or usual name of each of the ingredients used in the food must be declared on the label as required by the applicable sections. Except that:
• STATUTORY AUTHORITY: (i) Concentrated milk, dried milk, and reconstituted milk prepared by addition of water to concentrated milk or dried milk may be declared as “milk”.
• STATUTORY AUTHORITY: (ii) Concentrated skim milk, nonfat dry milk, and reconstituted skim milk prepared by addition of water to concentrated skim milk or nonfat dry milk may be declared as “skim milk”.
• STATUTORY AUTHORITY: (iii) Bacterial cultures may be declared by the word “cultured” followed by the name of the substrate, e.g., “made from cultured skim milk”.
• STATUTORY AUTHORITY: (iv) Milk-clotting enzymes may be declared by the word “enzymes”.
• STATUTORY AUTHORITY: 22. CREAM - “Cream” means the liquid milk product high in fat separated from milk, which may have been adjusted by adding thereto: Milk, concentrated milk, dry whole milk, skim milk, concentrated skim milk, or nonfat dry milk. Cream contains not less than 18 percent milk fat.
• STATUTORY AUTHORITY: 23. CULTURED MILK -
• STATUTORY AUTHORITY: (a) “Cultured milk” is the food produced by culturing one or more of the optional dairy ingredients specified in paragraph (c) of this Section with characterizing microbial organisms. One or more of the other optional ingredients specified in paragraphs (b) and (d) of this Section may also be added. When one or more of the ingredients specified in paragraph (d)(i) of this Section are used, they must be included in the culturing process. All ingredients used are safe and suitable. Cultured milk contains not less than 3.25 percent milk fat and not less than 8.25 percent milk solids not fat and has a titratable acidity of not less than 0.5 percent, expressed as lactic acid. The food may be homogenized and may be pasteurized or ultra-pasteurized prior to the addition to the microbial culture, and when applicable, the addition of flakes or granules of butterfat or milk fat.
• STATUTORY AUTHORITY: (b) Vitamin addition requirements (optional).
• STATUTORY AUTHORITY: (i) If added, vitamin A must be present in such quantity that each 946 milliliters (1-quart) of the food contains not less than 2,000 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) If added, vitamin D must be present in such quantity that each 946 milliliters (1-quart) of the food contains 400 International Units thereof, within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (c) Optional dairy ingredients. Cream, milk, partially skimmed milk, or skim milk, used alone or in combination.
• STATUTORY AUTHORITY: (d) Other optional ingredients.
• STATUTORY AUTHORITY: (i) Concentrated skim milk, nonfat dry milk, buttermilk, whey, lactose, lactalbumins, lactoglobulins, or whey modified by partial or complete removal of lactose and/or minerals, to increase the nonfat solids content of the food: provided, that the ratio of protein to total nonfat solids of the food, and the protein efficiency ratio of all protein present, must not be decreased as a result of adding such ingredients.
• STATUTORY AUTHORITY: (ii) Nutritive carbohydrate sweeteners. Sugar (sucrose), beet or cane; invert sugar (in paste or syrup form); brown sugar; refiner's syrup; molasses (other than blackstrap); high fructose corn syrup; fructose; fructose syrup; maltose; maltose syrup, dried maltose syrup; malt extract, dried malt extract; malt syrup, dried malt syrup; honey; maple sugar; or any other sweetener listed in 21 CFR Part 168, except table syrup.
• STATUTORY AUTHORITY: (iii) Flavoring ingredients.
• STATUTORY AUTHORITY: (iv) Color additives that do not impart a color simulating that of milk fat or butterfat.
• STATUTORY AUTHORITY: (v) Stabilizers.
• STATUTORY AUTHORITY: (vi) Butterfat or milk fat, which may or may not contain color additives, in the form of flakes or granules.
• STATUTORY AUTHORITY: (vii) Aroma- and flavor-producing microbial culture.
• STATUTORY AUTHORITY: (viii) Salt.
• STATUTORY AUTHORITY: (ix) Citric acid, in a maximum amount of 0.15 percent by weight of the milk used, or an equivalent amount of sodium citrate, as a flavor precursor.
• STATUTORY AUTHORITY: 24. DAIRY FARM - “Dairy farm” means any place or premises where one (1) or more cows, goats, sheep, water buffalo, or other hooved mammal are kept for milking purposes, and from which a part or all of the milk or milk product(s) is provided, sold or offered for sale to a milk plant, receiving or transfer station.
• STATUTORY AUTHORITY: (Refer to the NOTE: at the end of Section XIII)
• STATUTORY AUTHORITY: 25. DAIRY PLANT SAMPLER - “Dairy plant sampler” means an individual responsible for the collection of official samples for regulatory purposes outlined in this Rule. This person is an employee of the Department or an official designee of the Department and is evaluated every two years by the State Sample Surveillance Officer. Sampling Surveillance Officers or properly delegated Sampling Surveillance Regulatory Officials are not required to be evaluated for sampling collection procedures.
• STATUTORY AUTHORITY: 26. DEPARTMENT - “Department” means the Maine Department of Agriculture, Conservation & Forestry.
• STATUTORY AUTHORITY: 27. DRUG - The term “drug” means:
• STATUTORY AUTHORITY: Articles recognized in the official United States Pharmacopoeia, official Homeopathic Pharmacopoeia of the United States or official National Formulary or any supplement to any of them; and Articles intended for use in the diagnosis, cure, mitigation, treatment or prevention of disease in man or other animals; and Articles (other than food) intended to affect the structure or any function of the body of man or other animals; and
• STATUTORY AUTHORITY: (d) Articles intended for use as a component of any articles specified in clause (a), (b) or (c), but does not include devices or their components, parts or accessories.
• STATUTORY AUTHORITY: 28. DRY CURD COTTAGE CHEESE -
• STATUTORY AUTHORITY: “Dry curd cottage cheese” is the soft uncured cheese prepared by the procedure set forth in paragraph (b) of this Section. The finished food contains less than 0.5 percent milk fat. It contains not more than 80 percent of moisture.
• STATUTORY AUTHORITY: (b) Preparation Procedures:
• STATUTORY AUTHORITY: (i) One or more of the dairy ingredients specified in paragraph (b)(ii) of this section is pasteurized; calcium chloride may be added in a quantity of not more than 0.02 percent (calculated as anhydrous calcium chloride) of the weight of the mix; thereafter one of the following methods is employed:
• STATUTORY AUTHORITY: (a) Harmless lactic-acid-producing bacteria, with or without rennet and/or other safe and suitable milk clotting enzyme that produces equivalent curd formation, are added and it is held until it becomes coagulated. The coagulated mass may be cut; it may be warmed; it may be stirred; it is then drained. The curd may be washed with water and further drained; it may be pressed, chilled, worked, seasoned with salt; or
• STATUTORY AUTHORITY: (b) Food grade phosphoric acid, lactic acid, citric acid, or hydrochloric acid, with or without rennet and/or other safe and suitable milk-clotting enzyme that produces equivalent curd formation, is added in such amount as to reach a pH of between 4.5 and 4.7; coagulation to a firm curd is achieved while heating to a maximum of 48.9°C (120°F) without agitation during a continuous process. The coagulated mass may be cut; it may be warmed; it may be stirred; it is then drained. The curd is washed with water, stirred, and further drained. It may be pressed, chilled, worked and seasoned with salt.
• STATUTORY AUTHORITY: (c) Food grade acids as provided in paragraph (b)(i)(b) of this Section, D-Glucono- delta-lactone with or without rennet, and/or other safe and suitable milk clotting enzyme that produces equivalent curd formation, are added in such amounts as to reach a final pH value in the range of 4.5-4.8, and it is held until it becomes coagulated. The coagulated mass may be cut; it may be warmed; it may be stirred; it is then drained. The curd is then washed with water, and further drained. It may be pressed, chilled, worked, and seasoned with salt.
• STATUTORY AUTHORITY: (ii) The dairy ingredients referred to in paragraph (b)(i) of this Section are sweet skim milk, concentrated skim milk, and nonfat dry milk. If concentrated skim milk or nonfat dry milk is used, water may be added in a quantity not in excess of that removed when the skim milk was concentrated or dried.
• STATUTORY AUTHORITY: (iii) For the purposes of this Section the term “skim milk” means the milk of cows from which the milk fat has been separated, and “concentrated skim milk” means skim milk from which a portion of the water has been removed by evaporation.
• STATUTORY AUTHORITY: (c) The name of the food consists of the following two phrases which must appear together:
• STATUTORY AUTHORITY: (i) The words “cottage cheese dry curd” or alternatively “dry curd cottage cheese” which must all appear in type of the same size and style.
• STATUTORY AUTHORITY: (ii) The words “less than 1/2% milk fat” which must all appear in letters not less than one-half of the height of the letters in the phrase specified in paragraph (c)(i) of this Section, but in no case less than one-eighth of an inch in height.
• STATUTORY AUTHORITY: (d) When either of the optional processes described in paragraph (b)(i) (b) or (c) of this Section is used, the label must bear the statement “Directly set” or “Curd set by direct acidification”. Wherever the name of the food appears on the label so conspicuously as to be seen under customary conditions of purchase, the statement specified in this paragraph, showing the optional process used, must immediately and conspicuously precede or follow such name without intervening written, printed, or graphic matter.
• STATUTORY AUTHORITY: (e) The common or usual name of each of the ingredients used in the food must be declared on the label as required in Section XIV of this rule, except that:
• STATUTORY AUTHORITY: (i) Concentrated skim milk, nonfat dry milk, and reconstituted skim milk prepared by addition of water to concentrated skim milk or nonfat dry milk may be declared as “skim milk”.
• STATUTORY AUTHORITY: (ii) Bacterial cultures may be declared by the word “cultured” followed by the name of the substrate, e.g., “made from cultured skim milk”.
• STATUTORY AUTHORITY: (iii) Milk-clotting enzymes may be declared by the word “enzymes”.
• STATUTORY AUTHORITY: 29. EGGNOG -
• STATUTORY AUTHORITY: (a) “Eggnog” is the food containing one or more of the optional dairy ingredients specified in paragraph (b), one or more of the optional egg yolk-containing ingredients specified in paragraph (c) of this Section, and one or more of the optional nutritive carbohydrate sweeteners specified in paragraph (d) of this Section. One or more of the optional ingredients specified in paragraph (e) of this Section may also be added. All ingredients used are safe and suitable. Eggnog contains not less than 6 percent milk fat and not less than 8.25 percent milk solids not fat. The egg yolk solids content is not less than 1 percent by weight of the finished food. The food must be pasteurized or ultra-pasteurized and may be homogenized. Flavoring ingredients and color additives may be added after the food is pasteurized or ultra-pasteurized.
• STATUTORY AUTHORITY: (b) Optional dairy ingredients. Cream, milk, partially skimmed milk, or skim milk, used alone or in combination.
• STATUTORY AUTHORITY: (c) Egg Yolk-containing ingredients. Liquid egg yolk, frozen egg yolk, dried egg yolk, liquid whole eggs, frozen whole eggs, dried whole eggs, or any one or more of the foregoing ingredients with liquid egg whites or frozen egg whites. Whenever eggs or egg yolk solids are used as an ingredient, they must be pasteurized or, if not, the mix must be pasteurized after the eggs or egg yolk solids are added.
• STATUTORY AUTHORITY: (d) Nutritive carbohydrate sweeteners. Sugar (sucrose), beet or cane; invert sugar (in paste or syrup form); brown sugar; refiner’s syrup; molasses (other than blackstrap); high fructose corn syrup; fructose, fructose syrup; maltose; maltose syrup, dried maltose syrup; malt extract, dried malt extract; malt syrup, dried malt syrup; honey; maple sugar; or any of the sweeteners listed in 21 CFR Part 168, except table syrup.
• STATUTORY AUTHORITY: (e) Other optional ingredients.
• STATUTORY AUTHORITY: (i) Concentrated skim milk, nonfat dry milk, buttermilk, whey, lactose, lactalbumins, lactoglobulins, or whey modified by partial or complete removal of lactose and/or minerals, to increase the nonfat solids content of the food: provided, that the ratio of protein to total nonfat solids of the food, and the protein efficiency ratio of all protein present, must not be decreased as a result of adding such ingredients.
• STATUTORY AUTHORITY: (ii) Salt.
• STATUTORY AUTHORITY: (iii) Flavoring ingredients.
• STATUTORY AUTHORITY: (iv) Color additives that do not impart a color simulating that of egg yolk, milk fat or butterfat.
• STATUTORY AUTHORITY: (v) Stabilizers.
• STATUTORY AUTHORITY: 30. FDA - Food & Drug Administration, an agency with the United States
• STATUTORY AUTHORITY: Department of Health and Human Services. The core functions of this agency
• STATUTORY AUTHORITY: are oversight of Medical Products and Tobacco, Foods, Global Regulatory
• STATUTORY AUTHORITY: Operations and Policy, and Operations.
• STATUTORY AUTHORITY: 31. FD&C - Food, Drug, and Cosmetic Act: A set of laws passed by Congress in 1938 giving authority to the U.S. Food and Drug Administration (FDA) to oversee the safety of food, drugs, and cosmetics.
• STATUTORY AUTHORITY: 32. FALSE POSITIVE - In reference to antibiotic screening of bulk tanker milk and bulk tank milk, “false positive” means that, on subsequent testing by high pressure chromatograph (HPLC), antibiotic residue was not found to be present.
• STATUTORY AUTHORITY: 33. FALSE VIOLATIVE - In reference to antibiotic screening of bulk tanker milk or bulk tank milk, “false violative” means that on subsequent testing by high pressure liquid chromatograph, antibiotic residue was found to be present at below the FDA-established safe or tolerance level.
• STATUTORY AUTHORITY: 34. FOOD ALLERGENS - Are proteins in foods that are capable of inducing an allergic reaction or response in some individuals. There is scientific consensus that the following foods account for more than 90 % of all food allergies: peanuts, soybeans, milk, eggs, fish, crustacea, tree nuts, and wheat.
• STATUTORY AUTHORITY: 35. FROZEN MILK CONCENTRATE - “Frozen milk concentrate” is a frozen milk product with a composition of milk fat and milk solids not fat in such proportions that when a given volume of concentrate is mixed with a given volume of water the reconstituted product conforms to the milk fat and milk solids not fat requirements of whole milk. In the manufacturing process, water may be used to adjust the primary concentrate to the final desired concentration. The adjusted primary concentrate is pasteurized, packaged, and immediately frozen. This product is stored, transported and sold in the frozen state.
• STATUTORY AUTHORITY: 36. FROZEN YOGURT -
• STATUTORY AUTHORITY: (a) “Frozen yogurt” is the food which is prepared by freezing while stirring a pasteurized mix consisting of the ingredients identified for ice cream. Safe and suitable sweetening agents may be used. Such ingredients are cultured after pasteurization by one or more strains of lactobacillus bulgaricus and streptococcus thermophilus, provided, however, fruit, nuts, or other flavoring materials may be added before or after the mix is pasteurized and cultured. The standard plate count requirement for frozen desserts shall apply to the mix prior to culturing. Frozen yogurt, exclusive of any flavoring contains not less than 3.25 percent milk fat, not less than 8.25 percent milk solids not fat and has a titratable acidity of not less than 0.3 percent expressed as lactic acid. Where the titratable acidity of the frozen yogurt is less than 0.3 percent, the manufacturer may establish compliance with this section by disclosing to the Department its quality control records that demonstrate as a result of bacterial culture fermentation, at least a 0.15 percent increase in titratable acidity calculated as lactic acid, above the apparent titratable acidity of the uncultured dairy ingredients in the frozen yogurt mix. The direct addition of food grade acids or other acidogens for the purpose of raising the titratable acidity of the frozen yogurt mix to comply with the prescribed minimum is not permitted; and no chemical preservative treatment or other preservation process, other than refrigeration, may be utilized that results in reduction of the live culture. Sweetener(s), flavoring(s) and/or other characterizing food ingredients may be added to the mix before or after pasteurization or ultra-pasteurization is done in accordance with good manufacturing practice. The finished yogurt must weigh not less than 4 pounds per gallon. Any dairy ingredients added after pasteurization or ultra-pasteurization must have been pasteurized.
• STATUTORY AUTHORITY: (b) The name of the food is “frozen yogurt”. In addition to all other required information, the label must contain a complete list of ingredients, in accordance with the provisions of 21 CFR 101.4, and comply with the provisions of subdivisions (h) and (i) of 21 CFR 101.22. On the label of frozen yogurt the strains of bacteria may be collectively referred to as yogurt culture.
• STATUTORY AUTHORITY: 37. GOAT MILK - “Goat milk” is the normal lacteal secretion, practically free of colostrum, obtained by the complete milking of one or more healthy goats. Goat milk sold in retail packages must contain not less than 2.5 percent milk fat and not less than 7.5 percent milk solids not fat. Goat milk and goat milk food products must be produced according to the sanitary standards of this rule.
• STATUTORY AUTHORITY: 38. GOAT’S MILK ICE CREAM -
• STATUTORY AUTHORITY: (a) “Goat’s milk ice cream” is the food prepared in the same manner prescribed in 21 CFR 135, and complies with all the provisions of 21 CFR 135, except that the only optional dairy ingredients that may be used are those in paragraph (b) of this Section; caseinates and hydrolyzed milk proteins may not be used; and paragraph (f)(1) and (g) of Sec. 135.110 shall not apply.
• STATUTORY AUTHORITY: (b) Optional dairy ingredients. The optional dairy ingredients referred to in paragraph (a) of this Section are goat’s skim milk, goat’s milk, and goat’s cream. These optional dairy ingredients may be used in liquid, concentrated, and/or dry form.
• STATUTORY AUTHORITY: (c ) If eggs or egg yolk solids are used as an ingredient, they must be pasteurized or, if not, the mix must be pasteurized after the eggs or egg yolk solids are added.
• STATUTORY AUTHORITY: 39. GRADE A MILK AND MILK PRODUCTS “Grade A milk and milk products” are products that have been manufactured under and comply with all applicable provisions of the PMO. All such products are pasteurized or are destined for pasteurization.
• STATUTORY AUTHORITY: 40. GRADE A DRY MILK AND WHEY PRODUCTS - “Grade A dry milk and whey products” are products which have been produced for use in Grade A pasteurized or aseptically processed milk products and which have been manufactured under the provisions of the Grade A Condensed and Dry Milk Products and Condensed and Dry Whey-Supplement to comply with all applicable provisions of the PMO.
• STATUTORY AUTHORITY: 41. GRAS - “GRAS” means generally recognized as safe as defined by 21 CFR Part 184 (2016).
• STATUTORY AUTHORITY: 42. HACCP - “HACCP” means Hazard Analysis and Critical Control Point. It is a food safety control system based on technical and scientific principles that assure safe food.
• STATUTORY AUTHORITY: 43. HALF-AND-HALF -
• STATUTORY AUTHORITY: (a) “Half-and-half” is the food consisting of a mixture of milk and cream which contains not less than 10.5 percent but less than 18 percent milk fat. It may be homogenized.
• STATUTORY AUTHORITY: (b) Optional ingredients. The following safe and suitable optional ingredients may be used.
• STATUTORY AUTHORITY: (i) Emulsifiers.
• STATUTORY AUTHORITY: (ii) Stabilizers.
• STATUTORY AUTHORITY: (iii) Nutritive sweeteners.
• STATUTORY AUTHORITY: (iv) Characterizing flavoring ingredients (with or without safe and suitable coloring) as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice)
• STATUTORY AUTHORITY: (b) Natural and artificial food flavoring.
• STATUTORY AUTHORITY: 44. HEAT TREATED -
• STATUTORY AUTHORITY: “Heat treated” or “heat-treated” or “heat treatment” means processed by heating every particle of milk to a temperature of 145 degrees Fahrenheit for at least 30 minutes. Other heat treatment processes of differing temperature and time combinations may be acceptable if validated through a heat treatment study by a food processing authority.
• STATUTORY AUTHORITY: 45. HEAVY CREAM OR HEAVY WHIPPING CREAM -
• STATUTORY AUTHORITY: (a) “Heavy cream” is cream which contains not less than 36 percent milk fat. It may be homogenized.
• STATUTORY AUTHORITY: (b) Optional ingredients. The following safe and suitable optional ingredients may be used:
• STATUTORY AUTHORITY: (i) Emulsifiers.
• STATUTORY AUTHORITY: (ii) Stabilizers.
• STATUTORY AUTHORITY: (iii) Nutritive sweeteners.
• STATUTORY AUTHORITY: (iv) Characterizing flavoring ingredients (with or without coloring) as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice).
• STATUTORY AUTHORITY: (b) Natural and artificial food flavorings.
• STATUTORY AUTHORITY: 46. HERMETICALLY SEALED CONTAINER - A “hermetically sealed container” is a container that is designed and intended to be secure against the entry of microorganisms and thereby maintain the commercial sterility of its contents after processing.
• STATUTORY AUTHORITY: 47. HOMOGENIZED - The term “homogenized” means that milk or a milk product has been treated to insure breakup of the fat globules to such an extent that, after 48 hours of quiescent storage at 4.4°C (40°F), no visible cream separation occurs in the milk; and the fat percentage of the top 100 milliliters of milk in a quart, or of proportionate volumes in containers of other sizes, does not differ by more than 10 percent from the fat percentage of the remaining milk as determined after thorough mixing.
• STATUTORY AUTHORITY: 48. HOOVED MAMMALS MILK - Hooved mammals milk is the normal lacteal secretion, practically free of colostrums, obtained by the complete milking of one (1) or more healthy hooved mammals. This product must be produced according to the sanitary standards of this Rule. Hooved mammals for the purpose of this Rule, include but are not limited to, the members of the Order Cetartiodactyla, such as: Family Bovidae (cattle, water buffalo, sheep, goats, yaks, etc.), Family Camelidae (llamas, alpacas, camels, etc.), Family Cervidae (deer, reindeer, moose, etc.), and Family Equidae (horses, donkeys, etc.). This product must be produced according to the sanitary standards of this Rule. (Refer to the NOTE: at the end of Section XIII)
• STATUTORY AUTHORITY: 49. ICE CREAM AND FROZEN CUSTARD -
• STATUTORY AUTHORITY: (a) Ice Cream and Frozen Custard Specifications: These are foods
• STATUTORY AUTHORITY: produced by freezing, while stirring, a mix consisting of one or more of the optional dairy ingredients specified in paragraph (b) of this Section, and may contain one or more of the optional caseinates specified in paragraph (c) of this Section subject to the conditions hereinafter set forth, one or more of the optional hydrolyzed milk proteins as provided for in paragraph (d) of this Section subject to the conditions hereinafter set forth, and other safe and suitable nonmilk-derived ingredients; and excluding other food fats, except such as are natural components of flavoring ingredients used or are added in incidental amounts to accomplish specific functions.
• STATUTORY AUTHORITY: (i) Ice cream is sweetened with safe and suitable sweeteners and may be characterized by the addition of flavoring ingredients. If eggs or egg yolk solids are used as an ingredient, they must be pasteurized or, if not, the mix must be pasteurized after the eggs or egg yolk solids are added.
• STATUTORY AUTHORITY: (ii) Ice cream contains not less than 1.6 pounds of total solids to the gallon, and weighs not less than 4.5 pounds to the gallon. Ice cream contains not less than 10 percent milk fat, nor less than 10 percent nonfat milk solids, except that when it contains milk fat at 1 percent increments above the 10 percent minimum, it may contain the following milk fat-to-nonfat milk solids levels:
• STATUTORY AUTHORITY: Percent milk fat Minimum percent
• STATUTORY AUTHORITY: non-fat milk solids
• STATUTORY AUTHORITY: 10 . . . . . . . . . . . . . . 10
• STATUTORY AUTHORITY: 11 . . . . . . . . . . . . . . 9
• STATUTORY AUTHORITY: 12 . . . . . . . . . . . . . . 8
• STATUTORY AUTHORITY: 13 . . . . . . . . . . . . . . 7
• STATUTORY AUTHORITY: 14 . . . . . . . . . . . . . . 6
• STATUTORY AUTHORITY: Except that when one or more bulky flavors are used, the weights of milk fat and total milk solids are not less than 10 percent and 20 percent, respectively, of the remainder obtained by subtracting the weight of the bulky flavors from the weight of milk fat or total milk solids less than 8 percent and 16 percent, respectively, of the weight of the finished food. Except in the case of frozen custard, ice cream contains less than 1.4 percent egg yolk solids by weight of the food, exclusive of the weight of any bulky flavoring ingredients used.
• STATUTORY AUTHORITY: (iii) Frozen custard must contain 1.4 percent egg yolk solids by weight of the finished food: provided, however, that when bulky flavors are added the egg yolk solids content of frozen custard may be reduced in proportion to the amount of weight of the bulky flavors added, but in no case is the content of egg yolk solids in the finished food less than 1.12 percent. A product containing egg yolk solids in excess of 1.4 percent, the maximum set forth in this paragraph for ice cream, may be marketed if labeled as specified by paragraph (e)(i) of this Section.
• STATUTORY AUTHORITY: (iv) When calculating the minimum amount of milk fat and nonfat milk solids required in the finished food, the solids of chocolate or cocoa must be considered a bulky flavoring ingredient. In order to make allowance for additional sweetening ingredients needed when certain bulky ingredients are used, the weight of chocolate or cocoa solids, used may be multiplied by 2.5; the weight of fruit or nuts used may be multiplied by 1.4; and the weight of partially or wholly dried fruits or fruit juices may be multiplied by appropriate factors to obtain the original weights before drying and this weight may be multiplied by 1.4.
• STATUTORY AUTHORITY: (b) Optional dairy ingredients. The optional dairy ingredients referred to in paragraph (a) of this Section are: Cream, dried cream, plastic cream (sometimes known as concentrated milk fat), butter, butter oil, milk, concentrated milk, evaporated milk, sweetened condensed milk, superheated condensed milk, dried milk, skim milk, concentrated skim milk, evaporated skim milk, condensed skim milk, superheated condensed skim milk, sweetened condensed skim milk, sweetened condensed part skim milk, nonfat dry milk, sweet cream buttermilk, condensed sweet cream buttermilk, dried sweet cream buttermilk, skim milk that has been concentrated and from which part of the lactose has been removed by crystallization, skim milk in concentrated or dried form which has been modified by treating the concentrated skim milk with calcium hydroxide and disodium phosphate, and whey and those modified whey products (e.g., reduced lactose whey, reduced minerals whey, and whey protein concentrated) that have been determined by FDA to be generally recognized as safe (GRAS) for use in this type of food. Water may be added, or water may be evaporated from the mix. The sweet cream buttermilk and the concentrated cream buttermilk or dried sweet cream buttermilk, when adjusted with water to a total solids content of 8.5 percent, has a titratable acidity of not more than 0.17 percent calculated as lactic acid. The term “milk” as used in this Section means cow’s milk. Any whey and modified whey products used contribute, singly or in combination, not more than 25 percent by weight of the total nonfat milk solids content to be finished food. The modified skim milk, when adjusted with water to a total solids content of 9 percent is substantially free of lactic acid as determined by titration within 0.1N NaOH, and it has a pH value in the range of 8.0 to 8.3.
• STATUTORY AUTHORITY: (c) Optional caseinates. The optional caseinates referred to in paragraph (a) of this Section that may be added to ice cream mix containing not less than 20 percent total milk solids are: Casein prepared by precipitation with gums, ammonium caseinate, calcium caseinate, potassium caseinate, and sodium caseinate. Caseinate may be added in liquid or dry form, but must be free of excess alkali.
• STATUTORY AUTHORITY: (d) Optional hydrolyzed milk proteins. One or more of the optional hydrolyzed milk proteins referred to in paragraph (a) of this Section may be added as stabilizers at a level not to exceed 3 percent by weight of ice cream mix containing not less than 20 percent total milk solids provided that any whey and modified whey products used contribute, singly or in combination, not more than 25 percent by weight of the total nonfat milk solids content of the finished food. Further, when hydrolyzed milk proteins are used in the food, the declaration of these ingredients on the food label must comply with the requirements of Section XIV.
• STATUTORY AUTHORITY: (e) Nomenclature.
• STATUTORY AUTHORITY: (i) The name of the food is "ice cream", except that when the egg yolk solids content of the food is in excess of that specified for ice cream by paragraph (a) of this Section the name of the food is “frozen custard” or “french ice cream” or “french custard ice cream”.
• STATUTORY AUTHORITY: (ii) Flavoring Label Requirements
• STATUTORY AUTHORITY: (a) If the food contains no artificial flavor, the name on the principal display panel or panels of the label must be accompanied by the common or usual name of the characterizing flavor, e.g., "vanilla" in letters not less than one-half the height of the letters used in the words "ice cream”.
• STATUTORY AUTHORITY: (b) If the food contains both a natural characterizing flavor and an artificial flavor simulating it, and if the natural flavor predominates, the name on the principal display panel or panels must be accompanied by the common name of the characterizing flavor, in letters not less than one-half the height of the letters used in the words “ice cream” followed by the word "flavored", in letters not less than one half the height of the letters in the name of the characterizing flavor, e.g. "vanilla flavored", or "peach flavored", or "vanilla flavored and strawberry flavored".
• STATUTORY AUTHORITY: (c) If the food contains both a natural characterizing flavor and an artificial flavor simulating it, and if the artificial flavor predominates, or if the artificial flavor is used alone, the name on the principal display panel or panels of the label must be accompanied by the common name of the characterizing flavor in letters not less than one-half the height of the letters used in the words "ice cream", preceded by "artificial" or “artificially flavored", in letters not less than one-half the height of the letters in the name of the characterizing flavor, e.g. "artificial vanilla", “artificially flavored strawberry" or "artificially flavored vanilla and artificially flavored strawberry".
• STATUTORY AUTHORITY: (d) If the food is subject to the requirements of paragraph (e)ii(b) of this section or if it contains any artificial flavor not simulating the characterizing flavor, the label must also bear the word "artificial flavor added" or "artificial _________ flavor added", the blank being filled in with the common name of the flavor simulated by the artificial flavor in letters of the same size and prominence as the words that precede and follow it.
• STATUTORY AUTHORITY: (e) Whenever the name of the characterizing flavor appears on the label so conspicuously as to be easily seen under customary conditions of purchase, the words prescribed by this paragraph must immediately and conspicuously precede or follow such name, in a size reasonably related to the prominence of the name of the characterizing flavor and in any event the size of the type is not less than 6-point on packages containing at least 1 pint but less than one-half gallon, not less than 10-point on packages containing at least one-half gallon but less than 1 gallon, and not less than 12-point on packages containing 1 gallon or over: provided, however, that where the characterizing flavor and a trademark or brand are presented together, other written, printed, or graphic matter that is a part of or is associated with the trademark or brand, may intervene if the required words are in such relationship with the trademark or brand as to be clearly related to the characterizing flavor, and provided further, that if the finished product contains more than one flavor of ice cream subject to the requirements of this paragraph, the statements required by this paragraph need appear only once in each statement of characterizing flavors present in such ice cream, e.g. "Vanilla flavored, chocolate and strawberry flavored, artificial flavors added".
• STATUTORY AUTHORITY: (iii) If the food contains both a natural characterizing flavor and an artificial flavor simulating the characterizing flavor, any reference to the natural characterizing flavor must, except as otherwise authorized by this paragraph, be accompanied by a reference to the artificial flavor, displayed with subsequently equal prominence, e.g. “strawberry and artificial strawberry flavor".
• STATUTORY AUTHORITY: (iv) An artificial flavor simulating the characterizing flavor must be deemed to predominate:
• STATUTORY AUTHORITY: (a) In the case of vanilla beans or vanilla extracts used in combination with vanillin if the amount of vanillin used is greater than 1 ounce per unit of vanilla constituent as defined in 21 CFR part 169 (2019).
• STATUTORY AUTHORITY: (b) In the case of fruit or fruit juice used in combination with artificial fruit flavor, if the quantity of the fruit or fruit juice used is such that, in relation to the weight of the finished ice cream, the weight of the fruit or fruit juice, as the case may be (including water necessary to reconstitute partially or wholly dried fruits or fruit juices to their original moisture content) is less than 2 percent in the case of citrus ice cream, 6 percent in the case of berry or cherry ice cream, and 10 percent in the case of ice cream prepared with other fruits.
• STATUTORY AUTHORITY: (c) In the case of nut meats used in combination with artificial nut flavor, if the quantity of the nut meats is such that, in relation to the finished ice cream the weight of the nut meats is less than 2 percent.
• STATUTORY AUTHORITY: (d) In the case of two or more fruits or fruit juices, or nut meats, or both, used in combination with artificial flavors simulating the natural flavors and dispersed throughout the food, if the quantity of any fruit or fruit juice or nut meat is less than one-half the applicable percentage specified in paragraph (e)(5)(b) or (c) of this Section. For example, if a combination of ice cream contains less than 5 percent of bananas and less than 1 percent of almonds it would be “artificially flavored banana-almond ice cream”. However, if it contains more than 5 percent of bananas and more than 1 percent of almonds it would be banana-almond flavored ice cream”.
• STATUTORY AUTHORITY: (v) If two or more flavors of ice cream are distinctively combined in one package, e.g., "Neapolitan" ice cream, the applicable provisions of this paragraph shall govern each flavor of ice cream comprising the combination.
• STATUTORY AUTHORITY: (vi) Each of the optional ingredients used must be declared on the label as required by the applicable section of 21 CFR 101 (2019), except that sources of milk fat or milk solids not fat may be declared in descending order of predominance either by the use of the terms “milk fat and nonfat milk” when one or any combination of two or more of the ingredients listed in 21 CFR 101 (2019) are used or alternatively as permitted in 21 CFR 101 (2019). Pursuant to the FD & C (artificial colors approved by the FDA), artificial color need not be declared in ice cream except for FD&C Yellow No. 5. However, voluntary declaration of any color in ice cream is recommended.
• STATUTORY AUTHORITY: 50. Ice Cream Mix - “Ice cream mix” is the unfrozen product from which ice
• STATUTORY AUTHORITY: cream is manufactured. When applicable, the ingredient and butterfat standards
• STATUTORY AUTHORITY: must be the same for ice cream.
• STATUTORY AUTHORITY: 51. INDUSTRY PLANT SAMPLER - A person responsible for the collection of official samples for regulatory purposes at a milk plant, receiving station or transfer station as outlined in Section XIII of this Rule. This person is an employee of the milk plant, receiving station or transfer station and is evaluated at least once every two (2) year period by a State Sampling Surveillance Officer or a properly delegated Sampling Surveillance Regulatory Official.
• STATUTORY AUTHORITY: 52. LACTOSE-REDUCED MILK - “Lactose-reduced milk” is the product resulting from the treatment of milk, as defined in this rule, by the addition of safe and suitable enzymes to convert sufficient amounts of the lactose to glucose and/or galactose so that the remaining lactose is less than 30 percent of the lactose in milk.
• STATUTORY AUTHORITY: 53. LIGHT CREAM -
• STATUTORY AUTHORITY: (a) “Light cream” is cream which contains not less than 18 percent but less than 30 percent milk fat. It may be homogenized.
• STATUTORY AUTHORITY: (b) Optional ingredients. The following safe and suitable optional ingredients may be used:
• STATUTORY AUTHORITY: (i) Stabilizers.
• STATUTORY AUTHORITY: (ii) Emulsifiers.
• STATUTORY AUTHORITY: (iii) Nutritive Sweeteners.
• STATUTORY AUTHORITY: (iv) Characterizing flavoring ingredients (with or without coloring) as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice)
• STATUTORY AUTHORITY: (b) Natural and artificial food flavorings.
• STATUTORY AUTHORITY: 54. LIGHT MILK -
• STATUTORY AUTHORITY: (a) “Light milk” is milk that has less than or equal to 4 grams of fat per 8 ounce (240 mL) serving and contains not less than 8.25 percent milk solids not fat.
• STATUTORY AUTHORITY: (b) Vitamin requirements.
• STATUTORY AUTHORITY: (i) Vitamin A must be present in such quantity that each 946 milliliters (1 quart) of the food contains not less than 2,000 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) Addition of vitamin D is optional. If added, vitamin D must be present in such quantity that each 946 milliliters (1 quart) of the food contains 400 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: 55. LIGHT WHIPPING CREAM, MEDIUM CREAM OR WHIPPING CREAM -
• STATUTORY AUTHORITY: (a) “Light whipping cream, medium cream or whipping cream” is cream which contains not less than 30 percent but less than 36 percent milk fat. It may be homogenized.
• STATUTORY AUTHORITY: (b) Optional ingredients. The following safe and suitable optional ingredients may be used:
• STATUTORY AUTHORITY: (i) Stabilizers.
• STATUTORY AUTHORITY: (ii) Emulsifiers.
• STATUTORY AUTHORITY: (iii) Nutritive sweeteners.
• STATUTORY AUTHORITY: (iv) Characterizing flavoring ingredients (with or without coloring) as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice).
• STATUTORY AUTHORITY: (b) Natural and artificial food flavorings.
• STATUTORY AUTHORITY: 56. LOW-SODIUM MILK - “Low-sodium milk” is the product resulting from the treatment process of passing milk through an ion exchange resin reducing the sodium content of the product to less than 10 milligrams in 100 milliliters.
• STATUTORY AUTHORITY: 57. LOW-FAT MILK -
• STATUTORY AUTHORITY: (a) “Low-fat milk” is milk that has between 0.5 and 3 grams of fat per 8 ounce (240 mL) serving and contains not less than 8.25 percent milk solids not fat.
• STATUTORY AUTHORITY: (b) Vitamin requirements.
• STATUTORY AUTHORITY: Vitamin A must be present in such quantity that each 946 milliliters (1 quart) of the food contains not less than 2,000 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) Addition of vitamin D is optional. If added, vitamin D must be present in such quantity that each 946 milliliters (1 quart) of the food contains 400 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: 58. LOW-FAT YOGURT -
• STATUTORY AUTHORITY: (a) “Low-fat yogurt” is the food produced by culturing one or more of the optional dairy ingredients specified in paragraph (c) of this Section with a characterizing bacterial culture that contains the lactic acid-producing bacteria, Lactobacillus bulgaricus and Streptococcus thermophilus. One or more of the other optional ingredients specified in paragraph (b) and (d) of this Section may also be added. When one or more of the ingredients specified in paragraphs (d)(i) of this Section are used, they must be included in the culturing process. All ingredients used are safe and suitable. Low-fat yogurt, before the addition of bulky flavors, contains not less than 0.5 percent nor more than 2 percent milk fat and not less than 8.25 percent milk solids not fat, and has a titratable acidity of not less than 0.9 percent, expressed as lactic acid. The food may be homogenized and may be pasteurized or ultra-pasteurized prior to the addition of the bacterial culture. Flavoring ingredients may be added after pasteurization or ultra-pasteurization. To extend the shelf life of the food, low-fat yogurt may be heat-treated after culturing is completed, to destroy viable microorganisms.
• STATUTORY AUTHORITY: (b) Optional vitamin addition.
• STATUTORY AUTHORITY: (i) If added, vitamin A must be present in such quantity that each 946 milliliters (1-quart) of the food contains not less than 2,000 International Units thereof, within limits of current good manufacturing practice.
• STATUTORY AUTHORITY: (ii) If added, vitamin D must be present in such quantity that each 946 milliliters (1-quart) of the food contains 400 International Units thereof, within limits of current good manufacturing practice.
• STATUTORY AUTHORITY: (c) Optional dairy ingredients: Cream, milk, partially skimmed milk, or skim milk, used alone or in combination.
• STATUTORY AUTHORITY: (d) Other optional ingredients.
• STATUTORY AUTHORITY: (i) Concentrated skim milk, nonfat dry milk, buttermilk, whey, lactose, lactalbumins, lactoglobulins, or whey modified by partial or complete removal of lactose and/or minerals, to increase the nonfat solids content of the food: provided, that the ratio of protein to total nonfat solids of the food, and the protein efficiency ratio of all protein present must not be decreased as a result of adding such ingredients.
• STATUTORY AUTHORITY: (ii) Nutritive carbohydrate sweeteners. Sugar (sucrose), beet or cane; invert sugar (in paste or syrup form); brown sugar; refiner's syrup; molasses (other than blackstrap); high fructose corn syrup; fructose; fructose syrup; maltose; maltose syrup, dried maltose syrup; malt extract, dried malt extract; malt syrup, dried malt syrup; honey; maple sugar; or any other sweetener listed in 21 CFR Part 168, except table syrup.
• STATUTORY AUTHORITY: (iii) Flavoring ingredients.
• STATUTORY AUTHORITY: (iv) Color additives.
• STATUTORY AUTHORITY: (v) Stabilizers.
• STATUTORY AUTHORITY: 59. MILK -
• STATUTORY AUTHORITY: (a) “Milk” is the lacteal secretion, practically free from colostrum, obtained by the complete milking of one or more healthy cows, goats, sheep, water buffalo or other hooved mammal. Milk from cows that is in final package form for beverage use must contain not less than 8-1/4 percent milk solids not fat and not less than 3-1/4 percent milk fat. Milk may have been adjusted by separating part of the milk fat therefrom, or by adding thereto cream, concentrated milk, dry whole milk, skim milk, concentrated skim milk, or nonfat dry milk. Milk may be homogenized.
• STATUTORY AUTHORITY: (b) Vitamin addition requirements (optional).
• STATUTORY AUTHORITY: (i) If added, vitamin A must be present in such quantity that each 946 milliliters (1-quart) of the food contains not less than 2000 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) If added, vitamin D must be present in such quantity that each 946 milliliters (1-quart) of the food contains 400 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (c) Optional Ingredients. The following safe and suitable ingredients may be used:
• STATUTORY AUTHORITY: (i) Carriers for vitamin A and D.
• STATUTORY AUTHORITY: (ii) Characterizing flavoring ingredients (with or without coloring, nutritive sweetener, emulsifiers, and stabilizers) as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice).
• STATUTORY AUTHORITY: (b) Natural and artificial food flavorings.
• STATUTORY AUTHORITY: 60. MILK DISTRIBUTOR - A “milk distributor” is any person who offers for sale or sells to another any milk or milk product in its final form.
• STATUTORY AUTHORITY: 61. MILK PLANT - “Milk plant” means any place, premises or establishment where milk or milk products are collected, handled, processed, stored, pasteurized, aseptically processed, bottled or otherwise prepared for distribution and subsequent sale.
• STATUTORY AUTHORITY: 62. MILK PRODUCER - “Milk Producer” means any person who operates a dairy farm and provides, sells or offers milk for sale to a milk plant, receiving station or transfer station.
• STATUTORY AUTHORITY: 63. MILK PRODUCTS -
• STATUTORY AUTHORITY: (a) “Milk products” include cream, light cream, light whipping cream, heavy cream, heavy whipping cream, whipped cream, whipped light cream, sour cream, acidified sour cream, cultured sour cream, milk, butter, evaporated milk, sweetened condensed milk, nonfat dry milk solids, half and half, sour half and half, acidified sour half and half, cultured sour half and half, concentrated milk and milk products, skim milk, reconstituted or recombined milk and milk products, low-fat milk, light milk, reduced fat milk, homogenized milk, frozen milk concentrate, eggnog, cultured milk, buttermilk, yogurt, cottage cheese, creamed cottage cheese, acidified milk, low-sodium milk, lactose-reduced milk, aseptically processed and packaged milk and milk products, milk with added safe and suitable microbial organisms, any other milk product, frozen dairy dessert or frozen dairy dessert mix, or cheese made by the addition or subtraction of milk fat or addition of safe and suitable optional ingredients for protein, vitamin or mineral fortification. Any other product must be designated as a milk product by the Commissioner.
• STATUTORY AUTHORITY: (b) Powdered dairy blends may be labeled Grade “A” and used as ingredients in Grade “A” dairy products, such as cottage cheese dressing mixes or starter cultures used to produce various Grade “A” cultured products, if they meet the requirements of this Rule. If used as an ingredient in Grade “A” products, such as those listed above, blends of dairy powders must be blended under conditions, which meet all applicable Grade “A” requirements. Grade “A” powder blend must be made from Grade “A” powdered dairy products, except that small amounts of functional ingredients, (total of all such ingredients must not exceed 5% by weight of the finished blend) which are not Grade “A” are allowed in Grade “A” blends when the finished ingredient is not available in Grade “A” form, i.e. sodium caseinate. Dairy ingredients in small cans of freeze-dried starter culture need not be Grade “A” (FDA position).
• STATUTORY AUTHORITY: 64. MILK TANK TRUCK - A “milk tank truck” is the term used to describe both a bulk milk pickup tanker and a milk transport tank.
• STATUTORY AUTHORITY: 65. MILK TANK TRUCK CLEANING FACILITY - “Milk Tank Truck Cleaning Facility” means any place, premises, or establishment, separate from a milk plant, receiving or transfer station, where a milk tank truck is cleaned and sanitized.
• STATUTORY AUTHORITY: 66. MILK TANK TRUCK DRIVER - A “milk tank truck driver” is any person who transports raw or pasteurized milk and milk products to or from a milk plant, receiving station or transfer station. Any transportation of a direct farm pickup requires the milk tank truck driver to have responsibility for accompanying official samples.
• STATUTORY AUTHORITY: 67. MILK TRANSPORT TANK - A “milk transport tank” is a vehicle, including the truck and tank, used by the bulk milk hauler/sampler or milk tank truck driver to transport bulk shipments of milk from a milk plant, receiving station or transfer station to another milk plant, receiving station or transfer station.
• STATUTORY AUTHORITY: 68. MILK TRANSPORTATION COMPANY - A “milk transportation company” is the company responsible for a milk tank truck(s).
• STATUTORY AUTHORITY: 69. MISBRANDED MILK AND MILK PRODUCTS - A food shall be deemed to be misbranded:
• STATUTORY AUTHORITY: (a) If its labeling is false or misleading and does not comply with Section XIV.
• STATUTORY AUTHORITY: (b) If it is offered for sale under the name of another food.
• STATUTORY AUTHORITY: (c) If it is an imitation of another food, unless its label bears, in type of uniform size and prominence, the word “imitation” and, immediately thereafter, the name of the food imitated.
• STATUTORY AUTHORITY: (d) If its container is so made, formed, or filled as to be misleading.
• STATUTORY AUTHORITY: (e) If in package form unless it bears a label containing:
• STATUTORY AUTHORITY: (i) The name and place of business of the manufacturer, packer, or distributor; and
• STATUTORY AUTHORITY: (ii) An accurate statement of the quantity of the contents in terms of weight, measure, or numerical count: provided that, reasonable variations shall be permitted.
• STATUTORY AUTHORITY: (f) If any word, statement, or other information required by or under authority of this rule to appear on the label or labeling is not prominently placed thereon with such conspicuousness (as compared with other words, statements, designs, or devices, in the labeling) and in such terms as to render it likely to be read and understood by the ordinary individual under customary conditions of purchase and use.
• STATUTORY AUTHORITY: (g) If it purports to be or is represented as a food for which a definition and standard of identity has been prescribed, unless:
• STATUTORY AUTHORITY: (i) Its label bears the name of the food specified in the definition and standard, and, the common names of optional ingredients (other than spices, flavoring, and coloring) present in such food.
• STATUTORY AUTHORITY: (h) If it purports to be or is presented as a food for which a standard of
• STATUTORY AUTHORITY: quality has been prescribed by regulations as provided by Section 401 of
• STATUTORY AUTHORITY: the FD&C Act (21 U.S.C. section 341(1993)), and its quality falls below such standard, unless its label bears, in such manner and form as such regulations specify, a statement that it falls below such standard; or
• STATUTORY AUTHORITY: (i) A food for which a standard or standards of fill of container have been prescribed and falls below the standard of fill of container applicable thereto, unless the label bears a statement that the contents fall below such standard.
• STATUTORY AUTHORITY: (i) If it is not subject to the provisions of paragraph (g) of this Section, unless its label bears:
• STATUTORY AUTHORITY: (i) The common or usual name of the food, if any, and
• STATUTORY AUTHORITY: (ii) In case it is fabricated from two or more ingredients, the common or usual name of each such ingredient; except that spices, flavorings, and colorings, other than those sold as such, may be designated as spices, flavorings, and colorings without naming each.
• STATUTORY AUTHORITY: (j) If it purports to be or is represented for special dietary uses, unless its label bears such information concerning its vitamin, mineral, and other dietary properties as the Commissioner determines to be necessary in order fully to inform purchasers as to its value of such uses.
• STATUTORY AUTHORITY: (k) If it bears or contains any artificial flavoring, artificial coloring, or chemical preservative, unless it bears labeling stating that fact. The provisions of this paragraph and paragraphs (g) and (i) with respect to artificial coloring shall not apply in the case of butter, cheese, or ice cream. The provisions of this paragraph with respect to chemical preservatives shall not apply to a pesticide chemical when used in or on a raw agricultural commodity which is the produce of the soil.
• STATUTORY AUTHORITY: (l) If it is a raw agricultural commodity which is the produce of the soil, bearing or containing a pesticide chemical applied after harvest, unless the shipping container of such commodity bears labeling which declares the presence of such chemical in or on such commodity and the common or usual name and function of such chemical: provided, however, that no such declaration shall be required, while such commodity, having been removed from the shipping container, is being held or displayed for sale at retail out of such container in accordance with the custom of the trade.
• STATUTORY AUTHORITY: (m) If it is a color additive, unless its packaging and labeling are in conformity with such packaging and labeling requirements, applicable to such color additive.
• STATUTORY AUTHORITY: (n) If it contains saccharin, it is misbranded unless:
• STATUTORY AUTHORITY: (i) Its label and labeling bear the following statement: ‘USE OF THIS PRODUCT MAY BE HAZARDOUS TO YOUR HEALTH. THIS PRODUCT CONTAINS SACCHARIN WHICH HAS BEEN DETERMINED TO CAUSE CANCER IN LABORATORY ANIMALS’. Such statement must be located in a conspicuous place on such label and labeling as proximate as possible to the name of such food and must appear in conspicuous and legible type in contrast by typography, layout, and color with other printed matter on such label and labeling.
• STATUTORY AUTHORITY: (ii) It is offered for sale, but not for immediate consumption, at a retail establishment, unless such retail establishment displays prominently, where such food is held for sale, notice (provided by the manufacturer of such food pursuant to subparagraph (ii)) for consumers respecting the information required by paragraph (n) to be on food labels and labeling.
• STATUTORY AUTHORITY: (iii) The manufacturer of food which contains saccharin and which is offered for sale by retail establishments but not for immediate consumption took such action as may be necessary to provide such retail establishments with the notice required by subparagraph (i).
• STATUTORY AUTHORITY: 70. NCIMS - “NCIMS” means National Conference on Interstate Milk Shipments. The National Conference on Interstate Milk Shipments (NCIMS) has served as a model cooperative program between PHS/Food and Drug Administration (PHS/FDA), the States and the dairy industry and reflects the cooperative spirit of all those committed to ensuring a safe and wholesome supply of milk and milk products.
• STATUTORY AUTHORITY: 71. NONFAT YOGURT -
• STATUTORY AUTHORITY: (a) Nonfat yogurt is the food produced by culturing one or more of the optional dairy ingredients specified in paragraph (c) of this Section with a characterizing bacterial culture that contains the lactic acid- producing bacteria, Lactobaccilus bulgaricus and Streptococcus thermophilus. One or more of the other optional ingredients specified in paragraph (b) and (c) of this Section may also be added. When one or more of the ingredients specified in paragraph (c)(i) of this Section are used, they must be included in the culturing process. All ingredients used are safe and suitable. Nonfat yogurt, before the addition of bulky flavors, contains less than 0.5 percent milk fat and not less than 8.25 percent milk solids not fat, and has a titratable acidity of not less than 0.9 percent, expressed as lactic acid. The food may be homogenized and may be pasteurized or ultra-pasteurized prior to the addition of the bacterial culture. Flavoring ingredients may be added after pasteurization or ultra- pasteurization. To extend the shelf life of the food, nonfat yogurt may be heat-treated after culturing is completed, to destroy viable microorganisms.
• STATUTORY AUTHORITY: (b) Vitamin addition requirements (optional).
• STATUTORY AUTHORITY: (i) If added, vitamin A must be present in such quantity that each 946 milliliters (1- quart) of the food contains not less than 2000 International Units thereof, within limits of current good manufacturing practice.
• STATUTORY AUTHORITY: (ii) If added, vitamin D must be present in such quantity that each 946 milliliters (1-quart) of the food contains 400 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (c) Optional dairy ingredients. Cream, milk, partially skimmed milk, used
• STATUTORY AUTHORITY: alone or in combination. Other optional dairy ingredients include
• STATUTORY AUTHORITY: concentrated skim milk, nonfat dry milk, buttermilk, whey, lactose,
• STATUTORY AUTHORITY: lactalbumins, lactoglobulins, or whey modified by partial or complete
• STATUTORY AUTHORITY: removal of lactose and/or minerals, to increase the nonfat solids content
• STATUTORY AUTHORITY: of the food; provided, that the ratio of protein to total nonfat solids of the
• STATUTORY AUTHORITY: food, and the protein efficiency ratio of all protein present must not be
• STATUTORY AUTHORITY: decreased as a result of adding such ingredients.
• STATUTORY AUTHORITY: (d) Other optional ingredients:
• STATUTORY AUTHORITY: (i) Nutritive carbohydrate sweeteners. Sugar (sucrose), beet or cane; invert sugar (in paste or syrup form); brown sugar; refiner's syrup; molasses (other than blackstrap); high fructose corn syrup; fructose; fructose syrup; maltose; maltose syrup, dried maltose syrup; malt extract, dried malt extract; malt syrup, dried malt syrup; honey; maple sugar; or any other sweeteners listed in 21 CFR Part 168, except table syrup.
• STATUTORY AUTHORITY: (ii) Flavoring ingredients.
• STATUTORY AUTHORITY: (iii) Color additives.
• STATUTORY AUTHORITY: (iv) Stabilizers.
• STATUTORY AUTHORITY: 72. NOT PASTEURIZED - “Not pasteurized” means any milk or milk product that has not been subjected to the temperature and time requirements of pasteurization using equipment designed for pasteurization or has not been aseptically processed and packaged. This does not apply to cheese that has been aged at a temperature above 35°F for at least 60 days prior to sale.
• STATUTORY AUTHORITY: 73. OFFICIALLY DESIGNATED LABORATORY - An “officially designated laboratory” is a commercial laboratory authorized to do official work by the Department, or a milk industry laboratory officially designated by the Department for the examination of producer samples of Grade A raw milk for pasteurization and commingled milk tank truck samples of raw milk for drug residues and bacterial limits.
• STATUTORY AUTHORITY: 74. OFFICIAL LABORATORY - An “official laboratory” is a biological, chemical or physical laboratory which is under the direct supervision of the Department.
• STATUTORY AUTHORITY: 75. Pasteurization - The terms "pasteurization", “pasteurized" and similar terms shall mean the process of heating every particle of milk or milk product in properly designed and operated equipment, to one of the temperatures given in the following chart and held continuously at or above that temperature for at least the corresponding specified time:
• STATUTORY AUTHORITY: (a)
• STATUTORY AUTHORITY: TemperatureTime63⁰C (145⁰F) 30 minutes72⁰C (161⁰F) 15 seconds89⁰C (191⁰F)1.0 second90⁰C (194⁰F)0.5 seconds94⁰C (201⁰F)0.1 seconds100⁰C (212⁰F)0.01 seconds
• STATUTORY AUTHORITY: If the fat content of the milk product is 10 percent (10%) or greater, or a total solids of 18% or greater, or if it contains added sweeteners, the specified temperature must be increased by 3°C (5°F):
• STATUTORY AUTHORITY: (b) Provided, that Eggnog must be heated to at least the following temperature and time specifications:
• STATUTORY AUTHORITY: TemperatureTime69⁰C (155⁰F)30 minutes80⁰C (175⁰F)25 seconds83⁰C (180⁰F)15 seconds
• STATUTORY AUTHORITY: (c) Nothing shall be construed as barring any other process found equivalent to pasteurization for milk and milk products which has been recognized by the FDA to be equally effective and which is approved by the Commissioner. Guidelines for properly designed and operated equipment may be found in the PMO.
• STATUTORY AUTHORITY: 76. PERSON - The word “person” includes any individual, plant operator, partnership, corporation, company, firm, trustee, association or institution.
• STATUTORY AUTHORITY: 77. PORTABLE/TEMPORARY MILKING PARLOR - A “portable/temporary milking parlor” is a mobile unit designed for occasional use.
• STATUTORY AUTHORITY: 78. RAW MILK - See Definition “Not Pasteurized”.
• STATUTORY AUTHORITY: 79. RECEIVING STATION - A “receiving station” is any place, premise or establishment where raw milk is received, collected, handled, stored or cooled and prepared for further transporting.
• STATUTORY AUTHORITY: 80. RECONSTITUTED OR RECOMBINED MILK AND MILK PRODUCTS - “Reconstituted or recombined milk and/or milk products” means milk or milk products defined in this Section which result from reconstituting or recombining of milk constituents with potable water when appropriate.
• STATUTORY AUTHORITY: 81. REDUCED FAT MILK -
• STATUTORY AUTHORITY: (a) “Reduced fat milk” is milk that has less than or equal to 6 grams of fat per 8 ounce (240 mL) serving and contains not less than 8.25 percent milk solids not fat.
• STATUTORY AUTHORITY: (b) Vitamin addition requirements.
• STATUTORY AUTHORITY: (i) Vitamin A must be present in such quantity that each 964 milliliters (1 quart) of the food contains not less than 2,000 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) Addition of vitamin D is optional. If added, vitamin D must be present in such quantity that each 946 milliliters (1 quart) of the food contains 400 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: 82. REGULATORY AGENCY - “Regulatory Agency” means a Governmental body designated with authority to regulate milk and milk products in a given jurisdiction.
• STATUTORY AUTHORITY: 83. SANITIZATION - “Sanitization” is the application of any effective method or substance to a properly cleaned surface for the destruction of pathogens and other microorganisms. Such treatment must not adversely affect the equipment, the milk or milk product or the health of consumers, and shall be acceptable to the Department.
• STATUTORY AUTHORITY: 84. SHEEP MILK - “Sheep milk” is the normal lacteal secretion practically free of colostrum, obtained by the complete milking of one or more healthy sheep. Sheep milk and sheep milk food products must be produced according to the sanitary standards of this rule.
• STATUTORY AUTHORITY: 85. SHERBET -
• STATUTORY AUTHORITY: “Sherbet” is a food produced by freezing, while stirring, a
• STATUTORY AUTHORITY: pasteurized mix consisting of one or more of the optional dairy
• STATUTORY AUTHORITY: ingredients specified in paragraph (e) of this Section, and may contain
• STATUTORY AUTHORITY: one or more of the optional caseinates specified in paragraph (f) of this
• STATUTORY AUTHORITY: Section subject to the conditions hereinafter set forth, and other safe and
• STATUTORY AUTHORITY: suitable nonmilk-derived ingredients; and excluding other food fats,
• STATUTORY AUTHORITY: except such as are added in small amounts to accomplish specific
• STATUTORY AUTHORITY: functions or are natural components of flavoring ingredients used.
• STATUTORY AUTHORITY: (b) Sherbet is sweetened with “SAFE AND SUITABLE SWEETENERS”
• STATUTORY AUTHORITY: and characterizing fruit ingredients specified in paragraph (g) of this
• STATUTORY AUTHORITY: Section or one or more of the non-fruit characterizing ingredients
• STATUTORY AUTHORITY: specified in paragraph (h) of this Section.
• STATUTORY AUTHORITY: (c) Sherbet weighs not less than 6 pounds to the gallon. The
• STATUTORY AUTHORITY: milk fat content is not less than 1 percent nor more than 2
• STATUTORY AUTHORITY: percent, the nonfat milk derived solids content not less than 1 percent,
• STATUTORY AUTHORITY: and the total milk or milk-derived solids content is not less than 2 percent
• STATUTORY AUTHORITY: nor more than 5 percent by weight of the finished food.
• STATUTORY AUTHORITY: (d) Sherbet that is characterized by a fruit ingredient must have a
• STATUTORY AUTHORITY: titratable acidity, calculated as lactic acid, of not less than .35 percent.
• STATUTORY AUTHORITY: (e) Optional dairy ingredients. The optional dairy ingredients referred to in paragraph (a) of this Section are:
• STATUTORY AUTHORITY: Cream, dried cream, plastic cream (sometimes known as concentrated milk fat), butter, butter oil, milk, concentrated milk, evaporated milk, superheated condensed milk, sweetened condensed milk, dried milk, skim milk, concentrated skim milk, evaporated skim milk, condensed skim milk, sweetened condensed skim milk, sweetened condensed part-skim milk, nonfat dry milk, sweet cream buttermilk, condensed sweet cream buttermilk, dried sweet cream buttermilk, skim milk that has been concentrated and from which part of the lactose has been removed by crystallization, and whey and those modified whey products (e.g., reduced lactose whey, reduced minerals whey, and whey protein concentrate) that comply with 21 CFR Part 184. Water may be added, or water may be evaporated from the mix. The sweet cream buttermilk and the concentrated sweet cream buttermilk or dried sweet cream buttermilk, when adjusted with water to a total solids content of 8.5 percent, has a titratable acidity of not more than 0.17 percent, calculated as lactic acid. The term "milk" as used in this section means cow’s milk.
• STATUTORY AUTHORITY: (f) Optional caseinates. The optional caseinates referred to in paragraph (a) of this Section which may be added to sherbet mix are:
• STATUTORY AUTHORITY: Casein prepared by precipitation with gums, ammonium caseinate, calcium caseinate, potassium caseinate, and sodium caseinate. Caseinates may be added in liquid or dry form, but must be free of excess alkali; such caseinates are not considered to be milk solids.
• STATUTORY AUTHORITY: (g) Optional fruit-characterizing ingredients. The optional fruit characterizing ingredients referred to in paragraph (b) of this Section are any mature fruit or the juice of any mature fruit. The fruit or fruit juice used may be fresh, frozen, canned, concentrated, or partially or wholly dried. The fruit may be thickened with pectin or other optional ingredients. The fruit is prepared by the removal of pits, seeds, skins, and cores, where such removal is usual in preparing that kind of fruit for consumption as fresh fruit. The fruit may be screened, crushed, or otherwise comminuted. It may be acidulated. In the case of concentrated fruit or fruit juices, from which part of the water is removed, substances contributing flavor volatilized during water removal may be condensed and reincorporated in the concentrated fruit or fruit juice. In the case of citrus fruits, the whole fruit, including the peel but excluding the seeds, may be used, and in the case of citrus juice or concentrated citrus juices, cold-pressed citrus oil may be added thereto in an amount not exceeding that which would be obtained if the whole fruit had been used. The quantity of fruit ingredients used is such that, in relation to the weight of the finished sherbet, the weight of fruit or fruit juice, as the case may be (including water necessary to reconstitute partially or wholly dried fruits or fruit juices to their original moisture content), is not less than 2 percent in the case of citrus sherbets, 6 percent in the case of berry sherbets, and 10 percent in the case of sherbets prepared with other fruits. For the purpose of this Section, tomatoes and rhubarb are considered as kinds of fruit.
• STATUTORY AUTHORITY: (h) Optional non-fruit characterizing ingredients. The optional non-fruit characterizing ingredients referred to in paragraph (b) of this Section include but are not limited to the following:
• STATUTORY AUTHORITY: (i) Ground spice or infusion of coffee or tea.
• STATUTORY AUTHORITY: (ii) Chocolate or cocoa, including syrup.
• STATUTORY AUTHORITY: (iii) Confectionery.
• STATUTORY AUTHORITY: (iv) Distilled alcoholic beverage, including liqueurs or wine, in an amount not to exceed that required for flavoring the sherbet.
• STATUTORY AUTHORITY: (v) Any natural or artificial food flavoring (except any having a characteristic fruit or fruit-like flavor).
• STATUTORY AUTHORITY: (i) Nomenclature.
• STATUTORY AUTHORITY: (i) The name of each sherbet is as follows:
• STATUTORY AUTHORITY: (a) The name of each fruit sherbet is “__________ sherbet", the blank being filled in with the common name of the fruit or fruits from which the fruit ingredients used are obtained. When the names of two or more fruits are included, such names must be arranged in order of predominance, if any, by weight of the respective fruit ingredients used.
• STATUTORY AUTHORITY: (b) The name of each non-fruit sherbet is “_________ sherbet", the blank being filled in with the common or usual name or names of the characterizing flavor or flavors; for example, “peppermint”, except that if the characterizing flavor used is vanilla, the name of the food is “sherbet”, the blank being filled in as specified by 21 CFR 135.110(e) (2) and (5) (i) (2019).
• STATUTORY AUTHORITY: (ii) Artificial flavoring or artificial coloring - When the optional ingredients, artificial flavoring, or artificial coloring are used in sherbet, they must be named on the label as follows:
• STATUTORY AUTHORITY: (a) If the flavoring ingredient or ingredients consists exclusively of artificial flavoring, the label designation must be "artificially flavored".
• STATUTORY AUTHORITY: (b) If the flavoring ingredients are a combination of natural and artificial flavors, the label designation must be “artificial and natural flavoring added".
• STATUTORY AUTHORITY: (c) The label must designate artificial coloring by the statement "artificially colored", “artificial coloring added", "with added artificial coloring", or “___________, and artificial color added", the blank being filled in with the name of the artificial coloring used.
• STATUTORY AUTHORITY: (j) Characterizing flavor(s). Wherever there appears on the label any representation as to the characterizing flavor or flavors of the food and such flavor or flavors consist in whole or in part of artificial flavoring, the statement required in paragraph (i) (ii)(a) and (b) of this Section, as appropriate, must immediately and conspicuously precede or follow such representation, without intervening written, printed, or graphic matter (except that the word "sherbet" may intervene) in a size reasonably related to the prominence of the name of the characterizing flavor and in any event the size of the type is not less than 6-point on packages containing less than 1 pint, not less than 8-point on packages containing at least 1 pint but less than one-half gallon, not less than 10 point on packages containing at least one-half gallon but less than 1 gallon, and not less than 12 point on packages containing 1 gallon or over.
• STATUTORY AUTHORITY: (k) Display of statements required in paragraph (i)(ii). Except as specified in paragraph (j) of this Section, the statements required by paragraph (i)(ii) of this Section must be set forth on the principal display panel or panels of the label with such prominence and conspicuousness as to render them likely to be read and understood by the ordinary individual under customary conditions of purchase and use.
• STATUTORY AUTHORITY: (l) Label declarations. Each of the optional ingredients used must be declared on the label, as required in Section XIV.
• STATUTORY AUTHORITY: 86. SKIM, FAT-FREE, NONFAT MILK -
• STATUTORY AUTHORITY: (a) “Skim, fat-free, nonfat milk” is milk that has less than 0.5 grams of fat per 8 ounce (240mL) serving and contains not less than 8.25 percent milk solids not fat.
• STATUTORY AUTHORITY: (b) Vitamin addition requirements.
• STATUTORY AUTHORITY: (i) Vitamin A must be present in such quantity that each 946 milliliters (1 quart) of the food contains not less than 2,000 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: (ii) Addition of vitamin D is optional. If added, vitamin D must be present in such quantity that each 946 milliliters (1 quart) of the food contains 400 International Units thereof within limits of good manufacturing practice.
• STATUTORY AUTHORITY: 87. SOUR CREAM OR CULTURED SOUR CREAM -
• STATUTORY AUTHORITY: (a) “Sour cream” results from the souring, by lactic acid producing bacteria, of cream. Sour cream contains not less than 18 percent milk fat; except that when the food is characterized by the addition of nutritive sweeteners or bulky flavoring ingredients, the weight of the milk fat is not less than 18 percent of the remainder obtained by subtracting the weight of such optional ingredients from the weight of the food; but in no case does the food contain less than 14.4 percent milk fat. Sour cream has a titratable acidity of not less than 0.5 percent, calculated as lactic acid.
• STATUTORY AUTHORITY: Optional ingredients.
• STATUTORY AUTHORITY: (i) Safe and suitable ingredients that improve texture, prevent syneresis, or extend the shelf life of the product.
• STATUTORY AUTHORITY: (ii) Sodium citrate in an amount not more than 0.1 percent may be added prior to culturing as a flavor precursor.
• STATUTORY AUTHORITY: (iii) Rennet.
• STATUTORY AUTHORITY: (iv) Safe and suitable nutritive sweeteners.
• STATUTORY AUTHORITY: (v) Salt.
• STATUTORY AUTHORITY: (vi) Flavoring ingredients, with or without safe and suitable coloring, as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice).
• STATUTORY AUTHORITY: (b) Safe and suitable natural and artificial food flavoring.
• STATUTORY AUTHORITY: 88. SOUR HALF-AND-HALF OR CULTURED SOUR HALF-AND-HALF -
• STATUTORY AUTHORITY: “Sour half-and-half” results from the souring, by lactic acid producing bacteria, of pasteurized half-and-half. Sour half-and-half contains not less than 10.5 percent but less than 18 percent milk fat; except that when the food is characterized by the addition of nutritive sweeteners or bulky
• STATUTORY AUTHORITY: flavoring ingredients, the weight of the milk fat is not less than 10.5 percent of the remainder obtained by subtracting the weight of such optional ingredients from the weight of the food; but in no case does the food contain less than 8.4 percent milk fat. Sour half-and-half has a titratable acidity of not less than 0.5 percent, calculated as lactic acid.
• STATUTORY AUTHORITY: (b) Optional ingredients.
• STATUTORY AUTHORITY: (i) Safe and suitable ingredients that improve texture, prevent syneresis, or extend the shelf life of the product.
• STATUTORY AUTHORITY: (ii) Sodium citrate in an amount not more than 0.1 percent may be added prior to culturing as a flavor precursor.
• STATUTORY AUTHORITY: (iii) Rennet.
• STATUTORY AUTHORITY: (iv) Safe and suitable nutritive sweeteners.
• STATUTORY AUTHORITY: (v) Salt.
• STATUTORY AUTHORITY: (vi) Flavoring ingredients, with or without safe and suitable coloring, as follows:
• STATUTORY AUTHORITY: (a) Fruit and fruit juice (including concentrated fruit and fruit juice).
• STATUTORY AUTHORITY: (b) Safe and suitable natural and artificial food flavoring.
• STATUTORY AUTHORITY: (vii) Safe and suitable coloring.
• STATUTORY AUTHORITY: 89. STERILIZED - The term “sterilized” when applied to piping, equipment and containers used for milk and milk products means the condition achieved by the application of heat, chemical sterilant(s) or other appropriate treatment that renders the piping, equipment and containers free of viable microorganisms.
• STATUTORY AUTHORITY: 90. TIME/TEMPERATURE CONTROL FOR SAFETY OF MILK AND
• STATUTORY AUTHORITY: MILK PRODUCTS –
• STATUTORY AUTHORITY: Milk and milk products that require time/temperature control for safety (TCS) to limit pathogenic microorganism growth or toxin formation includes:
• STATUTORY AUTHORITY: (a) Milk or milk products that are raw, heat-treated, pasteurized, or ultra-
• STATUTORY AUTHORITY: pasteurized; or
• STATUTORY AUTHORITY: (b) Except as specified in c. below of this definition, a milk or milk product that because of the interaction of its aw and pH values is designated as Product Assessment (PA) as required in either Table A or B as follows:
• STATUTORY AUTHORITY: Table A. Interaction of pH and aw for Control of Spores in Milk and Milk Products Pasteurized to Destroy Pathogenic Vegetative Cells and Subsequently PackagedAw valuespH values 4.6 or less>4.6 - 5.6>5.60.92 or less Non-TCS Non-TCSNon-TCS> 0.92 - 0 .95Non-TCSNon-TCSPA> 0.95 Non-TCSPAPA
• STATUTORY AUTHORITY: Refer to Appendix R in the PMO for instruction on how to use Table A.
• STATUTORY AUTHORITY: TCS means TIME/TEMPERATURE CONTROL FOR SAFETY MILK AND MILK PRODUCTS. PA means either that the product needs time and temperature control or further PRODUCT ASSESSMENT is required to determine if the milk or milk product is Non-TCS.
• STATUTORY AUTHORITY: Table B. Interaction of pH and Aw for Control of Pathogenic Vegetative Cells and Spores in Milk and Milk Products not Pasteurized or Pasteurized but not PackagedAw valuespH values <4.24.2 - 4.6>4.6 - 5.0>5.0<0.88Non-TCSNon-TCSNon-TCSNon-TCS0.88 - 0.90Non-TCSNon-TCSNon-TCSPA>0.90 - 0.92Non-TCSNon-TCSPAPA> 0.92Non-TCSPAPAPA
• STATUTORY AUTHORITY: Refer to Appendix R in PMO for instruction on how to use Table B.
• STATUTORY AUTHORITY: This definition does not include:
• STATUTORY AUTHORITY: (i) A milk or milk product that because of its pH or aw value, or interaction of aw and pH values, is designated as Non-TCS in Table A or B as specified in 2. above of this definition;
• STATUTORY AUTHORITY: (ii) A milk or milk product, in an unopened hermetically sealed container, that is commercially processed to achieve and maintain commercial sterility under conditions of non-refrigerated storage and distribution;
• STATUTORY AUTHORITY: (iii) A milk or milk product for which evidence (acceptable to FDA) demonstrates that time/temperature control for safety is not required as specified under this definition (such as, a product containing a preservative known to inhibit pathogenic microorganisms, or other barriers to the
• STATUTORY AUTHORITY: growth of pathogenic microorganisms, or a combination of barriers that inhibit the growth of pathogenic microorganisms); or
• STATUTORY AUTHORITY: (iv) A milk or milk product that does not support the growth of pathogenic microorganisms as specified under this definition even though the milk or milk product may contain a pathogenic microorganism or chemical or physical contaminant at a level sufficient to cause illness or injury.
• STATUTORY AUTHORITY: 91. TRANSFER STATION - A “transfer station” is any place, premises or establishment where milk or milk products are transferred directly from one milk tank truck to another.
• STATUTORY AUTHORITY: 92. ULTRA-PASTEURIZATION - The term “ultra-pasteurization”, when used to describe a dairy product, means that such product must have been thermally processed at or above 138°C (280°F) for at least two (2) seconds, either before or after packaging, so as to produce a product that has an extended shelf life under refrigerated conditions.
• STATUTORY AUTHORITY: 93. WATER BUFFALO MILK - “Water buffalo milk” is the normal lacteal secretion, practically free of colostrum, obtained by the complete milking of one (1) or more healthy water buffalo. Water buffalo milk must be produced according to the sanitary standards of this Rule. The word “milk” shall be interpreted to include water buffalo milk.
• STATUTORY AUTHORITY: 94. WHIPPED CREAM - “Whipped cream” is heavy cream or light whipping cream into which air or inert gas has been incorporated.
• STATUTORY AUTHORITY: 95. WHIPPED LIGHT CREAM - “Whipped light cream” is light cream into which air or inert gas has been incorporated.
• STATUTORY AUTHORITY: 96. YOGURT -
• STATUTORY AUTHORITY: (a) “Yogurt” is the food produced by culturing one or more of the optional dairy ingredients specified in paragraph (c) of this Section with a characterizing bacterial culture that contains the lactic acid-producing bacteria Lactobacillus bulgaricus and Streptococcus thermophilus. One or more of the other optional ingredients specified in paragraph (b) and (d) of this Section may also be added. When one or more of the ingredients specified in paragraph (d)(i) of this Section are used, they must be included in the culturing process. All ingredients used are safe and suitable. Yogurt, before the addition of bulky flavors, contains not less than 3.25 percent milk fat and not less than 8.25 percent milk solids not fat, and has a titratable acidity of not less than 0.9 percent, expressed as lactic acid. The food may be homogenized and may be pasteurized or ultra-pasteurized prior to the addition of the bacterial culture. Flavoring ingredients may be added after pasteurization or ultra- pasteurization. To extend the shelf life of the food, yogurt may be heat treated after culturing is completed, to destroy viable microorganisms.
• STATUTORY AUTHORITY: (b) Vitamin Requirements (optional).
• STATUTORY AUTHORITY: (i) If added, vitamin A must be present in such quantity that each 946 milliliters (1-quart) of the food contains not less than 2,000 International Units thereof within limits of current good manufacturing practice.
• STATUTORY AUTHORITY: (ii) If added, vitamin D must be present in such quantity that each 946 milliliters (1-quart) of the food contains 400 International Units thereof, within limits of current good manufacturing practice.
• STATUTORY AUTHORITY: (c) Optional dairy ingredients: Cream, milk, partially skimmed milk, or skim milk, used alone or in combination.
• STATUTORY AUTHORITY: (d) Other optional ingredients.
• STATUTORY AUTHORITY: (i) Concentrated skim milk, nonfat dry milk, buttermilk, whey, lactose, lactalbumins, lactoglobulins, or whey modified by partial or complete removal of lactose and/or minerals, to increase the nonfat solids content of the food: provided that the ratio of protein to total nonfat solids of the food and the protein efficiency ratio of all protein present must not be decreased as a result of adding such ingredients.
• STATUTORY AUTHORITY: (ii) Nutritive carbohydrate sweeteners. Sugar (sucrose), beet or cane; invert sugar (in paste or syrup form); brown sugar; refiner's syrup; molasses (other than blackstrap); high fructose corn syrup; fructose; fructose syrup; maltose; maltose syrup, dried maltose syrup; malt extract, dried malt extract; malt syrup, dried malt syrup; honey; maple sugar; or any other sweeteners listed in 21 CFR Part 168, except table syrup.
• STATUTORY AUTHORITY: (iii) Flavoring ingredients.
• STATUTORY AUTHORITY: (iv) Color additives.
• STATUTORY AUTHORITY: Stabilizers.
• STATUTORY AUTHORITY: SECTION II - ADULTERATED OR MISBRANDED MILK OR MILK PRODUCTS
• STATUTORY AUTHORITY: No person may, within the State of Maine, produce, provide, sell, offer, or expose for sale or have in possession with intent to sell any milk or milk product which is adulterated or misbranded. Provided, that in an emergency, the sale of milk and milk products which do not fully meet the requirements of this Rule, may be authorized by the Commissioner.
• STATUTORY AUTHORITY: Any adulterated or misbranded milk or milk products may be impounded by the Department and disposed of in accordance with applicable laws or rules.
• STATUTORY AUTHORITY: SECTION III - LICENSING AND PERMITS
• STATUTORY AUTHORITY: A. Licensing of Milk Distributors.
• STATUTORY AUTHORITY: No milk distributor may sell milk or milk products without first obtaining a license from the Commissioner. The Commissioner shall prescribe the form of the license. The license must be renewed annually on or before the first day of January in each year, except for wholesale manufacturers of frozen dairy desserts who must apply on or before the first day of June. Each licensee must comply with all applicable State and Federal laws and rules. A satisfactory inspection is required before issuance of a license to milk distributors. A current Milk Distributor’s license only authorizes sales and distribution of milk and/or milk products within the State of Maine. A SERVSAFE or similar food safety course is encouraged: https://www.servsafe.com/access/SS/Catalog/ProductDetail/SSECT6 .
• STATUTORY AUTHORITY: B. Milk Distributor License Fee Schedule.
• STATUTORY AUTHORITY: Annual sales or distribution over 25 million pounds - $300.00
• STATUTORY AUTHORITY: Annual sales or distribution of 10-25 million pounds - $200.00
• STATUTORY AUTHORITY: Annual sales or distribution of 1-10 million pounds - $120.00
• STATUTORY AUTHORITY: Annual sales or distribution of 100,000 to 1 million pounds - $70.00
• STATUTORY AUTHORITY: Annual sales or distribution of less than 100,000 pounds $35.00
• STATUTORY AUTHORITY: C. Permits
• STATUTORY AUTHORITY: Every milk producer, bulk milk hauler and sampler, milk transportation company, receiving station, transfer station and portable/temporary milking parlor must hold a valid permit in accordance with the requirements of this rule and state law. A permit may be suspended for any failure to comply with these requirements. Permits are issued at no cost and are not transferable between person, businesses or farms. Any milk producer, bulk milk hauler and sampler, milk transportation company, receiving station, transfer station and portable/temporary milking parlor participating in the FDA Interstate Milk Shippers program must comply with applicable requirements and is subject to all regulatory standards and penalties as set forth in the PMO.
• STATUTORY AUTHORITY: Permits are issued to:
• STATUTORY AUTHORITY: 1. Milk Producer: A permit authorizes the milk producer to ship, sell and/or receive milk
• STATUTORY AUTHORITY: 2. Bulk Milk Hauler/Sampler: A permit authorizes the bulk milk hauler/sampler to collect official samples and/or transport raw milk from a farm and/or raw milk products to or from a farm, milk plant, receiving station or transfer station.
• STATUTORY AUTHORITY: 3. Receiving stations: A permit authorizes the receiving station to receive, collect, handle, store or cool and prepare raw milk for further transporting.
• STATUTORY AUTHORITY: 4. Milk Tank Truck Cleaning Facilities: A permit authorizes the milk tank truck cleaning facility to clean and sanitize a milk tank truck.
• STATUTORY AUTHORITY: 5. Transfer Stations: A permit authorizes a transfer station to transfer milk or milk products directly from one milk tank truck to another.
• STATUTORY AUTHORITY: 6. Milk Transportation Company: A permit authorizes the milk transportation company to transport raw milk in a milk transport tank driven by a milk tank truck driver. Milk tank truck drivers are not required to obtain individual permits.
• STATUTORY AUTHORITY: 7. Portable/temporary milking parlor: A permit authorizes the operator of a portable/temporary milking parlor to ship, sell or receive milk.
• STATUTORY AUTHORITY: SECTION IV – INSPECTION OF DAIRY FARMS AND MILK PLANTS
• STATUTORY AUTHORITY: Each single service container manufacturer, dairy farm, milk plant, receiving
• STATUTORY AUTHORITY: station, milk tank truck cleaning facility and each bulk milk hauler/sampler who collects samples of raw milk for pasteurization, for bacterial, chemical or temperature standards and hauls milk from a dairy farm to a milk plant, receiving station or transfer station and each milk tank truck and its appurtenances must be inspected/audited by the Department. The Department shall:
• STATUTORY AUTHORITY: Bulk Milk Pickup Tanker - Inspect each milk tank truck and its appurtenances, used by a milk hauler who collects samples of raw milk for pasteurization for bacterial, chemical or temperature standards and hauls milk from a dairy farm to a milk plant, receiving station or transfer station, at least once every twenty-four (24) months;
• STATUTORY AUTHORITY: a. A copy of the current inspection report must accompany the bulk
• STATUTORY AUTHORITY: milk pickup tanker at all times.
• STATUTORY AUTHORITY: b. When significant defects or violations are encountered by the
• STATUTORY AUTHORITY: Department or another State’s regulatory authority, a copy of that report must be forwarded to the Department and also carried on the bulk milk pickup tanker until the violations are corrected.
• STATUTORY AUTHORITY: c. Bulk milk pickup tanker inspection must be conducted in a suitable
• STATUTORY AUTHORITY: location, i.e., a dairy plant, receiving station or transfer station or milk tank truck cleaning facility. When significant cleaning, construction or repair defects are noted, the bulk milk pickup tanker must be removed from service until proper confined entry safety requirements can be satisfied to determine cleaning or repairs needed. An individual whose qualifications satisfy the Department may verify cleaning and repairs.
• STATUTORY AUTHORITY: d. Inspection reports completed by regulatory authorities other than the
• STATUTORY AUTHORITY: Department must be forwarded to the Department for verification of annual inspection as required by this section and the Department may use these reports to satisfy permit requirements.
• STATUTORY AUTHORITY: Dairy Plant, Industry Plant and Bulk Milk Hauler Samplers - Inspect at least once every 24 months the pickup and sampling procedure of each dairy plant sampler, each industry plant sampler, and each bulk milk hauler/sampler.Dairy Plants -IMS Milk Plants: Each Milk plant, milk equipment and receiving station operating under the voluntary IMS program must be inspected at the intervals specified in the PMO;Non-IMS Milk Plants Each non-IMS milk plant, milk equipment and receiving station not operated under the IMS program must be inspected during regular production at least once every 12 months. New plants will be inspected initially and again in 6 months. Plants with violations which may adversely affect public health will be re-inspected at a frequency to be determined by the inspector until violations have been corrected. After two consecutive satisfactory inspections, the Department may then resume annual inspection frequency.Milk Tank Truck Cleaning Facility and Transfer Stations -
• STATUTORY AUTHORITY: Inspect each milk tank truck cleaning facility and transfer station at least
• STATUTORY AUTHORITY: once every six (6) months, except that, for those transfer stations that have HACCP Systems, which are regulated under the NCIMS HACCP Program, regulatory audits shall replace the regulatory inspections described in this Section. The requirements and minimum frequencies for these regulatory audits are specified in Appendix K of the PMO.
• STATUTORY AUTHORITY: Dairy Farms - Inspect each dairy farm at least once every six (6) months.Portable / Temporary Milking Parlors - Inspect each portable/temporary milking parlor whenever it changes location.Frozen Dairy Dessert Plants - Inspect seasonal frozen dairy dessert manufacturers at least once every 12 months.Single Service Container Manufacturers - Inspect single service container manufacturers at least once every six (6) months.
• STATUTORY AUTHORITY: B. Requirements for follow up inspections: Should the violation of any requirement set forth in this Section, or in the case of a bulk milk hauler/sampler or industry plant sampler or milk tank truck also Section XIII and Appendix B of the PMO , be found to exist on an inspection/audit a second inspection is required after the time deemed necessary to remedy the violation, but not before 3 days. This second inspection/audit shall be used to determine compliance with requirements of Section IV or in the case of a milk hauler/sampler or industry plant sampler or milk tank truck also Section XIII and Appendix B of the PMO. Any violation of the same requirement of Section V, or in the case of a bulk milk hauler/sampler or milk tank truck also Section XIII and Appendix B of the PMO on such second inspection/audit, shall be grounds for an administrative permit suspension and/or court action or, a requirement that the collection of official regulatory samples cease until successfully re-trained and re-evaluated by the Department.
• STATUTORY AUTHORITY: This Section provides that a dairy farm, bulk milk hauler/sampler, milk tank truck, milk tank truck cleaning facility, milk plant, receiving station, transfer station or distributor shall be subject to suspension of permit and/or court action if two (2) successive inspections disclose a violation of the same requirement.
• STATUTORY AUTHORITY: C. Causes for immediately stopping the movement of milk and milk products -
• STATUTORY AUTHORITY: The Department shall take immediate action to prevent further movement and/or processing of such milk or milk products until violations of critical processing elements or unsafe levels of adulterants or contaminants have been corrected. Should correction of such critical processing elements or contaminants not be accomplished immediately, the Department shall take prompt action to suspend the permit.
• STATUTORY AUTHORITY: Critical process violations and contaminant violations include:
• STATUTORY AUTHORITY: (i) Proper pasteurization, whereby every particle of milk or milk product may not have been heated to the proper temperature and held for the required time in properly designed and operated equipment; or
• STATUTORY AUTHORITY: A cross-connection exists, whereby direct contamination of pasteurized milk or milk product is occurring; orDirect contamination of milk or milk products is occurring
• STATUTORY AUTHORITY: D. One (1) copy of the inspection/audit report shall be provided to the operator or other responsible person, or be posted in a conspicuous place on an inside wall of the establishment. Said inspection/audit report shall not be defaced and must be made available to the Department upon request. An identical copy of the inspection report must be filed with the records of the Department.
• STATUTORY AUTHORITY: E. Every permit and license holder must, upon request of the Department, permit access by officially designated persons to all parts of the establishment or facilities to determine compliance with the provisions of the rule and/or the PMO. A distributor or milk plant operator must furnish the Department, upon request, for official use only, a true statement of the actual quantities of milk and milk products of each grade purchased and sold, a list of all sources of such milk and milk products, records of inspections, tests, and pasteurization time and temperature records.
• STATUTORY AUTHORITY: SECTION V - STANDARDS FOR MILK AND MILK PRODUCTS
• ALL MILK PRODUCTS: All Grade A raw milk or milk products for pasteurization, ultra-pasteurization or aseptic processing and packaging and all Grade A pasteurized, ultra-pasteurized or aseptically processed and packaged milk and milk products must be produced, processed, manufactured and pasteurized, ultra-pasteurized or aseptically processed and packaged to conform with the following chemical, bacteriological and temperature standards, and the sanitation requirements of this section. Milk and milk products not pasteurized, must be produced and processed to conform with the following chemical, physical, bacteriological and temperature standards, and the sanitation requirements of this section (see Table 1).
• ALL MILK PRODUCTS: No process or manipulation other than pasteurization, ultra-pasteurization, aseptic processing and packaging; processing methods integral therewith; along with appropriate refrigeration may be applied to milk and milk products for the purpose of removing or deactivating microorganisms. Filtration and/or bactofugation processes must be performed in the milk plant in which the milk or milk product is pasteurized, ultra-pasteurized or aseptically processed and packaged. Milk for aged cheese is exempt from this requirement.
• CHEESE: All cheese products, except for aged cheese, must be made from milk that has been heat-treated or pasteurized. Heat-treated means processed by heating every particle of milk to a temperature of 145ºF for at least thirty (30) minutes. All cheese products may list heat-treated milk as an ingredient on the label. All cheese products that are not pasteurized must be labeled as “not pasteurized” in accordance with Section XIV.
• BULK SHIPPED PRODUCTS: When the raw milk is used to make cream, non-fat (skim) milk, reduced fat or low-fat milk, which will be bulk shipped for separation purposes, is heated one time, to temperatures greater than 52°C (125°F), but less than 72°C (161°F), the resulting bulk shipment(s) of cream, non-fat (skim) milk, reduced fat or low-fat milk must be labeled heat-treated. In the case of heat-treated cream, the cream may be further heated to less than 75°C (166°F) in a continuing heating process and immediately cooled to 7°C (45°F) or less when necessary for enzyme deactivation (such as lipase reduction) for a functional reason.
• WHEY: Whey must be from cheese made from Grade "A" raw milk for pasteurization as provided in this Rule.
• WHEY: Whey must be from:
• WHEY: 1. Cheese made from Grade "A" raw milk for pasteurization, which has been pasteurized prior to use, in accordance with Item 16p of the PMO, or
• WHEY: 2. Cheese made from Grade "A" raw milk for pasteurization, which has been heat-treated to a temperature of at least 64°C (147°F) and held continuously at that temperature for at least twenty one (21) seconds or to at least 68°C (153°F) and held continuously at that temperature for at least fifteen (15) seconds, in equipment meeting the pasteurization requirements provided for in this Rule. Provided, that this requirement shall not be construed as barring any other heat treatment process which has been recognized by the FDA to be equally efficient in the destruction of staphylococcal organisms and which is approved by the Department.
• BUTTERMILK: Buttermilk must be from butter made from Grade "A" cream, which has been pasteurized prior to use in accordance with Item 16p of the PMO. Provided, that this requirement shall not be construed as barring any other heat treatment process which has been recognized by the FDA to be equally efficient in the destruction of staphylococcal organisms and which is approved by the Department.
• BUTTERMILK: CHEMICAL, PHYSICAL, BACTERIOLOGICAL, AND TEMPERATURE STANDARDS – TABLE 1
• BUTTERMILK: Table 1. Chemical, Physical, Bacteriological, and Temperature StandardsGRADE “A” RAW MILK PRODUCTS FOR PASTEURIZATION, ULTRA-PASTEURIZATION OR ASEPTIC PROCESSING AND PACKAGINGTemperature…. Cooled to 10 ⁰C (50⁰F) or less within four (4) hours or less, of the commencement of the first milking, and to 7⁰C (45⁰F) or less within two (2) hours after the completion of milking. Provided, that the blend temperature after the first milk and subsequent milkings does not exceed 10⁰C (50⁰F). NOTE: Milk sample submitted for testing must be cooled and maintained at 0⁰C (32⁰F) to 4.5⁰C (40⁰F), where milk temperature of the sample source is >4.5⁰C (40⁰F), but ≤7⁰C (45⁰F) and less than three (3) hours after collection has not increased in temperature.Bacterial Limits…Individual producer milk not to exceed 100,000 colony forming units (cfu) per mL prior to commingling with other producer milk. Not to exceed 300,000 cfu per mL as commingled milk prior to pasteurization. NOTE: Tested in conjunction with the drug residue/inhibitory substance test.Drugs….No positive results from drug residue detection methods as referenced in Section VI of the PMO, Methods of Analysis.Somatic Cell CountIndividual producer milk not to exceed 750,000 or current PMO standard per mL.GRADE “A” PASTEURIZED MILK AND MILK PRODUCTS AND BULK SHIPPED HEAT-TREATED MILK PRODUCTSTemperature….Cooled to 7°C (45ºF) or less and maintained thereat. NOTE: Milk sample submitted for testing cooled and maintained at 0ºC (32ºF) to 4.5ºC (40ºF), where milk temperature of the sample source is >4.5ºC (40ºF), but ≤7.0ºC (45ºF) and less than three (3) hours after collection has not increased in temperature.Bacterial Limits….GRADE “A” PASTEURIZED MILK AND MILK PRODUCTS AND BULK SHIPPED HEAT-TREATED MILK PRODUCTSNot to exceed 20,000 per mL, or gm. NOTE: Tested in conjunction with the drug residue/inhibitory substance test.Coliform ….Not to exceed 10 per mL. In the case of bulk milk transport tank shipments, must not exceed 100 per mL. NOTE: Tested in conjunction with the drug residue/inhibitory substance test.Phosphatase….Less than 350 milliunits/L for fluid products and other milk products by FDA/NCIMS approved electronic phosphatase procedures.Drugs….No positive results on drug residue detection methods as referenced in Section VI of the PMO, Methods of Analysis which have been found to be acceptable for use with pasteurized milk and milk products.ASEPTICALLY PROCESSED MILK AND MILK PRODUCTSTemperature….NoneBacterial Limits….No growth by test specified in Section VI of the PMO.Drugs….No positive results on drug residue detection methods as referenced in the PMO, Section VI Methods of Analysis which have been found to be acceptable for use with aseptically processed milk and milk products. MILK AND MILK PRODUCTS (NOT PASTEURIZED) SOLD TO CONSUMERSTemperature….Cooled to 7°C (45ºF) or less and maintained thereat.Bacterial Limits….50,000 per MlColiform ….MILK AND MILK PRODUCTS (NOT PASTEURIZED) SOLD TO CONSUMERSNot to exceed 10 per mLDrugs ….No positive results on drug residue detection methods as referenced in Section VI Methods of Analysis which have been found to be acceptable for use with not pasteurized milk and milk products.AGED CHEESETemperature….Aged cheese must be aged at a temperature above 35⁰FGRADE “A” PASTEURIZED (UP) MILK AND MILK PRODUCTSTemperature….Cooled to 7°C (45ºF) or less and maintained thereat.Bacterial Limits….Not to exceed 20,000 per mL, or gm.Coliform….Not to exceed 10 per mL. Provided, that in the case of bulk milk transport tank shipments, must not exceed 100 per mLPhosphatase….Phosphatase testing of UP milks is not required.Drugs….There are no validated and accepted drug residue tests for ultra-pasteurized milk and milk productsGRADE “A” PASTEURIZED CONCENTRATED (CONDENSED) MILK AND MILK PRODUCTSTemperature….Cooled to 7°C (45°F) or less and maintained thereat unless drying is commenced immediately after condensing.Coliform….Not to exceed 10 per gram. Provided, that in the case of bulk milk transport tank shipments must not exceed 100 per gram.GRADE “A” NONFAT DRY MILK AND DRY MILK AND DRY MILK PRODUCTSBacterial Estimate….Not to exceed: 10,000 per gramColiform….Not to exceed: 10 per gramGRADE “A” WHEY FOR CONDENSING AND/OR DRYINGTemperature….Maintained at a temperature of 45°F (7°C) or less,or 57°C (135°F) or greater, except for acid-typewhey with a titratable acidity of 0.40% or above,or a pH of 4.6 or below.GRADE “A” PASTEURIZED CONDENSED WHEY AND WHEY PRODUCTSTemperature….Cooled to 10°C (50°F) or less within 72 hours of condensing during crystallizationColiform Limit….Not to exceed 10 cfu per gram.GRADE “A” DRY WHEY, GRADE “A” DRY WHEY PRODUCTS, GRADE “A” DRY BUTTERMILK, AND GRADE “A” DRY BUTTERMILK PRODUCTSColiform Limit….Not to exceed 10 cfu per gram.SINGLE SERVICE CONTAINER MANUFACTURERSBacterial Limits….The residual bacteria count must not exceed 50 cfuper container, except that in containers less than 100 mL, the count must not exceed ten (10) cfuColiform…. Zero (0) ColiformMULTI-USE CONTAINERSBacterial Limits….The residual bacteria count must not exceed 1 cfu per mL of capacity.Coliform….Zero (0) ColiformSOURCE WATER Coliform<1 by MMO-MUG (Minimal Medium ONPG – 4 methylumbelliferyl beta D-glucuronidase) Presence/Absence MethodRECIRCULATING WATERColiform<1 by Most Probable Number Method or <1 by LTB (Lauryl Tryptose Broth) Presence/Absence Method (Single Tube)
• BUTTERMILK: Goat Milk 1,500,000/mL, Sheep Milk 750,000/mL Not applicable to acidified or cultured products, eggnog and flavored (non-chocolate) milk and milk products. Results of the analysis of dairy products which are weighed in order to be analyzed will be reported in # per gm. (Refer to the current edition of the SMEDP.) Not applicable to UP products that have been thermally processed at or above 1380C (2800F) for at least two (2) seconds to produce a product which has an extended shelf life (ESL) under refrigerated conditions; and condensed products. Not applicable to bulk shipped heat-treated milk products.
• BUTTERMILK: SECTION VI - Sanitation Requirements for Production and Processing
• BUTTERMILK: A. SANITATION REQUIREMENTS FOR DAIRY FARMS – Guidelines for determining compliance with these requirements may be found in the PMO.
• BUTTERMILK: 1. ABNORMAL MILK - Lactating animals which show evidence of the secretion of milk with abnormalities in one or more quarters, based upon bacteriological, chemical or physical examination, must be milked last or with separate equipment and the milk must be discarded. Lactating animals producing contaminated milk, that is lactating animals which have been treated with, or have consumed chemical, medicinal or radioactive agents which are capable of being secreted in the milk and which, in the judgment of the Department, may be deleterious to human health, must be milked last or with separate equipment and the milk disposed of as the Department may direct. For applicability to Automatic Milking Installations (AMI) refer to the PMO.
• BUTTERMILK: 2. MILKING BARN, STABLE OR PARLOR--CONSTRUCTION - A milking barn, stable or parlor must be provided on all dairy farms in which the milking herd must be housed during times of milking operations. (For applicability to AMIs, refer to the PMO). The area used for milking purposes must:
• BUTTERMILK: (a) Have floors constructed of concrete or equally impervious materials;
• BUTTERMILK: (b) Have walls and ceilings which are constructed of smooth material, be in good repair, dust tight, and be painted or finished in an approved manner;
• BUTTERMILK: (c) Have separate stalls or pens for horses, calves, bulls, and any other livestock which are large enough to accommodate all animals without overcrowding;
• BUTTERMILK: (d) Be provided with natural and/or artificial light, well distributed, for day and/or night milking;
• BUTTERMILK: (e) Provide sufficient air space and air circulation to prevent condensation and excessive odors;
• BUTTERMILK: (f) Properly prepared plans for milking equipment installation in all milking facilities, milk plants, receiving stations and transfer stations regulated under this rule which are hereinafter constructed may be submitted to the Department. Equipment standards set forth in “3-A Accepted Practices for the Design, Fabrication and Installation of Milk Handling Equipment” may be used as a guideline;
• BUTTERMILK: (g) Use of emergency portable equipment will be reviewed by the Department on a case by case basis; and
• BUTTERMILK: (h) Building construction must prevent contamination of feed area by wild birds.
• BUTTERMILK: 3. MILKING BARN, STABLE OR PARLOR--CLEANLINESS - The interior must be kept clean. Floors, walls, ceilings, windows, pipelines and equipment must be free of filth and/or litter and must be clean. Swine and fowl must be kept out of the milking area. Area must be free of rodents.
• BUTTERMILK: Feed must be stored in such a manner that will not increase the dust content of the air or interfere with the cleaning of the floor.
• BUTTERMILK: Surcingles, milk stools and devices to prevent kicking and other equipment associated with dairy animal care must be kept clean and stored above the floor.
• BUTTERMILK: 4. COWYARD - The cowyard must be graded to drain and must have no standing pools of water or accumulations of organic wastes. Animal droppings and soiled bedding must be removed, or clean bedding must be added to housing areas where animals frequently lie down and at sufficiently frequent intervals to prevent the soiling of the lactating animal’s udder and flanks. Cooling ponds may be allowed provided they are constructed and maintained in a manner that does not result in the visible soiling of flanks, udders, bellies and tails of lactating animals exiting the pond. Waste feed must not be allowed to accumulate. Packs that are used for animal bedding must be properly drained and must provide a reasonably firm footing. Swine must be kept out of the cowyard.
• BUTTERMILK: Nutrient Management Plans are required unless exempted by Maine law or Department Nutrient Management Rules, Chapter 565 for a person who owns or operates a farm if it meets one or more of the following criteria:
• BUTTERMILK: (a) The farm confines and feeds 50 or more animal units at any one time;
• BUTTERMILK: (b) The farm utilizes more than 100 tons of manure per year not generated on that farm;
• BUTTERMILK: (c) The farm is the subject of a verified complaint of improper manure handling;
• BUTTERMILK: (d) The farm stores or utilizes regulated residuals.
• BUTTERMILK: Nutrient Management Plans must be implemented in accordance with 7 M.R.S.A. Chapter 747, Nutrient Management Act.
• BUTTERMILK: 5. MILKHOUSE--CONSTRUCTION AND FACILITIES - A milkhouse or room of sufficient size must be provided, in which the cooling, handling and storing of milk and the washing, sanitizing and storing of milk containers and utensils must be conducted except as provided for in item 12 of this section.
• BUTTERMILK: (a) The milkhouse must be provided with a smooth floor constructed of concrete or equally impervious material, graded to drain and maintained in good repair. Liquid waste must be disposed of in a sanitary manner. Floor drains must be accessible and must be trapped if connected to a sanitary sewer system.
• BUTTERMILK: (b) The walls and ceilings must be constructed of smooth material, be in good repair, dust tight, and be painted or finished in an approved manner.
• BUTTERMILK: (c) The milkhouse must have adequate natural and/or artificial light and be well ventilated.
• BUTTERMILK: (d) The milkhouse must be used for no other purpose than milkhouse operations. There must be no direct opening into any barn, stable, parlor or into a room used for domestic purposes. Provided, that a direct opening between the milkhouse and milking barn, stable or parlor is permitted when a tight-fitting, self-closing, solid door(s) hinged to be single or double acting is provided. Screened vents in the wall between the milkhouse and a breezeway, which separates the milkhouse from the milking parlor, are permitted, provided animals are not housed within the milking facility.
• BUTTERMILK: (e) Water under pressure must be piped into the milkhouse.
• BUTTERMILK: (f) The milkhouse must be equipped with a two-compartment wash vat and adequate hot water heating facilities.
• BUTTERMILK: (g) A transportation tank may be used for the cooling and/or storage of milk on the dairy farm. Such tank must be provided with a suitable shelter for the receipt of milk. Such shelter must be adjacent to, but not a part of, the milkhouse and must comply with the requirements of the milkhouse with respect to construction items, light, drainage, insect and rodent control and general maintenance. In addition, the following minimum criteria must be met:
• BUTTERMILK: 1. An accurate, accessible temperature-recording device must be installed in the milk line downstream from an effective cooling device, which cools the milk to 7°C (45°F) or less. Electronic records that comply with the applicable provisions of the PMO, with or without hard copy, may be used in place of temperature-recording records. An indicating thermometer must be installed as close as possible to the recording device for verification of recording temperatures. This indicating thermometer must comply with all applicable requirements in the PMO. This thermometer must be used to check the temperature-recording device during the regulatory inspection and the results recorded on the recording record or into the electronic data collection, storage and reporting system.
• BUTTERMILK: 2. Temperature-recording charts must be maintained on the premises for a period of a minimum of six (6) months and be available for review by the Department. Except that, the electronic storage of required temperature records, with or without hard copy, may be acceptable, provided the computer and computer generated temperature records are readily available for review by the Department.
• BUTTERMILK: 3. The milk must be sampled at the direction of the Department in a manner so as to preclude contaminating the milk tank truck or sample, by a permitted milk sample collector.
• BUTTERMILK: 4. The milk tank truck must be effectively agitated in order to collect a representative sample.
• BUTTERMILK: (h) When the Department determines conditions exist whereby the direct loading of a milk tank truck (through by-passing the use of a farm bulk milk tank(s) and/or silo(s)) can be adequately protected and sampled without contamination, a shelter need not be provided if the following minimum criteria are met:
• BUTTERMILK: 1. The milk hose connection is accessible to, and made from within, the milkhouse. The milk hose connection to the milk tank truck is completely protected from the outside environment at all times. Provided, based on Department acceptance, the direct loading of milk from the milkhouse to the milk tank truck may be conducted through a properly designed hose port that adequately protects the milkhouse opening or by stubbing the milk transfer and associated CIP cleaned lines outside the milkhouse wall in accordance with the ADMINISTRATIVE PROCEDURES in the PMO.
• BUTTERMILK: 2. To assure continued protection of the milk, the milk tank truck manhole must be sealed after the truck has been cleaned and sanitized.
• BUTTERMILK: 3. The milk tank truck must be washed and sanitized at the permitted milk plant, receiving station, or transfer station receiving the milk, or at a permitted milk tank truck cleaning facility.
• BUTTERMILK: 4. An accurate, accessible temperature-recording device must be installed in the milk line downstream from an effective cooling device, which cools the milk to 7ºC (45ºF) or less. Electronic records that comply with the applicable provisions of the PMO, with or without hard copy, may be used in place of temperature-recording records. An indicating thermometer must be installed as close as possible to the recording device for verification of recording temperatures. This indicating thermometer must comply with all applicable requirements in the PMO. This thermometer must be used to check the temperature-recording device during the regulatory inspection and the results recorded on the recording record or into the electronic data collection, storage and reporting system.
• BUTTERMILK: 5. Temperature-recording records must be maintained on the premises for a period of a minimum of six (6) months and be available for review by the Department. Except that, the electronic storage of required temperature records, with or without hard copy, may be acceptable, provided the computer and computer generated temperature records are readily available for review by the Department.
• BUTTERMILK: 6. The milk must be sampled at the direction of the Department, in a manner so as to preclude contaminating the milk tank truck or sample, by a permitted milk sample collector. The milk in the milk tank truck must be effectively agitated in order to collect a representative sample.
• BUTTERMILK: 7. The milk tank truck must be parked on a self-draining concrete or equally impervious surface during filling and storage.
• BUTTERMILK: 8. When direct loading of a milk tank truck using either a hose port, as addressed above, or stubbing the milk transfer and associated CIP cleaned lines outside the milkhouse wall in accordance with, ADMINISTRATIVE PROCEDURES of the PMO, overhead protection of the milk hose connection to the milk tank truck must be provided.
• BUTTERMILK: (i) The milkroom must be provided with a hoseport conveniently located for use by milk haulers when applicable. The hoseport must be constructed and maintained as to prevent insect and rodent entry.
• BUTTERMILK: 6. MILKHOUSE CLEANLINESS - The floors, walls, ceiling, windows, tables, shelves, cabinets, wash vats, non-product contact surfaces of milk containers, utensils and equipment and other milkhouse equipment must be clean. Only articles directly related to milkhouse activities may be permitted in the milkhouse. The milkhouse must be free of trash, animals and fowl.
• BUTTERMILK: 7. TOILET - Every dairy farm must be provided with one (1) or more toilets, conveniently located, properly constructed, operated and maintained in a sanitary manner. The waste must be inaccessible to flies and must not pollute the surface or contaminate any water supply. Tight fitting, self-closing, solid door must be provided to separate the toilet room from the milkhouse.
• BUTTERMILK: 8. WATER SUPPLY - Water for milkhouse and milking operations must be from a supply properly located, protected and operated and must be easily accessible, adequate and of a safe, sanitary quality.
• BUTTERMILK: 9. UTENSILS AND EQUIPMENT - CONSTRUCTION - All multi-use containers, equipment and utensils used in the handling, storage or transportation of milk must be made of smooth, nonabsorbent, corrosion-resistant, nontoxic materials, and must be so constructed as to be easily cleaned. All containers, utensils and equipment must be in good repair. Multiple-use woven material must not be used for straining milk. All single-serve articles must have been manufactured, packaged, transported and handled in a sanitary manner and must comply with the applicable requirements of (C)(11) of the following section. Articles intended for single-service use must not be reused. Farm holding/cooling tanks, welded sanitary piping and transportation tanks must comply with the applicable requirements of (C)(10) and (C)(11) of the following section.
• BUTTERMILK: 10. UTENSILS AND EQUIPMENT - CLEANING - The product-contact surfaces of all multi-use containers, equipment and utensils used in the handling, storage or transportation of milk must be cleaned after each usage.
• BUTTERMILK: 11. UTENSILS AND EQUIPMENT - SANITIZATION - The product-contact surfaces of all multi-use containers, equipment and utensils used in the handling, storage or transportation of milk must be sanitized before each usage.
• BUTTERMILK: 12. UTENSILS AND EQUIPMENT - STORAGE - All containers, utensils and equipment used in the handling, storage or transportation of milk, unless stored in sanitizing solutions, must be stored to assure complete drainage and must be protected from contamination prior to use. Pipeline milking equipment such as milker claws, inflations, weigh jars, meters, milk hoses, milk receivers, tubular coolers, plate coolers and milk pumps which are designed for CIP cleaning and other equipment, as accepted by FDA which meets these criteria, may be stored in the milking barn or parlor, provided this equipment is designed, installed and operated to protect the product and solution-contact surfaces from contamination at all times. Single service articles (filters) are to be stored free of contamination. In the case of a milking parlor that opens directly into an enclosed housing area, through a covered holding area, the holding area may be seasonally enclosed when:
• BUTTERMILK: a. There are no manure pit openings in the parlor, holding area or in the housing area close enough to affect the milking parlor.
• BUTTERMILK: b. The cattle holding and housing areas are maintained in good repair and reasonably clean.
• BUTTERMILK: c. With respect to dust, odors, rodents and insects, the entire area meets milking parlor standards and the parlor is free of evidence of birds.
• BUTTERMILK: 13. MILKING-FLANKS, UDDERS AND TEATS - Milking must be done in the milking barn, stable or parlor except as provided by special permit. The flanks, udders, bellies and tails of all milking lactating animals must be free from visible dirt. All brushing must be completed prior to milking. The udders and teats of all lactating animals must be clean and dry before milking. Teats must be treated with a sanitizing solution just prior to the time of milking and must be dry before milking. Wet hand milking is prohibited.
• BUTTERMILK: 14. PROTECTION FROM CONTAMINATION - Milking and milkhouse operations, equipment and facilities must be located and conducted to prevent any contamination of milk, equipment, containers and utensils. No milk shall be strained, poured, transferred or stored unless it is properly protected from contamination.
• BUTTERMILK: After sanitization, all containers, utensils and equipment must be handled in such a manner as to prevent contamination of any product-contact surface.
• BUTTERMILK: Vehicles used to transport milk from the dairy farm to the milk plant, receiving station or transfer station must be constructed and operated to protect their contents from the sun, freezing and contamination. Such vehicles must be kept clean, inside and out, and no substance capable of contaminating the milk shall be transported.
• BUTTERMILK: 15. DRUG AND CHEMICAL CONTROL - Cleaners and sanitizers must be
• BUTTERMILK: stored in properly identified, dedicated end-use containers. Animal drugs and drug administration equipment must be stored in such a way that milk, milking equipment, wash vats and hand sinks are not subject to contamination. Animal drugs must be properly labeled and segregated, lactating from non-lactating. Unapproved drugs must not be used. Effective measures must be taken to prevent the contamination of milk, containers, equipment, and utensils by cleaners and sanitizers, drugs and drug administrating equipment.
• BUTTERMILK: Lactating animals treated with medicinal agents must be handled using one of the following:
• BUTTERMILK: Identified, i.e. leg bands, chalk marks, etc.; Segregated; Otherwise handled in a manner such as to preclude the adulteration of milk offered for sale.Treatment Records (which may consist of paper and file folders, card files, appointment book type calendars, monthly calendars, chalk boards (temporary records), electronic computer records, etc.) must include the following information:Identity of the animal (s) treated;Date(s) of treatment;Drug(s) or other chemicals administered;Dosage administered;Milk discard time; andWithdrawal time prior to slaughter, even if zero.Maintenance of Records: Producers should maintain all treatment records for a minimum of two (2) years in the event of a need to trace back or follow up on a confirmed milk or meat residue.Treated animal must be quarantined or segregated, or otherwise handled in a manner to preclude the sale of milk or the offering of treated animals for sale for slaughter prior to the end of the prescribed withdrawal time.Farm personnel involved in the treatment of animals must receive instruction and understand proper drug use and methods to avoid the marketing of adulterated milk or meat for human food.
• BUTTERMILK: 16. PERSONNEL-HAND-WASHING FACILITIES - Adequate hand-washing facilities must be provided, including a lavatory fixture with hot and cold or warm running water, soap or detergent and individual sanitary towels, convenient to the milkhouse, milking barn, stable, parlor and flush toilet.
• BUTTERMILK: 17. PERSONNEL-CLEANLINESS - Hands must be washed clean and dried with an individual sanitary towel immediately before milking, before performing any milkhouse function and immediately after the interruption of any of these activities. Milkers and milk haulers/samplers must wear clean outer garments while milking or handling milk, milk containers, utensils, or equipment.
• BUTTERMILK: 18. RAW MILK COOLING - Raw milk for pasteurization must be
• BUTTERMILK: cooled to 10ºC (50ºF) or less within four (4) hours or less, of the commencement of the first milking, and to 7ºC (45ºF) or less, within two (2) hours after the completion of milking. Provided, that the blend temperature after the first milking and subsequent milkings does not exceed 10ºC (50ºF).
• BUTTERMILK: 19. INSECT AND RODENT CONTROL - Effective measures must be taken to prevent the contamination of milk, containers, utensils and equipment by insects and rodents and by chemicals used to control vermin. Milkhousess must be free of insects and rodents. Surroundings must be kept neat, clean and free of conditions which might harbor or be conducive to the breeding of insects and rodents. Feed must be stored in such a manner that it will not attract birds, rodents or insects.
• BUTTERMILK: 20. Requirements for Automatic Milking Installations (AMI) can be found in the PMO.
• BUTTERMILK: B. SANITATION REQUIREMENTS FOR PASTEURIZED, ULTRA- PASTEURIZED, ASEPTICALLY PROCESSED MILK AND MILK PRODUCTS - Any person, firm or corporation engaged in pasteurizing, ultra-pasteurizing or aseptically processing milk or milk products must comply with all applicable requirements for these activities as found in the PMO.
• BUTTERMILK: C. SANITATION REQUIREMENTS FOR NOT-PASTEURIZED MILK AND MILK PRODUCTS -
• BUTTERMILK: 1. FLOORS--CONSTRUCTION - The floors of all rooms in which milk or milk products are processed, handled or stored, or in which milk containers, equipment and utensils are washed, must be constructed of concrete or other equally impervious and easily cleanable material; and must be smooth, properly
• BUTTERMILK: sloped, provided with trapped drains and kept in good repair. Cold-storage rooms used for storing milk and milk products need not be provided with floor drains when the floors are sloped to drain to one or more exits. Storage rooms for storing dry ingredients and/or packaging materials need not be provided with drains and the floors may be constructed of tightly joined wood.
• BUTTERMILK: 2. WALLS AND CEILINGS--CONSTRUCTION - Walls and ceilings of rooms in which milk or milk products are handled, processed, packaged or stored or in which milk containers, utensils and/or equipment are washed, must have a smooth, washable, light-colored surface and be in good repair.
• BUTTERMILK: 3. DOORS AND WINDOWS - Effective means must be provided to prevent the access of insects and rodents. All openings to the outside must have solid doors or glass windows which must be closed during dusty weather.
• BUTTERMILK: 4. LIGHTING AND VENTILATION - All rooms in which milk or milk products are handled, processed or stored or in which milk containers, equipment and/or utensils are washed must be well lighted and well ventilated.
• BUTTERMILK: 5. TOILET-SEWAGE DISPOSAL FACILITIES - Every milk plant must be provided with toilet facilities conforming to the regulations of the State of Maine Plumbing Code. Toilet rooms must not open directly into any room in which milk and/or milk products are processed. Toilet rooms must be completely enclosed and must have tight-fitting, self-closing doors. Dressing rooms, toilet rooms and fixtures must be kept in a clean condition, in good repair and must be well ventilated and well lighted. Sewage and other liquid wastes must be disposed of in a sanitary manner.
• BUTTERMILK: 6. WATER SUPPLY - Water for milk plant purposes must be from a supply properly located, protected and operated and must be easily accessible, adequate and of a safe, sanitary quality.
• BUTTERMILK: 7. HAND-WASHING FACILITIES - Convenient hand-washing facilities must be provided, including hot and cold running water; soap and individual sanitary towels or other approved hand-drying devices. Hand-washing facilities must be kept accessible, in a clean condition, in good repair and must not be utilized for any other use except hand washing.
• BUTTERMILK: 8. SEPARATE ROOMS -
• BUTTERMILK: (a) There must be separate rooms or areas for:
• BUTTERMILK: (i) The processing, packaging and cooling of not pasteurized milk and milk products.
• BUTTERMILK: (ii) The cleaning of milk cans, bottles and cases.
• BUTTERMILK: (b) Rooms or areas in which not pasteurized milk or milk products are handled, processed or stored, or in which milk containers, utensils and equipment are washed or stored, must not open directly into any stable or any place where animals are kept, and must have a self-closing door. All rooms must be of sufficient size for their intended purpose.
• BUTTERMILK: 9. MILK PLANT CLEANLINESS - All rooms in which milk and milk products are handled, processed or stored and/or in which containers, utensils or equipment are washed or stored, must be kept clean, neat and free of evidence of insects and rodents. Only equipment directly related to the processing operations or to handling of containers, utensils and equipment is permitted in the processing, cooling, packaging and bulk milk storage rooms.
• BUTTERMILK: 10. CLEANING AND SANITIZING OF CONTAINERS AND EQUIPMENT - The product-contact surfaces of all multi-use containers used in the transportation, processing and storage of not pasteurized milk and milk products must be effectively cleaned and must be sanitized before each use.
• BUTTERMILK: 11. PROTECTION FROM CONTAMINATION - Milk plant operations, equipment and facilities must be located and operated in a manner to prevent any contamination of milk or milk products, ingredients, equipment, containers and utensils. All milk or milk products or ingredients which have been spilled, overflowed or leaked must be discarded. The processing or handling of products other than milk or milk products in the plant must be performed to preclude the contamination of such milk and milk products. The storage, handling and use of poisonous or toxic materials must be performed to preclude the contamination of milk and milk products, or ingredients of such milk and milk products or the product-contact surfaces of all equipment, containers or utensils.
• BUTTERMILK: 12. COOLING OF NOT PASTEURIZED MILK - All not pasteurized milk and milk products must be maintained at 7°C (45°F) or less until processed or sold.
• BUTTERMILK: 13. BOTTLING AND PACKAGING - Bottling and packaging of not pasteurized milk and milk products must be done at the place of processing in a manner approved by the Department.
• BUTTERMILK: 14. VEHICLES - All vehicles used in the transportation of not pasteurized milk and milk products must be constructed and operated so that the milk and milk products are maintained at 7°C (45°F) or less, and are protected from sun, from freezing and from contamination.
• BUTTERMILK: 15. CONSTRUCTION AND REPAIR OF CONTAINERS AND EQUIPMENT - All multi-use containers and equipment that milk or milk products come into contact with must be of smooth, impervious, corrosion-resistant, nontoxic material; must be constructed for ease of cleaning; and must be kept in good repair. All single-service containers, closures, gaskets and other articles that milk or milk products come in contact must be nontoxic and must have been manufactured packaged, transported and handled in a sanitary manner. Articles intended for single- service use must not be reused.
• BUTTERMILK: 16. STORAGE OF CLEANED CONTAINERS AND EQUIPMENT - After cleaning, all multi-use milk or milk products containers, utensils and equipment must be transported and stored to assure complete drainage and must be protected from contamination before use.
• BUTTERMILK: 17. STORAGE OF SINGLE-SERVICE CONTAINERS, UTENSILS AND MATERIALS - Single-service caps, cap stock, parchment paper, containers, gaskets, liners, bags and other single-service articles for use in contact with milk and milk products must be purchased and stored in sanitary tubes, wrappings or cartons; must be kept therein in a clean, dry place until used; and must be handled in a sanitary manner.
• BUTTERMILK: 18. PERSONNEL--CLEANLINESS - Hands must be thoroughly washed before commencing milk plant functions and as often as may be required to remove soil and contamination. Employee must thoroughly wash their hands before resuming work after visiting the toilet room. All persons, while engaged in the processing, pasteurization, handling, storage, packaging or transportation of milk, milk products, containers, equipment or utensils must wear clean outer garments. All persons, while engaged in the processing of milk or milk products, must wear adequate hair coverings and must not use tobacco.
• BUTTERMILK: 19. SURROUNDINGS - Milk plant surroundings must be kept neat, clean and free from conditions which might attract or harbor flies, other insects and rodents or which otherwise constitute a nuisance.
• BUTTERMILK: D. SANITATION REQUIREMENT FOR BULK MILK HAULER/SAMPLERS AND MILK TANK TRUCKS – Requirements and guidelines for determining compliance may be found in the PMO.
• BUTTERMILK: E. SANITATION REQUIREMENTS FOR SINGLE SERVICE CONTAINER MANUFACTURERS – Requirements and guidelines for determining compliance may be found in the PMO.
• BUTTERMILK: SECTION VII - ANIMAL HEALTH
• BUTTERMILK: A. Tuberculosis Testing Requirements
• BUTTERMILK: All milk must be from herds under a tuberculosis eradication program, which meets one (1) of the following conditions:Areas which have Modified Accredited Advanced Tuberculosis (TB) status or higher as determined by the USDA;
• BUTTERMILK: An area which fails to maintain such status, but the herd meets one of the following: Any herd must have been accredited by USDA; orMust have passed an annual tuberculosis test; orThe area must have established a tuberculosis testing protocol for livestock that assures tuberculosis protection and surveillance of the dairy industry within the area and that is approved by FDA, USDA and the Department. Milk from cow, goat, sheep, water buffalo or other hooved mammal herds used for not pasteurized milk and milk products must be from lactating animals which have been tested using USDA approved methods every 3 years for tuberculosis with an allowable maximum grace period not exceeding 2 months.
• BUTTERMILK: B. Brucellosis Testing Requirements
• BUTTERMILK: All cattle and bison milk must be from herds under a brucellosis eradication program that meets one (1) of the following conditions:Participates in a milk ring testing program at least two (2) times per year at approximately one hundred eighty (180) day intervals and all herds with positive milk ring tests results must have the entire herd blood tested within thirty (30) days from the date of the laboratory ring tests; Has an annual individual blood agglutination test on all cattle or bison six (6) months of age or older, except steers and spayed heifers. An allowable maximum testing grace period will not exceed two (2) months.
• BUTTERMILK: 2. Under the Federal USDA Brucellosis Eradication Program, only cattle and bison are covered under the USDA State brucellosis status determination. Other hooved mammals (goats, sheep, water buffalo, etc.) are not covered within the Program and must comply with one of the options cited below.
• BUTTERMILK: Goat, sheep, water buffalo, or any other hooved mammal except cows for pasteurization and/or not pasteurized milk and milk product production must be from a herd or flock where all lactating females and breeding males are tested and are found to be negative for brucellosis every three (3) years. For herd or flock size, refer to the following table for required sampling size.
• BUTTERMILK: Herd/Flock SizeSampling SizeHerd/Flock SizeSampling Size20205008250416008310059700841506780085200721000862507514008730077180088350794000894008010000894508110000090
• BUTTERMILK: C. Other Testing Requirements
• BUTTERMILK: For diseases other than brucellosis and tuberculosis, the Department shall require such physical, chemical or bacteriological tests as it deems necessary. The diagnosis of other diseases in dairy animals shall be based upon the findings of a licensed and accredited veterinarian or an accredited veterinarian in the employ of an official Agency. Any diseased animal disclosed by such test(s) must be disposed of as the Department directs.
• BUTTERMILK: D. Records supporting the tests required in this Section must be available to the Department and be validated with the signature of a licensed and accredited veterinarian or an accredited veterinarian in the employ of an official Agency.
• BUTTERMILK: Federal Animal ID program information link: https://www.aphis.usda.gov/aphis/ourfocus/animalhealth/nvap/NVAP-Reference-Guide/Control-and-Eradication/Tuberculosis
• BUTTERMILK: SECTION VIII - TRANSFERRING; DELIVERY CONTAINERS; COOLING
• BUTTERMILK: Except as permitted in this section, no milk producer, milk hauler or distributor shall transfer milk or milk products from one container or milk tank truck to another on the street, in any vehicle, store or in any place except a milk plant, receiving station, transfer station or milkhouse especially used for that purpose. The dipping or ladling of milk or fluid milk products is prohibited.
• BUTTERMILK: It shall be unlawful to sell or serve any milk or fluid milk product except in the individual, original container received from the distributor, or from an approved bulk dispenser. This requirement shall not apply to milk for mixed drinks requiring less than 236 milliliters (½ pint) of milk, or to cream, whipped cream or half-and-half which is consumed on the premises and which may be served from the original container of not more than 1.9 liter (½ gallon) capacity or from a bulk dispenser approved for such service by the Department.
• BUTTERMILK: It shall be unlawful to sell or serve any milk or milk product which has not been maintained at the temperature set forth in Section V of this rule. If containers of pasteurized or not pasteurized milk or milk products are stored in ice, the storage container must be properly drained.
• BUTTERMILK: SECTION IX - MILK AND MILK PRODUCTS FROM POINTS BEYOND THE LIMITS OF ROUTINE INSPECTION
• BUTTERMILK: Milk and milk products from points beyond the limits of routine inspection of the Department, may be sold in Maine, provided they are produced and pasteurized, ultra-pasteurized or aseptically processed and packaged, retort processed after packaging, concentrated (condensed) or dried under regulations which are substantially equivalent to this rule and have been awarded acceptable milk sanitation compliance and enforcement ratings; or have been awarded an acceptable HACCP listing under the NCIMS HACCP Program as specified in Appendix K of the PMO; or are from a country that PHS/FDA has determined, after conferring with the NCIMS, to have in place a public health regulatory program and government oversight of that program that have an equivalent effect on the safety of the regulated milk and/or milk products.
• BUTTERMILK: SECTION X – REQUIRED APPROVAL OF PLANS FOR CONSTRUCTION AND RECONSTRUCTION
• BUTTERMILK: Properly prepared plans for all milkhouses, milking barns, stables and parlors, milk tank truck cleaning facilities, milk plants, receiving stations and transfer stations regulated under this Rule and participating in the NCIMS program, which are hereafter constructed, reconstructed or extensively altered must be submitted to the Department for written approval before work is begun.
• BUTTERMILK: SECTION XI - PERSONNEL HEALTH REQUIREMENTS
• BUTTERMILK: No persons affected with any disease capable of being transmitted to others through the contamination of food may work at a milk plant in any capacity which brings them into direct contact with not-pasteurized milk and milk products for retail sale, pasteurized, ultra-pasteurized or aseptically processed and packaged milk or milk products or which brings them into direct contact with associated not–pasteurized milk and milk products for retail sale, pasteurized, ultra-pasteurized or aseptically processed and packaged milk or milk product-contact surfaces. In the case of milk plants, receiving stations, or transfer stations that have HACCP Systems, which are regulated under the NCIMS HACCP Program, the HACCP System must address the public health concerns described in this Section in a manner that provides protection equivalent to the requirements in this Section.
• BUTTERMILK: See Administrative Procedures in the PMO for requirements, guidance and any applicable regulatory action.
• BUTTERMILK: SECTION XII - PROCEDURE WHEN INFECTION OR HIGH RISK OF INFECTION IS DISCOVERED
• BUTTERMILK: When a person who may have handled pasteurized, ultra-pasteurized, aseptically processed and packaged milk or milk products or not pasteurized milk or milk products or has been in an area with milk and milk product contact surfaces where these milk and milk products are processed, produced or handled meets one or more of the conditions specified in Section XI, the Department is authorized to require any or all of the following measures:
• BUTTERMILK: A. Milk plant operators who have received reports, under this section, from employees who have handled pasteurized milk, pasteurized milk products or associated product contact surfaces must immediately report these facts to the Department.
• BUTTERMILK: B. Dairy plant employees (or applicants to become employees) must be instructed by the dairy plant that the employee or applicant is responsible to report to the dairy plant management, in a manner that allows the dairy plant to prevent the likelihood of disease transmission of diseases that are transmissible through food, if the employee or applicant:
• BUTTERMILK: 1. Is diagnosed with an illness due to Hepatitis A virus, Salmonella Typhi, Shigella Species, Norwalk and Norwalk-like Viruses, Staphylococcus aureus, Streptococcus Pyogenes, Escheriachia coli 0157:H7, enterohemorrhagic Escherichia coli, enterotoxigenic Escherichia coli, Campylobacter jejuni, Entamoeba histolytica, Giardia lamblia, Non-typhoidal Salmonella, Rotovirus, Taenia Solium, Yersinia enterocolitica, Vibrio cholerae 01 or other infectious disease that has been declared by the Secretary of Health and Human Services to be transmissible to others through the handling of food, or has been clearly shown to be so based upon verifiable epidemiological data; or
• BUTTERMILK: 2. Is exposed to, or suspected of causing, a confirmed foodborne disease outbreak of one of the diseases specified in #1 above, including an outbreak at an event such as a family meal, church supper or ethnic festival because the applicant or employee:
• BUTTERMILK: (a) Prepared food implicated in the outbreak, or
• BUTTERMILK: (b) Consumed food implicated in the outbreak, or
• BUTTERMILK: (c) Consumed food at the event prepared by a person who is infected or ill.
• BUTTERMILK: Lives in the same household as a person who attends or works in a day care center or school, similar institution experiencing a confirmed outbreak of one of the diseases specified in #1above. Dairy plant employees must be instructed by the dairy plant management
• BUTTERMILK: to report to the dairy plant management if the employee (or applicant):
• BUTTERMILK: 1. Has a symptom associated with acute gastrointestinal illness such as: abdominal cramps or discomfort, diarrhea, fever, loss of appetite for three or more days, vomiting, jaundice, or
• BUTTERMILK: 2. Has a pustular lesion such as a boil or infection wound that is:
• BUTTERMILK: (a) On the hands, wrists or exposed portions of the arms, unless the lesion is covered by a durable, moisture proof, tight-fitting barrier, or
• BUTTERMILK: (b) On other parts of the body if the lesion is open or draining, unless the lesion is covered by a durable, moisture proof, tight-fitting barrier.
• BUTTERMILK: D. The immediate restricting of that person from duties which require handling finished product, such as pasteurized or not pasteurized milk or milk products or the handling of related product contact surfaces. This restriction may be lifted after an appropriate medical clearance or cessation of symptoms or both, according to the following criteria:
• BUTTERMILK: Table 5. Removal of Restrictions when Infection or High Risk of Infection is DiscoveredHealth StatusAuthorization to Remove Restrictionsa. Person is diagnosed with an illness due to Hepatitis Avirus, Salmonella typhi, Shigella species, Norwalk and Norwalk-like Viruses, Staphylococcus aureus, Streptococcus pyogenes, Escherichia coli 0157:H7, enterohemorrhagic Escherichia coli, enterotoxigenic Escherichia coli, Campylobactor jejuni, Entamoeba histolytica, Giardia lamblia, Non-typhoidal Salmonella, Rotovirus, Taenia solium, Yersinia enterocolitica, Vibrio cholerae O1 or other infectious or communicable disease that has been declared by the Secretary of Health and Human Services to be transmissible to others through the handling of food or has been clearly shown to be so based upon verifiable epidemiological data.Restrictions lifted by medical clearance.b. Person meets a high-risk scenario as specified inSection 13 (2 or 3) of the PMO and/or experiencing symptoms in Section 13 (4 or 5) of the PMO.Restrictions lifted when symptoms cease ormedical documentation is provided that infectiondoes not exist.c. Person is asymptomatic, but stools positive for Salmonella typhi, Shigella or Escherichia coli 0157:H7.Restrictions lifted by medical clearance.d. Person has had past illness from Salmonella typhi, Shigella,Escherichia coli 0157:H7 or other human pathogens for which humans have been determined to be carriers.Restrictions lifted by medical clearance.e. In the case of diagnosed or suspected Hepatitis A, person has experienced onset of jaundice within the last seven (7) days.Restrictions lifted by medical clearance.f. In the case of diagnosed or suspected Hepatitis A, person has experienced onset of jaundice occurred more than seven (7) days ago.Restrictions lifted by medical clearance orjaundice ceases.
• BUTTERMILK: E. The immediate exclusion of the affected dairy products from distribution and use when medically appropriate (i.e., a medical evaluation of the sequence of events indicates that contamination of product may have occurred).
• BUTTERMILK: F. The immediate requesting of medical and bacteriological examination of the person at risk. (Note: Persons at risk who decline to be examined may be reassigned to duties where they will not be required to handle finished products, such as pasteurized or aseptically processed or not pasteurized milk or milk products, and associated product contact surfaces).
• BUTTERMILK: G. In the case of milk plants, receiving stations or transfer stations that have HACCP Systems, which are regulated under the NCIMS HACCP Program, the HACCP System must address the public health concerns described in this Section in a manner that provides protection equivalent to the requirements in this Section.
• BUTTERMILK: SECTION XIII – EXAMINATION OF MILK AND MILK PRODUCTS
• BUTTERMILK: A. SAMPLE COLLECTION
• BUTTERMILK: It shall be the responsibility of the milk hauler to collect a representative sample of milk from each farm bulk tank, silo, or from a properly installed and operated in-line sampler or aseptic sampler that is approved for use by the Department and FDA to collect samples, prior to transferring or as transferring milk utilizing an aseptic sampler from a farm bulk tank, silo, truck or other container. All samples must be collected and delivered to a milk plant, receiving station, transfer station or other location approved by the Department. It shall be the responsibility of the industry plant sampler to collect a representative sample of milk from each milk tank truck or from a properly installed and operated aseptic sampler, which is approved for use by the Department and FDA to collect representative samples, prior to transferring milk from a milk tank truck. Industry plant samplers collect official samples for regulatory purposes at a milk plant, receiving station or transfer station. During any consecutive six (6) months, at least four (4) samples of raw milk for pasteurization, ultra-pasteurization, or aseptic processing and packaging must be collected, in at least four (4) separate months, except when three (3) months show a month containing two (2) sampling dates separated by at least twenty (20) days. These samples must be obtained under the direction of the Department or must be taken from each producer under the direction of the Department and delivered in accordance with this Section. During any consecutive six (6) months, at least four (4) samples of raw milk for pasteurization, ultra-pasteurization or aseptic processing and packaging must be collected in at least four (4) separate months, except when three (3) months show a month containing two (2) sampling dates separated by at least twenty(20) days. These samples must be obtained by the Department, from each milk plant after receipt of the milk by the plant and prior to pasteurization, ultra-pasteurization or aseptic processing and packaging. During any consecutive six (6) months, at least four (4) samples of heat-treated milk products, from plants offering such products for sale, must be collected in at least four (4) separate months, except when three (3) months show a month containing two sampling dates separated by at least 20 days and delivered to the Department in accordance with this section.
• BUTTERMILK: During any consecutive six (6) months, at least four (4) samples of pasteurized milk, ultra-pasteurized milk, flavored milk, flavored reduced fat or low-fat milk, flavored nonfat (skim) milk, each fat level of reduced fat or low-fat milk and each milk product defined in this Rule, must be obtained by the Department in at least four (4) separate months, except when three (3) months show a month containing two (2) sampling dates separated by at least twenty (20) days from every milk plant. All required sampling and testing of pasteurized and ultra- pasteurized milk and milk products to be done only when there are test methods available that are validated by FDA and accepted by the NCIMS. Products with no validated and accepted methods are not required to be tested. Aseptically processed and packaged milk and milk products shall be exempt from the sampling and testing requirements of this item. Samples must include a representative sample of every specific type of milk and milk product offered for sale. During any consecutive six (6) months, at least four (4) samples of each variety, flavor or type of “not pasteurized” milk and milk products must be collected in at least four (4) separate months, except when three (3) months show a month containing two (2) sampling dates separated by at least twenty (20) days, from every milk distributor, by the department.
• BUTTERMILK: 8. During any consecutive six (6) months at least four (4) sample sets of single service containers from each manufacturing line, must be collected by the Department in at least four (4) separate months, except when three (3) months show a month containing two (2) sampling dates separated by at least twenty (20) days from every manufacturer. A sample set is at least four (4) containers.
• BUTTERMILK: 9. Once every twelve (12) months at least four (4) samples of multi-use containers,
• BUTTERMILK: must be collected by the Department from each milk distributor.
• BUTTERMILK: 10. Samples of milk and milk products must be taken while the milk and milk products are in the possession of the producer, milk plant or distributor at any time prior to delivery to the store or consumer. All retail samples shall be collected from the labeled containers in which they are sold. Samples of milk and milk products from dairy retail stores, food service establishments, grocery stores and other places where milk and milk products are sold may be examined periodically as determined by the Department and the results of such examination shall be used to determine compliance with Sections II and VIII. Managers of such establishments must furnish the Department, upon request, with the names of all distributors from whom milk or milk products are obtained.
• BUTTERMILK: 11. Milk and milk products not produced continuously throughout the year are exempt from being sampled four (4) times in any six (6) consecutive months. Frozen dairy desserts and eggnog must be sampled one (1) time, each month during the production season.
• BUTTERMILK: 12. Water samples, from the water supply for the milk house and milking operations, must be taken at least once every three (3) years or more frequently at the Department’s discretion. The Department may also, at its discretion, inspect the water supply system including any disinfection components as applicable. Water supplies with buried well casing seals, must be sampled at intervals no greater than six (6) months apart. Water samples, from the water supply for milk plant purposes, must be collected every six (6) months for IMS plants and every twelve (12) months for all other plants. Recirculating water must be sampled every six (6) months for all dairy plants. Dairy farms and dairy plants that use municipal water supplies shall be exempt from these water testing requirements.
• BUTTERMILK: Failure of an official water sample will result in a letter being sent to the farm, plant, dairy or any other milking operation requiring a clean water supply giving notice of the failure. Water will be resampled at a future date to be determined by the Department;After a second sample failure a warning letter or notice of intended enforcement will be sent to the farm, plant, dairy or any other milking operation requiring a clean water supply giving notice that a third sample will be taken. If the third sample fails the permit or license to operate will be suspended, until such time as a clean (satisfactory) water sample is obtained, but not more than a period of 30-days pending an administrative hearing to indefinitely suspend the permit or license.
• BUTTERMILK: 13. Failure to provide the required samples of milk or milk products as specified in this section may result in enforcement action up to and including suspension of permit or license.
• BUTTERMILK: B. METHODOLOGY FOR EXAMINATION OF SAMPLES
• BUTTERMILK: Samples from sources participating in FDA’s voluntary IMS program must be examined and tested as prescribed by the PMO using test methodology validated and accepted by FDA.
• BUTTERMILK: 1. Required bacterial counts, somatic cell counts and cooling temperature checks must be performed on raw milk from the farm bulk tank. In addition, drug tests of each producer’s milk must be conducted at least four (4) times during any consecutive six (6) months.
• BUTTERMILK: 2. Required bacterial counts, somatic cell counts and cooling temperature checks must be performed on raw milk for pasteurization, ultra-pasteurization or aseptic processing and packaging.
• BUTTERMILK: 3. Required bacterial counts, coliform determinations, drug tests, somatic cell counts and cooling temperature checks must be performed on heat treated milk and milk products.
• BUTTERMILK: 4. Required bacterial counts, drug tests, coliform determinations, and cooling temperature checks must be performed on not pasteurized milk and milk products.
• BUTTERMILK: 5. Required bacterial counts must be performed on single service and multi-use containers.
• BUTTERMILK: 6. When multiple samples of the same milk or milk products, except for aseptically processed milk and milk products, are collected from the same producer or processor from multiple tanks or silos on the same day, the laboratory results are averaged arithmetically by the Department and recorded as the official results for that day. This is applicable for bacterial (standard plate count and coliform), somatic cell count and temperature determinations only.
• BUTTERMILK: C. VIOLATIONS
• BUTTERMILK: 1. Whenever two (2) of the last four (4) bacterial counts, somatic cell counts, coliform determinations, or cooling temperatures, taken on separate days, exceed the standard for the milk and/or milk products as defined in this Rule or the PMO, the Department shall send a written notice to the person concerned. This notice shall be in effect so long as two (2) of the last four (4) consecutive samples exceed the standard. An additional sample must be taken within twenty-one (21) days of the sending of such notice, but not before the lapse of three (3) days. Immediate administrative suspension of the permit, and/or court action, shall be instituted whenever the standard is violated by three (3) of the last five (5) bacterial counts, somatic cell counts, coliform determinations or cooling temperatures.
• BUTTERMILK: 2. When a milk plant’s product is in violation of the standard for three (3) of the last five (5) tests, the plant’s senior management will be notified (by telephone and certified letter) to suspend distribution of product. The Department will also be notified (by telephone and/or other methods of communication) and they will conduct a plant inspection as soon as possible. This inspection must note the probable cause of the violation(s) and any corrective action(s) necessary. After inspection, the plant will be allowed to resume distribution of product. Product will be sampled on an accelerated schedule (not more than two (2) samples per week for three (3) weeks). Once the plant has been inspected and allowed to resume distribution, previous test history will not be used to calculate two (2) out of four (4) or three (3) out of five (5) violations. Calculation will be based on test results from the accelerated sampling schedule.
• BUTTERMILK: 3. When a producer’s bulk tank milk is in violation of standard for three (3) of the last five (5) samples, the permit must be suspended by the department and the following steps shall be taken: (a) For violation of bacterial standard, the Department must conduct a farm inspection. This inspection must note the probable cause of the violation(s) and any corrective action(s) necessary. A permit must be issued upon inspection. (b) For violation of somatic cell standard, permit will be issued when an official bulk tank sample is tested within the standard established by this Rule at an official laboratory.
• BUTTERMILK: For bacterial or somatic cell violations, the producer’s bulk tank milk will be sampled on an accelerated schedule (not more than two (2) samples per week for three (3) weeks). Once the accelerated sampling has begun, the previous test history will not be used to calculate two (2) out of four (4) or three (3) out of five (5) violations. Calculations will be based on test results from the accelerated sampling schedule.
• BUTTERMILK: 4. Whenever a phosphatase test is positive, the cause will be determined. Where the cause is improper pasteurization, it must be corrected and any milk or milk product involved must not be offered for sale.
• BUTTERMILK: 5. Whenever a pesticide residue test is positive, an investigation will be made to determine the cause and the cause must be corrected. An additional sample will be taken and tested for pesticide residues and no milk or milk products will be offered for sale until it is shown by a subsequent sample to be free of pesticide residues or below the actionable levels established for such residues.
• BUTTERMILK: 6. Whenever a drug residue test is confirmed positive, an investigation must be made to determine the cause, and the cause must be corrected in accordance with the provisions of Section XIII.
• BUTTERMILK: 7. Whenever a container or containers of aseptically processed milk or milk product is found to be unsterile, due to under-processing, the Department will consider this to be an imminent hazard to public health and suspend the permit of the milk plant for the sale of aseptically processed milk and milk products. Aseptically processed milk and milk product must not be sold until it can be shown that the processes, equipment and procedures used are suitable for consistent production of a sterile product. All product from the lot that was found to contain one or more unsterile units must be recalled and disposed of as directed by the Department.
• BUTTERMILK: 8. When single service or multi-use containers exceed the standard in three (3) out of four (4) samples taken at random on a given day, the Department must conduct an inspection to determine the probable cause(s) and note corrective action(s).
• BUTTERMILK: 9 When a water sample is unable to meet bacteriological standards for three (3) consecutive tests, the Department may require a written corrective action plan specifying steps to be taken providing a continuous source of bacteriologically safe water. This plan may include a continuous disinfection utilizing UV light, or continuous chemical treatment. See Appendix D of the PMO.
• BUTTERMILK: D. Independent testing of not pasteurized milk products
• BUTTERMILK: When the official milk laboratory operated by the Department has tested not pasteurized milk products and determined that those milk products do not meet the standards for not pasteurized milk products established by this rule, the person operating the milk plant that processed the milk products may request further testing by an independent FDA certified laboratory. The not pasteurized milk products must not be sold pending the completion of the independent testing. Within three (3) business days of receipt by the Department of a request for independent testing, the Department shall obtain duplicate samples of the not pasteurized milk products from the processor. These samples will be delivered by the Commissioner or his/her agent to the state milk laboratory and shipped by the Department to an independent FDA certified laboratory for testing. The processor is responsible for the cost of shipping and testing performed by the independent FDA certified laboratory. The test results will be sent by the Department to the processor within 24-hours of receiving the results.
• BUTTERMILK: The not pasteurized products in dispute may be offered for sale only after testing at the official milk laboratory and the independent official laboratory has been completed and the Department has received results from either laboratory which are within the established standards set forth in this rule. If the results from both the independent official laboratory and the official milk laboratory do not meet the standards for not pasteurized products, the products must not be sold until they meet the established standards.
• BUTTERMILK: E. Methods of Analysis
• BUTTERMILK: 1. Samples must be analyzed at an appropriate official or officially designated laboratory. All sampling procedures, including the use of approved in-line samplers and approved aseptic samplers for milk tank trucks or for farm bulk tanks and/or silos, and required laboratory examination must be in substantial compliance with the most current edition of Standard Methods for the Examination of Dairy Products (SMEDP) of the American Public Health Association and the PMO. Such procedures, including the certification of sample collectors, and examinations must be evaluated in accordance with the “Procedures Governing the Cooperative State-Public Health Service/Food and Drug Administration Program on the National Conference on Interstate Milk Shipments.” Aseptically processed milk and milk products packaged in hermetically sealed containers must be tested in accordance with the FDA’s Bacteriological Analytical Manual. Examination and tests to detect adulterants, including pesticides, must be conducted as the Department requires. When the Commissioner of the FDA determines that a potential problem exists with animal drug residues or other contaminants in the milk supply, samples must be analyzed for the contaminant by a method(s) determined by the FDA to be effective in determining compliance with actionable levels or established tolerances. This testing will continue until such time that the Commissioner of the FDA is reasonably assured that the problem has been corrected. The determination of a problem is to be based upon:
• BUTTERMILK: Sample survey results;USDA tissue residue data from cull and other slaughtered dairy animals;Animal drug disappearance and sales data;State feedback; andOther relevant information.
• BUTTERMILK: Assays of milk and milk products as defined in this Rule, including aseptically processed and packaged milk and milk products, to which vitamin(s) A and/or D have been added for fortification purposes, must be made at least annually in a laboratory which has been accredited by the FDA and which is acceptable to the Department, using the test methods acceptable to FDA and other official methodologies which give statistically equivalent results to the FDA methods. Vitamin testing laboratories are accredited if they have one (1) or more certified analysts and meet the quality control requirements of the program established by FDA. Laboratory accreditation and analyst certification parameters are specified in the Evaluation of Milk Laboratories 2019 Revision (EML) manual.
• BUTTERMILK: In addition, all facilities fortifying products with vitamin(s) must keep volume control records. These volume control records must cross reference the form and amount of vitamin D, vitamin A and/or vitamin A & D used with the amount of products produced and indicate a percent of expected use, plus or minus.
• BUTTERMILK: 2. The following referenced methods of analysis are from “Official Methods of Analysis of the Association of Official Analytical Chemists", 16th Ed. (1997), which is incorporated by reference.
• BUTTERMILK: (a) Milk fat content--As determined by the method, "Roese-Gottlieb Method (Reference Method) (11)--Official Final Action", under the heading "Fat".
• BUTTERMILK: (b) Milk solids not fat content-Calculated by subtracting the milk fat content from the total solids content as determined by the method, "Method I--Official Final Action", under the heading "Total Solids".
• BUTTERMILK: (c) Titratable acidity--As determined by the method, "Acidity (2)--Official Final Action", or by an equivalent potentiometric method.
• BUTTERMILK: (d) Vitamin D content – “Vitamin D – Official Final Action”.
• NOTE: Milk from animals not currently in the Grade “A” PMO may be labeled as Grade
• NOTE: “A” and IMS listed upon FDA’s acceptance of validated Grade “A” PMO, Section 6. of this Ordinance and Appendix N. test methods for the animal to be added. (Refer to M-a-98, latest revision, for the specific milk and/or milk products that have FDA validated and NCIMS accepted test methods.)
• NOTE: SECTION XIV – DRUG RESIDUE TESTING AND FARM SURVEILLANCE
• NOTE: This Section is established to reference safe levels and/or establish tolerances and to assure that milk supplies are in compliance with these safe levels or established tolerances for drug residues in milk. Additional requirements and guidelines for determining compliance with these requirements may be found in the PMO.
• NOTE: A. INDUSTRY RESPONSIBILITIES
• NOTE: 1. monitoring and surveilLance - Industry must screen all bulk milk pickup tankers, regardless of final use, for beta lactam drug residues. Specific requirements for establishing a drug residue testing program can be found in Appendix N of the PMO. Additionally, other drug residues must be screened for by employing a random sampling program on bulk milk pickup tankers when the Commissioner of the Maine Department of Agriculture, Conservation and Forestry or the Commissioner of the FDA determines that a potential problem exists as cited in Section 6 of the PMO. The random bulk milk pickup tanker sampling program must represent and include, during any consecutive six (6) months, at least four (4) samples collected in at least four (4) separate months, except when three (3) months show a month containing two sampling dates separated by at least twenty (20) days. Samples collected under this random sampling program must be analyzed as specified by FDA. (Refer to section 6 of the PMO.)
• NOTE: The bulk milk pickup tanker must be sampled after the last producer has been picked up and before any additional commingling. These bulk milk pickup tanker samples may be collected from an approved aseptic sampler. The sample must be representative. Bulk milk pickup tanker testing must be completed prior to processing the milk. Industry samplers must be evaluated according to the requirements specified in Section XIII, THE EXAMINATION OF MILK AND MILK PRODUCTS of this Rule and at the frequency addressed in Section IV, INSPECTION OF DAIRY FARMS AND MILK PLANTS of this Rule. Bulk milk pickup tanker samples found to be confirmed positive for drug residues must be retained as determined necessary by the Department. All presumptive positive test results for drug residues from analysis done on
• NOTE: commingled raw milk tanks, bulk milk pickup tankers, farm raw milk tanks (only milk offered for sale) or finished milk or milk product samples must be reported to the Department.
• NOTE: 2. REPORTING AND FARM TRACEBACK. – When a bulk milk pickup tanker is found to be positive for drug residues, the Department must be immediately notified of the results and the ultimate disposition of the raw milk.
• NOTE: The producer samples from the bulk milk pickup tanker, found to be positive for drug residues, must be individually tested to determine the farm of origin. The samples must be tested as directed by the Department.
• NOTE: The producer must be notified by telephone and in writing by the milk plant.
• NOTE: Further pickups of the violative individual producer must be immediately discontinued, until such time, that subsequent tests are no longer positive for drug residues.
• NOTE: 3. RECORD REQUIREMENTS
• NOTE: Records of all sample results must be maintained for a minimum of six (6)
• NOTE: months by the milk plant at the location where the tests were run, and/or another
• NOTE: location as directed by the Department. Such records shall be made available to the Department for inspection and copying, upon request and at all reasonable times.
• NOTE: Results of all testing may be recorded in any format acceptable to the Department and must include at least the following information:
• NOTE: 1. Identity of the person doing the test;
• NOTE: 2. Identity of the bulk milk pickup tanker being tested;
• NOTE: 3. Date/time the test was performed (Time, Day, Month and Year);
• NOTE: 4. Identity of the test performed/lot #/any and all controls (+/-);
• NOTE: 5. Results of the test;
• NOTE: 6. Follow-up testing if initial test was positive/any and all controls (+/-);
• NOTE: 7. Site where test was performed and
• NOTE: 8. Prior test documentation must be provided for a presumptive positive load.
• NOTE: Include the BTU number(s) of the farms present on the bulk milk pickup tanker with the above information.
• NOTE: B. DEPARTMENT RESPONSIBILITIES
• NOTE: 1. Upon receipt of notification from industry of a bulk milk pickup tanker, which
• NOTE: contains milk from another State(s), that is found to be presumptive positive for
• NOTE: drug residues, it is the responsibility of the Department to notify the Regulatory
• NOTE: Agency(ies) of all States of origin.
• NOTE: 2. MONITORING AND SURVEILLANCE – The Department will monitor industry surveillance activities during either routine or unannounced, on-site quarterly inspections to collect samples from bulk milk pickup tankers and to review industry records of the random sampling program. Samples should be collected and analyzed from at least ten percent (10%) of the bulk milk pickup tankers scheduled to arrive on the day of the inspection. The method used must be appropriate for the drug being analyzed and must be capable of detecting the same drugs at the same concentrations as the method being used by industry.
• NOTE: 3. The Department or Laboratory Evaluation Officer (LEO) may take known samples with him/her on the audit visit and observe the industry analyst test the samples. Receiving locations that choose to certify all receiving analysts, certified under the provisions of the NCIMS Laboratory Certification Program, are exempt from the sample collection requirements of this Section.
• NOTE: Receiving locations where all approved receiving Industry Analysts and Industry Supervisors successfully participate in a biennial on-site evaluation and annual split sample comparisons by LEOs are also exempt from the sample collection requirements of this Section. A review must include, but not be limited to, the following:
• NOTE: (a) Is the program an appropriate routine monitoring program, utilizing appropriate test methods for the detection of drug residues?
• NOTE: (b) Is each producer’s milk represented in a testing program for drug residues and tested at the frequency prescribed in A.1. above for drug residues?
• NOTE: (c) Is the program assuring timely notification to the Department of positive results, the ultimate disposition of the bulk milk pickup tanker milk and of the trace back to the farm of origin?
• NOTE: (d) Is farm pickup suspended until subsequent testing establishes the milk is no longer positive for drug residues?
• NOTE: To satisfy these requirements:
• NOTE: 1. There should be an agreement between the Department and industry that would specify how this notification is to take place. This notification must be “timely” for example by telephone or electronic device, and supported in writing.
• NOTE: 2. The ultimate disposition should either be prearranged in an agreement between the Department and the industry, or physically supervised by the Department. If testing reveals milk positive for drug residues, the milk shall be disposed of in a manner that removes it from the human or animal food chain, except where acceptably reconditioned under FDA Compliance Policy Guide (CPG 675.200 “Division of Adulterated Food to Acceptable Animal Feed Use” current revision).
• NOTE: 3. All screening test positive (confirmed) loads must be broken down (producer traceback) using the same or an equivalent test method (FDA, NCIMS Milk Safety Program, M-I-96-10, Drug Residue Test Methods for Confirmation, latest version). Confirmation tests (load and producer trace back/permit action) must be performed by an Official or Officially Designated Laboratory or Certified Industry Supervisor. Positive producers must be handled in accordance with Section XIII of this rule.
• NOTE: 4. The suspension and discontinuance of farm bulk milk tank pick up is the responsibility of the industry, under the direction and supervision of the Department. At the discretion of the Department, records must be maintained by industry and/or the Department that:
• NOTE: a. Establish the identity of the producer and the identity of the load that tested positive; and
• NOTE: b. Establish that no milk is picked up from the positive testing producer until the Department has fulfilled their obligations under Section XIII. B.2. of this Rule and cleared the milk.
• NOTE: 4. Sufficient records shall be reviewed to assure that all farm bulk milk pickup tankers are sampled before commingling and the results were made available to the appropriate BTU(s).
• NOTE: 5. The Department shall also perform routine sampling and testing for drug residues determined to be necessary as outlined in the PMO
• NOTE: 6. DRUG RESIDUE ENFORCEMENT - If testing reveals milk positive for drug residues, the milk must be disposed of in a manner that removes it from the human or animal food chain, except where acceptably reconditioned under FDA Compliance Policy Guide. The Department shall determine the producer(s) responsible for the violation.
• NOTE: Suspension: Any time milk is found to test positive for a drug residue, the Department will immediately suspend the producer’s Grade “A” permit or equally effective measures will be taken to prevent the sale of milk containing drug residues.Penalties: Future pick-ups are prohibited until subsequent testing reveals the milk is free of drug residue. The penalty will be for the value of all milk on the contaminated load plus any costs associated with the disposition of the contaminated load. The Department may accept certification from the violative producer’s milk marketing cooperative or purchaser of milk as satisfying the penalty requirements.Reinstatement: The Grade “A” producer permit may be reinstated, or other action taken, to allow sale of milk for human food, when a representative sample taken from the producer’s milk, prior to commingling with any other milk, is no longer positive for drug residue.Follow Up: Whenever a drug residue test is positive an investigation must be made to determine the cause.
• NOTE: The investigation will include a farm inspection completed by the Department to determine the cause of the residue and actions taken to prevent future violations including:
• NOTE: (a) On farm changes in procedures necessary to prevent future occurrences as recommended by the Department.
• NOTE: (b) Discussion and education on the Drug Residue Avoidance Control measures outlined in the PMO and Milk and Dairy Beef Residue Prevention Protocol.
• NOTE: Permit Revocation: After a third violation in a twelve (12) month period, the Department may initiate proceedings to revoke the producer’s Grade A permit.
• NOTE: 7. DEPARTMENT RECORDS - In the event a processor reports a positive tanker result, the Department’s records should indicate the following:
• NOTE: a. What were the Department’s directions?
• NOTE: b. When was the Department notified? By whom?
• NOTE: c. What was the identity of the load?
• NOTE: d. What screening and/or confirmatory test(s) were used and who were the analyst(s)?
• NOTE: e. What was the disposition of the adulterated milk?
• NOTE: f. Which producer(s) was responsible?
• NOTE: g. Record of negative test results prior to subsequent milk pickup from the violative producers(s).
• NOTE: C. APPEALS PROCESS
• NOTE: If a producer wishes to dispute producer traceback test results, milk from the original sample will be sent by the milk plant to the DQCI laboratory in Minnesota for high pressure liquid chromatograph (HPLC) analysis. Costs of testing will be paid by the producer if the sample is determined to be positive or false violative. Testing costs plus costs of the discarded milk will be paid by the processor if the HPLC results indicate a false positive on original screening test.
• NOTE: SECTION XV - LABELING
• NOTE: All bottles, containers and packages enclosing milk or milk products defined in Section 1 of this Rule must be labeled in accordance with the applicable requirements of the Federal Food, Drug and Cosmetic Act as amended, the Nutrition Labeling and Education Act of 1990, and in addition, must comply with applicable requirements of this section as follows:
• NOTE: A. All bottles, containers and packages enclosing milk or milk products, except milk tank trucks, storage tanks and cans of raw milk from individual dairy farms, must be conspicuously marked with:
• NOTE: 1. The words “Grade “A”, as applicable on the exterior surface. Acceptable locations include the principal display panel, the secondary or informational panel, or the cap/cover.
• NOTE: 2. The identity of the milk plant where packaged, pasteurized, ultra-pasteurized, condensed and/or dried or aseptically processed.
• NOTE: 3. The word “reconstituted” or “recombined” if the product is made by reconstitution or recombination.
• NOTE: 4. The volume or proportion of water to be added for reconstituting or recombining in the case of concentrated milk or milk products.
• NOTE: 5. The words "keep refrigerated after opening" in the case of aseptically processed milk and milk products.
• NOTE: 6. In the case of aseptically processed and packaged milk or milk products, the term “UHT”.
• NOTE: 7. The words “ultra-pasteurized” if the milk or milk product has been ultra-pasteurized.
• NOTE: 8. The common name of the hooved mammal producing the milk must precede the name of the milk or milk product when the product is or is made from other than cattle’s milk. As an example, “Goat”, “Sheep”, or “Water Buffalo milk or milk products respectively.
• NOTE: 9. A list of ingredients in descending order of predominance.
• NOTE: 10. The words “not pasteurized” if the milk or milk product has not been pasteurized. This does not apply to cheese that has been aged at a temperature above 35°F for at least 60 days prior to sale.
• NOTE: 11. The full name of the food must appear on the principal display panel of the label in type of uniform size, style, and color. The name of the food must be accompanied by a declaration indicating the presence of any characterizing flavoring, and may be accompanied by a declaration such as a traditional name of the food or the generic name of the organisms used, thereby indicating the presence of the characterizing microbial organisms or ingredients when used.
• NOTE: 12. The following terms must accompany the name of the food wherever it appears on the principal display panel or panels of the label in letters not less than one-half of the height of the letters used in such name:
• NOTE: (a) The phrase "vitamin A" or "vitamin A added" or "vitamin D" or "vitamin vitamins A and D added", as appropriate. The word "vitamin" may be abbreviated "vit".
• NOTE: (b) The word “sweetened” if nutritive carbohydrate sweetener is added without the addition of characterizing flavoring.
• NOTE: 13. The term "homogenized" may appear on the label if the dairy ingredients used are homogenized.
• NOTE: 14. The term "pasteurized" may appear on the label if the dairy ingredients used are pasteurized.
• NOTE: 15. The net weight or volume.
• NOTE: 16. The word “aged” when the product has been aged for more than 60 days.
• NOTE: 17. The lot number. The lot number must correspond with accurate records which show time, temperature and date of production. Records will be kept for at least twelve months from the date produced.
• NOTE: 18. Condensed or dry milk product labels must contain:
• NOTE: (a) The identity of the Regulatory Agency issuing such permit; and if distributed by another party, the name and address of the distributor must be shown by a statement, such as "Distributed by".
• NOTE: (b) A code or lot number identifying the contents with a specific date, run, or batch of the product, and the quantity of the contents of the container.
• NOTE: B. All vehicles and milk tank trucks containing milk or milk products must be legibly marked with the name and address of the milk plant or hauler in possession of the contents. Milk tank trucks transporting raw, heat-treated or pasteurized milk and milk products to a milk plant from another milk plant, receiving station or transfer station are required to be marked with the name and address of the milk plant or hauler and must be sealed. Each milk tank truck containing milk must be accompanied by documentation, weigh ticket or manifest, which must include the IMS BTU Identification Number(s) or the IMS Listed Milk Plant Number, for farm groups listed with a milk plant. For each such shipment, a shipping statement must be prepared containing at least the following information:
• NOTE: 1. Shipper’s name, address and permit number. Each milk tank truck load of milk must include the IMS Bulk Tank Unit (BTU) identification number(s) or the IMS Listed Milk Plant Number, for farm groups listed with a milk plant, on the farm weight ticket or manifest;
• NOTE: 2. Permit identification of the hauler, if not an employee of the shipper;
• NOTE: 3. Point of origin of shipment;
• NOTE: 4. Milk tank truck identification number
• NOTE: 5. Name of product;
• NOTE: 6. Weight of product;
• NOTE: 7. Temperature of product when loaded;
• NOTE: 8. Date of shipment;
• NOTE: 9. Name of supervising Regulatory Agency at the point of origin of shipment;
• NOTE: 10. Whether the contents are raw, pasteurized, or in the case of cream, low-fat or
• NOTE: skim milk, whether it has been heat-treated;
• NOTE: 11. Seal number on inlet, outlet, wash connections and vents; and
• NOTE: 12. Grade of product.
• NOTE: All cans of raw milk from individual dairy farms must be identified by the name or number of the individual milk producer.
• NOTE: D. LABELING - EMERGENCY SUPPLIES
• NOTE: When the sale of ungraded milk or milk products is authorized during emergencies, under the terms of Section II, the label must bear the designation “ungraded.” When such labeling is not available, the Department will take immediate steps to inform the public that the particular supply is ungraded and that the supply will be properly labeled as soon as the distributor can obtain the required labels.
• NOTE: E. IDENTITY LABELING –
• NOTE: "Identity", as used in this Section, is defined as the name and address of the milk distributor at which the packaging, condensing and/or drying pasteurization, ultra-pasteurization or aseptic processing takes place. It is recommended that the voluntary national uniform coding system for the identification of milk plants, at which milk and milk products are packaged, be adopted in order to provide a uniform system of codes throughout the country.
• NOTE: In cases where several plants are operated by one firm, the common firm name may be utilized on milk bottles or containers. Provided, that the location of the milk plant at which the contents were pasteurized, ultra-pasteurized or aseptically processed and packaged, condensed and/or dyed is also shown, either directly or by a code.
• NOTE: The identity labeling requirement may be interpreted as permitting plants and persons to purchase and distribute, under their own label, milk and milk products processed and packaged at another plant, provided, that the label reads, "Processed at ... (name and address)", or that the processing and packaging plant is identified by a proper code.
• NOTE: F. MISLEADING LABELS --The Department will not permit the use of any misleading marks, words or endorsements upon the label. They may permit the use of registered trade designs or similar terms on the bottle cap or label when, in their opinion, they are not misleading and are not so used as to obscure the labeling required by the rule. For dry milk products, the outer bag must be preprinted "Grade "A" before filling. The use of super grade designations is not permitted. However, this should not be construed as prohibiting the use of official grade designations awarded to dry milk products by the United States Department of Agriculture(USDA). Grade designations such as "Grade AA Pasteurized", "Selected Grade A Pasteurized", "Special Grade A Pasteurized", etc., give the consumer the impression that such a grade is significantly safer than Grade “A”. Such an implication is false, because the rule requirements for Grade “A” pasteurized, ultra-pasteurized or aseptically processed and packaged milk and milk products when properly enforced, will ensure that this grade of milk and milk products will be as safe as they can practicably be made. Descriptive labeling terms must not be used in conjunction with the Grade “A” designation or name of the milk or milk product and must not be false or misleading.
• NOTE: SECTION XVI. ENFORCEMENT
• NOTE: This Rule will be enforced by the Department in accordance with the PMO, with ADMINISTRATIVE PROCEDURES, current edition. A certified copy16 of which shall be on file at the appropriate Department’s office. Where the mandatory compliance with provisions of the Appendices is specified, such provisions will be deemed a requirement of this Rule.
• NOTE: SECTION XVII. REPEAL AND DATE OF EFFECT
• NOTE: All ordinances and parts of ordinances in conflict with this Rule will be repealed after the adoption of this Rule, at which time this Rule will be in full force and effect, as provided by law.
• NOTE: SECTION XVIII- REFERENCES
• NOTE: 1. Grade “A” Pasteurized Milk Ordinance and Appendices, 2019 Edition. Web Address: https://ncims.org/wp-content/uploads/2020/07/2019-PMO.pdf
• NOTE: 2. Bacteriological Analytical Manual, 8th Edition, 1995, AOAC International, 481 North Frederick Avenue, Suite 500, Gaithersburg, MD, 20877. Web site: http://www.fda.gov/Food/FoodScienceResearch/LaboratoryMethods/ucm2006949.htm
• NOTE: 3. Code of Federal Regulations, Title 21, April 1999, U.S. Government printing office, Washington, D.C. Web Address: http://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfcfr/CFRSearch.cfm?CFRPart=168
• NOTE: 4. Federal Food, Drug and Cosmetic Act, as Amended, 1993, U.S. Government Printing Office, Washington, D.C.
• NOTE: 5. Nutrition Labeling and Education Act, 1990, U.S. Government Printing Office, Washington, D.C. Web Address: https://www.congress.gov/bill/101st-congress/house-bill/3562
• NOTE: 6. Standard Methods for the Examination of Dairy Products, most recent edition, American Public Health Association, 1015 Fifteenth Street, Washington, D.C.
• NOTE: 7. Official Methods of Analysis, 19 th Edition, 2012, AOAC International, 2275 Research Blvd, Ste 300, Rockville, MD 20850-3250.
• NOTE: 8. Standard Methods for the Examination of Water and Wastewater, 22nd Edition, 2012, American Public Health Association, 1015 Fifteenth Street, Washington, D.C., 2005.
• NOTE: 9. 3-A Accepted Practices for the Design, Fabrication and Installation of Milk Handling Equipment, Number 606-03, March 20, 1990, International Association of Milk, Food and Environmental Sanitarians, United States Public Health Service, The Dairy Industry Committee.
• NOTE: 10. Procedures Governing the Cooperative State-Public Health Service/Food and Drug Administration Program of the National Conference on Interstate Milk Shipments, 2019 Revision. Web Address: https://ncims.org/wp-content/uploads/2020/07/2019-PROCEDURES-FINAL.pdf
• NOTE: 11. Evaluation of Milk Laboratories, 2019 Edition, Food and Drug Administration, CFSAN, Office of Food Safety, Division of Food Processing Science and Technology , Laboratory Proficiency and Evaluation Team, HFH-450, 6502 South Archer Road, Benford Park, IL 60501.
• NOTE: Web Address: https://ncims.org/wp-content/uploads/2020/05/2019-EML-Final.pdf
• NOTE: 12. FDA-2400 series evaluation forms, United States Public Health Service, Food and Drug Administration, Bedford Park, IL 60501. Web Address: https://www.fda.gov/about-fda/reports-manuals-forms/forms
• NOTE: 13. M-a-85, Beta-Lactam Test Methods for Use Under Appendix N of the PMO, Revision #16 3-22-2012. Web Address: https://gams-prod-docs-active.s3.amazonaws.com/M-a-85_Revision16_FINALA.pdf?AWSAccessKeyId=ASIAYZVEHUVSTHZS2FGC&Signature=LW1D6EWr1ZsJuH87xnbRyI1kZYI%3D&x-amz-security-token=IQoJb3JpZ2luX2VjEBkaCXVzLWVhc3QtMSJGMEQCIF2D%2F%2FxB%2Fc1q%2FWm1qeDZX3%2FPgDKZQFnvCX2ATS6vilLWAiA0nugRdMQRFZR55fOLzviL608IRL2n8MZoh8kBtU1jKCr0AQjx%2F%2F%2F%2F%2F%2F%2F%2F%2F%2F8BEAAaDDYwNDg2MTA4MDkzMyIMC26Cxi9dCj8NB46%2BKsgBWQACtFr5%2FEnE%2Flcpt23Ua3pVzV%2Bn0kapeDQnTaaGxQKqhxa55SNatpF%2B%2Fc4t3arFRcJj8QhLy%2B1i0IQhlVBo%2BHz%2FhO3W8Z2hfeLfBm3Cu%2FZb6JFvYqLudDV%2BdfnfDFAGdE%2F%2Bv%2FW%2Fkrf1DRV5Be6zEyuMJQ3QDjXgQ0tGGN0yIKxD3d4hTuUUxzxQbMtU0ij2Oizh0AaSE%2BriywxQFazchydloXh3LJJxtEUOwj4KiR%2BcprzM9UtT50r6jBHj9qSgZah7cEnTDWwwnN3q%2BQU64QFwg1pMDjM8pooytOhRjyXgfBmR%2Bm%2B%2BVDhyS%2FrozWjS6jT90tCD9xka8CZKbIdX8bPHTOfkbTZseYe9F2Hhfnclg5uBMiVb%2BS%2FsRuvJkqg9BgTWIDSsaTbH3mhmtf%2Beqq9JFDKHjshH013xuICdDVjBsBE%2B53OAEAb6bAAiaAYiDjjXdl3mMywZEsElvQV32nj3wd9BArqleLWt1JrX%2FXwl6FgB2VaJW6RDKmD7p4m56F%2Be%2BdmVnR8uvhBRbBpOMMZKQ1XCRWfSyoFJbJqcNrj%2BIScKTOHtJWvPBGx%2FO5TJzXA%3D&Expires=1597741310
• NOTE: 14. M-a-75, Sampling Farm Animal Drug Residue, April 2, 1990. Web Address: http://www.fda.gov/food/guidanceregulation/guidancedocumentsregulatoryinformation/milk/ucm114856.htm
• NOTE: 15. Methods of Making Sanitation Ratings of Milk Shippers and the Certifications/Listings of Single Service Containers and/or Closures for Milk and/or Milk Products Manufacturers, 2019 Edition, Public Health Service, Food and Drug Administration. Web Address: https://ncims.org/wp-content/uploads/2020/05/2019-Methods-FINAL-March-27-2020.pdf
• NOTE: 16. M-I-96-10, (most recent), Drug Residue Test Methods For Confirmation Of Presumptive Positive Results and Initial Producer Trace Back. Web Address: https://gams-prod-docs-active.s3.amazonaws.com/M-I-96-10_Revision10_FINAL.pdf?AWSAccessKeyId=ASIAYZVEHUVSQXCPSYUN&Signature=qyjCLBESn%2FPTu0DEISsjKACWEzY%3D&x-amz-security-token=IQoJb3JpZ2luX2VjEDUaCXVzLWVhc3QtMSJGMEQCIH%2BkjscjfGkh1RyQ%2BBZDU9xKReQQTPJ9F6%2BxljMtqfwBAiA1ahw8pZdiW2q3taHM5dazXQMQhcPyYAp%2B3PUN38bhvirrAQgeEAAaDDYwNDg2MTA4MDkzMyIMYpzlPO4sKi7YzJFqKsgB1EggwFmFNpIfI2FO6oAC7DskNHcxTQV%2Bdygzn466hSBhaTb8IWvBlWA3M0FAi5699Q9ihCW9zAqZ4L7aV3Pn8Kds0WKqeN1zLDW3a7g96j8SATGV9rr9vNBIhADD9PdnpAMCZFk0GljyJmni2N8z3GVbEAUYxmOCHKBOhqLJFI7lg3mxy0Zdr7t4Vz5vPjUxw1eJAxeZwZFYqcXEsiMS18GrxZrp1TMJjZpFWQ5aykg9Zen3X0lbjtUbHqDS9Zu5wPDzZfSSIQQw4ILx%2BQU64QGqDxWxmIZ7YfWse0qzxybmjLdFtLOVovFHj2jMe8i9SFN5MdV12E70WalCIxXsSRZHzAzJeSm0ri2JB5G8eZHPICx00S8q9j4vA38akWVc4PCswcqDyhL%2FvCQ9bhOlEAYngcAglut6Q8Q%2BcAoqMrzYS2T9h3nelLI37VEmYlu6G6%2BYin1DtE2HdEdvDQwwr0T%2B%2B6JbbB1GQnswQ%2BzOhPwUdtrrEyWJqjHrXJzEh8SLjtQISP8zidEHbufCHzdhm0JUbiYfvQSgYAyYov8opY5omHe8SVKn8eeW6e8Popknp0A%3D&Expires=1597844418
• STATUTORY AUTHORITY: 7 MRS §2910
• EFFECTIVE DATE: June 2, 2000
• AMENDED: June 12, 2002
• AMENDED: May 31, 2007 – filing 2006-175 (Major substantive, final adoption)
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: January 12, 2021 – filing 2021-003
• APAO ACCESSIBILITY CHECK: January 7, 2026 (no issues detected by agency)

Chapter 330 License Fees to Manufacture and Sell Food and Beverages

Code Me. R. 01-001 Ch. 330 License Fees to Manufacture and Sell Food & Beverages {#sec-01-001-ch.-330 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 330}

SUMMARY: The purpose of this chapter is to set forth the fee standards for licensing and applications to manufacture and sell food and beverages.

1. Definitions. For the purposes of this chapter and unless the context otherwise indicates, the following terms shall have the following meanings.

A. Apple Cider and Apple Juice - means a beverage consisting of natural juice extracted from apples. Apple cider and apple juice may contain chemical preservatives.

B. Bakery - means any place, premises or establishment other than a home food manufacturing establishment regulated by the Department of Agriculture, Conservation and Forestry, where any bakery product is regularly prepared, processed or manufactured for sale other than for consumption on the premises where originally prepared, processed or manufactured.

C. Beverage Plant - means any place, premise or establishment, or any part thereof, where beverages are assembled, processed, manufactured, bottled or converted into form for distribution or sale and such rooms or premises where beverage product manufacturing equipment and containers are washed, sanitized and stored.

D. Commercial bakery - means any bakery predominantly engaged in the preparation, processing or manufacture of bakery products for further distribution. All other bakeries shall be deemed retail bakeries.

E. Commissioner - means the Commissioner of Maine Department of Agriculture, Conservation and Forestry or the Commissioner's designee.

F. Employee - means the license holder, person in charge, person having supervisory or management duties, person on the payroll, family member, volunteer, person performing work under contractual agreement, or other person working in an establishment or processing plant.

G. Food processing and manufacturing - means an establishment in which food is processed or otherwise prepared and packaged for human consumption.

H. Food Salvage Processing Establishment - means an establishment that engages in reconditioning or by other means salvaging distressed foods and distributing such food either for charitable purposes or retailing on a non-profit basis.

I. Food Storage Warehouse - means any building, establishment or place where food is stored as a commercial venture or business, or is stored in connection with or as a part of a business. Notwithstanding the foregoing, "food storage warehouse" does not include a storage facility for one kind of native produce such as an apple warehouse, potato warehouse, or carrot warehouse; a warehouse which is part of a "beverage plant" as defined in 32 MRSA §1751; a person's home or dwelling; or an eating establishment as defined in 22 MRSA §2491.7.

J. Home Food Manufacturing - means an establishment in the home in which food is processed or otherwise prepared and packaged for human consumption and offered for sale directly to the consumer or through other distribution methods.

K. License - means the document issued by the Department that authorizes a person to operate an establishment or a processing plant.

L. Mobile Vendor – means a mobile vehicle capable of moving or being moved from its site from which food is being sold or offered for sale in a form requiring further preparation or cooking before being suitable to eat or not packaged or served to the customer in a manner intended for immediate consumption. This does not include a mobile eating place which serves food for immediate consumption or a mobile vendor which sells primarily fresh produce, not including dairy and meat products.

M. Poultry Grower/Producer Exempt means a grower/producer of less than 1000 birds that meets the licensing requirements of CMR Chapter 348.

2. Application and renewal. A license may be issued for a one-year, 2-year or 3-year period. Licenses for a period in excess of one year may only be issued with the agreement of or at the request of the applicant. The fee for a 2-year license is 2 times the annual fee. The fee for a 3-year license is 3 times the annual fee. Each application for, or renewal of, a license to operate a food establishment must be accompanied by a fee, determined by the commissioner in accordance with subsection 6, as follows:

A. Retail Food Establishment

1. For 0 to 10 employees, annually $20.00

2. For 11 to 25 employees, annually $50.00

3. For 26 or more employees, annually $150.00

B. Food Storage Warehouse

1. 0 to 10 employees, annually $20.00

2. 11 to 25 employees, annually $50.00

3. 26 or more employees, annually $150.00

C. Commercial Bakery $50.00

D. Bakeries

1. 0 to 10 employees, annually $20.00

2. 11 to 25 employees, annually $50.00

3. 26 or more employees, annually $150.00

E. Mobile Vendor

1. 0 to 10 employees, annually $20.00

2. 11 to 25 employees, annually $50.00

3. 26 or more employees, annually $150.00

F. Food Processing and Manufacturing $50.00

G. Home Food Manufacturing $20.00

H. Poultry Slaughter - Grower/Producer Exempt ………………………...……….$50.00

I. Food Salvage

1. 0 to 5 Employees, annually $30.00

2. 6 or more Employees, annually $50.00

J. Cider and Apple Juice

1. 0 to 10 employees, annually $20.00

2. 11 to 25 employees, annually $50.00

3. 26 or more employees, annually $150.00

K. Beverage Plant License

1. 0 to 5 employees, annually $75.00

2. 6 or more employees, annually $150.00

L. Birch and Maple Syrup Processing

1. Less than 15 Gal Production, annually $2.00

2. More than 15 Gal Production, annually $25.00

History

• STATUTORY AUTHORITY: 22 MRSA §2168, 5, as amended by the 123rd Legislature, P.L. 539, 2167, 2514, sub-§5; 21 MRSA §2154
• EFFECTIVE DATE: September 21, 2008 – filing 2008-428
• AMENDED: January 13, 2010 – filing 2010-4
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: April 26, 2022 – filing 2022-063, Section 2(L) (“Birch and” added)

Chapter 331 State of Maine Food Code 2001 (a joint chapter with 10-144 Ch. 200)

Code Me. R. 01-001 Ch. 331 Purpose & Definitions 1 {#sec-01-001-ch.-331 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 331}

1-1 TITLE, INTENT, SCOPE 1

1-101 Title 1

1-102 Intent 1

1-103 Scope 1

1-2 DEFINITIONS 1

1-201 Applicability and Terms Defined 1

CHAPTER 2 MANAGEMENT & PERSONNEL 22

2-1 SUPERVISION 22

2-101 Responsibility 22

2-102 Knowledge 22

2-103 Duties 25

2-2 EMPLOYEE HEALTH 26

2-201 Disease or Medical Condition 27

2-3 PERSONAL CLEANLINESS 35

2-301 Hands and Arms 35

2-302 Fingernails 37

2-303 Jewelry 37

2-304 Outer Clothing 38

2-4 HYGIENIC PRACTICES 38

2-401 Food Contamination Prevention 38

2-402 Hair Restraints 38

2-403 Animals 38

2-5 RESPONDING TO CONTAMINATION EVENTS 39

CHAPTER 3 FOOD 40

3-1 CHARACTERISTICS 40

3-101 Condition 40

3-2 SOURCES, SPECIFICATIONS, AND ORIGINAL CONTAINERS AND RECORDS 40

3-201 Sources 40

3-202 Specifications for Receiving 43

3-203 Original Containers and Records 46

3-3 PROTECTION FROM CONTAMINATION AFTER RECEIVING 48

3-301 Preventing Contamination by Employees 48

3-302 Preventing Food and Ingredient Contamination 50

3-303 Preventing Contamination from Ice Used as a Coolant 52

3-304 Preventing Contamination from Equipment, Utensils, and Linens 52

3-305 Preventing Contamination from the Premises 55

3-306 Preventing Contamination by Consumers 56

3-307 Preventing Contamination from Other Sources 57

3-4 DESTRUCTION OF ORGANISMS OF PUBLIC HEALTH CONCERN 57

3-401 Cooking 57

3-402 Freezing 61

3-403 Reheating 61

3-5 LIMITATION OF GROWTH OF ORGANISMS OF PUBLIC HEALTH CONCERN 63

3-501 Temperature and Time Control 63

3-502 Specialized Processing Methods 69

3-6 FOOD IDENTITY, PRESENTATION, AND ON-PREMISES LABELING 73

3-601 Accurate Representation 73

3-602 Labeling 74

3-603 Consumer Advisory 75

3-7 CONTAMINATED FOOD 76

3-701 Disposition 76

3-8 SPECIAL REQUIREMENTS FOR HIGHLY SUSCEPTIBLE POPULATIONS 76

3-801 Additional Safeguards 76

CHAPTER 4 EQUIPMENT, UTENSILS & LINENS 79

4-1 MATERIALS FOR CONSTRUCTION AND REPAIR 79

4-101 Multiuse 79

4-102 Single-Service and Single-Use 80

4-2 DESIGN AND CONSTRUCTION 81

4-201 Durability and Strength 81

4-202 Cleanability 81

4-203 Accuracy 83

4-204 Functionality 83

4-205 Acceptability 89

4-3 NUMBERS AND CAPACITIES 89

4-301 Equipment 89

4-302 Utensils, Temperature Measuring Devices, and Testing Devices 91

4-4 LOCATION AND INSTALLATION 92

4-401 Location 92

4-402 Installation 92

4-5 MAINTENANCE AND OPERATION 93

4-501 Equipment 93

4-502 Utensils and Temperature and Pressure Measuring Devices 97

4-6 CLEANING OF EQUIPMENT AND UTENSILS 98

4-601 Objective 98

4-602 Frequency 98

4-603 Methods 101

4-7 SANITIZATION OF EQUIPMENT AND UTENSILS 103

4-701 Objective 103

4-702 Frequency 103

4-703 Methods 103

4-8 LAUNDERING 104

4-801 Objective 104

4-802 Frequency 104

4-803 Methods 105

4-9 PROTECTION OF CLEAN ITEMS 105

4-901 Drying 105

4-902 Lubricating and Reassembling 106

4-903 Storing 106

4-904 Handling 107

CHAPTER 5 WATER, PLUMBING, & WASTE 108

5-1 WATER 108

5-101 Source 108

5-102 Quality 108

5-103 Quantity and Availability 110

5-104 Distribution, Delivery, and Retention 111

5-2 PLUMBING SYSTEM 111

5-201 Materials 111

5-202 Design, Construction, and Installation 112

5-203 Numbers and Capacities 112

5-204 Location and Placement 114

5-205 Operation and Maintenance 114

5-3 MOBILE WATER TANK AND MOBILE FOOD ESTABLISHMENT

WATER TANK 115

5-301 Materials 115

5-302 Design and Construction 115

5-303 Numbers and Capacities 117

5-304 Operation and Maintenance 117

5-4 SEWAGE, OTHER LIQUID WASTE, AND RAINWATER 118

5-401 Mobile Holding Tank 118

5-402 Retention, Drainage, and Delivery 118

5-403 Disposal Facility 119

5-5 REFUSE, RECYCLABLES, AND RETURNABLES 119

5-501 Facilities on the Premises 119

5-502 Removal 122

5-503 Facilities for Disposal and Recycling 122

CHAPTER 6 PHYSICAL FACILITIES 124

6-1 MATERIALS FOR CONSTRUCTION AND REPAIR 124

6-101 Indoor Areas 124

6-102 Outdoor Areas 124

6-2 DESIGN, CONSTRUCTION, AND INSTALLATION 125

6-201 Cleanability 125

6-202 Functionality 126

6-3 NUMBERS AND CAPACITIES 129

6-301 Handwashing Facilities 129

6-302 Toilets and Urinals 130

6-303 Lighting 130

6-304 Ventilation 130

6-305 Dressing Areas and Lockers 130

6-306 Service Sinks 131

6-4 LOCATION AND PLACEMENT 131

6-401 Handwashing Facilities 131

6-402 Toilet Rooms 131

6-403 Employee Accommodations 131

6-404 Distressed Merchandise 131

6-405 Refuse, Recyclables, and Returnables 132

6-5 MAINTENANCE AND OPERATION 132

6-501 Premises, Structures, Attachments, and Fixtures - Methods 132

CHAPTER 7 POISONOUS OR TOXIC MATERIALS 136

7-1 LABELING AND IDENTIFICATION 136

7-101 Original Containers 136

7-102 Working Containers 136

7-2 OPERATIONAL SUPPLIES AND APPLICATIONS 136

7-201 Storage 136

7-202 Presence and Use 136

7-203 Container Prohibitions 137

7-204 Chemicals 137

7-205 Lubricants 139

7-206 Pesticides 139

7-207 Medicines 139

7-208 First Aid Supplies 140

7-209 Other Personal Care Items 140

7-3 STOCK AND RETAIL SALE 140

7-301 Storage and Display 140

CHAPTER 8 COMPLIANCE & ENFORCEMENT 141

8-1 CODE APPLICABILITY 141

8-101 Use for Intended Purpose 141

8-102 Additional Requirements 141

8-103 Variances 141

8-2 PLAN SUBMISSION AND APPROVAL 142

8-201 Facility and Operating Plans 142

8-202 Confidentiality 144

8-203 Construction Inspection and Approval 145

8-3 PERMIT TO OPERATE 145

8-301 Requirement 145

8-302 Application Procedure 145

8-303 Issuance 147

8-304 Conditions of Retention 148

8-4 INSPECTION AND CORRECTION OF VIOLATIONS 149

8-401 Frequency 149

8-402 Access 151

8-403 Report of Findings 151

8-404 Imminent Health Hazard 153

8-405 Critical Violation 153

8-406 Noncritical Violation 154

8-5 PREVENTION OF FOODBORNE DISEASE TRANSMISSION BY EMPLOYEES 154

8-501 Investigation and Control 154

8-6 NOTICES 155

8-601 Service of Notice 155

8-7 REMEDIES 156

8-701 Criteria for Seeking Remedies 156

8-702 Holding, Examination, and Destruction of Food 157

8-703 Hearing Administration 158

8-704 Civil Proceedings 158

PREFACE

Foodborne Illness Estimates, Risk Factors, and Interventions

PHS Model Codes History, Purpose, and Authority

Public Health and Consumer Expectations

Advantage of Uniform Standards

Information to Assist the User

1. Foodborne Illness Estimates, Risk Factors, and Interventions

Foodborne illness in the United States is a major cause of personal distress, preventable illness and death, and avoidable economic burden. Scallan et al . (2011a,b) estimated that foodborne diseases cause approximately 48 million illnesses, 128,000 hospitalizations, and 3,000 deaths in the United States each year. The occurrence of approximately 1,000 reported disease outbreaks (local, regional, and national) each year highlights the challenges of preventing these infections.

Most foodborne illnesses occur in persons who are not part of recognized outbreaks. For many victims, foodborne illness results only in discomfort or lost time from the job. For some, especially preschool age children, older adults in health care facilities, and those with impaired immune systems, foodborne illness is more serious and may be life threatening.

The annual cost of foodborne illness in terms of pain and suffering, reduced productivity, and medical costs are estimated to be $10 - $83 billion. As stated by Scallion et. al., the nature of food and foodborne illness has changed dramatically in the United States over the last century. While technological advances such as pasteurization and proper canning have all but eliminated some disease, new causes of foodborne illness have been identified. Surveillance of foodborne illness is complicated by several factors. The first is underreporting. Although foodborne illnesses can be severe or even fatal, milder cases are often not detected through routine surveillance. Second, many pathogens transmitted through food are also spread through water or from person to person, thus obscuring the role of foodborne transmission. Finally, pathogens or agents that have not yet been identified and thus cannot be diagnosed cause some proportion of foodborne illness.

Epidemiological outbreak data repeatedly identify five major risk factors related to employee behaviors and preparation practices in retail and food service establishments as contributing to foodborne illness:

Improper holding temperatures,

Inadequate cooking, such as undercooking raw eggs,

Contaminated equipment,

Food from unsafe sources, and

Poor personal hygiene

The Food Code addresses controls for risk factors and further establishes 5 key public health interventions to protect consumer health. Specifically, these interventions are: demonstration of knowledge, employee health controls, controlling hands as a vehicle of contamination, time and temperature parameters for controlling pathogens, and the consumer advisory. The first two interventions are found in Chapter 2 and the last three in Chapter 3.

Healthy People 2010 and Healthy People 2020 are national initiatives that work through the cooperative federal-state-private sector and which establish 10-year objectives to improve the health of all Americans through prevention. Food Safety Objective 10-6 in Healthy People 2010 is: Improve food employee behaviors and food preparation practices that directly relate to foodborne illness in retail food establishments. This includes food operations such as retail food stores, food service establishments, health care facilities, schools and other "food establishments" as defined in the Food Code. In 2010, the Healthy People 2020 objectives will be released along with guidance for achieving the new 10-year targets.

The Food and Drug Administration (FDA) endeavors to assist the approximately 75 state and territorial agencies and more than 3,000 local departments that assume primary responsibility for preventing foodborne illness and for licensing and inspecting establishments within the retail segment of the food industry. This industry segment consists of more than one million establishments and employs a work force of over 16 million.

2. PHS Model Codes History, Purpose, and Authority

(A) History and Purpose

U.S. Public Health Service (PHS) activities in the area of food protection began at the turn of the 20^th century with studies on the role of milk in the spread of disease. These studies led to the conclusion that effective disease prevention requires the application of comprehensive food sanitation measures from production to consumption. Additional studies identified and evaluated measures which would most effectively control disease, including work which led to improved processes for pasteurization.

Next, model codes were developed to assist state and local governments in initiating and maintaining effective programs for prevention of foodborne illness. The first of these, which is now titled Grade A Pasteurized Milk Ordinance – Recommendations of the PHS/FDA, was initially published in 1924. Subsequently, the PHS published recommended model food codes that address the various components of the retail segment of the food industry. Through the years all states, hundreds of local jurisdictions, and many federal agencies have adopted some edition of model food codes recommended by the PHS.

Today, FDA's purpose in maintaining an updated model food code is to assist food control jurisdictions at all levels of government by providing them with a scientifically sound technical and legal basis for regulating the retail segment of the food industry. The retail segment includes those establishments or locations in the food distribution chain where the consumer takes possession of the food.

The model Food Code is neither federal law nor federal regulation and is not preemptive. Rather, it represents FDA's best advice for a uniform system of regulation to ensure that food at retail is safe and properly protected and presented. Although not federal requirements (until adopted by federal bodies for use within federal jurisdictions), the model Food Code provisions are designed to be consistent with federal food laws and regulations, and are written for ease of legal adoption at all levels of government.

A list of jurisdictions that have reported to FDA their status in adopting the Food Code is available on the FDA CFSAN web site. The list is self-reported and FDA has not yet evaluated whether all the

adopted codes are equivalent to the model Food Code.

Providing model food codes and model code interpretations and opinions is the mechanism through which FDA, as a lead federal food control agency, promotes uniform implementation of national food regulatory policy among the several thousand federal, state, and local agencies and tribes that have primary responsibility for the regulation or oversight of retail level food operations.

(B) Authority

PHS authority for providing assistance to state and local governments is derived from the Public Health Service Act [42 USC 243]. Section 311(a) states in part:

"... The Secretary shall ... assist states and their political subdivisions in the prevention and suppression of communicable diseases, and with respect to other public health matters, shall cooperate with and aid state and local authorities in the enforcement of their ... health regulations and shall advise the several states on matters relating to the preservation and improvement of the public health." Responsibility for carrying out the provisions of the Act relative to food protection was delegated within the PHS to the Commissioner of Food and Drugs in 1968 [21 CFR 5.10(a)(2) and (3)].

Assistance provided to local, state, and federal governmental bodies is also based on FDA's authorities and responsibilities under the Federal Food, Drug, and Cosmetic Act [21 USC 301].

3. Public Health and Consumer Expectations

It is a shared responsibility of the food industry and the government to ensure that food provided to the consumer is safe and does not become a vehicle in a disease outbreak or in the transmission of communicable disease. This shared responsibility extends to ensuring that consumer expectations are met and that food is unadulterated, prepared in a clean environment, and honestly presented.

Under FDA's 2009 Mission Statement the agency is responsible for:

Protecting the public health by assuring the safety and security of our nation’s food supply… and for advancing the public health by helping to make foods safer and more affordable; and helping the public get the accurate, science-based information they need about foods to improve their health.

Accordingly, the provisions of the Food Code provide a system of prevention and overlapping safeguards designed to minimize foodborne illness; ensure employee health, industry manager knowledge, safe food, nontoxic and cleanable equipment, and acceptable levels of sanitation on food establishment premises; and promote fair dealings with the consumer.

4. Advantage of Uniform Standards

The advantages of well-written, scientifically sound, and up-to-date model codes have long been recognized by industry and government officials.

Industry conformance with acceptable procedures and practices is far more likely where regulatory officials "speak with one voice" about what is required to protect the public health, why it is important, and which alternatives for compliance may be accepted.

Model codes provide a guide for use in establishing what is required. They are useful to business in that they provide accepted standards that can be applied in training and quality assurance programs. They are helpful to local, state, and federal governmental bodies that are developing or updating their own codes.

The model Food Code provides guidance on food safety, sanitation, and fair dealing that can be uniformly adopted for the retail segment of the food industry. The document is the cumulative result of the efforts and recommendations of many contributing individuals, agencies, and organizations with years of experience using earlier model code editions. It embraces the concept that our quality of life, state of health, and the public welfare are directly affected by how we collectively provide and protect our food.

The model Food Code provisions are consistent with, and where appropriate incorporate, federal performance standards for the same products and processes. Federal performance standards in effect define public food safety expectations for the product, usually in terms of lethality to a pathogenic microorganism of particular concern. Use of performance standards as the measure of regulatory compliance means establishments are free to use innovative approaches in producing safe products, in lieu of adherence to traditional processing approaches, such as specified cooking times and temperatures, that achieve the same end. Federally inspected establishments demonstrate compliance with performance standards by showing that their process adheres to an appropriately designed, validated HACCP plan.

Retail processors may be given the same opportunity as federally-regulated establishments to use innovative techniques in the production of safe foods. Retail establishments may apply to the regulatory authority for a variance to use a specific federal food safety performance standard for a product or a process in lieu of compliance with otherwise applicable specifications in the Food Code. However, to show compliance with the federal performance standard, the retail processor must, like a federally inspected establishment, show that processing controls are in place to ensure that the standard is being met. Thus, a request for a variance based on a federal performance standard must be supported by a validated HACCP plan with record keeping and documented verification being made available to the regulatory authority.

5. Information to Assist the User

Food Code provisions address essentially four areas: personnel (Chapter 2), food (Chapter 3), equipment/facilities/supplies (Chapters 4, 5, 6, 7), and compliance and enforcement (Chapter 8). The structural nomenclature of the document is as follows:

Chapter

9

Part

9-1

Subpart

9-101

Section (§)

9-101.11

Paragraph (¶)

9-101.11(A)

Subparagraph

9-101.11(A)(1)

Code provisions are either appropriate for citing and debiting on an inspection report or they are not. Those not intended for citing/debiting are identified by the digits following the decimal point in the numbering system. These "nondebitable" provisions fall into two categories, those that end with two digits after the decimal point and the last digit is a zero, e.g., § 1-201.10; and those that end with three digits after the decimal point and the last 2 digits are zeros, e.g., § 8-805.100.

Two types of internal cross referencing are widely used throughout the Code to eliminate the need for restating provisions.

The first type of cross reference uses phrases that contain the word "under", e.g., "as specified under … (followed by the relevant portion of the Code)."

The purpose of this type of cross reference is to:

1. Alert the reader to relevant information, and
2. Provide a system by which each violation is recorded under the one most appropriate provision. This type of cross reference signals to the reader the provision of the Code under which a certain violation is properly cited/debited.

The second type of cross reference uses phrases that contain the word "in," e.g., "as specified in... (followed by the relevant portion of the Code)."

The purpose of this type of cross reference is to:

1. Indicate the specific provisions of a separate document such as a federal regulation that are being incorporated by reference in the requirement of the Code, e.g., ¶ 3-201.11(C); or

2. Refer the reader to a nondebitable provision of the Code which provides further information for consideration, such as provision for an exception or for an allowance to comply via an alternative method.

For example, ¶ 3-201.16 (A) begins with "Except as specified in ¶ (B)…" and ¶ (B) states the relevant exceptions to ¶ (A). Paragraph 3-201.11(E) states in part, "… as specified in ¶ 3-401.11(C)" and ¶ 3-401.11(C) provides for an allowance to serve or sell raw or undercooked, whole-meat, intact beef steaks in a ready-to-eat form.

If you review the exception in ¶ 3-201.16(B) and the allowance in ¶ 3-401.11(C), you will see that exceptions and allowances often contain conditions of compliance, i.e., conditions that must be met in order for the exception or allowance to convey.

Based on the violation being cited, the substance of the text being referred to, and the context in which the reference is made, users of the Code must infer the intent of the cross reference. That is, the user must determine if the cross reference simply alerts the user to additional information about the requirement or if the cross reference:

sends (via the word "under") the citing/debiting to another Code provision;

or

incorporates (via the word "in") the referenced requirements into the Code provision.

The Food Code presents requirements by principle rather than by subject. For example, equipment requirements are presented under headings such as Materials, Design and Construction, Numbers and Capacities, Location and Installation, and Maintenance and Operation rather than by refrigerators, sinks, and thermometers. In this way provisions need be stated only once rather than repeated for each piece or category of equipment. Where there are special requirements for certain equipment, the requirement is delineated under the appropriate principle (e.g., Design and Construction) and listed separately in the index.

Requirements contained in the Food Code are presented as being in one of 2 categories of importance: critical and noncritical. An asterisk ***** after a tagline (which is the language immediately following a section number that introduces the subject of the section) indicates that all of the provisions within that section are critical unless otherwise indicated, as follows:

Any unmarked provisions within a section that has an asterisked tagline are critical. All provisions following a tagline that is not marked with an asterisk are noncritical.

The following conventions are used in the Food Code. "Shall" means the act is imperative, i.e., "shall" constitutes a command. "May not" means absolute prohibition. "May" is permissive and means the act is allowed. The term "means" is followed by a declared fact.

CHAPTER 1

PURPOSE AND DEFINITION

1-1 TITLE, INTENT, SCOPE

1-101 Title

1-101.10 Food Code: These provisions shall be known as the Food Code, hereinafter referred to as “this Code.”

1-102 Intent

1-102.10 Food Safety, Illness Prevention, and Honest Presentation.

The purpose of this Code is to safeguard public health and provide to consumers Food that is safe, unadulterated, and honestly presented.

1-103 Scope

1-103.10 Statement: This Code establishes definitions; sets standards for management and personnel, Food operations, and Equipment and facilities; and provides for Food or Eating Establishment plan review, Permit issuance, inspection, Employee restriction, and Permit suspension.

1-2 DEFINITIONS

1-201 Applicability and Terms Defined

1-201.10 Statement of Application and Listing of Terms.

(A) The following definitions apply in the interpretation and application of this Code.

(B) Terms Defined. As used in this Code, each of the terms listed in Section 1-201.10(B) shall have the meaning stated below.

(1) Accredited program.

(a) "Accredited program" means a food protection manager certification program that has been evaluated and listed by an accrediting agency as conforming to national standards for organizations that certify individuals.

(b) "Accredited program" refers to the certification process and is a designation based upon an independent evaluation of factors such as the sponsor's mission; organizational structure; staff resources; revenue sources; policies; public information regarding program scope, eligibility requirements, re-certification, discipline and grievance procedures; and test development and administration.

(c) "Accredited program" does not refer to training functions or educational programs.

(2) Additive.

(a) "Food additive" has the meaning stated in the Federal Food, Drug, and Cosmetic Act, §201(s) (2006 Edition, Supplement 3 current through January 5, 2010) and 21 CFR §170.3(e)(1) (April 1, 2012 ed.).

(b) "Color additive" has the meaning stated in the Federal Food, Drug, and Cosmetic Act, §201(t) ((2006 Edition, Supplement 3 current through January 5, 2010)) and 21 CFR §70.3(f) (April 1, 2012 ed.).

(3) "Adulterated" has the meaning stated in the Federal Food, Drug, and Cosmetic Act, §402 (2006 Edition, Supplement 3 current through January 5, 2010) and as provided in 22 M.R.S.§2156 (Amended2009)).

(4) "Approved" means acceptable to the Regulatory Authority based on a determination of conformity with principles, practices, and generally recognized standards that protect public health.

(5) "aw" means water activity which is a measure of the free moisture in a Food, is the quotient of the water vapor pressure of the substance divided by the vapor pressure of pure water at the same temperature, and is indicated by the symbol aw.

(6) “Balut” means an embryo inside a fertile egg that has been incubated for a period sufficient for the embryo to reach a specific stage of development after which it is removed from incubation before hatching.

(7) "Bed and Breakfast" is a unique Eating Establishment where the general public can stay overnight, and are provided with a "limited menu," serving only a breakfast meal. This meal can be either a full or continental breakfast. Unlike other Eating Establishments, the meal is prepared in the private home. Notwithstanding 22 M.R.S. §2501 (Amended 2011), all Bed and Breakfasts, regardless of the number of rooms rented, are subject to Departmental licensing requirements by these Rules.

(8) "Beverage" means a liquid for drinking, including water.

(9) "Bottled drinking water" means water that is sealed in bottles, packages, or other containers and offered for sale for human consumption, including bottled mineral water.

(10) “Bulk Food” Processed or unprocessed food in aggregate containers from which quantities desired by the consumer are withdrawn.

(11) “Casing” means a tubular container for sausage products made of either natural or artificial (synthetic) material.

(12) "Certification number" means a unique combination of letters and numbers assigned by a Fish Control Authority to a Molluscan Fish Dealer according to the provisions of the National Shellfish Sanitation Program.

(13) “Certified Food Protection Manager” means a person who is employed or engaged by the management of that Establishment with the authority to implement food protection measures, and who meets the certification requirements of Maine’s Rules Relating to the Administration and Enforcement of Establishments Licensed by the Health Inspection Program, 10-144 CMR 201, Section 2(A) (Amended October 7, 2012).

(14) "CFR" means Code of Federal Regulations. Citations in this Code to the CFR refer sequentially to the Title, Part, and Section numbers, such as 40 CFR 180.194 refers to Title 40, Part 180, Section 194. "Code of Federal Regulations" means the compilation of the general and permanent rules published in the Federal Register by the executive departments and agencies of the federal government which:

(a) Is published annually by the U.S. Government Printing Office; and

(b) Contains FDA rules in 21 CFR, USDA rules in 7 CFR and 9 CFR, EPA rules in 40 CFR, and Wildlife and Fisheries rules in 50 CFR.

(c) If the CFR citations in this Code do not have a date, or has a date earlier than 2012, then the version incorporated by reference in this Food Code is the 2012 version. The CFR is available free on the internet at a number of websites by searching the citation.

(15) CIP

(a) "CIP" means cleaned in place by the circulation or flowing by mechanical means through a piping system of a detergent solution, water rinse, and sanitizing solution onto or over equipment surfaces that require cleaning, such as the method used, in part, to clean and sanitize a frozen dessert machine.

(b) "CIP" does not include the cleaning of equipment, such as band saws, slicers, or mixers that are subjected to in-place manual cleaning without the use of a CIP system.

(16) “Commingle” means

(a) To combine Stock harvested on different days or from different growing areas as identified on the tag or label, or

(b) To combine shucked fish from containers with different container codes or different shucking dates.

(17) Comminuted.

(a) "Comminuted" means reduced in size by methods including chopping, flaking, grinding, or mincing.

(b) "Comminuted" includes fish or meat products that are reduced in size and restructured or reformulated such as gefilte fish, gyros, ground beef, and sausage; and a mixture of 2 or more types of meat that have been reduced in size and combined, such as sausages made from 2 or more meats.

(18) “Conditional Employee” means a potential Food Employee to whom a job offer is made, conditional on responses to subsequent medical questions or examinations designed to identify potential Food Employees who may be suffering from a disease that can be

transmitted through food and done in compliance with Title 1 of the Americans with Disabilities Act of 1990 (Amended January 1, 2009).

(19) "Confirmed disease outbreak" means a Foodborne Disease Outbreak in which laboratory analysis of appropriate specimens identifies a causative agent and epidemiological analysis implicates the food as the source of the illness.

(20) "Consumer" means a person who is a member of the public, takes possession of food, is not functioning in the capacity of an operator of a Food or Eating Establishment or Food Processing Plant, and does not offer the food for resale.

(21) "Corrosion-resistant material" means a material that maintains acceptable surface cleanability characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and sanitizing solutions, and other conditions of the use environment.

(22) "Counter-mounted equipment" means equipment that is not portable and is designed to be mounted off the floor on a table, counter, or shelf.

(23) "Critical control point" means a point or procedure in a specific food system where loss of control may result in an unacceptable health risk.

(24) "Critical limit" means the maximum or minimum value to which a physical, biological, or chemical parameter must be controlled at a Critical Control Point to minimize the risk that the identified food safety hazard may occur.

(25) Critical Item.

(a) "Critical item" means a provision of this Code, that, if in noncompliance, is more likely than other violations to contribute to Food contamination, illness, or environmental health Hazard.

(b) "Critical item" is an item that is denoted in this Code with an asterisk *.

"Cut leafy greens" means fresh leafy greens whose leaves have been cut, shredded, sliced, chopped, or torn. The term "leafy greens" includes iceberg lettuce, romaine lettuce, leaf lettuce, butter lettuce, baby leaf lettuce (i.e., immature lettuce or leafy greens), escarole, endive, spring mix, spinach, cabbage, kale, arugula and chard. The term "leafy greens" does not include herbs such as cilantro or parsley.

"Dealer" means a Person who is authorized by a Fish Control Authority for the activities of stock shipper, shucker-packer, repacker, reshipper, or depuration processor of molluscan fish according to the provisions of the National Fish Sanitation Program.

"Disclosure" means a written statement that clearly identifies the animal-derived

foods which are, or can be ordered, raw, undercooked, or without otherwise being processed to eliminate pathogens, or items that contain an ingredient that is raw, undercooked, or without otherwise being processed to eliminate pathogens.

(29) Drinking Water.

1. "Drinking water" means water that meets criteria as specified in 40 CFR 141 National Primary Drinking Water Regulations (Amended July 1, 2012), 10-144 CMR Chapter 231 State of Maine Rules Relating to Drinking Water(Amended Feb 27, 2012), and Maine’s Water for Human Consumption Act, 22 M.R.S., Chapter 601 (1975, Amended 2011).

(b) "Drinking water" is traditionally known as "potable water."

(c) "Drinking water" includes the term "water" except where the term used connotes that the water is not potable, such as "boiler water," "mop water," "rainwater," "wastewater," and "nondrinking" water.

(30) "Dry storage area" means a room or area designated for the storage of packaged or containerized bulk food that is not Potentially Hazardous (Time/Temperature Control For Safety Food) and dry goods such as Single-Service items.

(31) Easily Cleanable.

(a) "Easily cleanable" means a characteristic of a surface that:

Allows effective removal of soil by normal cleaning methods;

Is dependent on the material, design, construction, and installation of the surface; and

(iii) Varies with the likelihood of the surface's role in introducing pathogenic or toxigenic agents or other contaminants into Food based on the surface's approved placement, purpose, and use.

(b) "Easily cleanable" includes a tiered application of the criteria that qualify the surface as Easily Cleanable as specified under Subparagraph (a) of this definition to different situations in which varying degrees of cleanability are required such as:

The appropriateness of stainless steel for a food preparation surface as opposed to the lack of need for stainless steel to be used for floors or for tables used for consumer dining; or

The need for a different degree of cleanability for a utilitarian attachment or accessory in the kitchen as opposed to a decorative attachment or accessory in the consumer dining area.

(32) "Easily movable" means:

(a) Portable; mounted on casters, gliders, or rollers; or provided with a mechanical means to safely tilt a unit of equipment for cleaning; and

(b) Having no utility connection, a utility connection that disconnects quickly, or a

flexible utility connection line of sufficient length to allow the equipment to be moved for cleaning of the equipment and adjacent area.

(33) Eating Establishment means:

Any place where food or drink is prepared and served, or served to the public for consumption on the premises, or catering establishments or establishments dispensing food from vending machines, or establishments preparing food for vending machines dispensing foods other than in original sealed packages, such as hotels, motels, boarding homes, restaurants, mobile eating places, coffee shops, cafeterias, short order cafes, luncheonettes, grills, tearooms, sandwich shops, soda fountains, bars, cocktail lounges, night clubs, roadside stands, industrial feeding establishments, private or public institutions routinely serving foods, retail frozen dairy product establishments, airports, parks, theaters, take-outs, or any other catering or non-alcoholic drinking establishments or operations where food is prepared and served or served for consumption on the premises, or catering establishments where food is prepared.

(34) Egg.

(a) "Egg" means the shell egg of avian species such as chicken, duck, goose, guinea, quail, ratites or turkey.

(b) "Egg" does not include:

• • 1. A Balut; 2. The egg of reptile species such as alligator; or 3. An egg product

(35) Egg Product.

"Egg Product" means all, or a portion of, the contents found inside eggs separated from the shell and pasteurized in a Food Processing Plant, with or without added ingredients, intended for human consumption, such as dried, frozen or liquid eggs.

"Egg Product" does not include Food which contains Eggs only in a relatively small proportion, such as cake mixes.

(36) "Employee" means the Permit Holder, Person in Charge, Food Employee, Person,

having supervisory or management duties, person on the payroll, family member, volunteer, person performing work under contractual agreement, or other person

working in a Food or Eating Establishment. Volunteers providing services in a Food or Eating Establishment are subject to the same standards as other Employees.

(37)"Enterohemorrhagic Escherichia coli" (EHEC) means E. coli which cause hemorrhagic colitis, meaning bleeding enterically or bleeding from the intestine. The term is typically used in association with E. coli that have the capacity to produce Shiga toxins and to cause attaching and effacing lesions in the intestine. EHEC is a subset of STEC, whose members produce additional virulence factors. Infections with EHEC may be asymptomatic but are classically associated with bloody diarrhea (hemorrhagiccolitis) and hemolytic uremic syndrome (HUS) or thrombotic thrombocytopenic purpura (TTP). Examples of serotypes of EHEC include: E. coli O157:H7; E. coli O157:NM; E. coli O26:H11; E. coli O145:NM; E. coli O103:H2; or E. coli O111:NM. Also see Shiga Toxin- Producing E. coli

(38) "EPA" means the U.S. Environmental Protection Agency.

(39) Equipment.

(a) "Equipment" means an article that is used in the operation of a Food or Eating Establishment, such as a freezer, grinder, hood, ice maker, meat block, mixer, oven, reach-in refrigerator, scale, sink, slicer, stove, table, temperature measuring device for ambient air, vending machine, or warewashing machine.

(b) "Equipment" does not include apparatuses or items used for handling or storing large quantities of Packaged Foods that are received from a supplier in a cased or overwrapped lot, such as hand trucks, forklifts, dollies, pallets, racks, and skids.

"Exclude" means to prevent a person from working as an Employee in a Food or Eating Establishment or entering a Food or Eating Establishment as an Employee.

"FDA" means the United States Food and Drug Administration.

(42) Fish.

(a) "Fish" means fresh or saltwater finfish, crustaceans and other forms of aquatic life (including alligator, frog, aquatic turtle, jellyfish, sea cucumber, and sea urchin and the roe of such animals) other than birds or mammals, and all mollusks, if such animal life is intended for human consumption.

(b) "Fish" includes an edible human Food product derived in whole or in part from Fish, including Fish that have been processed in any manner.

(43) "Food" means a raw, cooked, or processed edible substance, ice, beverage, or ingredient used or intended for use or for sale in whole or in part for human consumption, or chewing gum.

(44) "Foodborne Disease Outbreak" means the occurrence of two or more cases of a similar illness resulting from the ingestion of a common food.

(45) "Food-contact surface" means:

(a) A surface of equipment or a Utensil with which Food normally comes into contact; or

(b ) A surface of Equipment or a Utensil from which Food may drain, drip, or splash:

Into a Food, or

(ii) Onto a surface normally in contact with Food.

(46) "Food Employee" means an individual working with unpackaged Food, Food Equipment or Utensils, or Food-Contact Surfaces.

(47) “ Food Establishment” means a factory, plant, warehouse or store in which food and food products are manufactured, processed, packed, held for introduction into commerce or sold. “Food establishment” includes a primary caregiver, as defined in 22 M.R.S. §2422 (8-A) (New 2011) and a registered dispensary, as defined in 22 M.R.S. §2422(6) (New 2011), that prepare food containing marijuana for medical use by a qualifying patient pursuant to 22 M.R.S., Chapter 558-C (New 2009). The following establishments are not considered food establishments required to be licensed under 22 M.R.S. § 2167 (Amended 2011):

(a) Eating establishments, as defined in 22 M.R.S. §2491(7) (Amended 2011) and within this Code;

1. Fish and shellfish processing establishments inspected under 12 M.R.S. §§6101 (Amended 2011), 6102 (Amended 1981) or 6856 (Amended 2011);

(c) Storage facilities for native produce;

Establishments such as farm stands and farmers’ markets primarily selling fresh produce not including dairy and meat products;

Establishments engaged in the washing, cleaning or sorting of whole produce, provided the produce remains in essentially the same condition as when harvested. The whole produce may be packaged for sale, provided that packaging is not by a vacuum packaging process or a modified atmosphere packaging process;

Establishments that are engaged in the drying of single herbs that are generally recognized as safe under 21 CFR §§182-189 (Amended September 2011). The single herbs may be packaged for sale, provided that packaging is not by a vacuum packaging process or a modified atmosphere packaging process; and

A primary caregiver, as defined in 22 M.R.S. §2422(8-A) (New 2011), conducting an activity allowed in 22 M.R.S. §2423-A (New 2011) for a

qualifying patient who is a member of the family, as defined in 22 M.R.S.§2422 (5-A) (New 2011), or member of the household, as defined in 22 M.R.S.§2422(5-B) (New 2011), of the primary caregiver.

(48) Food Processing Plant.

"Food processing plant" means a commercial operation that manufactures, packages, labels, or stores Food for human consumption and provides food for sale or

distribution to other business entities such as Food Processing Plants or Food Establishments and does not provide Food directly to a Consumer.

(b) "Food processing plant" does not include a Food Establishment as defined under Subparagraph 1-201.10(B).

(49) Game Animal

(a) "Game animal" means an animal, the products of which are Food, that is not classified as livestock, cattle, sheep, swine, goat, horse, mule, or other equine in 9 CFR 301.2 Definitions, Subchapter A - Mandatory Meat Inspection (January 1, 2013 ed.), as Poultry in 9 CFR 381, Subchapter C - Mandatory Poultry Products Inspection, or as fish, defined under Subparagraph 1‑201.10(B) (January 1, 2013 ed.).

(b) "Game animal" includes mammals such as reindeer, elk, deer, antelope, water buffalo, bison, rabbit, squirrel, opossum, raccoon, nutria, or muskrat, and nonaquatic reptiles such as land snakes.

(c) "Game animal" does not include ratites, such as ostrich, emu, and rhea.

(50) "General use pesticide" means a pesticide that is not classified by EPA for restricted use as specified in 40 CFR 152.175 (Revised July 2011).

(51) "Grade A standards" means the requirements of the United States Public Health Service/FDA “Grade A Pasteurized Milk Ordinance” with which certain fluid and dry milk and milk products comply.

(52) Group Residence.

(a) "Group residence" means a private or public housing corporation or institutional facility that provides living quarters and meals.

(b) "Group residence" includes a domicile for unrelated Persons such as a retirement home or a long-term health care facility.

(53) “Hazard Analysis Critical Control Point (HACCP)” means a systematic evaluation of food preparation procedures to identify opportunities for bacterial contamination and growth. From this perspective, a public health inspector may then determine those circumstances which could result in the development of food-borne diseases.

(54) "HACCP plan" means a written document that delineates the formal procedures for following the Hazard Analysis Critical Control Point principles developed by The National Advisory Committee on Microbiological Criteria for Foods.

( 55) Handwashing Sink.

"Handwashing sink" means a lavatory, a basin or vessel for washing, a wash

basin, or a Plumbing Fixture especially placed for use in personal hygiene and designed for the washing of the hands.

(b) "Handwashing sink" includes an automatic handwashing facility.

(56) "Hazard" means a biological, chemical, or physical property that may cause an unacceptable Consumer health risk.

(57) “ Health Inspector” means a person whose education and experience in the biological and sanitary sciences qualify him/her to engage in the promotion and protection of the public health. A health inspector applies technical knowledge to solve problems of a sanitary nature and develops methods and carries out procedures for those factors of man's environment which affect health, safety and the well-being of others.

(58) "Health practitioner" means a physician licensed to practice medicine, or if allowed by Law, a nurse practitioner, physician assistant, or similar medical professional.

(59) "Hermetically sealed container" means a container that is designed and intended to be secure against the entry of microorganisms and, in the case of low acid canned Foods, to maintain the commercial sterility of its contents after processing.

(60) "Highly susceptible population" means a group of Persons who are more likely than other people in the general population to experience foodborne disease because they are:

(a) Immunocompromised; preschool age children, or older adults; and

Obtaining Food at a facility that provides services such as custodial care, or older adults and in a facility that provides health care or assisted living services, such

as a child or adult day care center, kidney dialysis center, hospital or nursing home; or nutritional or socialization services, such as a senior center.

(61) "Imminent health hazard" means a significant threat or danger to health that is considered to exist when there is evidence sufficient to show that a product, practice, circumstance, or event creates a situation that requires immediate correction or cessation of operation to prevent injury based on:

(a) The number of potential injuries, and

(b) The nature, severity, and duration of the anticipated injury.

Imminent Health Hazard includes, but is not limited to, the following:

(1) an extended loss of water supply,

(2) an extended power outage,

(3) flood water or sewer back-up into the establishment,

(4) fire, or

(5) any other violation(s) that has/have the potential to pose an imminent threat to public health.

Failure to include other violations in this definition shall not be construed as a determination that other violations may not, in light of the circumstances, be found to pose an imminent health hazard.

(62) "Injected" means manipulating a Meat to which a solution has been introduced into its interior by processes that are referred to as "injecting," “pump marinating” "pinning," or "stitch pumping.”

(63) Juice

(a) “Juice” , when used in the context of Food safety, means the aqueous liquid expressed or extracted from one or more fruits or vegetables, purées of the edible portions of one or more fruits or vegetables, or any concentrates of such liquid or purée.

(b) “Juice” does not include, for purposes of HACCP, liquids, purees, or

concentrates that are not used as Beverages or ingredients of Beverages .

(64) "Kitchenware" means food preparation and storage Utensils.

(65) "Law" means applicable local, state, and federal statutes, regulations, and ordinances.

(66) "Linens" means fabric items such as cloth hampers, cloth napkins, table cloths, wiping cloths, and work garments including cloth gloves.

(67) Major Food Allergen.

• 1. "Major food allergen" means: 1. Milk, Egg, Fish (such as bass, flounder, cod, and including crustacean fish such as crab, lobster, or shrimp), tree nuts (such as almonds, pecans, or walnuts), wheat, peanuts, and soybeans; or 2. A Food ingredient that contains protein derived from a Food, as specified in Subparagraph (a)(i) of this definition. 2. "Major food allergen" does not include: 1. Any highly refined oil derived from a Food specified in Subparagraph (a)(i) of this definition and any ingredient derived from such highly refined oil; or 2. Any ingredient that is exempt under the petition or notification process specified in the Food Allergen Labeling and Consumer Protection Act of 2004 at 21 U.S.C. § 31 et. seq.

(68) "Meat" means the flesh of animals used as Food including the dressed flesh of cattle,

swine, sheep, or goats and other edible animals, except fish, poultry, and wild game animals, as specified under Subparagraphs 3-201.17.

Mechanically Tenderized.

"Mechanically tenderized" means manipulating meat with deep penetration by processes which may be referred to as "blade tenderizing," "jaccarding," "pinning," "needling," or using blades, pins, needles or any mechanical device.

(b) "Mechanically tenderized" does not include processes by which solutions are injected into meat.

(70) "mg / L" means milligrams per liter, which is the metric equivalent of parts per million (ppm).

"Molluscan Shellfish" means any edible species of fresh or frozen oysters, clams, mussels, and scallops or edible portions thereof, except when the scallop product consists only of the shucked adductor muscle.

Non-Continuous Cooking.

• 1. "Non-continuous cooking" means the cooking of Food in a Food or Eating Establishment, using a process in which the initial heating of the Food is intentionally halted so that it may be cooled and held for complete cooking at a later time prior to sale or service. 2. "Non-continuous cooking" does not include cooking procedures that only involve temporarily interrupting or slowing an otherwise continuous cooking process.

Packaged.

"Packaged" means bottled, canned, cartoned, securely bagged, or securely wrapped, whether packaged in a Food Establishment or a Food Processing Plant.

(b) "Packaged" does not include a wrapper, carry-out box, or other nondurable container used to containerize Food with the purpose of facilitating Food protection during service and receipt of the Food by the Consumer.

(74) "Permit" means the license issued by the Regulatory Authority that authorizes a Person to operate a Food Establishment.

(75) "Permit holder" means the entity that:

(a) Is legally responsible for the operation of the Food or Eating Establishment such as the owner, the owner's agent, or other Person; and

(b) Possesses a valid Permit to operate a Food or Eating Establishment.

(76) "Person" means an association, a corporation, individual, partnership, other legal entity, government, or governmental subdivision or agency.

(77) "Person in charge" means the individual present at a Food or Eating Establishment

who is responsible for the operation at the time of inspection.

(78) Personal Care Items.

(a) "Personal care items" means items or substances that may be poisonous, toxic, or a source of contamination and are used to maintain or enhance a Person’s health, hygiene, or appearance.

(b) "Personal care items" include items such as medicines; first aid supplies; and

other items such as cosmetics, and toiletries such as toothpaste and mouthwash.

(79) "pH" means the symbol for the negative logarithm of the hydrogen ion concentration, which is a measure of the degree of acidity or alkalinity of a solution. Values between 0 and 7 indicate acidity and values between 7 and 14 indicate alkalinity. The value for pure distilled water is 7, which is considered neutral.

(80) "Physical facilities" means the structure and interior surfaces of a Food or Eating Establishment, including accessories, such as soap and towel dispensers, and attachments such as light fixtures and heating or air conditioning system vents.

(81) "Plumbing fixture" means a receptacle or device that:

(a) Is permanently or temporarily connected to the water distribution system of the Premises and demands a supply of water from the system; or

(b) Discharges used water, waste materials, or Sewage directly or indirectly to the drainage system of the Premises.

(82) "Plumbing system" means the water supply and distribution pipes; Plumbing Fixtures and traps; soil, waste, and vent pipes; sanitary and storm sewers and building drains, including their respective connections, devices, and appurtenances within the Premises; and water-treating Equipment.

(83) "Poisonous or toxic materials" means substances that are not intended for ingestion and are included in 4 categories:

(a) Cleaners and Sanitizers, which include cleaning and Sanitizing agents and agents such as caustics, acids, drying agents, polishes, and other chemicals;

(b) Pesticides, except Sanitizers, which include substances such as insecticides and rodenticides;

(c) Substances necessary for the operation and maintenance of the establishment such as nonfood grade lubricants and Personal Care Items that may be deleterious to health; and

(d) Substances that are not necessary for the operation and maintenance of the establishment and are on the Premises for retail sale, such as petroleum products and paints.

(84) Potentially Hazardous Food. ( Time/Temperature Control for Safety Food)

(a) "Potentially hazardous food (time/temperature control for safety food)” means a Food that requires time/temperature control for safety (TCS) to limit pathogenic microorganism growth or toxin formation.

(b) "Potentially hazardous food (Time/Temperature Control for Safety Food) includes:

An animal Food or any food that consists in whole, or in part, of milk or milk products, eggs, meat, poultry, shellfish, fish, edible crustacea, or their ingredients, including synthetic ingredients that is raw or heat-treated; a plant Food that is heat-treated or consists of raw seed sprouts, cut melons, cut leafy greens, cut tomatoes or mixtures of cut tomatoes that are not modified in a way so that they are unable to support pathogenic microorganism growth or toxin formation, or garlic-in-oil mixtures that are not modified in a way so that they are unable to support pathogenic microorganism growth or toxin formation;

Except as specified in Subparagraph (c)(iv) of this definition, a Food that because of the interaction of its a_w and pH values is designated as Product Assessment Required (PA) in Table A or B of this definition:

Table A. Interaction of pH and a_w for control of spores in Food heat-treated to destroy vegetative cells and subsequently Packaged

a_w values

pH values

4.6 or less

> 4.6 - 5.6

> 5.6

≤0.92

non-PHF*/non-TCS food**

non-PHF/non-TCS food

non-PHF/non-TCS food

>0.92 - .95

non-PHF/non-TCS food

non-PHF/non-TCS food

PA***

>0.95

non-PHF/non-TCS food

PA

PA

• PHF means Potentially Hazardous Food ** TCS food means Time/Temperature Control for Safety food *** PA means Product Assessment required

Table B. Interaction of pH and a_w for control of vegetative cells and spores in food not heat-treated or heat-treated but not packaged

a_w values

pH values

<4.2

4.2 - 4.6

>4.6 - 5.0

>5.0

<0.88

non-PHF*/ non-TCS food**

non-PHF/ non-TCS food

non-PHF/ non-TCS food

non-PHF/ non-TCS food

0.88 - 0.90

non-PHF/ non-TCS food

non-PHF/ non-TCS food

non-PHF/ non-TCS food

PA***

>0.90 - 0.92

non-PHF/ non-TCS food

non-PHF/ non-TCS food

PA

PA

>0.92

non-PHF/ non-TCS food

PA

PA

PA

• PHF means Potentially Hazardous Food ** TCS food means Time/Temperature Control for Safety food *** PA means Product Assessment required

(c) "Potentially hazardous food (time/temperature control for safety food)" does not include:

An air-cooled hard-boiled egg with shell intact or an Egg with shell intact that is not hard-boiled, but has been pasteurized to destroy all viable salmonellae ;

A Food, in an unopened Hermetically Sealed Container, that is commercially processed to achieve and maintain commercial sterility under conditions of

nonrefrigerated storage and distribution;

A Food that because of its pH or a_w value, or interaction of a_w and pH values, is designated as a non-PHF/non-TCS Food in Table A or B of this definition;

A Food that is designated as Product Assessment Required (PA) in Table A or B of this definition and has undergone a Product Assessment showing that the growth or toxin formation of pathogenic microorganisms that are reasonably likely to occur in that Food is precluded due to:

• • • 1. Intrinsic factors including added or natural characteristics of the Food such as preservatives, antimicrobials, humectants, acidulants, or nutrients, 2. Extrinsic factors including environmental or operational factors that affect the Food such as packaging, modified atmosphere such as Reduced Oxygen Packaging, shelf life and use, or temperature range of storage and use, or 3. A combination of intrinsic and extrinsic factors; or

(v) A Food that does not support the growth or toxin formation of pathogenic microorganisms in accordance with one of the Subparagraphs (c)(i)-(iv)

of this definition even though the Food may contain a pathogenic microorganism or chemical or physical contaminant at a level sufficient to cause illness or injury.

(85) "Poultry" means:

• 1. Any domesticated bird (chickens, turkeys, ducks, geese, or guineas, ratites

or squabs), whether live or dead, as defined in 9 CFR 381.1 (Poultry Products Inspection Regulations Definitions, Poultry)( January 1, 2013 ed.); and

• 1. Any migratory waterfowl or game bird, or squab, pheasant, partridge,

quail, grouse, pigeon, or guinea, whether live or dead, as defined in 9 CFR 362.1 (Voluntary Poultry Inspection Regulations, Definitions) (January 1, 2013 ed.).

(86) "Premises" means:

(a) The physical facility, its contents, and the contiguous land or property under the control of the Permit Holder; or

(b) The physical facility, its contents, and the land or property not described

under Subparagraph (a) of this definition if its facilities and contents are under

the control of the Permit Holder and may impact Food or Eating Establishment personnel, facilities, or operations, and a Food or Eating Establishment is only one component of a larger operation such as a health care facility, hotel, motel, school, recreational camp, or prison.

(87) "Primal cut" means a basic major cut into which carcasses and sides of Meat are separated, such as a beef round, pork loin, lamb flank, or veal breast.

(88) "Public water system" has the meaning stated in 40 CFR 141 National Primary Drinking Water Regulations (June 2012 ed.). Specifically, a Public Water System means any publicly or privately owned system of pipes or other constructed conveyances, structures and facilities through which water is obtained for or sold, furnished or distributed to the public for human consumption if such a system has at least 15 service connections, regularly serves an average of at least 25 individuals daily at least 60 days out of the year or bottles water for sale. Any publicly or privately owned system that only stores and distributes water without treating or collecting it; obtains all its water from, but is not owned or operated by, a public water system; and does not sell water or bottled water to any person is not a "public water system." The term "public water system" includes any collection, treatment, storage or distribution pipes or other constructed conveyances, structures or facilities under the control of the supplier of water and used primarily in connection with such a system, and any collection or pretreatment storage facilities not under that control that are used primarily in connection with such a system. The system does not include the portion of service pipe owned and maintained by a customer of the public water system.

(89) “Ratite” means a flightless bird such as an emu, ostrich, or rhea.

(90) Ready-to-Eat Food.

(a) “ Ready-to-Eat Food” means Food that:

(i) Is in a form that is edible without additional preparation to achieve food safety, as specified under one of the following: ¶ 3-401.11(A) or (B),

§ 3‑401.12, or § 3-402.11, or as specified in ¶ 3-401.11(C);

(ii) Is a raw or partially cooked animal food and the consumer is advised as specified in Subparagraphs 3-401.11(D)(1) and (3); or

(iii) Is prepared in accordance with a variance that is granted as specified in Subparagraph 3-401.11(D) (4); and

(iv) May receive additional preparation for palatability or aesthetic, epicurean, gastronomic, or culinary purposes.

"Ready-to-Eat Food" includes:

Raw animal food that is cooked as specified under§ 3-401.11 or 3­401.12, or frozen as specified under § 3-402.11;

Raw fruits and vegetables that are washed as specified under § 3‑302.15;

Fruits and vegetables that are cooked for hot holding, as specified under § 3-401.13;

All Potentially Hazardous Food (Time/Temperature Control For Safety Food) that is cooked to the temperature and time required for the specific Food under Subpart 3-401 and cooled as specified under § 3‑501.14;

Plant Food for which further washing, cooking, or other processing is not required for Food safety, and from which rinds, peels, husks, or shells, if naturally present are removed;

Substances derived from plants such as spices, seasonings, and sugar;

A bakery item such as bread, cakes, pies, fillings, or icing for which further cooking is not required for Food safety;

The following products that are produced in accordance with USDA guidelines and that have received a lethality treatment for pathogens: dry, fermented sausages, such as dry salami or pepperoni; salt-cured Meat and Poultry products, such as prosciutto ham, country cured ham, and Parma ham; and dried Meat and Poultry products, such as jerky or beef sticks; and

Foods manufactured as specified in 21 CFR Part 113, (Thermally Processed Low-Acid Foods Packaged in Hermetically Sealed Containers) (April 2013 ed.) .

(91) Reduced Oxygen Packaging.

(a) "Reduced oxygen packaging" means:

The reduction of the amount of oxygen in a Package by removing oxygen; displacing oxygen and replacing it with another gas or combination of gases; or otherwise controlling the oxygen content to a

level below that normally found in the atmosphere, (approximately 21% at sea level); and

(ii) A process as specified in Subparagraph (a)(i) of this definition that involves a Food for which the hazards Clostridium botulinum and Listeria monocytogenes require control in the final Packaged form.

(b) "Reduced oxygen packaging" includes:

Vacuum Packaging, in which air is removed from a Package of Food and the Package is Hermetically Sealed so that a vacuum remains inside the Package;

Modified atmosphere Packaging, in which the atmosphere of a Package of Food is modified so that its composition is different from

air but the atmosphere may change over time due to the permeability

of the Packaging material or the respiration of the Food. Modified atmosphere Packaging includes: reduction in the proportion of oxygen, total replacement of oxygen, or an increase in the proportion of other gases such as carbon dioxide or nitrogen;

Controlled atmosphere Packaging, in which the atmosphere of a Package of Food is modified so that until the Package is opened, its composition is different from air, and continuous control of that atmosphere is maintained, such as by using oxygen scavengers or a combination of total replacement of oxygen, nonrespiring food, and impermeable packaging material.

Cook chill Packaging, in which cooked Food is hot filled into impermeable bags which have the air expelled and are then sealed or crimped closed. The bagged Food is rapidly chilled and refrigerated at temperatures that inhibit the growth of psychrotrophic pathogens; or

Sous vide Packaging, in which raw or partially cooked Food is placed in a hermetically sealed, impermeable bag, cooked in the bag, rapidly

chilled, and refrigerated at temperatures that inhibit the growth of psychrotrophic pathogens.

(92) "Refuse" means solid waste not carried by water through the Sewage system.

(93) "Regulatory authority" means the local, state, or federal enforcement body or authorized representative having jurisdiction over the Eating or Food Establishment. The state Regulatory Authority means the Maine Department of Health and Human Services or the

Maine Department of Agriculture, Conservation and Forestry.

(94) "Reminder" means a written statement concerning the health Risk of consuming animal Foods raw, undercooked, or without otherwise being processed to eliminate pathogens.

(95) "Re-service" means the transfer of Food that is unused and returned by a Consumer

after being served or sold and in the possession of the Consumer, to another Person.

(96) "Restrict" means to limit the activities of a Food Employee so that there is no Risk of transmitting a disease that is transmissible through Food and the Food Employee does not work with exposed Food, clean Equipment, Utensils, Linens, or unwrapped Single-Service or Single-Use Articles.

(97) "Restricted egg" means any check, dirty Egg, incubator reject, inedible, leaker, or loss as defined in 9 CFR 590 (January 1, 2013 ed.)

(98) "Restricted use pesticide" means a pesticide product that contains the active ingredients specified in 40 CFR 152.175 (Sept 2011 ed.). Pesticides classified for restricted use, and that is limited to use by or under the direct supervision of a certified applicator; and also includes pesticides added by 22 M.R.S. §1471-C (23) (Amended 2011).

(99) "Risk" means the likelihood that an adverse health effect will occur within a population as a result of a Hazard in a Food.

(100) "Safe material" means:

(a) An article manufactured from or composed of materials that may not reasonably be expected to result, directly or indirectly, in their becoming a component or otherwise affecting the characteristics of any Food;

(b) An additive that is used as specified in §§ 409 or 706 of the Federal Food, Drug, and Cosmetic Act (2006 Edition, 21 USC §§348, 379(e); or

(c) Other materials that are not Additives and that are used in conformity with applicable regulations of the Food and Drug Administration.

(101) "Sanitization" means the application of cumulative heat or chemicals on cleaned

Food-Contact Surfaces that, when evaluated for efficacy, is sufficient to yield a

reduction of 5 logs, which is equal to a 99.999% reduction, of representative disease microorganisms of public health importance.

(102) "Sealed" means free of cracks or other openings that allow the entry or passage of moisture.

(103) "Service animal" means an animal such as a guide dog or signal dog, in accordance with 5 M.R.S. §4553(9-E)(Amended 2011), that has been individually trained to do work or perform tasks for the benefit of an individual with a physical or mental disability. Service animals are permitted on the premises of Food or Eating Establishments, in accordance with 17 M.R.S. §3966 (Amended 2011).

(104) "Servicing area" means an operating base location to which a mobile Food

Establishment or transportation vehicle returns regularly for such things as vehicle and equipment cleaning, discharging liquid or solid wastes, refilling water tanks and ice bins, and boarding Food.

(105) "Sewage" means liquid waste containing animal or vegetable matter in suspension or solution and may include liquids containing chemicals in solution.

(106) "Shellfish control authority" means a state, federal, foreign, tribal, or other government entity legally responsible for administering a program that includes certification of Molluscan Shellfish harvesters and dealers for interstate commerce.

(107) "Shellstock" means raw, in-shell Molluscan Shellfish.

(108) "Shiga toxin-producing Escherichia coli " (STEC) means any E. coli capable of producing Shiga toxins (also called verocytotoxins or "Shiga-like" toxins). Examples of serotypes of STEC include both O157 and non-O157 E. coli. Also see Enterohemorrhagic Escherichia Coli.

(109) "Shucked Shellfish" means Molluscan Shellfish that have one or both shells removed.

(110) "Single-service articles" means Tableware, carry-out Utensils, and other items such as bags, containers, placemats, stirrers, straws, toothpicks, and wrappers that are designed and constructed for one time, one Person use after which they are intended for discard.

(111) Single-Use Articles.

(a) "Single-use articles" means Utensils and bulk Food containers designed and constructed to be used once and discarded.

(b) "Single-use articles" includes items such as wax paper, butcher paper, plastic wrap, formed aluminum Food containers, jars, plastic tubs or buckets, bread wrappers, pickle barrels, ketchup bottles, and number 10 cans which do not meet the materials, durability, strength, and cleanability specifications under §§4‑101.11, 4‑201.11, and 4-202.11 for multiuse Utensils.

(112) "Slacking" means the process of moderating the temperature of a Food such as allowing a Food to gradually increase from a temperature of -23oC (-10oF) to -4o C

(25oF) in preparation for deep-fat frying or to facilitate even heat penetration during the cooking of previously block-frozen Food such as shrimp.

(113) "Smooth" means:

(a) A Food-Contact Surface having a surface free of pits and inclusions with a cleanability equal to or exceeding that of (100 grit) number 3 stainless steel;

(b) A non-Food-Contact Surface of Equipment having a surface equal to that of commercial grade hot-rolled steel free of visible scale; and

(c) A floor, wall, or ceiling having an even or level surface with no roughness or projections that render it difficult to clean.

(114) “Sporting -Recreational Camp” means a building or group of buildings devoted primarily to the offering of eating and primitive lodging facilities to guests only, and not to the general public, primarily in pursuit of primitive recreation, hunting, fishing, snowmobiling or

similar activities. Sporting-Recreational camps generally do not include summer sports programs overseen by employees or volunteers of municipalities and educational institutions, when the activities generally take place at the municipal or institution property and buildings.

(115) "Tableware" means eating, drinking, and serving Utensils for table use such as flatware including forks, knives, and spoons; hollowware including bowls, cups, serving dishes, and tumblers; and plates.

(116) "Temperature measuring device" means a thermometer, thermocouple, thermistor,

or other device that indicates the temperature of Food, air, or water.

(117) "Temporary Eating Establishment" means an Eating Establishment that operates for a period of no more than 14 consecutive days in conjunction with a single event or celebration.

(118) "USDA" means the U.S. Department of Agriculture.

(119) "Utensil" means a Food-contact implement or container used in the storage, preparation, transportation, dispensing, sale, or service of Food, such as Kitchenware or Tableware that is multiuse, Single-Service, or Single-Use; gloves used in contact with Food; Food Temperature Measuring Devices; and probe-type price or identification tags used in contact with Food.

(120) "Variance" means a written document issued by the Regulatory Authority that authorizes a modification or waiver of one or more requirements of this Code if, in

the opinion of the Regulatory Authority, a health Hazard or nuisance will not result from the modification or waiver.

(121) "Vending Machine" means a self-service device that, upon insertion of a coin, paper currency, token, card, or key, or by optional manual operation, dispenses unit servings of Food in bulk or in packages without the necessity of replenishing the device between each vending operation.

(122) "Vending machine location" means the room, enclosure, space, or area where one or more Vending Machines are installed and operated and includes the storage areas and areas on the Premises that are used to service and maintain the Vending Machines.

(123) "Warewashing" means the cleaning and Sanitizing of Utensils and Food-Contact Surfaces of Equipment.

(124) "Whole-muscle, intact beef" means whole muscle beef that is not injected,

mechanically tenderized, reconstructed, or scored and marinated, from which beef steaks may be cut.

CHAPTER 2

MANAGEMENT AND PERSONNEL

2-1 SUPERVISION

2-101 Responsibility

2-101.11 Assignment.*

• • 1. Except as specified in ¶ (B) of this section, the Permit Holder shall be the Person in Charge or shall designate a Person in Charge and shall ensure that a Person in Charge is present at the Food or Eating Establishment during all hours of operation. 2. In a Food or Eating Establishment with two or more separately permitted departments that are the legal responsibility of the same Permit Holder and that are located on the same Premises, the Permit Holder may, during specific time periods when food is not being prepared, packaged, or served, designate a single Person in Charge who is present on the Premises during all hours of operation, and who is responsible for each separately Permitted Food or Eating Establishment on the Premises.

2-102 Knowledge

2-102.11 Demonstration.*

Based on the risks inherent to the Food operation, during inspections and upon request, the Person in Charge shall demonstrate to the Regulatory Authority knowledge of foodborne disease prevention, application of the Hazard Analysis Critical Control Point principles, and the requirements of this Code. The Person in Charge shall demonstrate this knowledge by

Complying with this Code, by having no violations of critical items during the current inspection;

Being a Certified Food Protection Manager who has shown proficiency of required information through passing a test that is part of an Accredited Program;

Responding correctly to the inspector's questions as they relate to the specific Food operation. The areas of knowledge include:

1. Describing the relationship between the prevention of foodborne disease and the personal hygiene of a Food Employee;
2. Explaining the responsibility of the Person in Charge for preventing the transmission of foodborne disease by a Food Employee who has a disease or medical condition that may cause foodborne disease;
3. Describing the symptoms associated with the diseases that are transmissible through Food;
4. Explaining the significance of the relationship between maintaining the time and temperature of Potentially Hazardous Food (Time/Temperature Control for Safety Food) and the prevention of foodborne illness;
5. Explaining the Hazards involved in the consumption of raw or undercooked Meat, Poultry, Eggs and Fish.
6. Stating the required Food temperatures and times for safe cooking of Potentially Hazardous Food (Time/Temperature Control for Safety Food) including Meat, Poultry, Eggs, and Fish.
7. Stating the required temperatures and times for the safe refrigerated storage, hot holding, cooling, and reheating of Potentially Hazardous Food (Time / Temperature Control for Safety Food);
8. Describing the relationship between the prevention of foodborne illness and the management and control of the following:

(1) Cross contamination

(2) Hand contact with Ready-To-Eat Foods,

(3) Handwashing,and

(4) Maintaining the Food Establishment in a clean condition and in good repair;

1. Describing Foods identified as Major Food Allergens and the symptoms that a Major Food Allergen could cause in a sensitive individual who has an allergic reaction.
2. Explaining the relationship between Food safety and providing Equipment that is:

(1) Sufficient in number and capacity,and

(2) Properly designed, constructed, located, installed, operated, maintained, and cleaned;

1. Explaining correct procedures for cleaning and Sanitizing Utensils and Food-Contact Surfaces of Equipment;

2. Identifying the source of water used and measures taken to ensure that it remains protected from contamination such as providing protection from backflow and precluding the creation of cross connections;

3. Identifying Poisonous or Toxic Materials in the Food Establishment and the procedures necessary to ensure that they are safely stored, dispensed, used, and disposed of according to Law;

4. Identifying Critical Control Points in the operation from purchasing through sale or service that, when not controlled, may contribute to the transmission of foodborne illness and explaining steps taken to ensure that the points are controlled in accordance with the requirements of this Code;

5. Explaining the details of how the Person in Charge and Food Employees comply with the HACCP Plan if a plan is required by Law, this Code, or an agreement between the Regulatory Authority and the Food Establishment;

6. Explaining the responsibilities, rights, and authorities assigned by this Code to the: Food Employee, Conditional Employee, Person in Charge, and Regulatory Authority.

7. Explaining how the Person in Charge, Food Employees, and Conditional Employees comply with reporting responsibilities and Exclusion or Restriction of Food Employees.

2-102.12 Certified Food Protection Manager

(A) At least one Employee that has supervisory and management responsibility and the authority to direct and control food preparation and service shall be a Certified Food Protection Manager who has shown proficiency and required information through passing a test that is part of an Accredited Program. The Regulatory Authority reserves the right to approve another food consultant as the CFPM, in place of an employee, in certain limited circumstances.

(B) This section does not apply to certain types of Food or Eating Establishments deemed by the Regulatory Authority to pose minimal risk of causing, or contributing to, foodborne illness based on the nature of the operation and extent of food preparation.

(C) The following establishments are exempt from the certified food protection manager requirement:

1. Bed and breakfast establishments with 5 rooms or less;
2. Bed and breakfast and lodging establishments that serve a continental breakfast consisting of non-potentially hazardous baked goods, whole fruit or fruit sliced for same-day service, cereal, milk, juice, portion- controlled cream cheese, portioned-controlled peanut butter, and portion-controlled jam or jelly.
3. Temporary eating establishments that operate fewer than 14 days;
4. Establishments that serve or sell non-potentially hazardous pre-packaged foods (non-time/temperature control for safety (TCS) foods);
5. Establishments that prepare only non-potentially hazardous foods (non-TCS foods);
6. Establishments that heat only commercially processed, potentially hazardous foods (TCS foods) for hot holding. No cooling of potentially hazardous foods (TCS foods);
7. Sporting/ Recreational Camps operating 90 days or less and serving only their own residential guests; and
8. Eating establishments which pose minimal risk of causing, or contributing to, foodborne illness, based on the nature of the operation and the extent of food preparation.

2-102.20 Food Protection Manager Certification

(A) A Certified Food Protection Manager must be a Person in Charge who has demonstrated knowledge of the duties and responsibilities of a food protection manager. To qualify as a certified food protection manager, a person must attain certification by a program that is evaluated and listed by a Conference for Food Protection-recognized accrediting agency as conforming to the Conference for Food Protection Standards for Accreditation of Food Protection Manager Certification Programs. These standards are deemed to comply with ¶ 2-102.11(B).

(B) A Food or Eating Establishment that has an Employee that is evaluated and listed by a Conference for Food Protection-recognized accrediting agency as conforming to the Conference for Food Protection Standards for Accreditation of Food Protection Manager Certification Programs is deemed to comply with §2-102.12.

2-103 Duties

2-103.11 Person in Charge. The Person in Charge shall ensure that:

(A) Food or Eating Establishment operations are not conducted in a private home or in a room used as living or sleeping quarters as specified under §6-202.111; unless such establishment is a Bed and Breakfast licensed by the Maine Department of Health and

Human Services or a home business licensed by the Maine Department of Agriculture Conservation and Forestry, or any other establishment specifically exempted by Law.

(B) Persons unnecessary to the Food or Eating Establishment operation are not allowed in the Food preparation, Food storage, or Warewashing areas, except that brief visits and tours may be authorized by the Person in Charge, if steps are taken to ensure that exposed Food, clean Equipment, Utensils, and Linens, and unwrapped Single-Service and Single-Use Articles are protected from contamination;

(C) Employees and other Persons such as delivery and maintenance Persons and pesticide applicators entering the Food preparation, Food storage, and Warewashing areas comply with this Code;

Employees are effectively cleaning their hands, by routinely monitoring the Employees’ handwashing;

Employees are visibly observing Foods as they are received to determine that they are from Approved sources, delivered at the required temperatures, protected from contamination, unadulterated, and accurately presented, by routinely monitoring the

Employees’ observations and periodically evaluating Foods upon their receipt;

Employees are verifying that Foods delivered to the Food or Eating Establishment during non-operating hours are from approved sources, and are placed into appropriate storage locations, such that they are maintained at the required temperatures, protected from contamination, unadulterated, and accurately presented.

Employees are properly cooking Potentially Hazardous Food (Time/Temperature Control for Safety Food), being particularly careful in cooking those Foods known to cause severe foodborne illness and death, such as eggs and Comminuted Meats, through daily oversight of the Employees’ routine monitoring of the cooking temperatures using appropriate temperature measuring devices properly scaled and calibrated as specified under §4-203.11 and ¶ 4-502.11(B);

Employees are using proper methods to rapidly cool Potentially Hazardous Food (Time/Temperature Control for Safety Food) that are not held hot or are not for consumption within 4 hours, through daily oversight of the Employees’ routine monitoring of Food temperatures during cooling;

Consumers who order raw, or partially cooked Ready-to-Eat Foods of animal origin are informed, as specified under §3‑603.11, that the Food is not cooked sufficiently to ensure its safety;

Employees are properly Sanitizing cleaned multiuse Equipment and Utensils before they are reused, through routine monitoring of solution temperature and exposure time for hot water Sanitizing, and chemical concentration, pH, temperature, and exposure time for chemical Sanitizing;

Consumers are notified that clean Tableware is to be used when they return to self-service areas such as salad bars and buffets as specified under §3‑304.16;

Except when Approval is obtained from the Regulatory Authority as specified in ¶ 3-301.11(D), Employees are preventing cross-contamination of Ready-to-Eat Food with bare hands by properly using suitable utensils such as deli tissue, spatulas, tongs, single-use gloves, or dispensing Equipment;

Employees are properly trained in Food safety including food allergy awareness as it relates to their assigned duties;

Food Employees and Conditional Employees are informed of their responsibility to report in accordance with Law, to the Person in Charge, information about their health and activities as they relate to diseases that are transmissible through Food, as specified under ¶ 2-201.11(A); and

Written procedures and plans, where specified by this Code and as developed by the Food or Eating Establishment are maintained and implemented as required.

2-2 EMPLOYEE HEALTH

2-201 Responsibilities and Reporting Symptoms and Diagnosis

2-201.11 Responsibility of Permit Holder, Person in Charge, Food Employees, and Conditional Employees*

(A) The Permit Holder shall require Food Employees and Conditional Employees to report to the Person in Charge information about their health and activities, as they relate to diseases that are transmissible through Food. A Food Employee or Conditional Employee shall report the information in a manner that allows the Person in Charge to reduces the risk of foodborne disease transmission, including providing necessary additional information, such as the date of onset of symptoms and an illness, or of a diagnosis without symptoms, if the Food Employee or Conditional Employee:

(1) Has any of the following symptoms:

(a) Vomiting,

(b) Diarrhea,

(c) Jaundice,

(d) Sore throat with fever,

(e) A lesion containing pus, such as a boil or infected wound that is open or draining and is:

On the hands or wrists, unless an impermeable cover such as a finger cot or stall protects the lesion and a Single-Use glove is worn over the impermeable cover,

On exposed portions of the arms, unless the lesion is protected by an impermeable cover, or

On other parts of the body, unless the lesion is covered by a dry, durable, tight-fitting bandage;

(2) Has an illness diagnosed by a Health Practitioner due to:

(a) Norovirus,

(b) Hepatitus A Virus,

(c) Shigella spp.,

(d) Enterohemorrhagic or Shiga Toxin-Producing Eschericia Coli ,;

(e) Salmonella Typhi,

(3) Had a previous illness, diagnosed by a Health Practitioner, within the past 3 months due to Salmonella Typhi, without having received antibiotic therapy, as determined by a Health Practitioner;

(4) Has been exposed to, or is the suspected source of, a Confirmed Disease Outbreak, because the Food Employee or Conditional Employee consumed or prepared Food implicated in the outbreak, or consumed food at an event prepared by a Person who is infected or ill with*:

(a) Norovirus within the past 48 hours of the last exposure,

(b) Enterohemorrhagic of Shiga Toxin-Producing Escherichia Coli or Shigella

spp. within the past 3 days of the last exposure,

(c) Salmonella Typhi within the past 14 days of the last exposure, or

(d) Hepatitis A virus within the past 30 days of the last exposure; or

(5) Has been exposed by attending or working in a setting where there is a Confirmed Disease Outbreak, or living in the same household as, and has knowledge about, an individual who works or attends a setting where there is a Confirmed Disease Outbreak, or living in the same household as, and has knowledge about, an individual diagnosed with an illness caused by*:

(a) Norovirus within the past 48 hours of the last exposure,

(b) Enterohemorrhagic or Shiga Toxin-Producing Escherichia Coli or Shigella spp. within the past 3 days of the last exposure,

(c) Salmonella Typhi within the past 14 days of the last exposure, or

(d) Hepatitis A virus within the past 30 days of the last exposure.

(B) The Person in Charge shall notify the Regulatory Authority when a Food Employee is:

(1) Jaundiced, or

(2) Diagnosed with an illness due to a pathogen as specified under Subparagraphs (A)(2)(a) - (e) of this section.

(C) The Person in Charge shall ensure that a Conditional Employee*:

(1) Who exhibits or reports a symptom, or who reports a diagnosed illness as specified under Subparagraphs (A)(1) - (3) of this section, is prohibited from becoming a Food Employee until the Conditional Employee meets the criteria for the specific symptoms or diagnosed illness as specified under § 2-201.13; and

(2) Who will work as a Food Employee in a Food or Eating Establishment that serves as a Highly Susceptible Population and reports a history of exposure as specified under Subparagraphs (A)(4) – (5), is prohibited from becoming a Food Employee until the Conditional Employee meets the criteria as specified under ¶ 2-201.13(I).

(D) The Person in Charge shall ensure that a Food Employee who exhibits or reports a symptom, or who reports a diagnosed illness or a history of exposure as specified under Subparagraphs (A)(1) - (5) of this section is:

(1) Excluded as specified under ¶¶ 2-201.12 (A) - (C), and Subparagraphs (D)(1), (E)(1), (F)(1), or (G)(1) and in compliance with the provisions specified under ¶¶ 2-201.13(A) - (G) *; or

(2) Restricted as specified under Subparagraphs 2-201.12 (D)(2), (E)(2), (F)(2), (G)(2), or ¶¶ 2-201.12(H) or (I) and in compliance with the provisions specified under ¶¶ 2-201.13(D) - (I) *.

(E) A Food Employee or Conditional Employee shall report to the Person in Charge the information as specified under ¶ (A) of this section.

( F) A Food Employee shall*:

(1) Comply with an Exclusion, as specified under ¶¶ 2-201.12(A) - (C) and Subparagraphs 2-201.12(D)(1), (E)(1), (F)(1), or (G)(1) and with the provisions specified under ¶¶ 2-201.13(A) - (G); or

(2) Comply with a Restriction as specified under Subparagraphs 2-201.12(D)(2), (E)(2), (F)(2), (G)(2), or ¶¶ 2-201.12 (H) or (I) and comply with the provisions specified under ¶¶ 2-201.13(D) - (I).

2-201.12 Exclusions and Restrictions.*

The Person in Charge shall Exclude or Restrict a Food Employee from a Food or Eating Establishment in accordance with the following:

(A) Except when the symptom is from a noninfectious condition , Exclude a Food Employee if the Food Employee is*:

(1) Symptomatic with vomiting or diarrhea; or

(2) Symptomatic with vomiting or diarrhea and diagnosed with an infection from Norovirus, Shigella spp., or Enterohemorrhagic or Shiga Toxin-Producing E. coli .

(B) Exclude a Food Employee who is*:

(1) Jaundiced and the onset of jaundice occurred within the last 7 calendar days, unless the Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner specifying that the jaundice is not caused by hepatitis A virus or other fecal-orally transmitted infection;

(2) Diagnosed with an infection from hepatitis A virus within 14 calendar days from the onset of any illness symptoms, or within 7 calendar days of the onset of jaundice; or

(3) Diagnosed with an infection from hepatitis A virus without developing symptoms.

(C) Exclude a Food Employee who is diagnosed with an infection from Salmonella Typhi, or reports a previous infection with Salmonella Typhi within the past 3 months as specified under Subparagraph 2-201.11(A)(3). ^*

(D) If a Food Employee is diagnosed with an infection from Norovirus and is Asymtomatic*:

(1) Exclude the Food Employee who works in a Food or Eating Establishment serving a Highly Susceptible Population; or

(2) Restrict the Food Employee who works in a Food or Eating Establishment not serving a Highly Susceptible Population.

(E) If a Food Employee is diagnosed with an infection from Shigella spp. and is Asymptomatic*:

(1) Exclude the Food Employee who works in a Food or Eating Establishment serving a Highly Susceptible Population; or

(2) Restrict the Food Employee who works in a Food or Eating Establishment not serving a Highly Susceptible Population.

(F) If a Food Employee is diagnosed with an infection from Enterohemorrhagic or Shiga Toxin-Producing E. Coli , and is Asymptomatic*:

(1) Exclude the Food Employee who works in a Food or Eating Establishment serving a Highly Susceptible Population; or

(2) Restrict the Food Employee who works in a Food or Eating Establishment not serving a Highly Susceptible Population.

(G) If a Food Employee is ill with symptoms of acute onset of sore throat with fever*:

(1) Exclude the Food Employee who works in a Food or Eating Establishment serving a Highly Susceptible Population; or

(2) Restrict the Food Employee who works in a Food or Eating Establishment not serving a Highly Susceptible Population.

(H) If a Food Employee is infected with a skin lesion containing pus such as a boil or infected wound that is open or draining and not properly covered as specified under Subparagraph 2-201.11(A)(1)(e), Restrict the Food Employee.*

(I) If a Food Employee is exposed to a foodborne pathogen as specified under Subparagraphs 2-201.11(A)(4) or (5), Restrict the Food Employee who works in a Food or Eating Establishment serving a Highly Susceptible Population.

2-201.13 Removal, Adjustment, or Retention of Exclusions and Restrictions.

The Person in Charge shall adheres to the following conditions when removing, adjusting, or retaining the Exclusion or Restriction of a Food Employee:

(A) Except when a Food Employee is diagnosed with an infection from hepatitis A virus or Salmonella Typhi :

(1) Reinstate a Food Employee who was Excluded as specified under Subparagraph 2-201.12(A)(1) if the Food Employee*:

(a) Is Asymptomatic for at least 24 hours; or

(b) Provides to the Person in Charge written medical documentation from a Health Practitioner that states the symptom is from a noninfectious condition.

(2) If a Food Employee was diagnosed with an infection from Norovirus and Excluded as specified under Subparagraph 2-201.12(A)(2) *:

(a) Restrict the Food Employee, who is Asymptomatic for at least 24 hours and

works in a Food or Eating Establishment not serving a Highly Susceptible Population, until the conditions for reinstatement as specified under Subparagraphs (D)(1) or (2) of this section are met;or

(b) Retain the Exclusion for the Food Employee, who is Asymptomatic for at least 24 hours and works in a Food or Eating Establishment that serves a Highly Susceptible Population, until the conditions for reinstatement as specified under Subparagraphs (D)(1) or (2) of this section are met.

(3) If a Food Employee was diagnosed with an infection from Shigella spp. and Excluded as specified under Subparagraph 2-201.12(A)(2) *:

(a) Restrict the Food Employee, who is Asymptomatic for at least 24 hours and works in a Food Establishment not serving a Highly Susceptible Population, until the conditions for reinstatement as specified under Subparagraphs (E)(1) or (2) of this section are met; or

(b) Retain the Exclusion for the Food Employee, who is Asymptomatic for at least 24 hours and works in a Food or Eating Establishment that serves a Highly Susceptible Population, until the conditions for reinstatement as specified under Subparagraphs (E)(1) or (2) , or (E)(1) and (3)(a) of this section are met.

(4) If a Food Employee was diagnosed with an infection from Enterohemorrhagic or Shig Toxin-Producing Escherichia Coli and Excluded as specified under Subparagraph 2-201.12(A)(2)*:

(a) Restrict the Food Employee, who is Asymptomatic for at least 24 hours and works in a Food Establishment not serving a Highly Susceptible Population, until the conditions for reinstatement as specified under Subparagraphs (F)(1) or (2) of this section are met; or

(b) Retain the Exclusion for the Food Employee, who is Asymptomatic for at least 24 hours and works in a Food or Eating Establishment that serves a Highly Susceptible Population, until the conditions for reinstatement as specified under Subparagraphs (F)(1) or (2) are met.

(B) Reinstate a Food Employee who was Excluded as specified under ¶ 2-201.12(B) if the Person in Charge obtains Approval from the Regulatory Authority and one of the following conditions is met*;

(1) The Food Employee has been jaundiced for more than 7 calendar days;

(2) The anicteric Food Employee has been symptomatic with symptoms other than jaundice for more than 14 calendar days; or

(3) The Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner stating that the Food Employee is free of a hepatitis A virus infection.

(C) Reinstate a Food Employee who was Excluded as specified under ¶ 2-201.12(C) if: *

(1) The Person in Charge obtains Approval from the Regulatory Authority; and

(2) The Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner that states the Food Employee is free from S. Typhi infection.

(D) Reinstate a Food Employee who was Excluded as specified under Subparagraphs 2-201.12(A)(2) or (D)(1) who was Restricted under Subparagraph 2-201.12(D)(2) if the Person in Charge obtains Approval from the Regulatory Authority and one of the following conditions is met: *

(1) The Excluded or Restricted Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner stating that the Food Employee is free of a Norovirus infection;

(2) The Food Employee was Excluded or Restricted after symptoms of vomiting or diarrhea resolved, and more than 48 hours have passed since the Food Employee became Asymptomatic; or

(3) The Food Employee was Excluded or Restricted and did not develop symptoms and more than 48 hours have passed since the Food Employee was diagnosed.

(E) Reinstate a Food Employee who was Excluded as specified under Subparagraphs 2-201.12(A)(2) or (E)(1) or who was Restricted under Subparagraph 2-201.12(E)(2) if the Person in Charge obtains Approval from the Regulatory Authority and one of the following conditions is met*:

(1) The Excluded or Restricted Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner stating that the Food Employee is free of a Shigella spp. infection based on test results showing 2 consecutive negative stool specimen cultures that are taken:

(a) Not earlier than 48 hours after discontinuance of antibiotics, and

(b) At least 24 hours apart;

(2) The Food Employee was Excluded or Restricted after symptoms of vomiting or diarrhea resolved, and more than 7 calendar days have passed since the Food Employee became Asymptomatic; or

(3) The Food Employee was Excluded or Restricted and did not develop symptoms and more than 7 calendar days have passed since the Food Employee was diagnosed.

(F) Reinstate a Food Employee who was Excluded or Restricted as specified under Subparagraphs 2-201.12(A)(2) or (F)(1) or who was Restricted under Subparagraph 2-201.12(F)(2) if the Person in Charge obtains Approval from the Regulatory Authority and one of the following conditions is met*:

(1) The Excluded or Restricted Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner stating that the Food Employee is free of an infection from Enterohemorrhagic or Shiga-Toxin Producing Escherichia Coli based on test results that show 2 consecutive negative stool specimen cultures that are taken:

(a) Not earlier than 48 hours after discontinuance of antibiotics; and

(b) At least 24 hours apart;

(2) The Food Employee was Excluded or Restricted after symptoms of vomiting or diarrhea resolved and more than 7 calendar days have passed since the Food Employee became Asymptomatic; or

(3) The Food Employee was Excluded or Restricted and did not develop symptoms and more than 7 days have passed since the Food Employee was diagnosed.

(G) Reinstate a Food Employee who was Excluded or Restricted as specified under Subparagraphs 2-201.12(G)(1) or (2) if the Food Employee provides to the Person in Charge written medical documentation from a Health Practitioner stating that the Food Employee meets one of the following conditions: *

(1) Has received antibiotic therapy for Streptococcus pyogenes infection for more than 24 hours;

(2) Has at least one negative throat specimen culture for Streptococcus pyogenes infection; or

(3) Is otherwise determined by a Health Practitioner to be free of a Streptococcus pyogenes infection.

(H) Reinstate a Food Employee who was Restricted as specified under ¶ 2-201.12(H) if the skin, infected wound, cut, or pustular boil is properly covered with one of the following:*

(1) An impermeable cover such as a finger cot or stall and a single-use glove over the impermeable cover if the infected wound or pustular boil is on the hand, finger, or wrist;

(2) An impermeable cover on the arm if the infected wound or pustular boil is on the arm; or

(3) A dry, durable, tight-fitting bandage if the infected wound or pustular boil is on another part of the body.

(I) Reinstate a Food Employee who was Restricted as specified under ¶ 2-201.12(I) and was exposed to one of the following pathogens as specified under Subparagraph 2-201.11(A)(4) or (5) *:

(1) Norovirus and one of the following conditions is met:

(a) More than 48 hours have passed since the last day the Food Employee was potentially exposed; or

(b) More than 48 hours have passed since the Food Employee’s household contact became Asymptomatic.

(2) Shigella spp. or Enterohemorrhagic or Shiga Toxin-Producing Escherichia Coli and one of the following conditions is met:

(a) More than 3 calendar days have passed since the last day the Food Employee was potentially exposed; or

(b) More than 3 calendar days have passed since the Food Employee’s household contact became Asymptomatic.

(3) S. Typhi and one of the following conditions is met:

(a) More than 14 calendar days have passed since the last day the Food Employee was potentially exposed;or

(b) More than 14 calendar days have passed since the Food Employee’s household contact became Asymptomatic.

(4) Hepatitis A virus and one of the following conditions is met:

(a) The Food Employee is immune to hepatitis A virus infection because of a prior illness from hepatitis A;

(b) The Food Employee is immune to hepatitis A virus infection because of vaccination against hepatitis A;

(c) The Food Employee is immune to hepatitis A virus infection because of IgG administration;

(d) More than 30 calendar days have passed since the last day the Food Employee was potentially exposed;

(e) More than 30 calendar days have passed since the Food Employee’s household contact became jaundiced; or

(f) The Food Employee does not use an alternative procedure that allows bare hand contact with Ready-to-Eat Food until at least 30 days after the potential exposure, as specified in Subparagraphs (I)(4)(d) and (e) of this section, and the Food Employee receives additional training about:

(i) Hepatitis A symptoms and preventing the transmission of infection,

(ii) Proper handwashing procedures, and

(iii) Protecting Ready-to-Eat Food from contamination introduced by bare hand contact.

2-3 PERSONAL CLEANLINESS

2-301.11 Clean Condition.*

Food Employees shall keep their hands and exposed portions of their arms clean.

2-301.12 Cleaning Procedure.*

(A) Except as specified in ¶ (D)of this section, Food Employees shall clean their hands and exposed portions of their arms, including surrogate prosthetic devices for hands or arms, for at least 20 seconds, using a cleaning compound in a handwashing sink that is equipped as specified under¶ 5‑202.12 and Subpart 6-301.

(B) Food Employees shall use the following cleaning procedure in the order stated to clean their hands and exposed portions of their arms, including surrogate prosthetic devices for hands and arms:

(1) Rinse under clean, running warm water;

(2) Apply an amount of cleaning compound recommended by the cleaning compound manufacturer;

(3) Rub together vigorously for at least 20 seconds while:

(a) Paying particular attention to removing soil from underneath the fingernails during the cleaning procedure, and

(b) Creating friction on the surfaces of the hands and arms or surrogate prosthetic devices for hands and arms, finger tips, and areas between the fingers;

(4) Thoroughly rinse under clean, running warm water; and

(5) Immediately follow the cleaning procedure with thorough drying using a method as specified under § 6-301.12.

(C) To avoid recontaminating their hands or surrogate prosthetic devices, Food Employees may use disposable paper towels or similar clean barriers when touching surfaces such as manually operated faucet handles on a Handwashing Sink or the handle of a restroom door.

(D) If Approved and capable of removing the types of soils encountered in the Food operations involved, an automatic handwashing facility may be used by Food Employees to clean their hands or surrogate prosthetic devices.

2-301.13 Special Handwash Procedures.*

Reserved.

2-301.14 When to Wash.*

Food Employees shall clean their hands and exposed portions of their arms as specified under

§2-301.12 immediately before engaging in Food preparation, including working with exposed Food, clean Equipment and Utensils, and unwrapped Single-Service and Single-Use Articles and:

After touching bare human body parts other than clean hands and clean, exposed portions of arms;

After using the toilet room;

After caring for or handling service animals or aquatic animals as specified in ¶ 2-403.11(B);

Except as specified in ¶ 2-401.11(B), after coughing, sneezing, using a handkerchief or disposable tissue, using tobacco, eating, or drinking;

After handling soiled Equipment or Utensils;

During Food preparation, as often as necessary to remove soil and contamination and to prevent cross contamination when changing tasks;

When switching between working with raw Food and working with Ready-to-Eat Food; and

After engaging in other activities that contaminate the hands.

2-301.15 Where to Wash.

Food Employees shall clean their hands in a Handwashing Sink or Approved automatic handwashing facility and may not clean their hands in a sink used for Food preparation, or Warewashing or in a service sink or a curbed cleaning facility used for the disposal of mop water and similar liquid waste.

2-301.16 Hand Antiseptics.

(A) A hand antiseptic used as a topical application, hand antiseptic solution used as a hand dip or a hand antiseptic soap shall:

(1) Comply with one of the following:

(a) Be an Approved drug that is listed in the FDA publication Approved Drug Products with Therapeutic Equivalence Evaluations, 32^nd edition, ( commonly known as the Orange Book). The approved drug list, based on safety and effectiveness, may be located at www.fda.gov/ Drugs/ DevelopmentApprovalProcess/ucm079068.htm; or

(b) Have active antimicrobial ingredients that are listed in the FDA monograph for OTC Health-Care Antiseptic Drug Products as an antiseptic handwash, and

(2) Comply with one of the following:

(a) Have components that are exempted from the requirement of being listed in federal Food Additive regulations as specified in 21 CFR 170.39 (Threshold of regulation for substances used in food-contact articles); or

(b) Comply with and be listed in:

21 CFR 178 (Indirect Food Additives: Adjuvants, Production Aids, and Sanitizers as regulated for use as a Food Additive with conditions of safe use); or

(ii) 21 CFR 182 (Substances Generally Recognized as Safe), 21 CFR 184 (Direct Food Substances Affirmed as Generally Recognized as Safe), or 21 CFR 186 (Indirect Food Substances Affirmed as Generally Recognized as Safe for use in contact with Food), and

(3) Be applied only to hands that are cleaned as specified under §2‑301.12.

(B) If a hand antiseptic or a hand antiseptic solution used as a hand dip does not meet the criteria specified under Subparagraph (A)(2) of this section, use shall be:

(1) Followed by thorough hand rinsing in clean water before hand contact with Food or by the use of gloves; or

(2) Limited to situations that involve no direct contact with Food by the bare hands.

(C) A hand antiseptic solution used as a hand dip shall be maintained clean and at a strength equivalent to at least 100 mg/L chlorine.

2-302 Fingernails

2-302.11 Maintenance.

(A) Food Employees shall keep their fingernails trimmed, filed, and maintained so the edges and surfaces are cleanable and not rough.

(B) Unless wearing intact gloves in good repair, a Permit Holder must ensure that a Food Employee may not wear fingernail polish or artificial fingernails when working with exposed Food.

2-303 Jewelry

2-303.11 Prohibition.

Except for a plain ring such as a wedding band, while preparing food, Food Employees may not wear jewelry including medical information jewelry on their arms and hands.

2-304 Outer Clothing

304.11 Clean Condition.

Food Employees shall wear clean outer clothing to prevent contamination of Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

2-4 HYGIENIC PRACTICES

2-401 Food Contamination Prevention

2-401.11 Eating, Drinking, or Using Tobacco.*

(A) Except as specified in ¶ (B) of this section, Employee shall only eat, drink, or use any form of tobacco in designated areas protected from the contamination of exposed Food; clean Equipment, Utensils, and Linens; unwrapped Single-Service and Single-Use Articles; or other items with potential for food contamination.

(B) Food Employee may only drink from a closed Beverage container if the container is handled in such a manner as to prevent contamination of:

(1) The Employee’s hands;

(2) The container; and

(3) Exposed Food; clean Equipment, Utensils, and Linens; and unwrapped Single-Service and Single-Use Articles.

2-401.12 Discharges from the Eyes, Nose, and Mouth.*

Food Employees experiencing persistent sneezing, coughing, or a runny nose that causes discharges from the eyes, nose, or mouth may not work with exposed Food; clean Equipment, Utensils, and Linens; or unwrapped Single-Service or Single-Use Articles.

2-402 Hair Restraints

2-402.11 Effectiveness.

(A) Except as provided in ¶ (B) of this section, Food Employees shall wear hair restraints such as hats, hair coverings or nets, beard restraints, and clothing that covers body hair, which are designed and worn to effectively keep hair from contacting exposed Food; clean Equipment, Utensils, and Linens; and unwrapped Single-Service or Single-Use Articles.

(B) This section does not apply to Food Employees, such as counter staff who only serve Beverages and wrapped or Packaged Foods, hostesses, and wait staff, if they present a minimal risk of contaminating exposed Food, clean Equipment, Utensils, and Linens, and unwrapped Single-Service or Single-Use Articles.

2-403 Animals

2-403.11 Handling Prohibition.*

(A) Except as authorized by 17 M.R.S. §3966 (Amended 2011), or as provided in subsection B Food Employees may not care for or handle animals that may be present, such as patrol dogs, service animals, or pets that are allowed as specified in Subparagraphs 6-501.115(B)(2)-(5) of this Code.

(B) Food Employees with Service Animals may handle or care for their Service Animals and Food Employees may handle or care for Fish in aquariums or Molluscan Fish or crustacea in display tanks if they wash their hands as specified under §2-301.12 and ¶ 2‑301.14(C) of this Code.

2-5 RESPONDING TO CONTAMINATION EVENTS

2-501 Procedures for Responding

2-501.11 Clean-up of Vomiting and Diarrheal Events.

A Food or Eating Establishment shall have procedures for Employees to follow when responding to vomiting or diarrheal events that involve the discharge of vomitus or fecal matter onto surfaces in the Food or Eating Establishment. The procedures shall address the specific actions Employees, must take to minimize the spread of contamination and the exposure of Employees, consumers, Food, and surfaces to vomitus or fecal matter.

CHAPTER 3

FOOD

3-1 CHARACTERISTICS

3-101 Condition

3-101.11 Safe, Unadulterated, and Honestly Presented.*

Food shall be safe, unadulterated, and, as specified under §3‑601.12, honestly presented.

3-2 SOURCES, SPECIFICATIONS, AND ORIGINAL CONTAINERS AND RECORDS

3-201 Sources

3-201.11 Compliance with Food Law.*

(A) Food shall be obtained from sources that comply with Law.

(B) Food prepared in a private home may not be used or offered for human consumption in a Food or Eating Establishment, unless such establishment is a Bed and Breakfast licensed by the Maine Department of Health and Human Services or a home business licensed by the Maine Department of Agriculture, Conservation and Forestry, unless specifically exempted by Law.

(C) Packaged Food shall be labeled as specified in Law, including 21 CFR 101 (Food Labeling) (2012 edition), 9 CFR 317 (Labeling, Marking Devices, and Containers)(2012 ed.), 9 CFR 381, Subpart N (Labeling and Containers)(2012 ed.); 22 M.R.S. §2157(Amended 2011), and as specified under §§3‑202.17 and 3‑202.18 of this Code.

(D) Fish, other than those specified in paragraph 3-402.11(B), that are intended for consumption in their raw form and allowed as specified in Subparagraph 3‑401.11(D), may be offered for sale or service if they are obtained from a supplier that freezes the Fish as specified under §3‑402.11; or frozen on the Premises as specified under §3‑402.11 and records are retained as specified under §3‑402.12.

(E) Whole-Muscle, Intact Beef steaks that are intended for consumption in an undercooked form without a Consumer advisory as specified in ¶ 3-401.11(C) shall be:

(1) Obtained from a Food Processing Plant that, upon request by the purchaser, packages the steaks and labels them, to indicate that they meet the definition of Whole-Muscle, Intact Beef;or

(2) Deemed acceptable by the Regulatory Authority based on other evidence, such

as written buyer specifications or invoices, that indicates that the steaks meet the

definition of Whole-Muscle, Intact Beef, and

(3) If individually cut in a Food or Eating Establishment:

(a) Cut from Whole-Muscle Intact Beef that is labeled by a Food Processing Plant, as specified in Subparagraph (E)(1) of this section, or identified as specified in Subparagraph (E)(2) of this section,

(b) Prepared so they remain intact, and

(c) If Packaged for undercooking in a Food or Eating Establishment, labeled as specified in Subparagraph (E)(1) of this section or identified as specified in (E)(2) of this section.

(F) Meat and Poultry that is not a Ready-to-Eat Food and is in a Packaged form when it is offered for sale or otherwise offered for consumption, shall be labeled to include safe handling instructions as specified in Law, including 9 CFR 317.2(l) (2011 ed.) and 9 CFR 381.125(b)(1999 ed.).

(G) Eggs that have not been specifically treated to destroy all viable Salmonellae shall be labeled to include safe handling instructions as specified in Law, including 21 CFR 101.17(h)(2012 ed.).

3-201.12 Food in a Hermetically Sealed Container.*

Food in a Hermetically Sealed Container shall be obtained from a Food Processing Plant that is regulated by the Food regulatory agency that has jurisdiction over the plant.

3-201.13 Fluid Milk and Milk Products.*

(A) Fluid milk and milk products shall be obtained from sources that comply with Grade A Standards as specified in Law, or by standards established by 7 M.R.S. § 2910.

(B) Sale of unpasteurized milk or milk product at Eating Establishment. Except as provided in Subparagraph (A) above and 7 M.R.S.§ 2902-B, Sub-sections 3 and 5 (Amended 2005), a person may not sell unpasteurized milk or a product made from unpasteurized milk at an Eating Establishment.

3-201.14 Fish.*

(A) Fish that are received for sale or service shall be:

(1) Commercially and legally caught or harvested; or

(2) Approved for sale or service.

(B) Molluscan Shellfish that are recreationally caught may not be received for sale or service.

3-201.15 Molluscan Shellfish.*

(A) Except as specified in ¶ (C) of this section, Molluscan Shellfish shall be obtained from sources according to Law and the requirements specified in the U.S. Department of Health and Human Services, Public Health Service, Food and Drug Administration, National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish.

(B) Molluscan Shellfish received in interstate commerce shall be from sources that are listed in the Interstate Certified Shellfish Shippers List.

(C) Molluscan Shellfish may be obtained from the holder of a current shellfish license as specified in 12 M.R.S. §6601 (Amended 2011).

• 1. Wild Mushrooms.*

(A) Reserved.

(B) This section does not apply to:

(1) Cultivated wild mushroom species that are grown, harvested, and processed in an operation that is regulated by the Food Regulatory Agency that has jurisdiction over the operation; or

(2) Wild mushroom species, if they are in Packaged form and are the product of a Food Processing Plant that is regulated by the Food Regulatory Agency that has jurisdiction over the plant.

(C) Warning Advisory:

Point of Sale: Identification tags shall be visible at point of sale stating, “Wild harvested mushrooms must not be eaten raw and should be thoroughly cooked”.

Food or Eating Establishment Advisory: A consumer advisory shall inform consumers by brochures, deli case or menu advisories, label statements, table tents, placards, or other effective written means that wild harvested mushrooms may cause allergic reactions, stomach upsets, or other effects.

3-201.17 Game Animals.*

(A) If Game Animals are received for sale or service they shall be:

(1) Commercially raised for Food and:

(a) Raised, slaughtered, and processed under a voluntary inspection program that is conducted by the agency that has animal health jurisdiction, or

(b) Under a routine inspection program conducted by a Regulatory Agency other than the agency that has animal health jurisdiction, and

(c) Raised, slaughtered, and processed according to:

(i) Laws governing Meat and Poultry as determined by the agency that has animal health jurisdiction and the agency that conducts the inspection program, and

(ii) Requirements which are developed by the agency that has animal health jurisdiction and the agency that conducts the inspection program with consideration of factors such as the need for antemortem and postmortem examination by an Approved veterinarian or veterinarian’s designee; or

(2) Under a voluntary inspection program administered by the USDA for Game Animals such as exotic animals (reindeer, elk, deer, antelope, water buffalo, or bison) that are "inspected and Approved" in accordance with 9 CFR 352 (January 1, 2013) Exotic Animal Program or rabbits that are processed in accordance with 01-001 CMR, Chapter 332 (Effective 1987); voluntary inspection or rabbits that are "inspected and certified" in accordance with 9 CFR 354 (Voluntary Inspection of Rabbits and Edible Products Thereof) (January 1, 2013 ed.).

3-202 Specifications for Receiving

3-202.11 Temperature.*

(A) Except as specified in ¶ (B) of this section, refrigerated, Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be at a temperature of 5oC (41oF) or below when received.

(B) If a temperature other than 5oC (41oF) for a Potentially Hazardous Food (Time/Temperature Control for Safety Food) is specified in Law governing its distribution, such as Laws governing milk, Molluscan Shellfish, the Food may be received at the specified temperature.

(C) Raw Eggs shall be received in refrigerated equipment that maintains an ambient air temperature of 7 ºC (45ºF) or less.

(D) Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is cooked to a temperature and for a time specified under §§3‑401.11 - 3‑401.13 and received hot shall be at a temperature of 57 oC (135 oF) or above.

(E) A Food that is labeled frozen and shipped frozen by a Food Processing Plant shall be received frozen.

(F) Upon receipt, Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be free of evidence of previous temperature abuse.

3-202.12 Additives.*

Food may not contain unapproved Food Additives or Additives that exceed amounts specified in 21 CFR §§170-180 (2012 ed.) relating to Food Additives, generally recognized as safe or

prior sanctioned substances that exceed amounts specified in 21 CFR §§181-186 (2012 ed.), substances that exceed amounts specified in 9 CFR Subpart C, § 424.21(b) (Food ingredients and sources of radiation, or pesticide chemicals in food, and exceptions)(2012 ed.).

• 1. Eggs.*

Eggs shall be received clean and sound and may not exceed the restricted egg tolerances for U.S. Consumer Grade B as specified in United States Standards, Grades, and Weight Classes for Eggs, AMS 56.200 et seq., administered by the Agricultural Marketing Service of USDA. 7 CFR Part 56 (Regulations Governing the Grading of Eggs and U.S. Standards, Grades, and Weight classes for Eggs) (2008 ed.), and 7 CFR Part 59 (Regulations Governing the Inspection of Eggs and Egg Products) (2006 ed.).

3-202.14 Eggs and Milk Products, Pasteurized.*

(A) Liquid, frozen, and dry eggs and Egg Products shall be obtained pasteurized.

(B) Fluid and dry milk and milk products shall:

(1) Be obtained pasteurized; and

(2) Comply with Grade A Standards as specified in Law, including 7 M.R.S. § 2910 (Amended 1999).

(C) Except as provided in 7 M.R.S. § 2902-B (Amended 2009), a person may not sell unpasteurized milk or a product made from unpasteurized milk at an Eating Establishment.

(D) Frozen milk products, such as ice cream, shall be obtained pasteurized as specified in 21 CFR 135 (Frozen Desserts)(April 2012 ed.).

(E) Cheese shall be obtained pasteurized unless alternative procedures to pasteurization are specified in the CFR, such as 21 CFR 133 (Cheeses and Related Cheese Products, for curing certain cheese varieties)(April 2013 ed.). Notwithstanding the requirements at this subparagraph, heat-treated cheese may be offered for consumption at an Eating Establishment, in accordance with the provisions of 7 M.R.S. §2902-B(5)(Amended 2009).

3-202.15 Package Integrity.*

Food packages shall be in good condition and protect the integrity of the contents so that the Food is not exposed to Adulteration or potential contaminants.

3-202.16 Ice.*

Ice for use as a Food or a cooling medium shall be made from Drinking Water.

3-202.17 Shucked Shellfish, Packaging and Identification.

(A) Raw Shucked Shellfish shall be obtained in nonreturnable packages which bear a legible label that identifies the:

(1) Name, address, and Certification Number of the shucker-packer or repacker of the Molluscan Shellfish; and

(2) The "sell by" or "best if used by" date for packages with a capacity of less than 1.89 L (one-half gallon) or the date shucked for packages with a capacity of 1.89 L (one-half gallon) or more.

(B) A package of raw Shucked Shellfish that does not bear a label or which bears a label which does not contain all the information as specified under ¶ (A) of this section shall be subject to a hold order, as allowed by Law, or seizure and destruction in accordance with 21 CFR Subpart D - Specific Administrative Decisions Regarding Interstate Shipments, Section 1240.60(d) Molluscan Shellfish.

3-202.18 Shellstock Identification.*

(A) Shellstock shall be obtained in containers bearing legible source identification tags or labels that are affixed by the harvester or Dealer that depurates, ships, or reships the Shellstock, as specified in the National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish, and that list:

Except as specified under ¶ (C) of this section, on the harvester's tag or label, the following information in the following order:

The harvester's identification number that is assigned by the Shellfish Control Authority,

The date of harvesting,

The most precise identification of the harvest location or aquaculture site that is practicable based on the system of harvest area designations that is in use by the Shellfish Control Authority and including the abbreviation of the name of the state or country in which the fish are harvested,

The type and quantity of shellfish, and

The following statement in bold, capitalized type: "This tag is required to be attached until container is empty or retagged and thereafter kept on file for 90 days;" and

Except as specified in ¶ (D) of this section, on each dealer's tag or label, the following information in the following order:

1. The Dealer’s name and address, and the Certification Number assigned by the Shellfish Control Authority,
2. The original shipper's Certification Number including the abbreviation of the name of the state or country in which the shellfish are harvested,
3. The same information as specified for a harvester's tag under Subparagraphs (A)(1)(b)‑(d) of this section, and
4. The following statement in bold, capitalized type: "THIS TAG IS REQUIRED TO BE ATTACHED UNTIL CONTAINER IS EMPTY AND THEREAFTER KEPT ON FILE FOR 90 DAYS.”

(B) A container of Shellstock that does not bear a tag or label or that bears a tag or label that does not contain all the information as specified under ¶ (A) of this section shall be subject to a hold order, as allowed by Law, or seizure and destruction in accordance with 21 CFR Subpart D (Specific Administrative Decisions Regarding Interstate Shipments), Section 1240.60(d) (2012 ed.).

(C) If a place is provided on the harvester's tag or label for a Dealer’s name, address, and Certification Number, the Dealer’s information shall be listed first.

(D) If the harvester's tag or label is designed to accommodate each dealer's identification as specified under Subparagraphs (A)(2)(a) and (b) of this section, individual dealer tags or labels need not be provided .

3-202.19 Shellstock, Condition.

When received by a Food Establishment, Shellstock shall be reasonably free of mud, dead fish, and fish with broken shells. Dead shellfish or Shellstock with badly broken shells shall be discarded.

3-202.110 Juice Treated.*

Pre-Packaged Juice shall:

(A) Be obtained from a processor with a HACCP system as specified in 21 CFR Part 120 (Hazard Analysis and Critical Control (HACCP) Systems)(2012 ed.);and

(B) Be obtained pasteurized or otherwise treated to attain a 5-log reduction of the most resistant microorganism of public health significance as specified in 21 CFR Part 120.24 (Process Controls)(2012 ed.).

3-203.11 Molluscan Shellfish, Original Container.

(A) Except as specified in ¶¶ (B) – (D) of this section, Molluscan Shellfish may not be removed from the container in which they are received other than immediately before sale or preparation for service.

(B) For display purposes, Shellstock may be removed from the container in which they are received, displayed on drained ice, or held in a display container, and a quantity specified by a Consumer may be removed from the display or display container and provided to the Consumer if:

(1) The source of the Shellstock on display is identified as specified under §3‑202.18 and recorded as specified under §3‑203.12; and

(2) The Shellstock are protected from contamination.

(C) Shucked Shellfish may be removed from the container in which they were received and held in a display container from which individual servings are dispensed upon a Consumer’s request if:

(1) The labeling information for the shellfish on display as specified under §3‑202.17 is retained and correlated to the date when, or dates during which, the shellfish are sold or served; and

(2) The shellfish are protected from contamination.

(D) Shucked shellfish may be removed from the container in which they were received and repacked in Consumer self service containers, where allowed by Law if:

(1) The labeling information for the shellfish is on each consumer self service container as specified under § 3-202.17 and ¶¶ 3-602.11(A) and (B)(1) - (5);

(2) The labeling information as specified under § 3-202.17 is retained and correlated with the date when, or dates during which, the shellfish are sold or served;

(3) The labeling information and dates specified under Subparagraph (D)(2) of this section are maintained for 90 days; and

(4) The shellfish are protected from contamination.

3-203.12 Shellstock, Maintaining Identification.*

(A) Except as specified under Subparagraph (C)(2) of this section, Shellstock tags or labels shall remain attached to the container in which the Shellstock are received until the container is empty.

(B) The date when the last Shellstock from the container is sold or served shall be recorded on the tag or label.

(C) The identity of the source of Shellstock that are sold or served shall be maintained by retaining Shellstock tags or labels for 90 calendar days from the date that is recorded on the tag or label, as specified under ¶ B of this section, by:

(1) Using an Approved record keeping system that keeps the tags or labels in chronological order correlated to the date that is recorded on the tag or label, as specified under ¶ B of this section

(2) If Shellstock are removed from their tagged or labeled container:

(a) Preserving source identification by using a record keeping system as specified under Subparagraph (C)(1) of this section, and

(b) Ensuring that Shellstock from one tagged or labeled container are not

commingled with Shellstock from another container with different Certification Numbers, different harvest dates, or different growing areas as identified on the tag or label before being ordered by the Consumer.

3-3 PROTECTION FROM CONTAMINATION AFTER RECEIVING

3-301 Preventing Contamination by Employees

3-301.11 Preventing Contamination from Hands.*

(A) Food Employees shall wash their hands as specified under §2‑301.12.

(B) Except when washing fruits and vegetables as specified under §3‑302.15 or as specified in ¶ (D) and (E) of this section, Food Employees may notcontact exposed, Ready-to-Eat Food with their bare hands and shall use suitable Utensils, such as deli tissue, spatulas, tongs, Single-Use gloves, or dispensing Equipment.

(C) Food Employees shall minimize bare hand and arm contact with exposed Food that is not in a Ready-to-Eat form.

(D) ¶ (B) of this section does not apply to a Food Employee that contacts exposed, Ready-to-Eat Food with his or her bare hands at the time the Ready-to-Eat Food is being added as an ingredient to a Food that:

(1) Contains a raw animal Food and is to be cooked in the Food or Eating Establishment to heat all parts of Food to the minimum temperatures specified in ¶¶ 3-401.11 (A)-(B) or §3-401.12; or

(2) Does not contain a raw animal Food but is to be cooked in the Food or Eating Establishment to heat all parts of the Food to a temperature of at least 74oC (165oF).

(E) Food Employees not serving a Highly Susceptible Population may contact exposed, Ready-to-Eat Food with their bare hands if:

(1) The Permit Holder obtains prior Approval from the Regulatory Authority;

(2) Written procedures are maintained in the Food or Eating Establishment and made available to the Regulatory Authority upon request that include:

(a) For each bare hand contact procedure, a listing of the specific Ready-to-Eat Foods that are touched by bare hands,

(b) Diagrams and other information showing that handwashing facilities, installed, located, equipped, and maintained as specified under §§ 5-203.11, 5-204.11, 5-205.11, 6-301.11, 6-301.12, and 6-301.14, are in an easily accessible location and in close proximity to the work station where the bare hand contact procedure is conducted;

(3) A written Employee health policy that details how the Food or Eating Establishment

complies with §§ 2-201.11, 2-201.12, and 2-201.13 including:

(a) Documentation that Food Employees and Conditional Employees acknowledge that they are informed to report information about their health and activities as they relate to gastrointestinal symptoms and diseases that are transmittable through Food as specified under ¶ 2-201.11(A),

(b) Documentation that Food Employees and Conditional Employees acknowledge their responsibilities as specified under ¶ 2-201.11(E) and (F), and

(c) Documentation that the Person in Charge acknowledges the responsibilities as specified under ¶¶ 2-201.11(B), (C) and (D), and §§ 2-201.12 and 2-201.13;

(4) Documentation that Food Employees acknowledge that they have received training in:

(a) The Risks of contacting the specific Ready-to-Eat Foods with bare hands,

(b) Proper handwashing as specified under § 2-301.12,

(c) When to wash their hands as specified under § 2-301.14,

(d) Where to wash their hands as specified under § 2-301.15,

(e) Proper fingernail maintenance as specified under § 2-302.11,

(f) Prohibition of jewelry as specified under § 2-303.11, and

(g) Good hygienic practices as specified under §§2-401.11 and 2-401.12;

(5) Documentation that hands are washed before Food preparation and as necessary to prevent cross contamination by Food Employees as specified under §§ 2-301.11, 2-301.12, 2-301.14, and 2-301.15 during all hours of operation when the specific Ready-to-Eat Foods are prepared;

(6) Documentation that Food Employees contacting Ready-to-Eat Food with bare hands use two or more of the following control measures to provide additional safeguards to Hazards associated with bare hand contact:

(a) Double handwashing,

(b) Nail brushes,

(c) A hand antiseptic after handwashing as specified under § 2-301.16,

(d) Incentive programs such as paid sick leave that assist or encourage Food Employees not to work when they are ill, or

(e) Other control measures Approved by the Regulatory Authority; and

(7) Documentation that corrective action is taken when Subparagraphs (E) (1) - (6) of this section are not followed.

3-301.12 Preventing Contamination when Tasting.* A Food Employee may not use a Utensil more than once to taste Food that is to be sold or served.

3-302 Preventing Food and Ingredient Contamination

3-302.11 Packaged and Unpackaged Food – Separation, Packaging, and Segregation

(A) Food shall be protected from cross contamination by:

(1) Except as specified in (1)(c) below, separating raw animal foods during storage, preparation, holding, and display from:

(a) Raw Ready-to-Eat Food, including other raw animal Food such as Fish for sushi or Molluscan Fish, or other raw Ready-to-Eat Food such as fruits and vegetables, and

(b) Cooked Ready-to-Eat Food;

(c) Frozen, commercially processed and packaged raw animal Food may be stored or displayed with or above frozen, commercially processed and packaged, ready-to-eat food.

(2) Except when combined as ingredients, separating types of raw animal Foods from each other such as beef, Fish, lamb, pork, and Poultry during storage, preparation, holding, and display by:

(a) Using separate Equipment for each type, *or

(b) Arranging each type of Food in Equipment so that cross contamination of one type with another is prevented, ^* and

(c) Preparing each type of Food at different times or in separate areas;^*

(3) Not storing and displaying Comminuted or otherwise non-intact Meats above whole-muscle intact cuts of Meat unless they are Packaged in a manner that precludes the potential for cross-contamination;

(4) Cleaning Equipment and Utensils as specified under ¶ 4‑602.11(A) and Sanitizing as specified under §4‑703.11;

(5) Except as specified under Subparagraph 3-501.15(B)(2) and in ¶ (B) of this section, storing the Food in packages, covered containers, or wrappings;

(6) Cleaning Hermetically Sealed Containers of Food of visible soil before opening;

(7) Protecting Food containers that are received Packaged together in a case or overwrap from cuts when the case or overwrap is opened;

(8) Storing damaged, spoiled, or recalled Food being held in the Food Establishment as specified under §6‑404.11; and

(9) Separating fruits and vegetables, before they are washed as specified under §3‑302.15 from Ready-to-Eat Food.

(B) Subparagraph (A)(4) of this section does not apply to:

(1) Whole, uncut, raw fruits and vegetables and nuts in the shells, that require peeling or hulling before consumption;

(2) Primal Cuts, quarters, or sides of raw Meat or slab bacon that are hung on clean, Sanitized hooks or placed on clean, Sanitized racks;

(3) Whole, uncut, processed Meats such as country hams, and smoked or cured sausages that are placed on clean, Sanitized racks;

(4) Food being cooled as specified under Subparagraph 3‑501.15(B)(2); or

(5) Shellstock.

3-302.12 Food Storage Containers, Identified with Common Name of Food.

Except for containers holding food that can be readily and unmistakably recognized, such as dry pasta, working containers holding food or food ingredients that are removed from their original packages for use in the Food or Eating Establishment, such as cooking oils, flour, herbs, potato flakes, salt, spices, and sugar, shall be identified with the common name of the food.

• 1. Pasteurized Eggs, Substitute for Raw Eggs for Certain Recipes.*

Pasteurized Eggs or Egg products shall be substituted for raw Eggs in the preparation of Foods such as Caesar salad, hollandaise or Béarnaise sauce, mayonnaise, eggnog, ice cream, and egg-fortified Beverages that are not:

(A) Cooked as specified under Subparagraphs 3‑401.11(A)(1) or (2); or

(B) Included in Subparagraph 3‑401.11(D).

3-302.14 Protection from Unapproved Additives.*

• 1. Food shall be protected from contamination that may result from the addition of, as specified in §3‑202.12:

(1) Unsafe or unapproved Food or Color Additives; and

(2) Unsafe or unapproved levels of Approved Food and Color Additives.

(B) A Food Employee may not:

• • • 1. Apply sulfiting agents to fresh fruits and vegetables intended for raw consumption or to a Food considered to be a good source of vitamin B1;, or 2. Except for grapes , serve or sell Food specified under Subparagraph (B)(1) of this section that is treated with sulfiting agents before receipt by the Food or Eating Establishment.

3-302.15 Washing Fruits and Vegetables.

(A) Except as specified in ¶ (B) of this section and except for whole,rawfruits and vegetables

that are intended for washing by the Consumer before consumption, raw fruits and vegetables shall be thoroughly washed in water to remove soil and other contaminants before being cut, combined with other ingredients, cooked, served, or offered for human consumption in Ready-to-Eat form.

(B) Fruits and vegetables may be washed by using chemicals as specified under §7‑204.12.

(C) Devices used for on-site generation of chemicals meeting the requirements specified in 21 CFR 173.315 (April 1, 2013 ed.), and chemicals used in the washing or to assist in the peeling of fruits and vegetables, for the washing of raw, whole fruits and vegetables, shall be used in accordance with the manufacturer’s instructions.

3-303 Preventing Contamination from Ice Used as a Coolant

3-303.11 Ice Used as Exterior Coolant, Prohibited as Ingredient.*

After use as a medium for cooling the exterior surfaces of Food such as melons or Fish, Packaged Foods such as canned Beverages, or cooling coils and tubes of Equipment, ice may not be used as Food.

3-303.12 Storage or Display of Food in Contact with Water or Ice.

(A) Packaged Food may not be stored in direct contact with ice or water if the Food is subject to the entry of water because of the nature of its packaging, wrapping, or container or its positioning in the ice or water.

(B) Except as specified in ¶¶ (C) and (D) of this section, unpackaged Food may not be stored in direct contact with undrained ice.

(C) Whole, raw fruits or vegetables; cut, raw vegetables such as celery or carrot sticks or cut potatoes; and tofu may be immersed in ice or water.

(D) Raw chicken and raw Fish that are received immersed in ice in shipping containers may remain in that condition while in storage awaiting preparation, display, service, or sale.

3-304 Preventing Contamination from Equipment, Utensils, and Linens

3-304.11 Food Contact with Equipment and Utensils.*

Food shall only contact surfaces of:

(A) Equipment and Utensils that are cleaned as specified under Part 4-6 of this Code and Sanitized as specified under Part 4-7 of this Code;

(B) Single-Service and Single-Use Articles; or

(C) Linens and napkins, as specified in § 3-304.13.

3-304.12 In-Use Utensils, Between-Use Storage.

During pauses in Food preparation or dispensing, Food preparation and dispensing Utensils shall be stored:

(A) Except as specified under ¶ (B) of this section, in the Food with their handles above the top of the Food and the container;

(B) In Food that is not Potentially Hazardous (Time/Temperature Control for Safety Food) with their handles above the top of the Food within containers or Equipment that can be closed, such as bins of sugar, flour, or cinnamon;

(C) On a clean portion of the Food preparation table or cooking Equipment, only if the in-use Utensil and the Food-Contact surface of the Food preparation table or cooking Equipment are cleaned and Sanitized at a frequency specified under §§4‑602.11 and 4‑702.11;

(D) In running water of sufficient velocity to flush particulates to the drain, if used with moist Food such as ice cream or mashed potatoes;

(E) In a clean, protected location if the Utensils, such as ice scoops, are used only with a Food that is not Potentially Hazardous (Time/Temperature Control for Safety Food); or

(F) In a container of water, if the water is maintained at a temperature of at least 57^oC (135^oF) and the container is cleaned at a frequency specified under Subparagraph 4-602.11(D)(7).

3-304.13 Linens and Napkins, Use Limitation.

Linens and napkins may not be used in contact with Food unless they are used to line a container for the service of Foods and the Linens and napkins are replaced each time the container is refilled for a new Consumer.

3-304.14 Wiping Cloths, Use Limitation.

(A) Cloths in-use for wiping Food spills from Tableware and carry-out containers that occur as Food is being served shall be:

(1) Maintained dry; and

(2) Used for no other purpose.

(B) Cloths in-use for wiping counters and other Equipment surfaces shall be:

(1) Held between uses in a chemical sanitizer solution at a concentration specified under § 4-501.114; and

(2) Laundered daily as specified under ¶ 4-802.11(D).

(C) Cloths in-use for wiping surfaces in contact with raw animal Foods shall be kept separate from cloths used for other purposes.

(D) Dry wiping cloths and the chemical sanitizing solutions, specified in Subparagraph (B)(1) of this section, in which wet wiping cloths are held between uses, shall be free of food debris and visible soil.

(E) Containers of chemical sanitizing solutions, specified in Subparagraph (B)(1) of this section in which wet wiping cloths are held between uses, shall be used in a manner that prevents contamination of Food, Equipment, Utensils, Linens, Single-Service, or Single-Use Articles.

(F) Single-Use disposable sanitizer wipes shall be used in accordance with EPA-approved manufacturer's label use instructions.

3-304.15 Gloves, Use Limitation.

(A) If used, Single-Use gloves shall be used for only one task such as working with Ready-to-Eat Food or with raw animal Food, used for no other purpose, and discarded when damaged or soiled, or when interruptions occur in the operation*

(B) Except as specified in ¶ (C) of this section, slash-resistant gloves that are used to protect the hands during operations requiring cutting shall be used in direct contact only with Food that is subsequently cooked as specified under Part 3-4 such as frozen Food or a Primal Cut of Meat.

(C) Slash-resistant gloves may be used with Ready-to-Eat Food that will not be subsequently cooked if the slash-resistant gloves have a Smooth, durable, and nonabsorbent outer surface; or if the slash-resistant gloves are covered with a Smooth, durable, nonabsorbent glove, or a Single-Use glove.

(D) Cloth gloves may not be used in direct contact with food unless the Food is subsequently cooked as required under Part 3-4 such as frozen Food or a Primal Cut of Meat.

3-304.16 Using Clean Tableware for Second Portions and Refills.

(A) Except for refilling a Consumer’s drinking cup or container without contact between the pouring Utensil and the lip-contact area of the drinking cup or container, Food Employees may not use Tableware, including Single-Service Articles, soiled by the Consumer, to provide second portions or refills.

(B) Except as specified in ¶ (C) of this section, self-service Consumers may not be allowed to use soiled Tableware, including Single-Service Articles, to obtain additional Food from the display and serving Equipment.

(C) Drinking cups and containers may be reused by self-service Consumers if refilling is a

contamination-free process as specified under ¶¶ 4‑204.13(A), (B), and (D).

3-304.17 Refilling Returnables.

(A) A take-home Food container returned to a Food Establishment may not be refilled at a Food or Eating Establishment with a Potentially Hazardous (Time/Temperature Control for Safety Food) .

(B) Except as specified in ¶ (C), a take-home Food container refilled with Food that is not Potentially Hazardous (Time/Temperature Control for Safety Food) shall be cleaned as specified under ¶ 4‑603.17(B).

(C) Personal take-out Beverage containers, such as thermally insulated bottles, nonspill coffee cups, and promotional Beverage glasses, may be refilled by Employees or the Consumer if refilling is a contamination-free process as specified under ¶¶ 4‑204.13(A), (B), and (D).

3-305 Preventing Contamination from the Premises

3-305.11 Food Storage.

(A) Except as specified in ¶¶ (B) and (C) of this section, Food shall be protected from contamination by storing the Food:

(1) In a clean, dry location;

(2) Where it is not exposed to splash, dust, or other contamination; and

(3) At least 15 cm (6 inches) above the floor.

(B) Food in packages and working containers may be stored less than 15 cm (6 inches) above the floor on case lot handling Equipment as specified under §4‑204.122.

(C) Pressurized Beverage containers, cased Food in waterproof containers such as bottles or cans, and milk containers in plastic crates may be stored on a floor that is clean and not exposed to floor moisture.

3-305.12 Food Storage, Prohibited Areas.

Food may not be stored:

(A) In locker rooms;

(B) In toilet rooms;

(C) In dressing rooms;

(D) In garbage rooms;

(E) In mechanical rooms;

(F) Under sewer lines that are not shielded to intercept potential drips;

(G) Under leaking water lines, including leaking automatic fire sprinkler heads, or under lines on which water has condensed;

(H) Under open stairwells; or

(I) Under other sources of contamination.

3-305.13 Vended Potentially Hazardous Food, (Time/Temperature Control for Safety Food), Original Container.

Potentially Hazardous (Time/Temperature Control for Safety Food) dispensed through a Vending Machine shall be in the package in which it was placed at the Food Establishment or Food Processing Plant at which it was prepared.

3-305.14 Food Preparation.

During preparation, unpackaged Food shall be protected from environmental sources of contamination.

3-306 Preventing Contamination by Consumers

3-306.11 Food Display.*

Except for nuts in the shell and whole, raw fruits and vegetables that are intended for hulling, peeling, or washing by the consumer before consumption, Food on display shall be protected from contamination by the use of packaging; counter, service line, or salad bar Food guards; display cases; or other effective means.

3-306.12 Condiments, Protection.

(A) Condiments shall be protected from contamination by being kept in dispensers that are designed to provide protection, protected Food displays provided with the proper Utensils, original containers designed for dispensing, or individual packages or portions.

(B) Condiments at a Vending Machine Location shall be in individual packages or provided in

dispensers that are filled at an Approved location, such as the Food or Eating Establishment that provides Food to the Vending Machine Location, a Food Processing Plant that is regulated by the agency that has jurisdiction over the operation, or a properly equipped facility that is located on the site of the Vending Machine Location.

3-306.13 Consumer Self-Service Operations.*

(A) Raw, unpackaged animal Food, such as beef, lamb, pork, Poultry, and Fish may not be offered for Consumer self-service. This paragraph does not apply to:

(1) Consumer self-service of Ready-to-Eat Foods at buffets or salad bars that serve Foods such as sushi or raw fish;

(2) Ready-to-cook individual portions for immediate cooking and consumption on the Premises such as Consumer-cooked Meats or Consumer-selected ingredients for Mongolian barbecue; or

(3) Raw, frozen, shell-on shrimp or lobster.

(B) Consumer self-service operations for Ready-to-Eat Foods shall be provided with suitable Utensils or effective dispensing methods that protect the Food from contamination.

(C) Consumer self-service operations such as buffets and salad bars shall be monitored by Food Employees trained in safe operating procedures.

3-306.14 Returned Food and Reservice of Food.*

(A) Except as specified in ¶ (B) of this section, after being served or sold and in the possession of a Consumer, Food that is unused or returned by the Consumer may not be offered as Food for human consumption.

(B) Except as specified under ¶ 3‑801.11(G) a container of Food that is not Potentially Hazardous (Time/Temperature Control for Safety Food) may be transferred from one Consumer to another if:

(1) The Food is dispensed so that it is protected from contamination and the container is closed between uses, such as a narrow-neck bottle containing catsup, steak sauce, or wine; or

(2) The Food, such as crackers, salt, or pepper, is in an unopened original Package and is maintained in sound condition.

3-307 Preventing Contamination from Other Sources

3-307.11 Miscellaneous Sources of Contamination.

Food shall be protected from contamination that may result from a factor or source not specified under Subparts 3‑301 - 3‑306.

3-4 DESTRUCTION OF ORGANISMS OF PUBLIC HEALTH CONCERN

3-401 Cooking

3-401.11 Raw Animal Foods.*

(A) Except as specified under ¶ (B) and in ¶¶ (C) and (D) of this section, raw animal Foods

such as Eggs, Fish, Meat, Poultry, and Foods containing these raw animal Foods, shall be cooked to heat all parts of the Food to a temperature and for a time that complies with one of the following methods based on the Food that is being cooked:

(1) 63oC (145oF) or above for 15 seconds for:

(a) Raw Eggs that are broken and prepared in response to a Consumer’s order and for immediate service, and

(b) Except as specified under Subparagraphs (A)(2) and (3) and ¶ (B) and in ¶ (C) of this section, Fish, Meat, and pork including Game Animals commercially raised for Food, as specified under Subparagraph 3‑201.17(A)(1), and Game Animals under a voluntary inspection program, as specified under Subparagraph 3‑201.17(A)(2);

(2) 68oC (155oF) for 15 seconds or the temperature specified in the following chart that corresponds to the holding time for ratites, Mechanically Tenderized, and Injected Meats; the following if they are Comminuted: Fish, Meat, Game Animals commercially raised for Food as specified under Subparagraph 3-201.17(A)(1), and Game Animals under a voluntary inspection program as specified under Subparagraph 3-201.17(A)(2); and raw Eggs that are not prepared as specified under Subparagraph (A)(1)(a) of this section:

Minimum Temperature Minimum Time

oC (oF)

63 (145)

3 minutes

66 (150)

1 minute

70 (158)

< 1 second (instantaneous)

; or

(3) 74oC (165oF) or above for 15 seconds for Poultry, wild Game Animals, stuffed Fish, stuffed Meat, stuffed pasta, stuffed Poultry, stuffed Ratites, or stuffing containing Fish, Meat, Poultry, or Ratites.

(B) Whole Meat roasts, including beef, corned beef, lamb, pork, and cured pork roasts such as ham, shall be cooked:

(1) In an oven that is preheated to the temperature specified for the roast's weight in the

following chart and that is held at that temperature:

Oven Type

Oven Temperature Based on Roast Weight

Less than 4.5 kg (10 lbs)

4.5 kg (10 lbs) or more

Still Dry

177oC (350oF) or more

121oC (250oF) or more

Convection

163oC (325oF) or more

121oC (250oF) or more

High Humidity1

121oC (250oF) or less

121oC (250oF) or less

1 Relative humidity greater than 90% for at least 1 hour as measured in the cooking chamber or exit of the oven; or in a moisture-impermeable bag that provides 100% humidity.

; and

(2) As specified in the following chart, to heat all parts of the Food to a temperature and for the

holding time that corresponds to that temperature:

Temperature °C (°F)

Time¹ in Minutes

Temperature °C (°F)

Time¹ in Seconds

54.4 (130)

112

63.9 (147)

134

55.0 (131)

89

65.0 (149)

85

56.1 (133)

56

66.1 (151)

54

57.2 (135)

36

67.2 (153)

34

57.8 (136)

28

68.3 (155)

22

58.9 (138)

18

69.4 (157)

14

60.0 (140)

12

70.0 (158)

0

61.1 (142)

8

62.2 (144)

5

62.8 (145)

4

¹ Holding time may include post oven heat rise .

(C) A raw or undercooked Whole-Muscle, Intact Beef steak may be served or offered for sale in a Ready-to-Eat form if:

(1) The Food or Eating Establishment serves a population that is not a Highly Susceptible Population,

(2) The steak is labeled to indicate that it meets the definition of “Whole-Muscle, Intact

Beef” as specified under ¶ 3-201.11(E), and

(3) The steak is cooked on both the top and bottom to a surface temperature of 63oC (145oF) or above and a cooked color change is achieved on all external surfaces.

(D) A raw animal Food such as raw Egg, raw Fish, raw-marinated Fish, raw Molluscan Shellfish, or steak tartare; or a partially cooked Food, such as lightly cooked Fish, soft cooked Eggs, or rare Meat other than Whole-Muscle, Intact Beef steaks as specified in ¶ (C) of this section, may be served or offered for sale in a Ready-to-Eat form if:

(1) As specified under ¶¶ 3-801.11(C)(1) and (2), the Food or Eating Establishment serves a population that is not a Highly Susceptible Population;

(2) The Food, if served or offered for service by Consumer selection from a children's menu, does not contain Comminuted Meat;

(3) The Consumer is informed as specified under §3-603.11 that to ensure its safety, the Food should be cooked as specified under ¶ (A) or (B) of this section; or

(4) The Regulatory Authority grants a Variance from ¶ (A) or (B) of this section as specified in §8-103.10 based on a HACCP Plan that:

(a) Is submitted by the Permit Holder and approved as specified under §8-103.11,

(b) Documents scientific data or other information showing that a lesser time and temperature regimen results in a safe Food, and

(c) Verifies that Equipment and procedures for Food preparation and training of Food Employees at the Food or Eating Establishment meet the conditions of the Variance.

3-401.12 Microwave Cooking.*

Raw animal Foods cooked in a microwave oven shall be:

• 1. Rotated or stirred throughout or midway during cooking to compensate for uneven distribution of heat; 2. Covered to retain surface moisture; 3. Heated to a temperature of at least 74oC (165oF) in all parts of the Food; and 4. Allowed to stand covered for 2 minutes after cooking to obtain temperature equilibrium.

3-401.13 Plant Food Cooking for Hot Holding.

Fruits and vegetables that are cooked for hot holding shall be cooked to a temperature of 57 oC (135 oF).

3-401.14 Non-Continuous Cooking of Raw Animal Foods

Raw animal Foods that are cooked using a Non-Continuous Cooking process shall be:

(A) Subject to an initial heating process that is no longer than sixty minutes in duration; ^*

(B) Immediately after initial heating, cooled according to the time and temperature parameters specified for cooked Potentially Hazardous Food (Time/Temperature Control for Safety Food) under ¶ 3-501.14(A); ^*

(C) After cooling, held frozen or cold, as specified for Potentially Hazardous Food (Time/Temperature Control for Safety Food) under ¶ 3-501.16(A)(2);^*

(D) Prior to sale or service, cooked using a process that heats all parts of the Food to a temperature for 15 seconds for full lethality based on the specific product requirements in Section 3-401.11(A)-(C) of this Food Code. No consumer advisory may be used for non-continuous cooking; ^*

(E) Cooled according to the time and temperature parameters specified for cooked Potentially Hazardous Food (Time/Temperature Control for Safety Food) under ¶ 3-501.14(A), if not either hot, held as specified under ¶3-501.16(A), served immediately, or held using time as a public health control, as specified under § 3-501.19 after complete cooking; ^* and

(F) Prepared and stored according to written procedures that:

(1) Have obtained prior approval from the Regulatory Authority;

(2) Are maintained in the Food or Eating Establishment and are available to the Regulatory Authority upon request;

(3) Describe how the requirements, specified under ¶ (A)-(E) of this Section are to be monitored and documented by the Permit Holder, and the corrective actions to be taken if the requirements are not met;

(4) Describe how the Foods, after initial heating, but prior to complete cooking, are to be marked or otherwise identified as Foods that must be cooked as specified under ¶ (D) of this section prior to being offered for sale or service; and

(5) Describe how the Foods, after initial heating but prior to cooking as specified under ¶(D) of this section, are to be separated from Ready-to-Eat Foods as specified under ¶ 3-302.11 (A).

3-402 Freezing

3-402.11 Parasite Destruction.*

(A) Except as specified in ¶ (B) of this section, before service or sale in Ready-to-Eat form, raw, raw-marinated, partially cooked, or marinated-partially cooked Fish shall be:

(1) Frozen and stored at a temperature of -20oC (-4oF) or below for a minimum of 168 hours (7 days) in a freezer;

(2) Frozen at -35oC (-31oF) or below until solid and stored at -35oC (-31oF) or below for a minimum of 15 hours; or

(3) Frozen at -35°C (-31°F) or below until solid and stored at -20°C (-4°F) or below for a minimum of 24 hours.

(B) Paragraph (A) of this section does not apply to:

(1) Molluscan Shellfish;

(2) Tuna of the species Thunnus alalunga, Thunnus albacares (Yellowfin tuna), Thunnus atlanticus, Thunnus maccoyii (Bluefin tuna, Southern), Thunnus obesus (Bigeye tuna), or Thunnus thynnus (Bluefin tuna, Northern); or

(3) Aquacultured Fish, such as salmon, that:

(a) If raised in open water, are raised in net-pens, or

(b) Are raised in land-based operations such as ponds or tanks, and

(c) Are fed formulated feed, such as pellets, that contains no live parasites infective to the aquacultured Fish.

(4) Fish eggs that have been removed from the skein and rinsed.

3-402.12 Records, Creation and Retention.

(A) Except as specified in ¶ 3-402.11(B) and ¶ (B) of this section, if raw, raw-marinated, partially cooked, or marinated-partially cooked Fish are served or sold in Ready-to-Eat form, the Person in Charge shall record the freezing temperature and time to which the Fish are subjected and shall retain the records at the Food or Eating Establishment for 90 calendar days beyond the time of service or sale of the Fish.

(B) If the Fish are frozen by a supplier, a written agreement or statement from the supplier stipulating that the Fish supplied are frozen to a temperature and for a time specified under §3‑402.11 may substitute for the records specified under ¶ (A) of this section.

(C) If raw, raw-marinated, partially cooked, or marinated-partially cooked Fish are served or sold in Ready-to-Eat form, and the Fish are raised and fed as specified in Subparagraph 3-402.11(B)(3), a written agreement or statement from the supplier or aquaculturist stipulating that the Fish were raised and fed as specified in Subparagraph 3-402.11(B)(3) shall be obtained by the Person in Charge and retained in the records of the Food Establishment for 90 calendar

days beyond the time of service or sale of the Fish.

3-403 Reheating

3-403.10 Preparation for Immediate Service. Cooked and refrigerated Food that is prepared

for immediate service in response to an individual Consumer order, such as a roast beef sandwich au jus, may be served at any temperature.

3-403.11 Reheating for Hot Holding.

(A) Except as specified under ¶¶ (B) and (C) and in ¶ (E) of this section, Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is cooked, cooled, and reheated for hot holding shall be reheated so that all parts of the Food reach a temperature of at least 74oC (165oF) for 15 seconds. *****

• 1. Except as specified under ¶ (C) of this section, Potentially Hazardous Food

(Time/Temperature Control for Safety Food) reheated in a microwave oven for hot holding shall be reheated so that all parts of the Food reach a temperature of at least 74oC (165oF) and the Food is rotated or stirred, covered, and allowed to stand covered for 2 minutes after reheating. *****

(C) Ready-to-Eat Food taken from a commercially processed, Hermetically Sealed Container, or from an intact package from a Food Processing Plant that is inspected by the Food Regulatory Authority that has jurisdiction over the plant, shall be heated to a temperature of at least 57 oC (135 oF) for hot holding. *****

(D) Reheating for hot holding as specified under ¶¶ (A) - (C) of this section shall be done rapidly and the time the Food is between 5ºC (41ºF) and the temperatures specified under ¶¶ (A) - (C) of this section may not exceed 2 hours. *****

(E) Remaining unsliced portions of roasts of beef that are cooked as specified under ¶ 3‑401.11(B) may be reheated for hot holding using the oven parameters and minimum time and temperature conditions specified under 3‑401.11(B).

3-5 LIMITATION OF GROWTH OF ORGANISMS OF PUBLIC HEALTH CONCERN

3-501 Temperature and Time Control

3-501.11 Frozen Food.

Stored frozen Foods shall be maintained frozen.

3-501.12 Potentially Hazardous Food, (Time/Temperature Control for Safety Food), Slacking.

Frozen Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is slacked to moderate the temperature shall be held:

(A) Under refrigeration that maintains the Food temperature at 5oC (41oF) or less; or

(B) At any temperature if the Food remains frozen.

3-501.13 Thawing.

Except as specified in ¶ (D) of this section, Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be thawed:

(A) Under refrigeration that maintains the Food temperature at 5oC (41oF) or less; or

(B) Completely submerged under running water:

(1) At a water temperature of 21oC (70oF) or below,

(2) With sufficient water velocity to agitate and float off loose particles in an overflow, and

(3) For a period of time that does not allow thawed portions of Ready-to-Eat Food to rise above 5oC (41oF), or

(4) For a period of time that does not allow thawed portions of a raw animal Food requiring cooking as specified under ¶ 3‑401.11(A) or (B) to be above 5oC (41oF), or 7oC (45oF) as specified under ¶ 3‑501.16(C), for more than 4 hours including:

(a) The time the Food is exposed to the running water and the time needed for preparation for cooking, or

(b) The time it takes under refrigeration to lower the Food temperature to 5oC (41oF),;

(C) As part of a cooking process if the Food that is frozen is:

(1) Cooked as specified under ¶ 3‑401.11(A) or (B) or §3‑401.12, or

(2) Thawed in a microwave oven and immediately transferred to conventional cooking Equipment, with no interruption in the process; or

(D) Using any procedure if a portion of frozen Ready-to-Eat Food is thawed and prepared for immediate service in response to an individual Consumer’s order.

3-501.14 Cooling.*

(A) Cooked Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be cooled:

(1) Within 2 hours, from 57 oC (135 oF) to 21oC (70oF); and

(2) Within a total of 6 hours, from 57 oC (135 oF) to 5oC (41oF) or less.

(B) Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be cooled

within 4 hours to 5oC (41oF) or less, if prepared from ingredients at ambient temperature, such as reconstituted Foods and canned tuna.

(C) Except as specified in ¶ (D) of this section, a Potentially Hazardous Food (Time/Temperature Control for Safety Food)received in compliance with laws allowing a temperature above 5oC (41oF) during shipment from the supplier as specified in ¶ 3-202.11(B),

shall be cooled within 4 hours to 5oC (41oF) or less.

(D) Raw Eggs shall be received as specified under ¶ 3-202.11(C) and immediately placed in refrigerated Equipment that maintains an ambient air temperature of 7^oC (45^oF) or less. Eggs need not comply with ¶ (C) of this section if the Eggs are placed immediately upon their receipt in refrigerated Equipment that is capable of maintaining Food at 5oC (41oF) or less, or 7oC (45oF) or less as specified under ¶ 3-501.16(C).

3-501.15 Cooling Methods.

(A) Cooling shall be accomplished in accordance with the time and temperature criteria specified under §3‑501.14 by using one or more of the following methods based on the type of Food being cooled:

(1) Placing the Food in shallow pans;

(2) Separating the Food into smaller or thinner portions;

(3) Using rapid cooling Equipment;

(4) Stirring the Food in a container placed in an ice water bath;

(5) Using containers that facilitate heat transfer;

(6) Adding ice as an ingredient; or

(7) Other effective methods.

(B) When placed in cooling or cold holding Equipment, Food containers in which Food is being cooled shall be:

(1) Arranged in the Equipment to provide maximum heat transfer through the container walls; and

(2) Loosely covered, or uncovered if protected from overhead contamination as specified under Subparagraph 3‑305.11(A)(2), during the cooling period to facilitate heat transfer from the surface of the food.

3-501.16 Potentially Hazardous Food, (Time/Temperature Control for Safety Food) Hot and Cold Holding.*

(A) Except during preparation, cooking, or cooling, or when time is used as the public health control as specified under §3‑501.19 , and except as specified under ¶ (B) and in ¶ (C) of this section, Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be maintained:

(1) At 57 oC (135 oF) or above, except that roasts cooked to a temperature and for a time specified under ¶ 3‑401.11(B) or reheated as specified in ¶ 3-403.11(E) may be held at a temperature of 54oC (130oF); or

(2) At 5oC (41oF) or less.

( B) Eggs that have not been treated to destroy all viable Salmonellae shall be stored in refrigerated Equipment that maintains an ambient air temperature of 7°C (45°F) or less.

(C) Potentially Hazardous Food (Time/Temperature Control for Safety Food) in a homogenous liquid form may be maintained outside of the temperature control requirements, as specified under ¶ (A) of this section, while contained within specially designed Equipment that complies with the design and construction requirements as specified under ¶ 4-204.13(E).

3-501.17 Ready-to-Eat, Potentially Hazardous Food, (Time/Temperature Control for Safety Food) Date Marking.*

(A) Except when Packaging Food using a Reduced Oxygen Packaging method as specified under § 3-502.12, and except as specified in ¶¶ (D) and (E) of this section, refrigerated, Ready-to-Eat Potentially Hazardous Food (Time/Temperature Control for Safety Food) prepared and held in a Food Establishment for more than 24 hours shall be clearly marked to indicate the date or day by which the Food shall be consumed on the Premises, sold, or discarded when held at a temperature of 5ºC (41ºF) or less for a maximum of 7 days. The day of preparation shall be counted as Day 1.

(B) Except as specified in ¶¶ (D) - (F) of this section, refrigerated, Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) prepared and Packaged by a Food Processing Plant shall be clearly marked, at the time the original container is opened in a Food Establishment. If the Food is held for more than 24 hours, it shall indicate the date or day by which the Food shall be consumed on the Premises, sold, or discarded, based on the temperature and time combinations specified in ¶ (A) of this section and:

(1) The day the original container is opened in the Food or Eating Establishment shall be counted as Day 1; and

(2) The day or date marked by the Food or Eating Establishment may not exceed a manufacturer's use-by date if the manufacturer determined the use-by date based on Food safety.

(C) A refrigerated, Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) ingredient or a portion of a refrigerated, Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is subsequently combined with additional ingredients or portions of Food shall retain the date marking of the earliest-prepared or first-prepared ingredient.

(D) A date marking system that meets the criteria stated in ¶¶ (A) and (B) of this section may include:

(1) Using a method Approved by the Regulatory Authority for refrigerated, Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is frequently rewrapped, such as lunchmeat or a roast, or for which date marking is impractical, such as soft serve mix or milk in a dispensing machine;

(2) Marking the date or day of preparation, with a procedure to discard the Food on or

before the last date or day by which the Food must be consumed on the premises,

sold, or discarded as specified under ¶ (A) of this section;

(3) Marking the date or day the original container is opened in a Food or Eating Establishment, with a procedure to discard the Food on or before the last date or day by which the Food must be consumed on the premises, sold, or discarded as specified under ¶ (B) of this section; or

(4) Using calendar dates, days of the week, color-coded marks, or other effective marking methods, provided that the marking system is disclosed to the Regulatory Authority upon request.

(E) Paragraphs (A) and (B) of this section do not apply to individual meal portions served or repackaged for sale from a bulk container upon a consumer's request.

(F) Paragraph (B) of this section does not apply to the following foods prepared and Packaged by a Food Processing Plant inspected by a Regulatory Authority:

1. Deli salads, such as ham salad, seafood salad, chicken salad, egg salad, pasta salad, potato salad, and macaroni salad, manufactured in accordance with 21 CFR 110 (Current good manufacturing practice in manufacturing, packing, or holding human food)(2012 ed.);
2. Hard cheeses containing not more than 39% moisture as defined in 21 CFR 133 (Cheeses and related cheese products), such as cheddar, gruyere, parmesan and reggiano, and romano)(2012 ed.);
3. Semi-soft cheeses containing more than 39% moisture, but not more than 50% moisture, as defined in 21 CFR 133 (Cheeses and related cheese products)(2012 ed.), such as blue, edam, gorgonzola, gouda, and monterey jack;
4. Cultured dairy products as defined in 21 CFR 131 (Milk and cream)(2012 ed.), such as yogurt, sour cream, and buttermilk;
5. Preserved Fish products, such as pickled herring and dried or salted cod, and other acidified Fish products defined in 21 CFR 114 (Acidified foods)(2012 ed.);
6. Shelf stable, dry fermented sausages, such as pepperoni and Genoa salami that are not labeled "Keep Refrigerated" as specified in 9 CFR 317 (Labeling, marking devices, and containers)(2012 ed.), and which retain the original casing on the product;
7. Shelf stable salt-cured products such as prosciutto and Parma (ham) that are not labeled "Keep Refrigerated" as specified in 9 CFR 317 (Labeling, marking devices, and containers)(2012 ed.); and
8. Raw, Live In-Shell Shellstock.

3-501.18 Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food), Disposition.*

(A) A Food specified in ¶ 3-501.17(A) or (B) shall be discarded if it:

(1) Exceeds the temperature and time combination specified in ¶ 3-501.17(A), except time that the product is frozen

(2) Is in a container or Package that does not bear a date or day; or

(3) Is appropriately marked with a date or day that exceeds a temperature and time combination as specified in ¶ 3-501.17(A).

(B) Refrigerated, Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) prepared in a Food or Eating Establishment and dispensed through a Vending Machine with an automatic shutoff control shall be discarded if it exceeds a temperature and time combination as specified in ¶ 3-501.17(A).

3-501.19 Time as a Public Health Control.*

(A) Except as specified under ¶ (D) of this section, if time without temperature control is used as the public health control for a working supply of Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) before cooking, or for Ready-to-Eat, Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is displayed or held for service for sale or service:

(1) Written procedures shall be prepared in advance, maintained in the Food or Eating Establishment, and made available to the Regulatory Authority upon request that specify:

(a) Methods of compliance with Subparagraphs (B)(1) -(3) or C)(1)-(5) of this section;

(b) Methods of compliance with § 3-501.14 for food that is prepared, cooked, and refrigerated before time is used as a public health control.

(B) If time without temperature control is used as the public health control up to a maximum of 4 hours:

(1) The Food shall have an initial temperature of 5ºC (41ºF) or less when removed from cold holding temperature control, or 57°C (135°F) or greater when removed from hot holding temperature control; ^*

(2) The Food shall be marked or otherwise identified to indicate the time that is 4 hours past the point in time when the Food is removed from temperature control;

(3) The Food shall be cooked and served, served at any temperature if Ready-to-Eat, or discarded, within 4 hours from the point in time when the Food is removed from temperature control; ^* and

(4) The Food in unmarked containers or Packages, or marked to exceed a 4-hour limit shall be discarded. ^*

(C) If time without temperature control is used as the public health control up to a maximum of 6 hours:

(1) The Food shall have an initial temperature of 5ºC (41ºF) or less when removed from temperature control and the Food temperature may not exceed 21ºC (70ºF) within a maximum time period of 6 hours; ^*

(2) The Food shall be monitored to ensure the warmest portion of the Food does not exceed 21ºC (70ºF) during the 6-hour period, unless an ambient air temperature is maintained that ensures the Food does not exceed 21ºC (70ºF) during the 6-hour holding period;

(3) The Food shall be marked or otherwise identified to indicate:

(a) The time when the Food is removed from 5ºC (41ºF) or less cold holding temperature control, and

(b) The time that is 6 hours past the point in time when the Food is removed from cold holding temperature control;

(4) The Food shall be:

(a) Discarded if the temperature of the Food exceeds 21°C (70°F), ^* or

(b) Cooked and served, served at any temperature if Ready-to-Eat, or discarded within a maximum of 6 hours from the point in time when the Food is removed from 5ºC (41ºF) or less cold holding temperature control; ^* and

(5) The Food in unmarked containers or Packages, or marked with a time that exceeds the 6-hour limit shall be discarded. *

(D) A Food or Eating Establishment that serves a Highly Susceptible Population may not use time as specified under ¶¶ (A), (B) or (C) of this section as the public health control for raw Eggs.

3-502 Specialized Processing Methods

3-502.11 Variance Requirement.*

A Food or Eating Establishment shall obtain a Variance from the Regulatory Authority, as specified in §8‑103.10 and under §8‑103.11 before:

(A) Smoking Food as a method of Food preservation rather than as a method of flavor enhancement;

(B) Curing Food;

(C) Using Food Additives or adding components such as vinegar:

(1) As a method of Food preservation rather than as a method of flavor enhancement ,or

(2) To render a Food so that it is not Potentially Hazardous Food (Time/Temperature Control for Safety Food);

(D) Packaging Food using a Reduced Oxygen Packaging method, except where the growth of, and toxin formation by Clostridium botulinum ; and the growth of Listeria monocytogenes are controlled as specified under §3‑502.12;

• 1. Operating a Molluscan Shellfish life-support system display tank used to store or display shellfish that are offered for human consumption;

(F) Custom processing animals that are for personal use as Food and not for sale or service in a Food or Eating Establishment;

(G) Preparing Food by another method that is determined by the Regulatory Authority to require a Variance; or

(H) Sprouting seeds or beans.

3-502.12 Reduced Oxygen Packaging, Criteria.*

(A) Except for a Food or Eating Establishment that obtains a Variance as specified under §3-502.11, a Food or Eating Establishment that packages Potentially Hazardous Food (Time/Temperature Control for Safety Food) using a Reduced Oxygen Packaging method shall control the growth and toxin formation of Clostridium botulinum and the growth of Listeria monocytogenes.

(B) A Food or Eating Establishment that packages Potentially Hazardous Food (Time/Temperature Control for Safety Food) using a Reduced Oxygen Packaging method shall have a HACCP Plan that contains the information specified under ¶ 8‑201.14(D) and that:

(1) Identifies the Food to be Packaged;

(2) Except as specified under ¶¶ (C) - (E) of this section, requires that the Packaged Food shall be maintained at 5°C (41°F) or less and meet at least one of the following criteria:

(a) Has an a_w of 0.91 or less,

(b) Has a pH of 4.6 or less,

(c) Is a Meat or Poultry product cured at a Food Processing Plant regulated by the USDA using substances specified in 9 CFR 424.21, (Use of food ingredients and sources of radiation)(2012 ed.), and is received in an intact Package,or

(d) Is a food with a high level of competing organisms such as raw meat, raw poultry, or raw vegetables;

(3) Describes how the packages shall be prominently and conspicuously labeled on the principal display panel in bold type on a contrasting background, with instructions to:

(a) Maintain the Food at 5oC (41oF) or below, and

(b) Discard the Food if within 14 calendar days of its packaging it is not served for on-premises consumption, or consumed if served or sold for off-premises consumption;

(4) Limits the shelf life to no more than 14 calendar days from packaging to consumption, except the time the product is maintained frozen, or the original manufacturer's "sell by" or "use by" date, whichever occurs first;

(5) Includes operational procedures that:

(a) Prohibit contacting Ready-to-Eat Food with bare hands, as specified under ¶ 3-301.11(B),

(b) Identify a designated area and the method by which:

1. Physical barriers or methods of separation of raw Foods and Ready-to-Eat Foods minimize cross contamination, and
2. Access to the processing Equipment is restricted to responsible trained personnel familiar with the potential Hazards of the operation, and

(c) Delineate cleaning and Sanitization procedures for Food-Contact Surfaces; and

(6) Describes the training program that ensures that the individual responsible for the Reduced Oxygen Packaging operation understands the:

(a) Concepts required for a safe operation,

(b) Equipment and facilities, and

(c) Procedures specified under Subparagraph (B)(5) of this section and ¶ 8‑201.14(D).

• 1. Except for Fish that is frozen before, during, and after packaging, a Food or Eating Establishment may not package Fish using a Reduced Oxygen Packaging method. 2. Except as specified under ¶ (C) of this section, a Food or Eating Establishment that packages

Food using a cook-chill or sous vide process shall:

(1) Implement a HACCP Plan that contains the information as specified under ¶ 8-201.14(D);

(2) Ensure the Food is:

(a) Prepared and consumed on the premises, or prepared and consumed off the premises but within the same business entity, with no distribution or sale of the packaged product to another business entity or the Consumer,

(b) Cooked to heat all parts of the Food to a temperature and for a time as specified under § 3-401.11,

(c) Protected from contamination before and after cooking as specified under Parts 3-3 and 3-4,

(d) Placed in a package with an oxygen barrier and sealed before cooking, or placed in a package and sealed immediately after cooking and before reaching a temperature below 57°C (135°F),

(e) Cooled to 5°C (41°F) in the sealed package or bag, as specified under § 3-501.14, and subsequently:

(i) Cooled to 1°C (34°F) within 48 hours of reaching 5°C (41°F) and held at that temperature until consumed or discarded within 30 days after the date of packaging;

(ii) Cooled to 1°C (34°F) within 48 hours of reaching 5°C (41°F), removed from refrigeration equipment that maintains a 1°C (34°F) food temperature and then held at 5°C (41°F) or less for no more than 72 hours, at which time the Food must be consumed or discarded;

(iii) Cooled to 3°C (38°F) or less within 24 hours of reaching 5°C (41°F) and held there for no more than 72 hours from Packaging, at which time the Food must be consumed or discarded; or

(iv) Held frozen with no shelf life restriction while frozen until consumed or used.

(f) Held in a refrigeration unit that is equipped with an electronic system that continuously monitors time and temperature and is visually examined for proper operation twice daily,

(g) If transported off-site to a satellite location of the same business entity, equipped with verifiable electronic monitoring devices to ensure that times and temperatures are monitored during transportation, and

(h) Labeled with the product name and the date packaged; and

(3) Maintain the records required to confirm that cooling and cold holding refrigeration time/temperature parameters are required as part of the HACCP Plan and:

(a) Make such records available to the Regulatory Authority upon request, and

(b) Hold such records for at least 6 months; and

(4) Implement written operational procedures as specified under Subparagraph (B)(5) of this section and a training program as specified under Subparagraph (B)(6) of this section.

(E) A Food Establishment that packages cheese using a Reduced Oxygen Packaging method shall:

(1) Limit the cheeses packaged to those that are (1) commercially manufactured in a Food Processing Plant; (2) with no ingredients added in the Food Establishment; and (3)

that meet the Standards of Identity as specified in 21 CFR 133.150 (Hard cheeses)(2012 ed.), 21 CFR 133.169 (Pasteurized process cheese)(2012 ed.) or 21 CFR 133.187 (Semisoft cheeses)(2012 ed.); ^*

(2) Have a HACCP Plan that contains the information specified under ¶ 8-201.14(D) and as specified under ¶¶ (B)(1), (B)(3)(a), (B)(5) and (B)(6) of this section;

(3) Labels the package on the principal display panel with a "use by" date that does not exceed 30 days from its packaging or the original manufacturer's "sell by" or "use by" date, whichever occurs first; and

(4) Discards the Reduced Oxygen Packaged cheese, if it is not sold for off-premises consumption or consumed within 30 calendar days of its packaging.

3-6 FOOD IDENTITY, PRESENTATION, AND ON-PREMISES LABELING

3-601 Accurate Representation

• 1. Standards of Identity.

Packaged Food shall comply with standard of identity requirements in 21 CFR 131-169 and 9 CFR 319 (Definitions and Standards of Identity or Composition)(2012 ed.), and the general requirements in 21 CFR 130 (Food Standards: General)(2012 ed.) and 9 CFR 319 (Subpart A – General)(2012 ed.).

3-601.12 Honestly Presented.

(A) Food shall be offered for human consumption in a way that does not mislead or misinform the Consumer.

(B) Food or Color Additives, colored overwraps, or lights may not be used to misrepresent the true appearance, color, or quality of a Food.

(C) No food containing surimi or surimi product may be served for consumption on or off premises, unless on the menu and all notices advertising the Food it is clearly and conspicuously labeled as “imitation lobster”, imitation crab”, “imitation” followed by the name of the seafood imitated , “processed seafood”, “surimi”, “lobster-processed seafood salad”, “crab-processed seafood salad” or other terms as approved by the Maine Department of Marine Resources.

(D) A Food is deemed to be misbranded if a Food or Eating Establishment sells, offers for sale or serves in any Food or Eating Establishment any Food or Food Product, whether or not in packaged form, to which that person has added monosodium glutamate, unless:

(1) The package in which that Food or Food Product is offered for sale conspicuously bears a label or stamp indicating that the Food or Food Product contains monosodium glutamate;

(2) When the Food or Food Product is offered for consumption and is not packaged, a conspicuous label or sign is place on the Food, immediately next to the Food, immediately next to the Food’s listing on the menu, or in an open manner where the Food order or Food Product is obtained, indicating that the Food or Food Product contains monosodium glutamate; or

(3) There is a conspicuously displayed directory to which consumers can refer for information on the contents of unpackaged products for sale.

3-602 Labeling

3-602.11 Food Labels.

(A) Food Packaged in a Food or Eating Establishment, shall be labeled as specified in Law, including 21 CFR 101 - Food Labeling, and 9 CFR 317 Labeling, Marking Devices, and Containers.

(B) Label information shall include:

(1) The common name of the food, or absent a common name, an adequately descriptive identity statement;

(2) If made from two or more ingredients, a list of ingredients in descending order of predominance by weight, including a declaration of artificial color, or flavor and chemical preservatives, if contained in the food;

(3) An accurate declaration of the quantity of contents;

(4) The name and place of business of the manufacturer, packer, or distributor; and

(5) The name of the food source for each Major Food Allergen contained in the food, unless the food source is already part of the common or usual name of the respective ingredient (Effective January 1, 2006).

(6) Except as exempted in the Federal Food, Drug, and Cosmetic Act §403(Q)(3)-(5), nutrition labeling as specified in 21 CFR 101(Food Labeling)(2012 ed.) and 9 CFR 317 Subpart B (Nutrition Labeling)(2012 ed.).

(7) For any salmonid Fish containing canthaxanthin as a Color Additive, the labeling of the bulk Fish container, including a list of ingredients, displayed on the retail container or by other written means, such as a counter card, that discloses the use of canthaxanthin.

(C) Bulk Food that is available for Consumer self-dispensing shall be prominently labeled with the following information in plain view of the Consumer:

(1) The manufacturer's or processor's label that was provided with the Food; or

(2) A card, sign, or other method of notification that includes the information specified under Subparagraphs (B)(1), (2), and (5) of this section.

(D) Bulk unpackaged Foods such as bakery products and unpackaged Foods that are portioned to Consumer specification need not be labeled if:

(1) A health, nutrient content, or other claim is not made;

(2) There are no state or local Laws requiring labeling; and

(3) The Food is manufactured or prepared on the Premises of the Food or Eating Establishment or at another Food or Eating Establishment or a Food Processing Plant that is owned by the same Person and is regulated by the Food regulatory agency that has jurisdiction.

3-602.12 Other Forms of Information.

(A) If required by Law, Consumer warnings shall be provided.

(B) Food Establishment or manufacturers' dating information on Foods may not be concealed or altered.

3-603 Consumer Advisory

3-603.11 Consumption of Animal Foods that are Raw, Undercooked, or Not Otherwise Processed to Eliminate Pathogens.*

(A) Except as specified in ¶ 3-401.11(C) and Subparagraph3-401.11(D)(4) and under ¶ 3-801.11 (C), if an animal Food such as Beef, Eggs, Fish, lamb, milk, pork, Poultry, or shellfish is served raw, undercooked, or without otherwise being processed to eliminate pathogens, either in Ready-to-Eat form or as an ingredient in another Ready-to-Eat Food, the Permit Holder shall inform Consumers of the significantly increased risk of consuming such Foods by way of a Disclosure and Reminder, as specified in ¶¶ (B) and (C) of this section, using brochures, deli case or menu advisories, label statements, table tents, placards, or other effective written means.

(B) Disclosure shall include:

(1) A description of the animal-derived Foods, such as "oysters on the halfshell (raw oysters)," "raw-Egg Caesar salad," and "hamburgers (can be cooked to order)"; or

(2) Identification of the animal-derived Foods by asterisking them to a footnote that states that the items are served raw or undercooked, or contain (or may contain) raw or undercooked ingredients.

(C) A reminder shall include asterisking the animal-derived Foods requiring Disclosure to a footnote that states:

(1) Regarding the safety of these items, written information is available upon request;

(2) Consuming raw or undercooked Meats, Poultry, seafood, shellfish, or Eggs may increase your Risk of foodborne illness; or

(3) Consuming raw or undercooked Meats, Poultry, seafood, shellfish, or Eggs may increase your Risk of foodborne illness, especially if you have certain medical conditions.

3-7 CONTAMINATED FOOD

3-701 Disposition

3-701.11 Discarding or Reconditioning Unsafe, Adulterated, or Contaminated Food.*

(A) A Food that is unsafe, Adulterated, or not honestly presented as specified under §3‑101.11 shall be reconditioned according to an Approved procedure.

(B) Food that is not from an Approved source as specified under §§3‑201.11 through 3-201.17 shall be discarded.

(C) Ready-to-Eat Food that may have been contaminated by an Employee who has been restricted or excluded as specified under §2‑201.12 shall be discarded.

(D) Food that is contaminated by Food Employees, Consumers, or other Persons through contact with their hands, bodily discharges, such as nasal or oral discharges, or other means shall be discarded.

3-8 SPECIAL REQUIREMENTS FOR HIGHLY SUSCEPTIBLE POPULATIONS

3-801 Additional Safeguards

3-801.11 Pasteurized Foods, Prohibited Reservice, and Prohibited Food.*

In a Food or Eating Establishment that serves a Highly Susceptible Population:

(A) The following criteria apply to Juice:

(1) For the purposes of this paragraph only, children who are age 9 or less and receive Food in a school, day care setting, or similar facility that provides custodial care, are included as Highly Susceptible Populations;

(2) PrePackaged Juice or a prepackaged Beverage containing Juice, that bears a warning label as specified in 21 CFR, 101.17(g) (Food labeling, warning, notice, and safe handling statements) (2012 ed.), Juices that have not been specifically processed to prevent, reduce, or eliminate the presence of pathogens, or a Packaged Juice or Beverage containing Juice, that bears a warning label as specified under ¶ 3-401.11(A)(1) may not be served or offered for sale; and

(3) UnPackaged Juice that is prepared on the premises for service or sale in a Ready-to-Eat form shall be processed under a HACCP Plan that contains the information specified under ¶¶ 8-201.14(B) - (E) and as specified in 21 CFR Part 120 (Hazard Analysis and Critical Control Point (HACCP) Systems), Subpart B (Pathogen Reduction), 120.24 (Process controls)(2012 ed.).

(B) Pasteurized Eggs or Egg Products or pasteurized liquid, frozen, or dry Eggs or Egg Products shall be substituted for raw Eggs in the preparation of:

(1) Foods such as Caesar salad, hollandaise or Béarnaise sauce, mayonnaise, meringue, egg nog, ice cream, and egg-fortified Beverages, and

(2) Except as specified in ¶ (F) of this section, recipes in which more than one Egg is broken and the Eggs are combined;

(C) The following Foods may not be served or offered for sale in a Ready-to-Eat form:

(1) Raw animal Foods, such as raw Fish, raw-marinated Fish, raw Molluscan Shellfish, and steak tartare,

(2) A partially cooked animal Food, such as lightly cooked Fish, rare Meat, and soft-cooked Eggs that are made from raw Eggs, and meringue, and

(3) Raw seed sprouts.

(D) Food Employees may not contact Ready-to-Eat Food as specified under ¶¶ 3-301.11(B) and (E).

(E) Time only, as the public health control, as specified under ¶ 3-501.19(D), may not be used for raw Eggs.

(F) Subparagraph (B)(2) of this section does not apply if:

(1) The raw Eggs are combined immediately before cooking for one Consumer’s serving at a single meal, cooked as specified under Subparagraph 3-401.11(A)(1), and served immediately, such as an omelet, soufflé, or scrambled Eggs;

(2) The raw Eggs are combined as an ingredient immediately before baking and the Eggs are thoroughly cooked to a Ready-to-Eat form, such as a cake, muffin, or bread; or

(3) The preparation of the food is conducted under a HACCP Plan that:

(a) Identifies the Food to be prepared,

(b) Prohibits contacting Ready-to-Eat Food with bare hands,

(c) Includes specifications and practices that ensure:

1. Salmonella Enteritidis growth is controlled before and after cooking, and
2. Salmonella Enteritidis is destroyed by cooking the eggs according to the temperature and time specified in subparagraph 3-401.11 (A)(2),

(d) Contains the information specified under ¶ 8-201.14(D) including procedures that:

(i) Control cross contamination of Ready-to-Eat Food with raw Eggs, and

(ii) Delineate cleaning and Sanitization procedures for Food-Contact Surfaces, and

(e ) Describes the training program that ensures that the Food Employee responsible for the preparation of the Food understands the procedures to be used.

(G) Except as specified in paragraph (H) of this section, food may be re-served as specified under Subparagraph 3-306.14 (B)(1) and (2).

(H) Food may not be re-served under the following conditions:

• 1. Any food served to patients or clients who are under contact precautions in medical isolation or quarantine, or protective environment isolation may not be re-served to others outside; 2. Packages of food from any patients, clients, or other consumers should not be re-served to persons in protective environment isolation.

CHAPTER 4

EQUIPMENT, UTENSILS, AND LINENS

4-1 MATERIALS FOR CONSTRUCTION AND REPAIR

4-101 Multiuse

• 1. Characteristics.

Materials that are used in the construction of Utensils and Food-Contact Surfaces of Equipment may not allow the migration of deleterious or harmful substances or impart colors, odors, or tastes to Food and under normal use conditions shall be:

(A) Safe;*

(B) Durable, Corrosion-Resistant, and nonabsorbent;

(C) Sufficient in weight and thickness to withstand repeated Warewashing;

(D) Finished to have a Smooth, Easily Cleanable surface; and

(E) Resistant to pitting, chipping, crazing, scratching, scoring, distortion, and decomposition.

4-101.12 Cast Iron, Use Limitation.

(A) Except as specified in ¶¶ (B) and (C) of this section, cast iron may not be used for Utensils or Food-Contact Surfaces of Equipment.

(B) Cast iron may be used as a surface for cooking .

(C) Cast iron may be used in Utensils for serving Food if the Utensils are used only as part of an uninterrupted process from cooking through service.

4-101.13 Lead, Use Limitation.

Reserved.

4-101.14 Copper, Use Limitation.*

(A) Except as specified in ¶ (B) of this section, copper and copper alloys, such as brass, may not be used in contact with a Food that has a pH below 6, such as vinegar, fruit juice, or wine, or for a fitting or tubing installed between a backflow prevention device and a carbonator. *

(B) Copper and copper alloys may be used in contact with beer brewing ingredients that have a pH below 6 in the prefermentationand fermentation steps of a beer brewing operation, such as a brewpub or microbrewery .

4-101.15 Galvanized Metal, Use Limitation.*

Galvanized metal may not be used for Utensils or Food-Contact Surfaces of Equipment that are used in contact with acidic Food.

4-101.16 Sponges, Use Limitation.

Sponges may not be used in contact with cleaned and Sanitized or in-use Food-Contact Surfaces.

4-101.17 Wood, Use Limitation.

(A) Except as specified in ¶¶ (B), (C), and (D) of this section, wood and wood wicker may not be used as a Food-Contact Surface.

(B) Hard maple or an equivalently hard, close-grained wood may be used for:

(1) Cutting boards; cutting blocks; bakers' tables; and Utensils such as rolling pins, doughnut dowels, salad bowls, and chopsticks; and

(2) Wooden paddles used in confectionery operations for pressure scraping kettles when manually preparing confections at a temperature of 110oC (230oF) or above.

(C) Whole, uncut, raw fruits and vegetables, and nuts in the shell may be kept in the wood shipping containers in which they were received, until the fruits, vegetables, or nuts are used.

(D) If the nature of the Food requires removal of rinds, peels, husks, or shells before consumption, the whole, uncut, raw food may be kept in:

(1) Untreated wood containers; or

(2) Treated wood containers, if the containers are treated with a preservative that meets the requirements, specified in 21 CFR 178.3800 (Preservatives for wood).

4-101.18 Nonstick Coatings, Use Limitation.

Multiuse Kitchenware, such as frying pans, griddles, sauce pans, cookie sheets, and waffle bakers, that have a perfluorocarbon resin coating shall be used with nonscoring or nonscratching Utensils and cleaning aids.

4-101.19 Nonfood-Contact Surfaces.

NonFood-Contact Surfaces of Equipment that are exposed to splash, spillage, or other Food soiling or that require frequent cleaning shall be constructed of a Corrosion-Resistant, nonabsorbent, and Smooth material.

4-102 Single-Service and Single-Use

4-102.11 Characteristics.

Materials that are used to make Single-Service and Single-Use Articles:

(A) May not:

(1) Allow the migration of deleterious substances,* or

(2) Impart colors, odors, or tastes to Food;and

(B) Shall be:

(1) Safe,* and

(2) Clean.

4-2 DESIGN AND CONSTRUCTION

4-201 Durability and Strength

4-201.11 Equipment and Utensils.

Equipment and Utensils shall be designed and constructed to be durable and to retain their characteristic qualities under normal use conditions.

4-201.12 Food Temperature Measuring Devices.*

Food Temperature Measuring Devices may not have sensors or stems constructed of glass, except that thermometers with glass sensors or stems that are encased in a shatterproof coating, such as candy thermometers, may be used.

4-202 Cleanability

4-202.11 Food-Contact Surfaces.*

(A) Multiuse Food-Contact Surfaces shall be:

(1) Smooth;

(2) Free of breaks, open seams, cracks, chips, inclusions, pits, and similar imperfections;

(3) Free of sharp internal angles, corners, and crevices;

(4) Finished to have Smooth welds and joints; and

(5) Except as specified in ¶ (B) of this section, accessible for cleaning and inspection by one of the following methods:

(a) Without being disassembled,

(b) By disassembling without the use of tools, or

(c) By easy disassembling with the use of handheld tools commonly available to maintenance and cleaning personnel, such as screwdrivers, pliers, open-end wrenches, and Allen wrenches.

(B) Subparagraph (A)(5) of this section does not apply to cooking oil storage tanks, distribution lines for cooking oils, or beverage syrup lines or tubes.

4-202.12 CIP Equipment.

(A) CIP Equipment shall meet the characteristics specified under §4‑202.11 and shall be designed and constructed so that:

(1) Cleaning and Sanitizing solutions circulate throughout a fixed system and contact all interior Food-Contact Surfaces, and

(2) The system is self-draining or capable of being completely drained of cleaning and Sanitizing solutions; and

(B) CIP Equipment that is not designed to be disassembled for cleaning shall be designed with

inspection access points to ensure that all interior Food-Contact Surfaces throughout the fixed system are being effectively cleaned.

4-202.13 "V" Threads, Use Limitation.

Except for hot oil cooking or filtering Equipment, "V" type threads may not be used on Food Contact Surfaces.

4-202.14 Hot Oil Filtering Equipment.

Hot oil filtering Equipment shall meet the characteristics specified under §4‑202.11 or §4‑202.12 and shall be readily accessible for filter replacement and cleaning of the filter.

4-202.15 Can Openers.

Cutting or piercing parts of can openers shall be readily removable for cleaning and for replacement.

4-202.16 Nonfood-Contact Surfaces.

NonFood-Contact Surfaces shall be free of unnecessary ledges, projections, and crevices, and designed and constructed to allow easy cleaning and to facilitate maintenance.

4-202.17 Kick Plates, Removable.

Kick plates shall be designed so that the areas behind them are accessible for inspection and cleaning by being:

(A) Removable by one of the methods specified under Subparagraphs 4‑202.11 (A)(5) or capable of being rotated open; and

(B) Removable or capable of being rotated open without unlocking equipment doors.

4-202.18 Ventilation Hood Systems, Filters.

Filters or other grease extracting Equipment shall be designed to be readily removable for cleaning and replacement if not designed to be cleaned in place.

4-203 Accuracy

4-203.11 Temperature Measuring Devices, Food.

(A) Food Temperature Measuring Devices that are scaled only in Celsius or dually scaled in Celsius and Fahrenheit shall be accurate to ±1oC in the intended range of use.

(B) Food Temperature Measuring Devices that are scaled only in Fahrenheit shall be accurate to ±2oF in the intended range of use.

4-203.12 Temperature Measuring Devices, Ambient Air and Water.

(A) Ambient air and water Temperature Measuring Devices that are scaled in Celsius or dually scaled in Celsius and Fahrenheit shall be designed to be easily readable and accurate to ±1.5oC in the intended range of use.

(B) Ambient air and water Temperature Measuring Devices that are scaled only in Fahrenheit shall be accurate to ±3oF in the intended range of use.

4-203.13 Pressure Measuring Devices, Mechanical Warewashing Equipment.

Pressure measuring devices that display the pressures in the water supply line for the fresh hot water Sanitizing rinse shall have increments of 7 kilopascals (1 pounds per square inch) or smaller and shall be accurate to ± 14 kilopascals (± 2 pounds per square inch) in the range indicated on the manufacturer’s data plate.

4-204 Functionality

4-204.11 Ventilation Hood Systems, Drip Prevention.

Exhaust ventilation hood systems in Food preparation and Warewashing areas, including components such as hoods, fans, guards, and ducting, shall be designed to prevent grease or condensation from draining or dripping onto Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

4-204.12 Equipment Openings, Closures and Deflectors.

(A) A cover or lid for Equipment shall overlap the opening and be sloped to drain.

(B) An opening located within the top of a unit of Equipment that is designed for use with a cover or lid shall be flanged upward at least 5 millimeters (two-tenths of an inch).

(C) Except as specified under ¶ (D) of this section, fixed piping, Temperature Measuring Devices, rotary shafts, and other parts extending into Equipment shall be provided with a watertight joint at the point where the item enters the Equipment.

(D) If a watertight joint is not provided:

(1) The piping, Temperature Measuring Devices, rotary shafts, and other parts extending through the openings shall be equipped with an apron designed to deflect condensation, drips, and dust from openings into the Food; and

(2) The opening shall be flanged as specified under ¶ (B) of this section.

4-204.13 Dispensing Equipment, Protection of Equipment and Food.

In Equipment that dispenses or vends liquid Food or ice in unPackaged form:

(A) The delivery tube, chute, orifice, and splash surfaces directly above the container receiving the Food shall be designed in a manner, such as with barriers, baffles, or drip aprons, so that drips from condensation and splash are diverted from the opening of the container receiving the Food;

(B) The delivery tube, chute, and orifice shall be protected from manual contact, such as by being recessed;

(C) The delivery tube or chute and orifice of Equipment used to vend liquid Food or ice in unPackaged form to self-service Consumers shall be designed so that the delivery tube or chute and orifice are protected from dust, insects, rodents, and other contamination by a self-closing door, if the Equipment is:

(1) Located in an outside area that does not otherwise afford the protection of an enclosure against the rain, windblown debris, insects, rodents, and other contaminants that are present in the environment, or

(2) Available for self-service during hours when it is not under the full-time supervision of a Food Employee; and

(D) The dispensing Equipment actuating lever or mechanism and filling device of Consumer self-service Beverage dispensing Equipment shall be designed to prevent contact with the lip-contact surface of glasses or cups that are refilled.

• 1. Dispensing equipment in which Potentially Hazardous Food (Time/Temperature Control For Safety Food) in a homogenous liquid form is maintained outside of the temperature control requirements as specified under Section 3-501.16(A) shall: - 1. Be specifically designed and equipped to maintain the commercial sterility of

aseptically packaged food in a homogenous liquid form for a specified duration from the time of opening the packaging within the Equipment;* and

• • • 1. Conform to the requirements for this Equipment as specified in NSF/ANSI 18-2006 – Manual Food and Beverage Dispensing equipment. *

4-204.14 Vending Machine, Vending Stage Closure.

The dispensing compartment of a Vending Machine, including a machine that is designed to vend pre-Packaged snack Food that is not Potentially Hazardous (Time/Temperature Control for Safety Food), such as chips, party mixes, and pretzels, shall be equipped with a self-closing door or cover, if the machine is:

(A) Located in an outside area that does not otherwise afford the protection of an enclosure against the rain, windblown debris, insects, rodents, and other contaminants that are present in the environment; or

(B) Available for self-service during hours when it is not under the full-time supervision of a Food Employee.

4-204.15 Bearings and Gear Boxes, Leakproof.

Equipment containing bearings and gears that require lubricants shall be designed and constructed so that the lubricant cannot leak, drip, or be forced into Food or onto Food-Contact Surfaces.

4-204.16 Beverage Tubing, Separation.

Except for cold plates that are constructed integrally with an ice storage bin, beverage tubing and cold-plate beverage cooling devices may not be installed in contact with stored ice.

4-204.17 Ice Units, Separation of Drains.

Liquid waste drain lines may not pass through an ice machine or ice storage bin.

4-204.18 Condenser Unit, Separation.

If a condenser unit is an integral component of Equipment, the condenser unit shall be separated from the Food and Food storage space by a dustproof barrier.

4-204.19 Can Openers on Vending Machines.

Cutting or piercing parts of can openers on Vending Machines shall be protected from manual contact, dust, insects, rodents, and other contamination.

4-204.110 Molluscan Shellfish Tanks.

(A) Except as specified under ¶ (B) of this section, Molluscan Shellfish life support system display tanks may not be used to store or display shellfish that are offered for human consumption and shall be conspicuously marked so that it is obvious to the Consumer that the shellfish are for display only.*

(B) Molluscan Shellfish life-support system display tanks that are used to store and display shellfish that are offered for human consumption shall be operated and maintained in accordance with a Variance granted by the Regulatory Authority as specified in §8‑103.10 and a HACCP Plan that:

(1) Is submitted by the Permit Holder and Approved as specified under §8‑103.11; and

(2) Ensures that:

(a) Water used with Fish other than Molluscan Shellfish does not flow into the molluscan tank,

(b) The safety and quality of the shellfish as they were received are not compromised by the use of the tank, and

(c) The identity of the source of the Shellstock is retained as specified under §3‑203.12.

4-204.111 Vending Machines, Automatic Shutoff.*

(A) A machine vending Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall have an automatic control that prevents the machine from vending Food:

(1) If there is a power failure, mechanical failure, or other condition that results in an internal machine temperature that cannot maintain Food temperatures as specified under Chapter 3; and

(2) If a condition specified under Subparagraph (A)(1) of this section occurs, until the machine is serviced and restocked with Food that has been maintained at temperatures specified under Chapter 3.

(B) When the automatic shutoff within a machine vending Potentially Hazardous Food (Time/Temperature Control for Safety Food) is activated:

(1) In a refrigerated Vending Machine, the ambient temperature may not exceed 5oC (41oF) for more than 30 minutes immediately after the machine is filled, serviced, or restocked; or

(2) In a hot holding Vending Machine, the ambient temperature may not be less than 57 oC (135 oF) for more than 120 minutes immediately after the machine is filled, serviced, or restocked.

4-204.112 Temperature Measuring Devices.

• • 1. In a mechanically refrigerated or hot Food storage unit, the sensor of a Temperature

Measuring Device shall be located to measure the air temperature in the warmest part of a mechanically refrigerated unit and in the coolest part of a hot Food storage unit.

• • 1. Except as specified in ¶ (C) of this section, cold or hot holding Equipment used for

Potentially Hazardous Food, (Time/Temperature Control for Safety Food), shall be designed to

include, and shall be equipped with, at least one integral or permanently affixed Temperature Measuring Device that is located to allow easy viewing of the device's temperature display.

(C) Paragraph (B) of this section does not apply to Equipment for which the placement of a Temperature Measuring Device is not a practical means for measuring the ambient air surrounding the Food because of the design, type, and use of the Equipment, such as calrod units, heat lamps, cold plates, bainmaries, steam tables, insulated Food transport containers, and salad bars.

(D) Temperature Measuring Devices shall be designed to be easily readable.

(E) Food Temperature Devices and water Temperature Measuring Devices on Warewashing machines shall have a numerical scale, printed record, or digital readout in increments no greater than 1oC or 2oF in the intended range of use.

4-204.113 Warewashing Machine, Data Plate Operating Specifications.

A Warewashing machine shall be provided with an easily accessible and readable data plate affixed to the machine by the manufacturer that indicates the machine's design and operating specifications including the:

(A) Temperatures required for washing, rinsing, and Sanitizing;

(B) Pressure required for the fresh water Sanitizing rinse, unless the machine is designed to use only a pumped Sanitizing rinse ; and

(C) Conveyor speed for conveyor machines or cycle time for stationary rack machines.

4-204.114 Warewashing Machines, Internal Baffles.

Warewashing machine wash and rinse tanks shall be equipped with baffles, curtains, or other means to minimize internal cross contamination of the solutions in wash and rinse tanks.

4-204.115 Warewashing Machines, Temperature Measuring Devices.

A Warewashing machine shall be equipped with a Temperature Measuring Device that indicates the temperature of the water:

(A) In each wash and rinse tank; and

(B) As the water enters the hot water Sanitizing final rinse manifold or in the chemical Sanitizing solution tank.

4-204.116 Manual Warewashing Equipment, Heaters and Baskets.

If hot water is used for Sanitization in manual Warewashing operations, the Sanitizing compartment of the sink shall be:

• • 1. Designed with an integral heating device that is capable of maintaining water at a

temperature not less than 77oC (171oF); and

(B) Provided with a rack or basket to allow complete immersion of equipment and utensils into the hot water.

4-204.117 Warewashing Machines, Automatic Dispensing of Detergents and Sanitizers

A Warewashing machine that is installed after adoption of this Code by the Regulatory Authority, shall be equipped to:

(A) Automatically dispense detergents and Sanitizers;and

(B) Incorporate a visual means to verify that detergents and Sanitizers are delivered or a visual or audible alarm to signal if the detergents and Sanitizers are not delivered to the respective washing and Sanitizing cycles.

4-204.118 Warewashing Machines, Flow Pressure Device.

(A) Warewashing machines that provide a fresh hot water Sanitizing rinse shall be equipped with a pressure gauge or similar device, such as a transducer, that measures and displays the water pressure in the supply line immediately before entering the Warewashing machine; and

(B) If the flow pressure measuring device is upstream of the fresh hot water Sanitizing rinse control valve, the device shall be mounted in a 6.4 millimeter or one-fourth inch Iron Pipe Size (IPS) valve.

(C) Paragraphs (A) and (B) of this section do not apply to a machine that uses only a pumped or recirculated Sanitizing rinse .

4-204.119 Warewashing Sinks and Drainboards, Self‑Draining.

Sinks and drainboards of Warewashing sinks and machines shall be self-draining.

4-204.120 Equipment, Drainage.

Equipment compartments that are subject to accumulation of moisture due to conditions such as condensation, Food or Beverage drip, or water from melting ice, shall be sloped to an outlet that allows complete draining.

4-204.121 Vending Machines, Liquid Waste Products.

(A) Vending Machines designed to store Beverages that are Packaged in containers made from paper products shall be equipped with diversion devices and retention pans or drains for container leakage.

(B) Vending Machines that dispense liquid Food in bulk shall be:

(1) Provided with an internally mounted waste receptacle for the collection of drip, spillage, overflow, or other internal wastes; and

(2) Equipped with an automatic shutoff device that will place the machine out of operation before the waste receptacle overflows.

(C) Shutoff devices specified under Subparagraph (B)(2) of this section shall prevent water or liquid food from continuously running, if there is a failure of a flow control device in the water or liquid food system, or waste accumulation that could lead to overflow of the waste receptacle.

4-204.122 Case Lot Handling Apparatuses, Moveability.

Apparatuses, such as dollies, pallets, racks, and skids used to store and transport large quantities of Packaged Foods received from a supplier in a cased or overwrapped lot, shall be designed to be moved by hand or by conveniently available Equipment such as hand trucks and forklifts.

4-204.123 Vending Machine Doors and Openings.

(A) Vending Machine doors and access opening covers to Food and container storage spaces shall be tight-fitting so that the space along the entire interface between the doors or covers and the cabinet of the machine, if the doors or covers are in a closed position, is no greater than 1.5 millimeters or one-sixteenth inch by:

(1) Being covered with louvers, screens, or materials that provide an equivalent opening of not greater than 1.5 millimeters or one-sixteenth inch. Screening of 12 or more mesh to 2.5 centimeters (12 mesh to 1 inch) meets this requirement;

(2) Being effectively gasketed;

(3) Having interface surfaces that are at least 13 millimeters or one-half inch wide; or

(4) Jambs or surfaces used to form an L-shaped entry path to the interface.

(B) Vending Machine service connection openings through an exterior wall of a machine shall be closed by sealants, clamps, or grommets so that the openings are no larger than 1.5 millimeters or one-sixteenth inch.

4-205 Acceptability

4-205.10 Food Equipment, Certification and Classification.

Food Equipment that is certified or classified for sanitation by an American National Standards Institute (ANSI)-accredited certification program will be deemed to comply with Parts 4-1 and 4‑2 of this chapter.

4-3 NUMBERS AND CAPACITIES

4-301 Equipment

4-301.11 Cooling, Heating, and Holding Capacities.

Equipment for cooling and heating Food, and holding cold and hot Food, shall be sufficient in number and capacity to provide Food temperatures as specified under Chapter 3.

4-301.12 Manual Warewashing, Sink Compartment Requirements.

(A) Except as specified in ¶ (C) of this section, a sink with at least 3 compartments shall be provided for manually washing, rinsing, and Sanitizing Equipment and Utensils.

(B) Sink compartments shall be large enough to accommodate immersion of the largest Equipment and Utensils. If Equipment or Utensils are too large for the Warewashing sink, a Warewashing machine or alternative Equipment as specified in ¶ (C) of this section shall be used.

(C) Alternative manual Warewashing Equipment may be used when there are special cleaning needs or constraints and its use is Approved. Alternative manual Warewashing Equipment may include:

(1) High-pressure detergent sprayers;

(2) Low- or line-pressure spray detergent foamers;

(3) Other task-specific cleaning Equipment;

(4) Brushes or other implements;

(5) 2-compartment sinks as specified under ¶¶ (D) and (E) of this section; or

(6) Receptacles that substitute for the compartments of a multicompartment sink.

(D) Before a 2-compartment sink is used:

(1) The Permit Holder shall have its use Approved; and

(2) The Permit Holder shall limit the number of Kitchenware items cleaned and Sanitized in the 2-compartment sink, and shall limit Warewashing to batch operations for cleaning kitchenware, such as between cutting one type of raw Meat and another, or cleanup at the end of a shift, and shall:

(a) Make up the cleaning and Sanitizing solutions immediately before use and drain them immediately after use, and

(b) Use a detergent- Sanitizer to Sanitize and apply the detergent-sanitizer in accordance with the manufacturer's label instructions and as specified under § 4-501.115, or

(c) Use a hot water Sanitization immersion step as specified under ¶ 4-603.16(C).

• 1. A 2‑compartment sink may not be used for Warewashing operations where cleaning and

Sanitizing solutions are used for a continuous or intermittent flow of Kitchenware or Tableware in an ongoing Warewashing process.

4-301.13 Drainboards.

Drainboards, Utensil racks, or tables large enough to accommodate all soiled and cleaned items that may accumulate during hours of operation shall be provided for necessary Utensil holding before cleaning and after Sanitizing.

4-301.14 Ventilation Hood Systems, Adequacy.

Ventilation hood systems and devices shall be sufficient in number and capacity to prevent grease or condensation from collecting on walls and ceilings.

4-301.15 Clothes Washers and Dryers.

(A) Except as specified in ¶ (B) of this section, if work clothes or Linens are laundered on

the Premises, a mechanical clothes washer and dryer shall be provided and used.

(B) If on-Premises laundering is limited to wiping cloths intended to be used moist, or wiping cloths are air-dried as specified under §4‑901.12, a mechanical clothes washer and dryer need not be provided .

4-302 Utensils, Temperature Measuring Devices, and Testing Devices

4-302.11 Utensils, Consumer Self-Service.

A Food dispensing Utensil shall be available for each container displayed at a Consumer self-service unit, such as a buffet or salad bar.

4-302.12 Food Temperature Measuring Devices.

(A) Food Temperature Measuring Devices shall be provided and readily accessible for use in ensuring attainment and maintenance of Food temperatures as specified under Chapter 3.

(B) A Temperature Measuring Device with a suitable small-diameter probe that is designed to measure the temperature of thin masses shall be provided and readily accessible to accurately measure the temperature in thin Foods such as Meat patties and Fish filets.

4-302.13 Temperature Measuring Devices, Manual and Mechanical Warewashing.

(A) In manual Warewashing operations, a Temperature Measuring Device shall be provided and readily accessible for frequently measuring the washing and Sanitizing temperatures.

(B) In hot water, Mechanical Warewashing operations and irreversible registering temperature indicator shall be provided and readily accessible for measuring the utensil surface temperature.

4-302.14 Sanitizing Solutions, Testing Devices.

A test kit or other device that accurately measures the concentration in mg/L of Sanitizing solutions shall be provided.

4-4 LOCATION AND INSTALLATION

4-401 Location

4-401.11 Equipment, Clothes Washers and Dryers, and Storage Cabinets, Contamination Prevention.

(A) Except as specified in ¶ (B) of this section, Equipment, a cabinet used for the storage of Food, or a cabinet that is used to store cleaned and Sanitized Equipment, Utensils, laundered Linens, and Single-Service and Single-Use Articles may not be located:

(1) In locker rooms;

(2) In toilet rooms;

(3) In garbage rooms;

(4) In mechanical rooms;

(5) Under sewer lines that are not shielded to intercept potential drips;

(6) Under leaking water lines including leaking automatic fire sprinkler heads or under lines on which water has condensed;

(7) Under open stairwells; or

(8) Under other sources of contamination.

(B) A storage cabinet used for Linens or Single-Service or Single-Use Articles may be stored in a locker room.

(C) If a mechanical clothes washer or dryer is provided, it shall be located so that the washer or dryer is protected from contamination and only where there is no exposed Food; clean Equipment, Utensils, and Linens; and unwrapped Single-Service and Single-Use Articles.

4-402 Installation

4-402.11 Fixed Equipment, Spacing or Sealing.

(A) Equipment that is fixed because it is not Easily Movable shall be installed so that it is:

(1) Spaced to allow access for cleaning along the sides, behind, and above the Equipment;

(2) Spaced from adjoining Equipment, walls, and ceilings a distance of not more than 1 millimeter or one thirty-second inch; or

(3) Sealed to adjoining Equipment or walls, if the Equipment is exposed to spillage or seepage.

(B) Counter-Mounted Equipment that is not Easily Movable shall be installed to allow cleaning of the Equipment and areas underneath and around the Equipment by being:

(1) Sealed; or

(2) Elevated on legs as specified under ¶ 4-402.12(D).

4-402.12 Fixed Equipment, Elevation or Sealing.

(A) Except as specified in ¶¶ (B) and (C) of this section, floor-mounted Equipment that is not Easily Movable shall be Sealed to the floor or elevated on legs that provide at least a 15 centimeter (6 inch) clearance between the floor and the Equipment.

(B) If no part of the floor under the floor-mounted Equipment is more than 15 centimeters (6 inches) from the point of cleaning access, the clearance space may be only 10 centimeters (4 inches).

(C) This section does not apply to display shelving units, display refrigeration units, and display freezer units located in the Consumer shopping areas of a retail Food store, if the floor under the units is maintained clean.

(D) Except as specified in ¶ (E) of this section, Counter-Mounted Equipment that is not Easily Movable shall be elevated on legs that provide at least a 10 centimeter (4 inch) clearance between the table and the Equipment.

(E) The clearance space between the table and Counter-Mounted Equipment may be:

(1) 7.5 centimeters (3 inches) if the horizontal distance of the table top under the Equipment is no more than 50 centimeters (20 inches) from the point of access for cleaning; or

(2) 5 centimeters (2 inches) if the horizontal distance of the table top under the Equipment is no more than 7.5 centimeters (3 inches) from the point of access for cleaning.

4-5 MAINTENANCE AND OPERATION

4-501 Equipment

4-501.11 Good Repair and Proper Adjustment.

(A) Equipment shall be maintained in a state of repair and condition that meets the requirements specified under Parts 4-1 and 4-2.

(B) Equipment components such as doors, seals, hinges, fasteners, and kick plates shall be kept intact, tight, and adjusted in accordance with manufacturer's specifications.

(C) Cutting or piercing parts of can openers shall be kept sharp to minimize the creation of metal fragments that can contaminate Food when the container is opened.

4-501.12 Cutting Surfaces.

Surfaces such as cutting blocks and boards that are subject to scratching and scoring shall be resurfaced if they can no longer be effectively cleaned and Sanitized, or discarded if they are not capable of being resurfaced.

4-501.13 Microwave Ovens.

Microwave ovens shall meet the safety standards specified in 21 CFR 1030.10 (Microwave ovens)(2012 ed.).

4-501.14 Warewashing Equipment, Cleaning Frequency.

A Warewashing machine; the compartments of sinks, basins, or other receptacles used for washing and rinsing Equipment, Utensils, or raw Foods, or laundering wiping cloths; and drainboards or other Equipment used to substitute for drainboards as specified under §4‑301.13 shall be cleaned:

(A) Before use;

(B) Throughout the day at a frequency necessary to prevent recontamination of Equipment and Utensils and to ensure that the Equipment performs its intended function; and

(C) If used, at least every 24 hours.

4-501.15 Warewashing Machines, Manufacturers' Operating Instructions.

(A) A Warewashing machine and its auxiliary components shall be operated in accordance with the machine's data plate and other manufacturer's instructions.

(B) A Warewashing machine's conveyor speed or automatic cycle times shall be maintained accurately timed in accordance with manufacturer's specifications.

4-501.16 Warewashing Sinks, Use Limitation.

(A) A Warewashing sink may not be used for handwashing as specified under § 2-301.15.

(B) If a Warewashing sink is used to wash wiping cloths, wash produce, or thaw Food, the sink shall be cleaned as specified under §4‑501.14 before and after each time it is used to wash wiping cloths or wash produce or thaw Food. Sinks used to wash or thaw Food shall be Sanitized as specified under Part 4-7 before and after using the sink to wash produce or thaw Food.

4-501.17 Warewashing Equipment, Cleaning Agents.

When used for Warewashing, the wash compartment of a sink, mechanical warewasher, or wash receptacle of alternative manual Warewashing Equipment as specified in 4‑301.12(C), shall contain a wash solution of soap, detergent, acid cleaner, alkaline cleaner, degreaser, abrasive cleaner, or other cleaning agent according to the cleaning agent manufacturer's label instructions.

4-501.18 Warewashing Equipment, Clean Solutions.

The wash, rinse, and Sanitize solutions shall be maintained clean.

4-501.19 Manual Warewashing Equipment, Wash Solution Temperature.

The temperature of the wash solution in manual Warewashing Equipment shall be maintained at not less than 43oC (110oF) or the temperature specified on the cleaning agent manufacturer's label instructions.

4-501.110 Mechanical Warewashing Equipment, Wash Solution Temperature.

(A) The temperature of the wash solution in spray type warewashers that use hot water to Sanitize may not be less than:

(1) For a stationary rack, single temperature machine, 74oC (165oF);

(2) For a stationary rack, dual temperature machine, 66oC (150oF);

(3) For a single tank, conveyor, dual temperature machine, 71oC (160oF); or

(4) For a multitank, conveyor, multitemperature machine, 66oC (150oF).

(B) The temperature of the wash solution in spray-type warewashers that use chemicals to Sanitize may not be less than 49oC (120oF).

4-501.111 Manual Warewashing Equipment, Hot Water Sanitization Temperatures.*

If immersion in hot water is used for Sanitizing in a manual operation, the temperature of the water shall be maintained at 77oC (171oF) or above.

4-501.112 Mechanical Warewashing Equipment, Hot Water Sanitization Temperatures.

(A) Except as specified in ¶ (B) of this section, in a mechanical operation, the temperature of the fresh hot water Sanitizing rinse as it enters the manifold may not be more than 90oC (194oF), or less than:

(1) For a stationary rack, single temperature machine, 74oC (165oF); or

(2) For all other machines, 82oC (180oF).

(B) The maximum temperature specified under ¶ (A) of this section does not apply to the high pressure and temperature systems with wand-type, hand-held, spraying devices used for the in-place cleaning and Sanitizing of Equipment such as meat saws.

4-501.113 Mechanical Warewashing Equipment, Sanitization Pressure.

The flow pressure of the fresh hot water Sanitizing rinse in a Warewashing machine, as measured in the water line immediately downstream or upstream from the fresh hot water Sanitizing rinse

control value, shall be within the range specified on the machine manufacturer's data plate and may not be less than 35 kilopascals (5 pounds per square inch) or more than 200 kilopascals (30 pounds per square inch).

4-501.114 Manual and Mechanical Warewashing Equipment, Chemical Sanitization Temperature, pH, Concentration, and Hardness.*

A chemical Sanitizer used in a Sanitizing solution for a manual or mechanical operation at contact times specified under ¶ 4‑703.11(C) shall meet the criteria specified under § 7-204.11 Sanitizers, Criteria, shall be used in accordance with the EPA-registered label use instructions, and shall be used as follows:

(A) A chlorine solution shall have a minimum temperature based on the concentration and pH of the solution as listed in the following chart;

Concentration Range

Minimum Temperature

mg/L

pH 10 or less °C (°F)

pH 8 or less °C (°F)

25 - 49

49 (120)

49 (120)

50-99

38 (100)

24 ( 75)

100

13 ( 55)

13 ( 55)

(B) An iodine solution shall have a:

(1) Minimum temperature of 20 oC (68oF),

(2) pH of 5.0 or less or a pH no higher than the level for which the manufacturer specifies the solution is effective, and

(3) Concentration between 12.5 mg/L and 25 mg/L;

(C) A quaternary ammonium compound solution shall:

(1) Have a minimum temperature of 24oC (75oF),

(2) Have a concentration as specified under §7‑204.11 and as indicated by the manufacturer's use directions included in the labeling, and

(3) Be used only in water with 500 mg/L hardness or less or in water having a hardness no greater than specified by the EPA-registered label use instructions;

(D) If another solution of a chemical specified under ¶¶ (A)-(C) of this section is used, the

Permit Holder shall demonstrate to the Regulatory Authority that the solution achieves Sanitization and the use of the solution shall be Approved;

(E) If a chemical Sanitizer other than chlorine, iodine, or a quaternary ammonium compound is used, it shall be applied in accordance with the manufacturer's use directions included in the labeling; and

(F) If a chemical Sanitizer is generated by a device located on-site at the Food or Eating Establishment, it shall be used as specified in ¶¶ (A)-(D) of this section and shall be produced by a device that:

Complies with the sections §§2(q)(1) and 12 of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), codified at 7 U.S.C., Chapter 6 (Amended 2003), and relevant implementing Environmental Protection Agency regulations at 40 C.F.R. Subchapter E, Part 180 (2012 ed.).

Complies with 40 CFR 152.500 (Requirement for Devices((2012 ed.) and 40 CFR 156.10 (Labeling Requirements)(2012 ed.),

Displays the EPA device manufacturing facility registration number on the device, and

Is operated and maintained in accordance with manufacturer’s instructions.

4-501.115 Manual Warewashing Equipment, Chemical Sanitization Using Detergent-Sanitizers.

If a detergent-Sanitizer is used to Sanitize in a cleaning and Sanitizing procedure where there is no distinct water rinse between the washing and Sanitizing steps, the agent applied in the Sanitizing step shall be the same detergent-Sanitizer that is used in the washing step.

4-501.116 Warewashing Equipment, Determining Chemical Sanitizer Concentration.

Concentration of the Sanitizing solution shall be accurately determined by using a test kit or other device.

4-502 Utensils and Temperature and Pressure Measuring Devices

4-502.11 Good Repair and Calibration.

(A) Utensils shall be maintained in a state of repair or condition that complies with the requirements specified under Parts 4-1 and 4-2 or shall be discarded.

(B) Food Temperature Measuring Devices shall be calibrated in accordance with manufacturer's specifications as necessary to ensure their accuracy.

(C) Ambient air temperature, water pressure, and water Temperature Measuring Devices shall be maintained in good repair and be accurate within the intended range of use.

4-502.12 Single-Service and Single-Use Articles, Required Use.*

A Food or Eating Establishment without facilities specified under Parts 4-6 and 4-7 for cleaning

and Sanitizing kitchenware and Tableware shall provide only Single-Use Kitchenware, Single-Service Articles, and Single-Use Articles for use by Food Employees and Single-Service Articles for use by Consumers.

4-502.13 Single-Service and Single-Use Articles, Use Limitation.

(A) Single-Service and Single-Use Articles may not be reused.

(B) The bulk milk container dispensing tube shall be cut on the diagonal, leaving no more than one Inch protruding from the chilled dispensing head.

4-502.14 Shells, Use Limitation.

Mollusk and crustacea shells may not be used more than once as serving containers.

4-6 CLEANING OF EQUIPMENT AND UTENSILS

4-601 Objective

4-601.11 Equipment, Food-Contact Surfaces, Nonfood-Contact Surfaces, and Utensils.*

(A) Equipment Food-Contact Surfaces and Utensils shall be clean to sight and touch.

(B) The Food-Contact Surfaces of cooking Equipment and pans shall be kept free of encrusted grease deposits and other soil accumulations.

(C) Non-Food-Contact Surfaces of Equipment shall be kept free of an accumulation of dust, dirt, Food residue, and other debris.

4-602 Frequency

4-602.11 Equipment Food-Contact Surfaces and Utensils.

(A) Equipment Food-Contact Surfaces and Utensils shall be cleaned:*

(1) Except as specified in ¶ (B) of this section, before each use with a different type of raw animal Food, such as beef, fish, lamb, pork, or poultry;

(2) Each time there is a change from working with raw Foods to working with Ready-to-Eat Foods;

(3) Between uses with raw fruits and vegetables and with Potentially Hazardous Food (Time/Temperature Control for Safety Food);

(4) Before using or storing a Food Temperature Device; and

(5) At any time during the operation when contamination may have occurred.

• • 1. Subparagraph (A)(1) of this section does not apply if the Food-Contact Surface or

Utensil is in contact with a succession of different raw meats and poultry, each requiring a higher cooking temperature as specified under §3‑401.11 than the previous Food.

(C) Except as specified in ¶ (D) of this section, if used with Potentially Hazardous Food (Time/Temperature Control for Safety Food) , Equipment Food-Contact Surfaces and Utensils shall be cleaned throughout the day at least every 4 hours.*

(D) Surfaces of Utensils and Equipment contacting Potentially Hazardous Food (Time/Temperature Control for Safety Food) may be cleaned less frequently than every 4 hours if:*

(1) In storage, containers of Potentially Hazardous Food (Time/Temperature Control for Safety Food) and their contents are maintained at temperatures specified under Chapter 3 and the containers are cleaned when they are empty;

(2) Utensils and Equipment are used to prepare Food in a refrigerated room or area that is maintained at one of the temperatures in the following chart and:

(a ) The Utensils and Equipment are cleaned at the frequency in the following chart that corresponds to the temperature; and

Temperature

Cleaning Frequency

5.0°C (41°F) or less

24 hours

5.0°C - 7.2°C (>41°F - 45°F)

20 hours

7.2°C - 10.0°C (>45°F - 50°F)

16 hours

10.0°C - 12.8°C (>50°F - 55°F)

10 hours

(b) The cleaning frequency based on the ambient temperature of the refrigerated room or area is documented in the Food or Eating Establishment.

(3) Containers in serving situations, such as salad bars, delis, and cafeteria lines hold Ready-to-Eat Potentially Hazardous Food (Time/Temperature Control for Safety Food) that is maintained at the temperatures specified under Chapter 3, are intermittently combined with additional supplies of the same Food that is at the required temperature, and the containers are cleaned at least every 24 hours;

(4) Temperature Measuring Devices are maintained in contact with Food, such as when left in a container of deli Food or in a roast, held at temperatures specified under Chapter 3;

Equipment is used for storage of Packaged Consumer or unpackaged Food, such as a

reach-in refrigerator, and the Equipment is cleaned at a frequency necessary to preclude accumulation of soil residues;

(6) The cleaning schedule is Approved based on consideration of:

(a) Characteristics of the Equipment and its use,

(b) The type of Food involved,

(c) The amount of Food residue accumulation, and

(d) The temperature at which the Food is maintained during the operation and the potential for the rapid and progressive multiplication of pathogenic or toxigenic microorganisms that are capable of causing foodborne disease; or

(7) In-use Utensils are intermittently stored in a container of water in which the water is maintained at 57oC (135oF) or more, and the Utensils and container are cleaned at least every 24 hours, or at a frequency necessary to preclude accumulation of soil residues.

(E) Except when dry cleaning methods are used as specified under §4‑603.11, surfaces of Utensils and Equipment contacting Food that is not Potentially Hazardous Food (Time/Temperature Control for Safety Food) shall be cleaned:

(1) At any time when contamination may have occurred;

(2) At least every 24 hours for iced tea dispensers and Consumer self-service Utensils, such as tongs, scoops, or ladles;

(3) Before restocking Consumer self-service Equipment and Utensils, such as condiment dispensers and display containers; and

(4) In Equipment, such as ice bins and Beverage dispensing nozzles, and enclosed components of Equipment, such as ice makers, cooking oil storage tanks and distribution lines, Beverage and syrup dispensing lines or tubes, coffee bean grinders, and water vending Equipment:

(a) At a frequency specified by the manufacturer, or

(b) Absent manufacturer specifications, at a frequency necessary to preclude accumulation of soil or mold.

4-602.12 Cooking and Baking Equipment.

(A) The Food-Contact Surfaces of cooking and baking Equipment shall be cleaned at least every 24 hours. This section does not apply to hot oil cooking and filtering Equipment if it is cleaned as specified in Subparagraph 4‑602.11(D)(6).

• • 1. The cavities and door seals of microwave ovens shall be cleaned at least every 24 hours by

using the manufacturer's recommended cleaning procedure.

4-602.13 Nonfood-Contact Surfaces.

Non Food-Contact Surfaces of Equipment shall be cleaned at a frequency necessary to preclude accumulation of soil residues.

4-603 Methods

4-603.11 Dry Cleaning.

(A) If used, dry cleaning methods, such as brushing, scraping, and vacuuming shall contact only Surfaces that are soiled with dry Food residues that are not Potentially Hazardous Food (Time/Temperature Control for Safety Food) .

(B) Cleaning Equipment used in dry cleaning Food-Contact Surfaces may not be used for any other purpose.

4-603.12 Precleaning.

(A) Food debris on Equipment and Utensils shall be scrapped over a waste disposal unit, scupper, or garbage receptacle or shall be removed in a Warewashing machine with a prewash cycle.

(B) If necessary for effective cleaning, Utensils and Equipment shall be preflushed, presoaked, or scrubbed with abrasives.

4-603.13 Loading of Soiled Items, Warewashing Machines.

Soiled items to be cleaned in a Warewashing machine shall be loaded into racks, trays, or baskets or onto conveyors in a position that:

(A) Exposes the items to the unobstructed spray from all cycles; and

(B) Allows the items to drain.

4-603.14 Wet Cleaning.

(A) Equipment Food-Contact Surfaces and Utensils shall be effectively washed to remove or completely loosen soils by using the manual or mechanical means necessary such as the application of detergents containing wetting agents and emulsifiers; acid, alkaline, or abrasive cleaners; hot water; brushes; scouring pads; high-pressure sprays; or ultrasonic devices.

(B) The washing procedures selected shall be based on the type and purpose of the Equipment or Utensil, and on the type of soil to be removed.

4-603.15 Washing, Procedures for Alternative Manual Warewashing Equipment.

If washing in sink compartments or a Warewashing machine is impractical such as when the Equipment is fixed or the Utensils are too large, washing shall be done by using alternative manual Warewashing Equipment as specified in ¶ 4‑301.12(C) in accordance with the following procedures:

(A) Equipment shall be disassembled as necessary to allow access of the detergent solution to all parts;

(B) Equipment components and Utensils shall be scrapped or rough cleaned to remove Food particle accumulation; and

(C) Equipment and Utensils shall be washed as specified under ¶ 4‑603.14(A).

• 1. Rinsing Procedures.

Washed Utensils and Equipment shall be rinsed so that abrasives are removed and cleaning chemicals are removed or diluted through the use of water or a detergent-Sanitizer solution by using one of the following procedures:

(A) Use of a distinct, separate water rinse after washing and before Sanitizing if using:

(1) A 3-compartment sink,

(2) Alternative manual Warewashing Equipment equivalent to a 3-compartment sink as specified in ¶ 4‑301.12(C), or

(3) A 3-step washing, rinsing, and Sanitizing procedure in a Warewashing system for CIP Equipment;

(B) Use of a detergent-Sanitizer as specified under §4‑501.115 if using:

(1) Alternative Warewashing Equipment as specified in ¶ 4‑301.12(C) that is Approved for use with a detergent-Sanitizer, or

(2) A Warewashing system for CIP Equipment;

(C) Use of a nondistinct water rinse that is integrated in the hot water Sanitization immersion step of a 2-compartment sink operation;

(D) If using a Warewashing machine that does not recycle the Sanitizing solution as specified under ¶ (E) of this section, or alternative manual Warewashing Equipment such as sprayers, use of a nondistinct water rinse that is:

(1) Integrated in the application of the sanitizing solution, and

(2) Wasted immediately after each application; or

(E) If using a Warewashing machine that recycles the Sanitizing solution for use in the next wash cycle, use of a nondistinct water rinse that is integrated in the application of the Sanitizing solution.

4-603.17 Returnables, Cleaning for Refilling.

(A) Except as specified in ¶¶ (B) and (C) of this section, returned empty containers intended for cleaning and refilling with food shall be cleaned and refilled in a regulated Food Processing Plant.*

(B) A Food-specific container for Beverages may be refilled at a Food or Eating Establishment if:

(1) Only a Beverage that is not a Potentially Hazardous Food (Time/Temperature Control for Safety Food) is used as specified under ¶ 3‑304.17(A);

(2) The design of the container and of the rinsing Equipment and the nature of the Beverage, when considered together, allow effective cleaning at home or in the Food Establishment;

(3) Facilities for rinsing before refilling returned containers with fresh, hot water that is under pressure and not recirculated are provided as part of the dispensing system;

(4) The Consumer-owned container returned to the Food Establishment for refilling is refilled for sale or service only to the same Consumer; and

(5) The container is refilled by:

(a) An Employee of the Food or Eating Establishment, or

(b) The owner of the container if the Beverage system includes a contamination-free transfer process that cannot be bypassed by the container owner.

(C) Consumer-owned containers that are not Food-specific may be filled at a water Vending Machine or system.

4-7 SANITIZATION OF EQUIPMENT AND UTENSILS

4-701 Objective

4-701.10 Food-Contact Surfaces and Utensils.

Equipment Food-Contact Surfaces and Utensils shall be Sanitized.

4-702 Frequency

4-702.11 Before Use After Cleaning.*

Utensils and Food-Contact Surfaces of Equipment shall be Sanitized before use after cleaning.

4-703 Methods

4-703.11 Hot Water and Chemical.*

After being cleaned, Equipment Food-Contact Surfaces and Utensils shall be Sanitized in:

(A) Hot water manual operations by immersion for at least 30 seconds and as specified under §4‑501.111;

(B) Hot water mechanical operations by being cycled through Equipment that is set up as specified under §§4‑501.15, 4‑501.112, and 4-501.113 and achieving a Utensil surface temperature of 71oC (160oF) as measured by an irreversible registering temperature indicator; or

(C) Chemical manual or mechanical operations, including the application of Sanitizing chemicals by immersion, manual swabbing, brushing, or pressure spraying methods, using a solution as specified under §4‑501.114. Contact times shall be consistent with those on EPA-registered label-use instructions by providing:

(1) Except as specified under Subparagraph (C)(2) of this section, a contact time of at least 10 seconds for a chlorine solution specified under ¶ 4‑501.114(A),

(2) A contact time of at least 7 seconds for a chlorine solution of 50 mg/L that has a pH of 10 or less and a temperature of at least 38oC (100oF) or a pH of 8 or less and a temperature of at least 24oC (75oF),

(3) A contact time of at least 30 seconds for other chemical Sanitizing solutions, or

(4) A contact time used in relationship with a combination of temperature, concentration, and pH that, when evaluated for efficacy, yields Sanitization as defined in Subparagraph 1‑201.10(B).

4-8 LAUNDERING

4-801 Objective

4-801.11 Clean Linens.

Clean Linens shall be free from Food residues and other soiling matter.

4-802 Frequency

• 1. Specifications.

Linens that do not come in direct contact with Food shall be laundered between operations if they become wet, sticky, or visibly soiled.

Cloth gloves used as specified in ¶ 3‑304.15(D) shall be laundered before being used with a different type of raw animal Food such as beef, Fish, lamb, pork, or Poultry.

(C) Linens and napkins that are used as specified under §3‑304.13 and cloth napkins shall be laundered between each use.

(D) Wet wiping cloths shall be laundered daily.

(E) Dry wiping cloths shall be laundered as necessary to prevent contamination of Food and clean serving Utensils.

4-803 Methods

4-803.11 Storage of Soiled Linens.

Soiled Linens shall be kept in clean, nonabsorbent receptacles or clean, washable laundry bags and stored and transported to prevent contamination of Food, clean Equipment, clean Utensils, and Single-Service and Single-Use Articles.

4-803.12 Mechanical Washing.

(A) Except as specified in ¶ (B) of this section, Linens shall be mechanically washed.

(B) In Food or Eating Establishments in which only wiping cloths are laundered as specified in ¶ 4‑301.15(B), the wiping cloths may be laundered in a mechanical washer, sink designated only for laundering wiping cloths, or a Warewashing or Food preparation sink that is cleaned as specified under §4‑501.14.

4-803.13 Use of Laundry Facilities.

(A) Except as specified in ¶ (B) of this section, laundry facilities on the Premises of a Food shall be used only for the washing and drying of items used in the operation of the establishment.

(B) Separate laundry facilities located on the Premises for the purpose of general laundering such as for institutions providing boarding and lodging may also be used for laundering Food or Eating Establishment items.

4-9 PROTECTION OF CLEAN ITEMS

4-901 Drying

4-901.11 Equipment and Utensils, Air-Drying Required.

After cleaning and Sanitizing, Equipment, and Utensils:

(A) Shall be air-dried or used after adequate draining as specified in the first paragraph of 40 CFR 180.940 (Tolerance exemptions for active and inert ingredients for use in antimicrobial formulations (food-contact surface Sanitizing solutions)), before contact with Food; and

(B) May not be cloth dried except that Utensils that have been air-dried may be polished with cloths that are maintained clean and dry.

4-901.12 Wiping Cloths, Air-Drying Locations.

Wiping cloths laundered in a Food or Eating Establishment that does not have a mechanical clothes dryer as specified in ¶ 4‑301.15(B) shall be air-dried in a location and in a manner that prevents contamination of Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles

and the wiping cloths. This section does not apply if wiping cloths are stored after laundering in a sanitizing solution as specified under §4‑501.114.

4-902 Lubricating and Reassembling

4-902.11 Food-Contact Surfaces.

Lubricants as specified under § 7-205.11 shall be applied to Food-Contact Surfaces that require lubrication in a manner that does not contaminate Food-Contact Surfaces.

4-902.12 Equipment.

Equipment shall be reassembled so that Food-Contact Surfaces are not contaminated.

4-903 Storing

4-903.11 Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

(A) Except as specified in ¶ (D) of this section, cleaned Equipment and Utensils, laundered Linens, and Single-Service and Single-Use Articles shall be stored:

(1) In a clean, dry location;

(2) Where they are not exposed to splash, dust, or other contamination; and

(3) At least 15 cm (6 inches) above the floor.

(B) Clean Equipment and Utensils shall be stored as specified under ¶ (A) of this section and shall be stored:

(1) In a self-draining position that allows air drying; and

(2) Covered or inverted.

(C) Single-Service and Single-Use Articles shall be stored as specified under ¶ (A) of this section and shall be kept in the original protective package or stored by using other means that afford protection from contamination until used.

(D) Items that are kept in closed packages may be stored less than 15 cm (6 inches) above the floor on dollies, pallets, racks, and skids that are designed as specified under §4‑204.122.

4-903.12 Prohibitions.

(A) Except as specified in ¶ (B) of this section, cleaned and Sanitized Equipment, Utensils, laundered Linens, and Single-Service and Single-Use Articles may not be stored:

(1) In locker rooms;

(2) In toilet rooms;

(3) In garbage rooms;

(4) In mechanical rooms;

(5) Under sewer lines that are not shielded to intercept potential drips;

(6) Under leaking water lines including leaking automatic fire sprinkler heads or under lines on which water has condensed;

(7) Under open stairwells; or

(8) Under other sources of contamination.

(B) Laundered Linens and Single-Service and Single-Use Articles that are Packaged or in a facility such as a cabinet may be stored in a locker room .

4-904 Handling

4-904.11 Kitchenware and Tableware.

(A) Single-Service and Single-Use Articles and cleaned and Sanitized Utensils shall be handled, displayed, and dispensed so that contamination of Food- and lip-contact surfaces is prevented.

(B) Knives, forks, and spoons that are not prewrapped shall be presented so that only the handles are touched by Employees and by Consumers if Consumer self-service is provided.

(C) Except as specified under ¶ (B) of this section, Single-Service Articles that are intended for Food- or lip-contact shall be furnished for Consumer self-service with the original individual wrapper intact or from an Approved dispenser.

4-904.12 Soiled and Clean Tableware.

Soiled Tableware shall be removed from Consumer eating and drinking areas and handled so that clean Tableware is not contaminated.

4-904.13 Preset Tableware.

(A) Except as specified in ¶ (B) of this section, Tableware that is preset shall be protected from contamination by being wrapped, covered, or inverted.

(B) Preset Tableware may be exposed if:

(1) Unused settings are removed when a Consumer is seated; or

(2) Settings not removed when a Consumer is seated are cleaned and Sanitized before further use.

CHAPTER 5

WATER, PLUMBING, AND WASTE

5-1 WATER

5-101 Source

5-101.11 Approved System.*

Drinking Water shall be obtained from an Approved source that is:

(A) A Public Water System; or

(B) A non-Public Water System that is constructed, maintained, and operated according to Law.

5-101.12 System Flushing and Disinfection.*

A drinking water system shall be flushed and disinfected before being placed in service after construction, repair, or modification and after an emergency situation, such as a flood, that may introduce contaminants to the system.

5-101.13 Bottled Drinking Water.*

Bottled Drinking Water used or sold in a Food or Eating Establishment shall be obtained from Approved sources in accordance with 21 CFR 129 (Processing and Bottling of Bottled Drinking Water)(2012 ed.), 10-144 CMR 235 (Maine Rules Relating to Bottled Water, Bulk Water and Water Vending Machines (Amended 2001) and as updated, and 32 M.R.S. § Chapter 27 (Manufacturers and Bottlers of Nonalcoholic Beverages)(Amended 2011).

5-102 Quality

5-102.11 Standards.*

Except as specified under §5‑102.12:

(A) Water from a Public Water System shall meet 40 CFR 141(National Primary Drinking Water Regulations)(2012 ed.) and state Drinking Water quality standards, in accordance with the State of Maine Rules Relating to Drinking Water at 10-144 CMR 231(Amended 2012); and

(B) Water from a nonpublic Water System shall meet state Drinking Water quality standards.

(C) State Drinking Water quality standards are as follows:

(1) Zero (0) colony forming units of Coliform bacteria per 100 milliliters of sample: and

(2) 10 ppm nitrate maximum.

(D) Drinking water acquired from surface water shall be properly disinfected with chlorine, and maintain a residual of 0.5 ppm.

• 1. All new Public Water Systems and all new Establishments supplying drinking water from their own source shall test for total coliform bacteria, nitrate, nitrite, fluoride, chloride, hardness, antimony, iron, pH, manganese, uranium and arsenic. The Regulatory Authority may require testing for volatile organic carbons, if there are buried fuel storage tanks within 1,000 feet from the drinking water source. Additional testing may be required if the source is in the proximity of a known contamination site.

(F) If the Food or Eating Establishment is a Public Water System, state and federal Drinking Water regulations at 10-144 CMR 231 (Amended 2012) and 40 CFR 141 (2012 ed.) regarding new source approval shall apply in order to obtain “new well approval” from the Department of Health and Human Services, Drinking Water Program. If the Food or Eating Establishment is not a regulated Public Water System, then the Food or Eating Establishment shall sample according to Section 5-102.13 of this Code.

Food or Eating Establishments that meet the definition of a Public Water System shall obtain “new system approval” from the Maine Department of Health and Human Services Drinking Water Program.

Water test results for non-Public Water Systems will be reviewed by the Regulatory Authority to determine if the source is acceptable or is in need of treatment.

(a) Treatment will be required if the water quality does not meet drinking water quality standards found in Section 5-102.11 (C) of this Code.

(b) Treatment or other mitigation measures may be required, if the following standards are exceeded:

(i) Arsenic – 10.0 parts per billion (ppb)

(ii) Uranium – 30 ppb

(iii) Fluoride – 2.0 ppb

(iv) Antimony – 6.0 ppb

(G) If the Food or Eating Establishment is neither a Public Water System regulated by the Maine Drinking Water Program nor receiving its Drinking Water from a Public Water System, then the Food or Eating Establishments must report Drinking Water quality standards for the following contaminants, upon renewal of their Food or Eating Establishment License:

(1) Total Coliform Bacteria; and

(2) Nitrates.

5-102.12 Nondrinking Water.*

(A) A non-Drinking Water supply shall be used only if its use is Approved.

(B) Non-Drinking Water shall be used only for non-culinary purposes, such as air conditioning, non-Food Equipment cooling, fire protection, sanitary needs (toilets and urinals) and irrigation.

5-102.13 Sampling.

Public Water Systems shall sample at a frequency determined by the Maine Drinking Water Program at the Department of Health and Human Services.

Non-Public Water Systems: Except when used as specified under §5‑102.12, water from a non-Public Water System shall be sampled and tested as required by state water quality regulations and as indicated in subsections (A) through (C) below:

Establishments with groundwater sources shall test at least quarterly for total coliform bacteria. After four quarters of satisfactory total coliform bacteria sample reports, the sampling frequency may be reduced to annually. Establishments with groundwater sources shall test at least quarterly for nitrates if initial testing indicates that the nitrates exceed more than half of the Drinking Water quality standards at 5-102.11(C). If, after four quarters of sampling, the nitrates remain below Drinking Water quality standards found in 5-102.11 (C), then the sampling requirements for nitrates may be reduced to annually. All other Establishments with groundwater supplies shall test at least annually for nitrates.

(B) Establishments with surface water sources shall test at the same frequency as a Transient Public Water System for nitrates, nitrites and total coliform bacteria, chlorine residual and turbidity. A copy of the chlorine records shall be kept on the premises for the last two years and shall be made available for viewing by the Regulatory Authority.

(C) All Establishments shall test for nitrites, in accordance with standards set by the Regulatory Authority.

5-102.14 Sample Report.

The most recent sample report for the non-Public Water System shall be retained on file in the Food or Eating Establishment or the report shall be maintained as specified by state water quality regulations.

5-103 Quantity and Availability

5-103.11 Capacity.*

(A) The water source and system shall be of sufficient capacity to meet the peak water demands of the Food or Eating Establishment.

(B) Hot water generation and distribution systems shall be sufficient to meet the peak hot water demands throughout the Food or Eating Establishment.

5-103.12 Pressure.

Water under pressure shall be provided to all fixtures, Equipment, and non-Food Equipment that

are required to use water except that water supplied as specified under ¶¶ 5‑104.12(A) and (B) to a Temporary Food or Eating Establishment or in response to a temporary interruption of a water supply need not be under pressure.

5-104 Distribution, Delivery, and Retention

5-104.11 System.

Water shall be received from the source through the use of:

(A) An Approved public water main; or

(B) One or more of the following that shall be constructed, maintained, and operated according to Law:

(1) Nonpublic water main, water pumps, pipes, hoses, connections, and other appurtenances,

(2) Water transport vehicles, and/or

(3) Water containers.

5-104.12 Alternative Water Supply.

Water meeting the requirements specified under Subparts 5-101, 5‑102, and 5‑103 shall be made available for a mobile facility, for a Temporary Food or Eating Establishment without a permanent water supply, and for a Food or Eating Establishment with a temporary interruption of its water supply through:

(A) A supply of containers of commercially Bottled Drinking Water;

(B) One or more closed portable water containers;

(C) An enclosed vehicular water tank;

(D) An on-Premises water storage tank; or

• 1. Piping, tubing, or hoses connected to an adjacent Approved source.

5-2 PLUMBING SYSTEM

5-201 Materials

5-201.11 Approved.*

(A) A Plumbing System and hoses conveying water shall be constructed and repaired with Approved materials according to Maine State Internal Plumbing Code, 2000 Uniform Plumbing Code published by IAPMO.

(B) A water filter shall be certified to meet NSF/ANSI Standard 61 (Revised 2012).

5-202 Design, Construction, and Installation

5-202.11 Approved System and Cleanable Fixtures.

(A) A Plumbing System shall be designed, constructed, and installed according to Law. *****

(B) A Plumbing Fixture such as a handwashing facility, toilet, or urinal shall be Easily Cleanable.

5-202.12 Handwashing Sink, Installation.

(A) A handwashing sink shall be equipped to provide water at a temperature of at least 38 oC (100 oF) through a mixing valve or combination faucet.

(B) A steam mixing valve may not be used at a handwashing sink.

(C) A self-closing, slow-closing, or metering faucet shall provide a flow of water for at least 15 seconds without the need to reactivate the faucet.

(D) An automatic handwashing facility shall be installed in accordance with manufacturer’s instructions.

5-202.13 Backflow Prevention, Air Gap.*

An air gap between the water supply inlet and the flood level rim of the Plumbing Fixture, Equipment, or non-Food Equipment shall be at least twice the diameter of the water supply inlet and may not be less than 25 mm (1 inch).

5-202.14 Backflow Prevention Device, Design Standard.

A backflow or backsiphonage prevention device installed on a water supply system shall meet the Maine Internal Plumbing Code standards, 2000 Uniform Plumbing Code published by IAPMO, for construction, installation, maintenance, inspection, and testing for that specific application and type of device.*

5-202.15 Conditioning Device, Design.

A water filter, screen, and other water conditioning device installed on water lines shall be designed to facilitate disassembly for periodic servicing and cleaning. A water filter element shall be of the replaceable type.

5-203 Numbers and Capacities

5-203.11 Handwashing Sinks.*

Except as specified in ¶¶ (B) and (C) of this section, at least 1 Handwashing Sink, a number

of Handwashing Sinks necessary for their convenient use by Employees in areas specified under §5‑204.11, and not fewer than the number of Handwashing Sinks required by Law shall be provided.

(B) If Approved and capable of removing the types of soils encountered in the Food operations involved, automatic handwashing facilities may be substituted for handwashing lavatories in a Food or Eating Establishment that has at least 1 Handwashing Sink.

(C) If Approved, when Food exposure is limited and Handwashing Sinks are not conveniently available, such as in some mobile or Temporary Food or Eating Establishments or at some Vending Machine Locations, Employees may use chemically treated towelettes for handwashing.

5-203.12 Toilets and Urinals.*

At least 1 toilet and not fewer than the toilets required by Law shall be provided. If authorized by Law and urinals are substituted for toilets, the substitution shall be done as specified in 22 M.R.S. §§1686 (New 1987) & 1686-A (Amended 2011), and the Maine Internal Plumbing, 2000 Uniform Plumbing Code published by IAPMO.

5-203.13 Service Sink.

(A) At least 1 service sink or 1 curbed cleaning facility equipped with a floor drain shall be provided and conveniently located for the cleaning of mops or similar wet floor cleaning tools and for the disposal of mop water and similar liquid waste.

(B) Toilets and urinals may not be used as a service sink for the disposal of mop water and similar liquid waste.

5-203.14 Backflow Prevention Device, When Required.*

A Plumbing System shall be installed to preclude backflow of a solid, liquid, or gas contaminant into the water supply system at each point of use at the Food or Eating Establishment, including on a hose bibb if a hose is attached or on a hose bibb if a hose is not attached and backflow prevention is required by Law, by:

(A) Providing an air gap as specified under §5‑202.13; or

(B) Installing an Approved backflow prevention device as specified under §5‑202.14.

5-203.15 Backflow Prevention Device, Carbonator.

(A) If not provided with an air gap as specified under § 5-202.13, a dual check valve with an intermediate vent preceded by a screen of not less than 100 mesh to 25.4 mm (100 mesh to 1 inch) shall be installed upstream from a carbonating device and downstream from any copper in the water supply line.

(B) A dual check valve attached to the carbonator need not be of the vented type if an air gap or vented backflow prevention device has been otherwise provided as specified under ¶ (A) of this section.

5-204 Location and Placement

5-204.11 Handwashing Sinks.*

A handwashing sink shall be located:

(A) To allow convenient use by Employees in Food preparation, Food dispensing, and Warewashing areas; and

(B) In, or immediately adjacent to, toilet rooms.

5-204.12 Backflow Prevention Device, Location.

A backflow prevention device shall be located so that it may be serviced and maintained.

5-204.13 Conditioning Device, Location.

A water filter, screen, and other water conditioning device installed on water lines shall be located to facilitate disassembly for periodic servicing and cleaning.

5-205 Operation and Maintenance

5-205.11 Using a Handwashing Sink.

(A) A handwashing sink shall be maintained so that it is accessible at all times for Employee use.

(B) A handwashing sink may not be used for purposes other than handwashing.

(C) An automatic handwashing sink facility shall be used in accordance with manufacturer’s instructions.

5-205.12 Prohibiting a Cross Connection.

(A) Except as specified in 9 CFR 308.3(d) (2012 ed.) for firefighting, a Person may not create a cross connection by connecting a pipe or conduit between the Drinking Water system and a non-Drinking Water System or a water system of unknown quality.*

(B) The piping of a non-Drinking Water System shall be durably identified so that it is readily distinguishable from piping that carries Drinking Water.

5-205.13 Scheduling Inspection and Service for a Water System Device.

A device such as a water treatment device or backflow preventer shall be scheduled for inspection and service, in accordance with manufacturer's instructions and as necessary to prevent device failure based on local water conditions, and records demonstrating inspection and service shall be maintained by the Person in Charge.

5-205.14 Water Reservoir of Fogging Devices, Cleaning.*

(A) A reservoir that is used to supply water to a device such as a produce fogger shall be:

(1) Maintained in accordance with manufacturer's specifications; and

(2) Cleaned in accordance with manufacturer's specifications or according to the procedures specified under ¶ (B) of this section, whichever is more stringent.

(B) Cleaning procedures shall include at least the following steps and shall be conducted at least once a week:

(1) Draining and complete disassembly of the water and aerosol contact parts;

(2) Brush-cleaning the reservoir, aerosol tubing, and discharge nozzles with a suitable detergent solution;

(3) Flushing the complete system with water to remove the detergent solution and particulate accumulation; and

(4) Rinsing by immersing, spraying, or swabbing the reservoir, aerosol tubing, and discharge nozzles with at least 50 mg/L hypochlorite solution.

5-205.15 System Maintained in Good Repair.*

A Plumbing System shall be:

(A) Repaired according to Law; and

(B) Maintained in good repair.

5-3 MOBILE WATER TANK AND MOBILE FOOD ESTABLISHMENT WATER TANK

5-301 Materials

5-301.11 Approved.

Materials that are used in the construction of a mobile water tank, mobile Food or Eating Establishment water tank, and appurtenances shall be:

(A) Safe;*

(B) Durable, Corrosion-Resistant, and nonabsorbent; and

(C) Finished to have a Smooth, Easily Cleanable surface.

5-302 Design and Construction

5-302.11 Enclosed System, Sloped to Drain.

A mobile water tank shall be:

(A) Enclosed from the filling inlet to the discharge outlet; and

(B) Sloped to an outlet that allows complete drainage of the tank.

5-302.12 Inspection and Cleaning Port, Protected and Secured.

If a water tank is designed with an access port for inspection and cleaning, the opening shall be in the top of the tank and:

(A) Flanged upward at least 13 mm (one-half inch); and

(B) Equipped with a port cover assembly that is:

(1) Provided with a gasket and a device for securing the cover in place, and

(2) Flanged to overlap the opening and sloped to drain.

5-302.13 "V" Type Threads, Use Limitation.

A fitting with "V" type threads on a water tank inlet or outlet shall be allowed only when a hose is permanently attached.

5-302.14 Tank Vent, Protected.

If provided, a water tank vent shall terminate in a downward direction and shall be covered with:

(A) 16 mesh to 25.4 mm (16 mesh to 1 inch) screen or equivalent when the vent is in a protected area; or

(B) A protective filter when the vent is in an area that is not protected from windblown dirt and debris.

5-302.15 Inlet and Outlet, Sloped to Drain.

(A) A water tank and its inlet and outlet shall be sloped to drain.

(B) A water tank inlet shall be positioned so that it is protected from contaminants such as waste discharge, road dust, oil, or grease.

5-302.16 Hose, Construction and Identification.

A hose used for conveying Drinking Water from a water tank shall be:

(A) Safe;*

(B) Durable, Corrosion-Resistant, and nonabsorbent;

(C) Resistant to pitting, chipping, crazing, scratching, scoring, distortion, and decomposition;

(D) Finished with a Smooth interior surface; and

(E) Clearly and durably identified as to its use if not permanently attached.

5-303 Numbers and Capacities

5-303.11 Filter, Compressed Air.

A filter that does not pass oil or oil vapors shall be installed in the air supply line between the compressor and Drinking Water system when compressed air is used to pressurize the water tank system.*

5-303.12 Protective Cover or Device.

A cap and keeper chain, closed cabinet, closed storage tube, or other Approved protective cover or device shall be provided for a water inlet, outlet, and hose.

5-303.13 Mobile Food or Eating Establishment Tank Inlet.

A mobile Food or Eating Establishment’s water tank inlet shall be:

(A) 19.1 mm (3/4 inch) in inner diameter or less; and

(B) Provided with a hose connection of a size or type that will prevent its use for any other service.

5-304 Operation and Maintenance

5-304.11 System Flushing and Sanitization.

A water tank, pump, and hoses shall be flushed and sanitized before being placed in service after construction, repair, modification, and periods of nonuse. *****

5-304.12 Using a Pump and Hoses, Backflow Prevention.

A Person shall operate a water tank, pump, and hoses so that backflow and other contamination of the water supply are prevented.

5-304.13 Protecting Inlet, Outlet, and Hose Fitting.

If not in use, a water tank and hose inlet and outlet fitting shall be protected using a cover or device as specified under §5‑303.12.

5-304.14 Tank, Pump, and Hoses, Dedication.

(A) Except as specified in ¶ (B) of this section, a water tank, pump, and hoses used for conveying Drinking Water shall be used for no other purpose. *

(B) Water tanks, pumps, and hoses Approved for liquid Foods may be used for conveying Drinking Water if they are cleaned and Sanitized before they are used to convey water .

5-4 SEWAGE, OTHER LIQUID WASTE, AND RAINWATER

5-401 Mobile Holding Tank

5-401.11 Capacity and Drainage.

A Sewage holding tank in a mobile Food or Eating Establishment shall be:

(A) Sized 15 percent larger in capacity than the water supply tank; and

(B) Sloped to a drain that is 25 mm (1 inch) in inner diameter or greater, equipped with a shut-off valve.

5-402 Retention, Drainage, and Delivery

5-402.10 Establishment Drainage System.

Food Establishment drainage systems, including grease traps, that convey Sewage shall be designed and installed as specified under ¶ 5‑202.11(A).

5-402.11 Backflow Prevention.

(A) Except as specified in ¶¶ (B), (C), and (D) of this section, a direct connection may not exist between the Sewage system and a drain originating from Equipment in which Food, portable Equipment, or Utensils are placed.*

(B) Paragraph (A) of this section does not apply to floor drains that originate in refrigerated spaces that are constructed as an integral part of the building.

(C) If allowed by Law, a Warewashing machine may have a direct connection between its waste

outlet and a floor drain when the machine is located within 1.5 m (5 feet) of a trapped floor drain and the machine outlet is connected to the inlet side of a properly vented floor drain trap.

(D) If allowed by Law, a Warewashing or culinary sink may have a direct connection.

5-402.12 Grease Trap.

If used, a grease trap shall be located to be easily accessible for cleaning.

5-402.13 Conveying Sewage.*

Sewage shall be conveyed to the point of disposal through an Approved sanitary Sewage system or other system, including use of Sewage transport vehicles, waste retention tanks, pumps, pipes, hoses, and connections that are constructed, maintained, and operated according to Law.

5-402.14 Removing Mobile Food Establishment Wastes.

Sewage and other liquid wastes shall be removed from a mobile Food or Eating Establishment at an Approved waste Servicing Area or by a Sewage transport vehicle in such a way that a public health Hazard or nuisance is not created.

5-402.15 Flushing a Waste Retention Tank.

A tank for liquid waste retention shall be thoroughly flushed and drained in a sanitary manner during the servicing operation.

5-403 Disposal Facility

5-403.11 Approved Sewage Disposal System.*

Sewage shall be disposed through an Approved facility that is:

(A) A public Sewage treatment plant; or

(B) An individual Sewage disposal system that is sized, constructed, maintained, and operated according to the Maine Subsurface Wastewater Disposal Rules at 10-144 CMR 241 (Amended 2011).

5-403.12 Other Liquid Wastes and Rainwater.

Condensate drainage and other non-Sewage liquids and rainwater shall be drained from point of discharge to disposal according to Law.

5-5 REFUSE, RECYCLABLES, AND RETURNABLES

5-501 Facilities on the Premises

5-501.10 Indoor Storage Area.

If located within the Food or Eating Establishment, a storage area for Refuse, recyclables, and returnables shall meet the requirements specified under §§6‑101.11, 6‑201.11 - 6‑201.18, 6‑202.15, and 6‑202.16.

5-501.11 Outdoor Storage Surface.

An outdoor storage surface for Refuse, recyclables, and returnables shall be constructed of nonabsorbent material such as concrete or asphalt and shall be Smooth, durable, and sloped to drain.

5-501.12 Outdoor Enclosure.

If used, an outdoor enclosure for Refuse, recyclables, and returnables shall be constructed of durable and cleanable materials.

5-501.13 Receptacles.

(A) Except as specified in ¶ (B) of this section, receptacles and waste handling units for Refuse, recyclables, and returnables and for use with materials containing Food residue shall be durable, cleanable, insect- and rodent-resistant, leakproof, and nonabsorbent.

(B) Plastic bags and wet strength paper bags may be used to line receptacles for storage inside the Food or Eating Establishment, or within closed outside receptacles .

5-501.14 Receptacles in Vending Machines.

Except for a receptacle for Beverage bottle crown closures, a Refuse receptacle may not be located within a Vending Machine .

5-501.15 Outside Receptacles.

(A) Receptacles and waste handling units for Refuse, recyclables, and returnables used with materials containing Food residue and used outside the Food or Eating Establishment shall be designed and constructed to have tight-fitting lids, doors, or covers.

(B) Receptacles and waste handling units for Refuse and recyclables such as an on-site compactor shall be installed so that accumulation of debris and insect and rodent attraction and harborage are minimized and effective cleaning is facilitated around and, if the unit is not installed flush with the base pad, under the unit.

5-501.16 Storage Areas, Rooms, and Receptacles, Capacity and Availability.

(A) An inside storage room and area and outside storage area and enclosure, and receptacles shall be of sufficient capacity to hold Refuse, recyclables, and returnables that accumulate.

(B) A receptacle shall be provided in each area of the Food or Eating Establishment or Premises where Refuse is generated or commonly discarded, or where recyclables or returnables are placed.

(C) If disposable towels are used at handwashing lavatories, a waste receptacle shall be located at each lavatory or group of adjacent lavatories.

5-501.17 Toilet Room Receptacle, Covered.

A toilet room used by females shall be provided with a covered receptacle for sanitary napkins.

5-501.18 Cleaning Implements and Supplies.

Except as specified in ¶ (B) of this section, suitable cleaning implements and supplies

such as high pressure pumps, hot water, steam, and detergent shall be provided as necessary for effective cleaning of receptacles and waste handling units for Refuse, recyclables, and returnables.

(B) If Approved, off-Premises-based cleaning services may be used if on-Premises cleaning implements and supplies are not provided .

5-501.19 Storage Areas, Redeeming Machines, Receptacles and Waste Handling Units, Location.

(A) An area designated for Refuse, recyclables, returnables, and, except as specified in ¶ (B) of this section, a redeeming machine for recyclables or returnables shall be located so that it is separate from Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles and a public health Hazard or nuisance is not created.

(B) A redeeming machine may be located in the Packaged Food storage area or Consumer area of a Food or Eating Establishment if Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles are not subject to contamination from the machines and a public health Hazard or nuisance is not created.

(C) The location of receptacles and waste handling units for Refuse, recyclables, and returnables may not create a public health Hazard or nuisance or interfere with the cleaning of adjacent space.

5-501.110 Storing Refuse, Recyclables, and Returnables.

Refuse, recyclables, and returnables shall be stored in receptacles or waste handling units so that they are inaccessible to insects and rodents.

5-501.111 Areas, Enclosures, and Receptacles, Good Repair.

Storage areas, enclosures, and receptacles for Refuse, recyclables, and returnables shall be maintained in good repair.

5-501.112 Outside Storage Prohibitions.

(A) Except as specified in ¶ (B) of this section, Refuse receptacles not meeting the requirements specified under ¶ 5‑501.13(A) such as receptacles that are not rodent-resistant, unprotected plastic bags and paper bags, or baled units that contain materials with Food residue may not be stored outside.

(B) Cardboard or other packaging material that does not contain Food residues and that is awaiting regularly scheduled delivery to a recycling or disposal site may be stored outside without being in a covered receptacle if it is stored so that it does not create a rodent harborage problem.

5-501.113 Covering Receptacles.

Receptacles and waste handling units for Refuse, recyclables, and returnables shall be kept covered:

(A) Inside the Food or Eating Establishment if the receptacles and units:

(1) Contain Food residue and are not in continuous use; or

(2) After they are filled; and

(B) With tight-fitting lids or doors if kept outside the Food or Eating Establishment.

5-501.114 Using Drain Plugs.

Drains in receptacles and waste handling units for Refuse, recyclables, and returnables shall have drain plugs in place.

5-501.115 Maintaining Refuse Areas and Enclosures.

A storage area and enclosure for Refuse, recyclables, or returnables shall be maintained free of unnecessary items, as specified under §6‑501.114, and clean.

5-501.116 Cleaning Receptacles.

(A) Receptacles and waste handling units for Refuse, recyclables, and returnables shall be thoroughly cleaned in a way that does not contaminate Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles, and waste water shall be disposed of as specified under §5‑402.13.

(B) Soiled receptacles and waste handling units for Refuse, recyclables, and returnables shall be cleaned at a frequency necessary to prevent them from developing a buildup of soil or becoming attractants for insects and rodents.

5-502 Removal

5-502.11 Frequency.

Refuse, recyclables, and returnables shall be removed from the Premises at a frequency that will minimize the development of objectionable odors and other conditions that attract or harbor insects and rodents.

5-502.12 Receptacles or Vehicles.

Refuse, recyclables, and returnables shall be removed from the Premises by way of:

(A) Portable receptacles that are constructed and maintained according to Law; or

(B) A transport vehicle that is constructed, maintained, and operated according to Law.

5-503 Facilities for Disposal and Recycling

5-503.11 Community or Individual Facility.

Solid waste not disposed of through the Sewage system such as through grinders and pulpers shall be recycled or disposed of in an Approved public or private community recycling or Refuse facility; or solid waste shall be disposed of in an individual Refuse facility such as a landfill or incinerator which is sized, constructed, maintained, and operated according to Law.

CHAPTER 6

PHYSICAL FACILITIES

6-1 MATERIALS FOR CONSTRUCTION AND REPAIR

6-101 Indoor Areas

6-101.11 Surface Characteristics.

(A) Except as specified in ¶ (B) of this section, materials for indoor floor, wall, and ceiling surfaces under conditions of normal use shall be:

(1) Smooth, durable, and Easily Cleanable for areas where Food or Eating Establishment operations are conducted;

(2) Closely woven and Easily Cleanable carpet for carpeted areas; and

(3) Nonabsorbent for areas subject to moisture such as Food preparation areas, walk-in refrigerators, Warewashing areas, toilet rooms, mobile Food or Eating Establishment Servicing Areas, and areas subject to flushing or spray cleaning methods.

(B) In a Temporary Eating Establishment:

(1) If graded to drain, a floor may be concrete, machine-laid asphalt, or dirt or gravel if it is covered with mats, removable platforms, duckboards, or other suitable Approved materials that are effectively treated to control dust and mud; and

(2) Walls and ceilings may be constructed of a material that protects the interior from the weather and windblown dust and debris.

6-102 Outdoor Areas

6-102.11 Surface Characteristics.

(A) The outdoor walking and driving areas shall be surfaced with concrete, asphalt, or gravel or other materials that have been effectively treated to minimize dust, facilitate maintenance, and prevent muddy conditions.

(B) Exterior surfaces of buildings and mobile Food Establishments shall be of weather-resistant materials and shall comply with Law.

(C) Outdoor storage areas for Refuse, recyclables, or returnables shall be of materials specified under §§5‑501.11 and 5‑501.12.

6-2 DESIGN, CONSTRUCTION, AND INSTALLATION

6-201 Cleanability

6-201.11 Floors, Walls, and Ceilings.

Except as specified under §6‑201.14, and except for antislip floor coverings or applications that may be used for safety reasons, the floors, floor coverings, walls, wall coverings, and ceilings shall be designed, constructed, and installed so they are Smooth and Easily Cleanable .

6-201.12 Floors, Walls, and Ceilings, Utility Lines.

(A) Utility service lines and pipes may not be unnecessarily exposed.

(B) Exposed utility service lines and pipes shall be installed so they do not obstruct or prevent cleaning of the floors, walls, or ceilings.

(C) Exposed horizontal utility service lines and pipes may not be installed on the floor.

6-201.13 Floor and Wall Junctures, Coved, and Enclosed or Sealed.

(A) In Food or Eating Establishments in which cleaning methods other than water flushing are used for cleaning floors, the floor and wall junctures shall be coved and closed to no larger than 1 mm (one thirty-second inch).

(B) The floors in Food or Eating Establishments in which water flush cleaning methods are used shall be provided with drains and be graded to drain, and the floor and wall junctures shall be covered and Sealed.

6-201.14 Floor Carpeting, Restrictions and Installation.

(A) A floor covering such as carpeting or similar material may not be installed as a floor covering in Food preparation areas, walk-in refrigerators, Warewashing areas, toilet room areas where handwashing lavatories, toilets, and urinals are located, Refuse storage rooms, or other areas where the floor is subject to moisture, flushing, or spray cleaning methods.

(B) If carpeting is installed as a floor covering in areas other than those specified under ¶ (A) of this section, it shall be:

(1) Securely attached to the floor with a durable mastic, by using a stretch and tack method, or by another method; and

(2) Installed tightly against the wall under the coving or installed away from the wall with a space between the carpet and the wall and with the edges of the carpet secured by metal stripping or some other means.

6-201.15 Floor Covering, Mats and Duckboards.

Mats and duckboards shall be designed to be removable and Easily Cleanable.

6-201.16 Wall and Ceiling Coverings and Coatings.

(A) Wall and ceiling covering materials shall be attached so that they are Easily Cleanable.

(B) Except in areas used only for dry storage, concrete, porous blocks, or bricks used for indoor wall construction shall be finished and Sealed to provide a Smooth, nonabsorbent, Easily Cleanable surface.

6-201.17 Walls and Ceilings, Attachments.

(A) Except as specified in ¶ (B) of this section, attachments to walls and ceilings such as light fixtures, mechanical room ventilation system components, vent covers, wall mounted fans, decorative items, and other attachments shall be Easily Cleanable.

(B) In a Consumer area, wall and ceiling surfaces and decorative items and attachments that are provided for ambiance need not meet this requirement if they are kept clean .

6-201.18 Walls and Ceilings, Studs, Joists, and Rafters.

Except for Temporary Food or Eating Establishments , studs, joists, and rafters may not be exposed in areas subject to moisture.

6-202 Functionality

6-202.11 Light Bulbs, Protective Shielding.

(A) Except as specified in ¶ (B) of this section, light bulbs shall be shielded, coated, or otherwise shatter-resistant in areas where there is exposed Food; clean Equipment, Utensils, and Linens; or unwrapped Single-Service and Single-Use Articles.

(B) Shielded, coated, or otherwise shatter-resistant bulbs need not be used in areas used only for storing Food in unopened packages, if:

(1) The integrity of the packages cannot be affected by broken glass falling onto them; and

(2) The packages are capable of being cleaned of debris from broken bulbs before the packages are opened.

(C) An infrared or other heat lamp shall be protected against breakage by a shield surrounding and extending beyond the bulb so that only the face of the bulb is exposed.

6-202.12 Heating, Ventilating, Air Conditioning System Vents.

Heating, ventilating, and air conditioning systems shall be designed and installed so that make-up air intake and exhaust vents do not cause contamination of Food, Food-Contact Surfaces, Equipment, or Utensils.

6-202.13 Insect Control Devices, Design and Installation.

(A) Insect control devices that are used to electrocute or stun flying insects shall be designed to retain the insect within the device.

(B) Insect control devices shall be installed so that:

(1) The devices are not located over a Food preparation area; and

(2) Dead insects and insect fragments are prevented from being impelled onto or falling on exposed Food; clean Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

6-202.14 Toilet Rooms, Enclosed.

Except where a toilet room is located outside a Food or Eating Establishment and does not open directly into the Food or Eating Establishment, such as a toilet room that is provided by the management of a shopping mall, a toilet room located on the Premises shall be completely enclosed and provided with a tight-fitting and self-closing door.

6-202.15 Outer Openings, Protected.

(A) Except as specified in ¶¶ (B), (C), and (E) and under ¶ (D) of this section, outer openings of a Food Establishment shall be protected against the entry of insects and rodents by:

(1) Filling or closing holes and other gaps along floors, walls, and ceilings;

(2) Closed, tight-fitting windows; and

(3) Solid, self-closing, tight-fitting doors.

(B) Paragraph (A) of this section does not apply if a Food or Eating Establishment opens into a larger structure, such as a mall, airport, or office building, or into an attached structure, such as a porch, and the outer openings from the larger or attached structure are protected against the entry of insects and rodents .

(C) Exterior doors used as exits need not be self-closing if they are:

(1) Solid and tight-fitting;

(2) Designated for use only when an emergency exists, by the fire protection authority that has jurisdiction over the Food or Eating Establishment; and

(3) Limited-use, so they are not used for entrance or exit from the building, for purposes other than the designated emergency exit use.

(D) Except as specified in ¶¶ (B) and (E) of this section, if the windows or doors of a Food or Eating Establishment, or of a larger structure within which a Food or Eating Establishment is located, are kept open for ventilation or other purposes or a Temporary Food or Eating Establishment is not provided with windows and doors as specified under ¶ (A) of this section, the openings shall be protected against the entry of insects and rodents by:

(1) 16 mesh to 25.4mm (16 mesh to 1 inch) screens;

(2) Properly designed and installed air curtains to control flying insects; or

(3) Other effective means.

(E) Paragraph (D) of this section does not apply if flying insects and other pests are absent due to the location of the Establishment, the weather, or other limiting condition .

6-202.16 Exterior Walls and Roofs, Protective Barrier.

Perimeter walls and roofs of a Food or Eating Establishment shall effectively protect the establishment from the weather and the entry of insects, rodents, and other animals.

6-202.17 Outdoor Food Vending Areas, Overhead Protection.

Except for machines that vend canned Beverages , if located outside , a machine used to vend Food shall be provided with overhead protection.

6-202.18 Outdoor Servicing Areas, Overhead Protection.

Except for areas used only for the loading of water or the discharge of sewage and other liquid waste, through the use of a closed system of hoses , Servicing Areas shall be provided with overhead protection. .

6-202.19 Outdoor Walking and Driving Surfaces, Graded to Drain.

Exterior walking and driving surfaces shall be graded to drain.

6-202.110 Outdoor Refuse Areas, Curbed and Graded to Drain.

Outdoor Refuse areas shall be constructed in accordance with Law and shall be curbed and graded to drain to collect and dispose of liquid waste that results from the Refuse and from cleaning the area and waste receptacles.

6-202.111 Private Homes and Living or Sleeping Quarters, Use Prohibition.

A private home, a room used as living or sleeping quarters, or an area directly opening into a room used as living or sleeping quarters may not be used for conducting Food or Eating Establishment operations. *, unless approved by the Regulatory Authority.

6-202.112 Living or Sleeping Quarters, Separation.

Living or sleeping quarters located on the Premises of a Food or Eating Establishment such as those

provided for lodging registration clerks or resident managers shall be separated from rooms and areas used for Food or Eating Establishment operations by complete partitioning and solid self-closing doors.

6-3 NUMBERS AND CAPACITIES

6-301 Handwashing Sinks

6-301.10 Minimum Number.

Handwashing sinks shall be provided as specified under §5‑203.11.

6-301.11 Handwashing Cleanser, Availability.

Each Handwashing Sink or group of 2 adjacent Handwashing Sinks shall be provided with a supply of hand cleaning liquid, powder, or bar soap.

6-301.12 Hand Drying Provision.

Each Handwashing Sink or group of adjacent Handwashing Sinks shall be provided with:

(A) Individual, disposable towels;

(B) A continuous towel system that supplies the user with a clean towel; or

(C) A heated-air hand drying device; or

(D) A hand drying device that employs an air-knife system that delivers high velocity, pressurized air at ambient temperatures.

6-301.13 Handwashing Aids and Devices, Use Restrictions.

A sink used for Food preparation or Utensil washing, or a service sink or curbed cleaning facility used for the disposal of mop water or similar wastes, may not be provided with the handwashing aids and devices required for a Handwashing Sink as specified under §§6‑301.11 and 6‑301.12 and ¶ 5‑501.16(C).

6-301.14 Handwashing Signage.

A sign or poster that notifies Food Employees to wash their hands shall be provided at all Handwashing Sinks used by Food Employees and shall be clearly visible to Food Employees.

6-301.20 Disposable Towels, Waste Receptacle.

A Handwashing Sink or group of adjacent Handwashing Sinks that is provided with disposable

towels shall be provided with a waste receptacle as specified under ¶ 5‑501.16(C).

6-302 Toilets and Urinals

6-302.10 Minimum Number.

Toilets and urinals shall be provided as specified under §5‑203.12, 22 M.R.S. §§1686 (New 1987) & 1686-A (Amended 2011), and the Maine Internal Plumbing Code, 2000 Uniform Plumbing Code published by IAPMO.

6-302.11 Toilet Tissue, Availability.

A supply of toilet tissue shall be available at each toilet.

6-303 Lighting

6-303.11 Intensity.

The light intensity shall be:

(A) At least 108 lux (10 foot candles) at a distance of 75 cm (30 inches) above the floor, in walk-in refrigeration units and dry Food storage areas and in other areas and rooms during periods of cleaning;

(B) At least 215 lux (20 foot candles):

(1) At a surface where Food is provided for Consumer self-service such as buffets and salad bars or where fresh produce or Packaged Foods are sold or offered for consumption;

(2) Inside Equipment such as reach-in and under-counter refrigerators; and

(3) At a distance of 75 cm (30 inches) above the floor in areas used for handwashing, Warewashing, and Equipment and Utensil storage, and in toilet rooms; and

(C) At least 540 lux (50 foot candles) at a surface where a Food Employee is working with Food or working with Utensils or Equipment such as knives, slicers, grinders, or saws where Employee safety is a factor.

6-304 Ventilation

6-304.11 Mechanical.

If necessary to keep rooms free of excessive heat, steam, condensation, vapors, obnoxious odors, smoke, and fumes, mechanical ventilation of sufficient capacity shall be provided.

6-305 Dressing Areas and Lockers

6-305.11 Designation.

(A) Dressing rooms or dressing areas shall be designated if Employees routinely change their clothes in the establishment.

(B) Lockers or other suitable facilities shall be provided for the orderly storage of Employees’ clothing and other possessions.

6-306 Service Sinks

6-306.10 Availability.

A service sink or curbed cleaning facility shall be provided as specified under §5-203.13(A).

6-4 LOCATION AND PLACEMENT

6-401 Handwashing Sinks

6-401.10 Conveniently Located.

Handwashing Sinks shall be conveniently located as specified under §5‑204.11.

6-402 Toilet Rooms

6-402.11 Convenience and Accessibility.

Toilet rooms shall be conveniently located and accessible to Employees during all hours of operation.

6-403 Employee Accommodations

6-403.11 Designated Areas.

(A) Areas designated for Employees to eat, drink, and use tobacco shall be located so that Food, Equipment, Linens, and Single-Service and Single-Use Articles are protected from contamination.

(B) Lockers or other suitable facilities shall be located in a designated room or area where contamination of Food, Equipment, Linens, and Single-Service and Single-Use Articles cannot occur.

6-404 Distressed Merchandise

6-404.11 Segregation and Location.

Products that are held by the Permit Holder for credit, redemption, or return to the distributor, such as damaged, spoiled, or recalled products, shall be segregated and held in designated areas that are separated from Food, Equipment, Linens, and Single-Service and Single-Use Articles.

6-405 Refuse, Recyclables, and Returnables

6-405.10 Receptacles, Waste Handling Units, and Designated Storage Areas.

Units, receptacles, and areas designated for storage of Refuse and recyclable and returnable containers shall be located as specified under §5‑501.19.

6-5 MAINTENANCE AND OPERATION

6-501 Premises, Structures, Attachments, and Fixtures - Methods

6-501.11 Repairing.

Physical Facilities shall be maintained in good repair.

6-501.12 Cleaning, Frequency and Restrictions.

(A) Physical Facilities shall be cleaned as often as necessary to keep them clean.

(B) Except for cleaning that is necessary due to a spill or other accident , cleaning shall be done during periods when the least amount of Food is exposed, such as after closing.

6-501.13 Cleaning Floors, Dustless Methods.

(A) Except as specified in ¶ (B) of this section, only dustless methods of cleaning shall be used, such as wet cleaning, vacuum cleaning, mopping with treated dust mops, or sweeping using a broom and dust-arresting compounds.

(B) Spills or drippage on floors that occur between normal floor cleaning times may be cleaned:

(1) Without the use of dust-arresting compounds; and

(2) In the case of liquid spills or drippage, with the use of a small amount of absorbent compound such as sawdust or diatomaceous earth applied immediately before spot cleaning.

6-501.14 Cleaning Ventilation Systems, Nuisance and Discharge Prohibition.

(A) Intake and exhaust air ducts shall be cleaned and filters changed so they are not a source of contamination by dust, dirt, and other materials.

(B) If vented to the outside, ventilation systems may not create a public health Hazard or nuisance or unlawful discharge.

6-501.15 Cleaning Maintenance Tools, Preventing Contamination.*

Food preparation sinks, Handwashing Sinks, and Warewashing Equipment may not be used for the cleaning of maintenance tools, the preparation or holding of maintenance materials, or the disposal of mop water and similar liquid wastes.

6-501.16 Drying Mops.

After use, mops shall be placed in a position that allows them to air-dry without soiling walls, Equipment, or supplies.

6-501.17 Absorbent Materials on Floors, Use Limitation.

Except as specified in ¶ 6‑501.13(B), sawdust, wood shavings, granular salt, baked clay, diatomaceous earth, or similar materials may not be used on floors.

6-501.18 Cleaning of Plumbing Fixtures

Plumbing Fixtures, such as Handwashing Sinks, toilets, and urinals shall be cleaned as often as necessary to keep them clean.

6-501.19 Closing Toilet Room Doors.

Except during cleaning and maintenance operations, toilet room doors as specified under §6‑202.14 shall be kept closed.

6-501.110 Using Dressing Rooms and Lockers.

(A) Dressing rooms shall be used by Employees if the Employees regularly change their clothes in the establishment.

(B) Lockers or other suitable facilities shall be used for the orderly storage of Employee clothing and other possessions.

6-501.111 Controlling Pests.*

The Premises shall be maintained free of insects, rodents, and other pests. The presence of insects, rodents, and other pests shall be controlled to minimize their presence on the Premises by:

(A) Routinely inspecting incoming shipments of Food and supplies;

(B) Routinely inspecting the Premises for evidence of pests;

(C) Using methods, if pests are found, such as trapping devices or other means of pest control as specified under §§7‑202.12, 7‑206.12, and 7‑206.13; and

(D) Eliminating harborage conditions.

6-501.112 Removing Dead or Trapped Birds, Insects, Rodents, and Other Pests.

Dead or trapped birds, insects, rodents, and other pests shall be removed from control devices and the Premises at a frequency that prevents their accumulation, decomposition, or the attraction of pests.

6-501.113 Storing Maintenance Tools.

Maintenance tools such as brooms, mops, vacuum cleaners, and similar items shall be:

(A) Stored so they do not contaminate Food, Equipment, Linens, and Single-Service and Single-Use Articles; and

(B) Stored in an orderly manner that facilitates cleaning the area used for storing the maintenance tools.

6-501.114 Maintaining Premises, Unnecessary Items and Litter.

The Premises shall be free of:

(A) Items that are unnecessary to the operation or maintenance of the establishment such as Equipment that is nonfunctional or no longer used; and

(B) Litter.

6-501.115 Prohibiting Animals.

(A) Except as specified in ¶¶ (B) and (C) of this section, live animals may not be allowed on the Premises of a Food Establishment.*

(B) Live animals may be allowed in the following situations, if the contamination of Food; clean Equipment, Utensils, and Linens; and unwrapped Single-Service and Single-Use Articles cannot result:

(1) Edible Fish or decorative Fish in aquariums, Shellfish or crustacea on ice or under refrigeration, and Shellfish and crustacea in display tank systems;

(2) Patrol dogs accompanying police or security officers in offices and dining, sales, and storage areas, and sentry dogs running loose in outside fenced areas;

(3) In areas that are not used for Food preparation and that are usually open for customers, such as dining and sales areas, Service Animals that are controlled by the disabled Employee or Person, if a health or safety Hazard will not result from the presence or activities of the Service Animal, in accordance with 17 M.R.S. §3966 (Amended 2011) and 5 M.R.S. §4553 (9-E)(Amended 2011);

(4) Pets in the common dining areas of institutional care facilities, such as nursing homes, assisted living facilities, group homes, or residential care facilities at times other than during meals if:

(a) Effective partitioning and self-closing doors separate the common dining areas from Food storage or Food preparation areas,

(b) Condiments, Equipment, and Utensils are stored in enclosed cabinets or removed from the common dining areas when pets are present, and

(c) Dining areas including tables, countertops, and similar surfaces are effectively cleaned before the next meal service; and

(5) In areas that are not used for Food preparation, storage, sales, display, or dining, in which there are caged animals or animals that are similarly restricted, such as in a variety store that sells pets or a tourist park that displays animals.

(C) Live or dead Fish bait may be stored if contamination of Food; clean Equipment, Utensils, and Linens; and unwrapped Single-Service and Single-Use Articles cannot result.

CHAPTER 7

POISONOUS OR TOXIC MATERIALS

7-1 LABELING AND IDENTIFICATION

7-101 Original Containers

7-101.11 Identifying Information, Prominence.*

Containers of Poisonous or Toxic Materials and Personal Care Items shall bear a legible manufacturer's label.

7-102 Working Containers

7-102.11 Common Name.*

Working containers used for storing Poisonous or Toxic Materials such as cleaners and Sanitizers taken from bulk supplies shall be clearly and individually identified with the common name of the material.

7-2 OPERATIONAL SUPPLIES AND APPLICATIONS

7-201 Storage

7-201.11 Separation.*

Poisonous or Toxic Materials shall be stored so they cannot contaminate Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles by:

(A) Separating the Poisonous or Toxic Materials by spacing or partitioning;and

(B) Locating the Poisonous or Toxic Materials in an area that is not above Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles. This paragraph does not apply to Equipment and Utensil cleaners and Sanitizers that are stored in Warewashing areas for availability and convenience if the materials are stored to prevent contamination of Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles .

7-202 Presence and Use

7-202.11 Restriction.

(A) Only those Poisonous or Toxic Materials that are required for the operation and maintenance of a Food or Eating Establishment, such as for the cleaning and Sanitizing of Equipment and Utensils and the control of insects and rodents, shall be allowed in a Food or Eating Establishment.*

(B) ¶ (A) of this section does not apply to Packaged Poisonous or Toxic Materials that are for retail sale .

7-202.12 Conditions of Use.

Poisonous or Toxic Materials shall be:

(A) Used according to:

(1 ) Law and this Code;

(2) Manufacturer's use directions included in labeling, and, for a pesticide, manufacturer's label instructions that state that use is allowed in a Food or Eating Establishment;*

(3) The conditions of certification, if certification is required, for use of the pest control materials; *and

(4) Additional conditions that may be established by the Regulatory Authority; and

(B) Applied so that*:

(1) A Hazard to Employees or other Persons is not constituted, and

(2) Contamination including toxic residues due to drip, drain, fog, splash or spray on Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles is prevented, and for a Restricted Use Pesticide, this is achieved by:

(a) Removing the items,

(b) Covering the items with impermeable covers, or

(c) Taking other appropriate preventive actions, and

(d) Cleaning and Sanitizing Equipment and Utensils after the application.

(C) Pesticides, except disinfectants used in routine cleaning, shall be applied only by a certified and licensed commercial applicator, as defined in 22 M.R.S.§§1471-C (Amended 2011) & 1471-D (Amended 2011), or a person under the direct, on-site supervision of a certified and licensed commercial applicator.

7-203 Container Prohibitions

• 1. Poisonous or Toxic Material Containers.*

A container previously used to store Poisonous or Toxic Materials may not be used to store, transport, or dispense Food.

7-204 Chemicals

7-204.11 Sanitizers, Criteria.*

Chemical Sanitizers, including chemical sanitizing solutions generated on-site, and other chemical antimicrobials applied to Food-Contact Surfaces shall:

(A) Meet the requirements specified in 40 CFR §180.940 (Tolerance exemptions for active and inert ingredients for use in antimicrobial formulations: Food-contact surface sanitizing solutions) (2012 ed.); or

(B) Meet the requirements as specified in 40 CFR §180.2020 (Pesticide Chemicals Not Requiring a Tolerance or Exemption from Tolerance-Non-Food determinations)(2012 ed.).

7-204.12 Chemicals for Washing, Treatment, Storage and Processing Fruits and Vegetables, Criteria.

(A) Chemicals, including those generated onsite, used to wash or peel raw, whole fruits and vegetables shall meet the requirements specified in 21 CFR §173.315 (Chemicals used in washing or to assist in the peeling of fruits and vegetables)(April 1, 2013Ed.).*

(B) Ozone as an antimicrobial agent used in the treatment, storage, and processing of fruits and vegetables in a Food or Eating Establishment shall meet the requirements specified in 21 CFR §173.368 (Ozone) (April 1, 2013 Ed.).

7-204.13 Boiler Water Additives, Criteria.*

Chemicals used as boiler water Additives shall meet the requirements specified in 21 CFR §173.310 (Boiler Water Additives)( April 1, 2013 Ed.).

7-204.14 Drying Agents, Criteria.*

Drying agents used in conjunction with Sanitization shall:

(A) Contain only components that are listed as one of the following:

(1) Generally recognized as safe for use in food, as specified in 21 CFR §182 (Substances Generally Recognized as Safe)(2012 Ed.), or 21 CFR §184 (Direct Food Substances Affirmed as Generally Recognized as Safe)(2012 Ed.),

(2) Generally recognized as safe for the intended use as specified in 21 CFR §186 (Indirect Food Substances Affirmed as Generally Recognized as Safe)(2012 Ed.),

(3) Generally recognized as safe for the intended use as determined by experts qualified in scientific training and experience to evaluate the safety of substances added, directly or indirectly, to food, as described in 21 CFR §170.30 (Eligibility for classification as generally recognized as safe (GRAS)(2012 Ed.),

(4) Subject of an effective Food Contact Notification as described in the Federal Food Drug

and Cosmetic Act (FFDCA) 21 USC § 348 (2012 Ed.) and 409(h) (2012 Ed.),

(5) Approved for use as a drying agent under a prior sanction as described in the Federal Food Drug and Cosmetic Act (FFDCA) 21 USC § 348 (2012 Ed.) and §201(s)(4) (2012),

(6) Specifically regulated as an indirect Food Additive for use as a drying agent as specified n 21 CFR Parts §§ 175‑178 (2012 Ed.), or

(7) Approved for use as a drying agent under the threshold of regulation process established by 21 CFR §170.39 (Threshold of regulation for substances used in food-contact articles)(2012 Ed.); and

(B) When Sanitization is with chemicals, the approval required under Subparagraph (A)(5) or (A)(7) of this section or the regulation as an indirect Food Additive required under Subparagraph (A)(6) of this section, shall be specifically for use with chemical Sanitizing solutions.

7-205 Lubricants

7-205.11 Incidental Food Contact, Criteria.*

Lubricants shall meet the requirements specified in 21 CFR §178.3570 (Lubricants with incidental food contact)(2012 Ed.), if they are used on Food-Contact Surfaces, on bearings and gears located on or within Food-Contact Surfaces, or on bearings and gears that are located so that lubricants may leak, drip, or be forced into Food or onto Food-Contact Surfaces.

7-206 Pesticides

7-206.11 Restricted Use Pesticides, Criteria.*

Pesticides specified under ¶ 7‑202.12(C) shall meet the requirements specified in 22 M.R.S. §§ 1471-C (Amended 2011) & 1471-D (Amended 2011).

7-206.12 Rodent Bait Stations.*

Rodent bait shall be contained in a covered, tamper-resistant bait station.

7-206.13 Tracking Powders, Pest Control and Monitoring.

(A) Except as specified in ¶ (B) of this section, a tracking powder pesticide may not be used in a Food or Eating Establishment. *****

(B) If used, a nontoxic tracking powder such as talcum or flour may not contaminate Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

7-207 Medicines

7-207.11 Restriction and Storage.

(A) Except for medicines that are stored or displayed for retail sale, only those medicines that are necessary for the health of Employees shall be allowed in a Food or Eating Establishment.

(B) Medicines that are in a Food or Eating establishment for the Employees’ use shall be labeled as specified under §7‑101.11 and located to prevent the contamination of Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles. *****

7-207.12 Refrigerated Medicines, Storage.*

Medicines belonging to Employees or to children in a day care center that require refrigeration and are stored in a Food refrigerator shall be:

(A) Stored in a package or container and kept inside a covered, leakproof container that is identified as a container for the storage of medicines; and

(B) Located so they are inaccessible to children.

7-208 First Aid Supplies

7-208.11 Storage.*

First aid supplies that are in a Food or Eating Establishment for the Employees’ use shall be:

(A) Labeled as specified under §7-101.11;and

(B) Stored in a kit or a container that is located to prevent the contamination of Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

7-209 Other Personal Care Items

7-209.11 Storage.

Except as specified under §§7-207.12 and 7-208.11, Employees shall store their Personal Care Items in facilities as specified under Paragraph 6-305.11(B).

7-3 STOCK AND RETAIL SALE

7-301 Storage and Display

7-301.11 Separation.*

Poisonous or Toxic Materials shall be stored and displayed for retail sale so they cannot contaminate Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles by:

(A) Separating the Poisonous or Toxic Materials by spacing or partitioning;and

(B) Locating the Poisonous or Toxic Materials in an area that is not above Food, Equipment, Utensils, Linens, and Single-Service and Single-Use Articles.

CHAPTER 8

COMPLIANCE AND ENFORCEMENT

8-1 CODE APPLICABILITY

8-101 Use for Intended Purpose

8-101.10 Public Health Protection.

(A) The Regulatory Authority shall apply this Code to promote its underlying purpose, as specified in §1‑102.10, of safeguarding public health and ensuring that Food is safe, unadulterated, and honestly presented when offered to the Consumer.

(B) In enforcing the provisions of this Code, the Regulatory Authority shall assess existing facilities or Equipment that were in use before the effective date of this Code based on the following considerations:

(1) Whether the facilities or Equipment are in good repair and capable of being maintained in a sanitary condition;

(2) Whether Food-Contact Surfaces comply with Subpart 4‑101;

(3) Whether the capacities of cooling, heating, and holding Equipment are sufficient to comply with §4‑301.11; and

(4) The existence of a documented agreement with the Permit Holder that the facilities or Equipment will be replaced as specified under ¶ 8‑304.11(G).

8-102 Additional Requirements

8-102.10 Preventing Health Hazards, Provision for Conditions Not Addressed.

(A) If necessary to protect against public health Hazards or nuisances, the Regulatory Authority may impose specific requirements in addition to the requirements contained in this Code that are authorized by Law.

(B) The Regulatory Authority shall document the conditions that necessitate the imposition of additional requirements and the underlying public health rationale. The documentation shall be provided to the Permit applicant or Permit Holder and a copy shall be maintained in the Regulatory Authority’s file for the Food or Eating Establishment.

8-103 Variances

8-103.10 Modifications and Waivers.

The Regulatory Authority may grant a Variance by modifying or waiving the requirements of this Code if in the opinion of the Regulatory Authority a health Hazard or nuisance will not result from the Variance. If a Variance is granted, the Regulatory Authority shall retain the information specified under §8‑103.11 in its records for the Food or Eating Establishment.

8-103.11 Documentation of Proposed Variance and Justification.

Before a Variance from a requirement of this Code is Approved, the information that shall be provided by the Person requesting the Variance and retained in the Regulatory Authority’s file on the Food or Eating Establishment includes:

(A) A statement of the proposed Variance of the Code requirement citing relevant Code section numbers;

(B) An analysis of the rationale for how the potential public health Hazards and nuisances addressed by the relevant Code sections will be alternatively addressed by the proposal; and

(C) A HACCP Plan if required as specified under ¶ 8‑201.13(A) that includes the information specified under §8‑201.14 as it is relevant to the Variance requested.

8-103.12 Conformance with Approved Procedures.*

If the Regulatory Authority grants a Variance as specified in §8‑103.10, or a HACCP Plan is otherwise required as specified under §8‑201.13, the Permit Holder shall:

Comply with the HACCP Plans and procedures that are submitted as specified under §8‑201.14 and Approved as a basis for the modification or waiver;and

(B) Maintain and provide to the Regulatory Authority, upon request, records specified under ¶¶ 8‑201.14(D) and (E) that demonstrate that the following are routinely employed;

(1) Procedures for monitoring Critical Control Points,

(2) Monitoring of the Critical Control Points,

(3) Verification of the effectiveness of an operation or process, and

(4) Necessary corrective actions if there is failure at a Critical Control Point.

8-2 PLAN SUBMISSION AND APPROVAL

8-201 Facility and Operating Plans

8-201.11 When Plans Are Required.

A Permit applicant or Permit Holder shall submit to the Regulatory Authority properly prepared plans and specifications for review and approval before:

(A) The construction of a Food or Eating Establishment;

(B) The conversion of an existing structure for use as a Food or Eating Establishment; or

(C) The remodeling of a Food Establishment or a change of type of Food or Eating Establishment or Food operation as specified under ¶ 8‑302.14(C) if the Regulatory Authority determines that plans and specifications are necessary to ensure compliance with this Code.

8-201.12 Contents of the Plans and Specifications.

The plans and specifications for a Food or Eating Establishment, including a Food or Eating Establishment specified under §8‑201.13, shall include, as required by the Regulatory Authority based on the type of operation, type of Food preparation, and Foods prepared, the following information to demonstrate conformance with Code provisions:

(A) Intended menu;

(B) Anticipated volume of Food to be stored, prepared, and sold or served;

(C) Proposed layout, mechanical schematics, construction materials, and finish schedules;

(D) Proposed Equipment types, manufacturers, model numbers, locations, dimensions, performance capacities, and installation specifications;

(E) Evidence that standard procedures that ensure compliance with the requirements of this Code are developed or are being developed; and

(F) Other information that may be required by the Regulatory Authority for the proper review of the proposed construction, conversion or modification, and procedures for operating a Food or Eating Establishment.

8-201.13 When a HACCP Plan is Required.

(A) Before engaging in an activity that requires a HACCP Plan, a Permit applicant or Permit Holder shall submit to the Regulatory Authority for approval a properly prepared HACCP Plan as specified under §8‑201.14 and the relevant provisions of this Code if:

(1) Submission of a HACCP Plan is required according to Law;

(2) A Variance is required as specified under §3-401.11(D)(4), §3‑502.11, or ¶ 4‑204.110(B); or

(3) The Regulatory Authority determines that a Food preparation or processing method requires a Variance based on a plan submittal specified under §8‑201.12, an inspectional finding, or a Variance request.

(B) A Permit applicant or Permit Holder shall have a properly prepared HACCP Plan as specified under §3‑502.12.

8-201.14 Contents of a HACCP Plan.

For a Food or Eating Establishment that is required under §8‑201.13 to have a HACCP Plan, the plan and specifications shall indicate:

(A) A categorization of the types of Potentially Hazardous Foods (Time/Temperature Control for Safety Foods) that are specified in the menu such as soups and sauces, salads, and bulk, solid Foods such as Meat roasts, or of other Foods that are specified by the Regulatory Authority;

(B) A flow diagram by specific Food or category type identifying Critical Control Points and providing information on the following:

(1) Ingredients, materials, and Equipment used in the preparation of that Food, and

(2) Formulations or recipes that delineate methods and procedural control measures that address the Food safety concerns involved;

(C) Food Employee and supervisory training plan that addresses the Food safety issues of concern;

(D) A statement of standard operating procedures for the plan under consideration including clearly identifying:

(1) Each Critical Control Point,

(2) The Critical Limits for each Critical Control Point,

(3) The method and frequency for monitoring and controlling each Critical Control Point by the Food Employee designated by the Person in Charge,

(4) The method and frequency for the Person in Charge to routinely verify that the Food Employee is following standard operating procedures and monitoring Critical Control Points,

(5) Action to be taken by the Person in Charge if the Critical Limits for each Critical Control Point are not met, and

(6) Records to be maintained by the Person in Charge to demonstrate that the HACCP Plan is properly operated and managed; and

(E) Additional scientific data or other information, as required by the Regulatory Authority, supporting the determination that food safety is not compromised by the proposal.

8-202 Confidentiality

8-202.10 Trade Secrets.

The Regulatory Authority shall, to the extent possible under 1 M.R.S. §402 (Amended 2011), treat as confidential in accordance with Law, information that meets the criteria specified in Law for a trade secret and is contained on inspection report forms and in the plans and specifications submitted as specified under §§8‑201.12 and 8‑201.14.

8-203 Construction Inspection and Approval

8-203.10 Preoperational Inspections.

The Regulatory Authority may conduct one or more preoperational inspections to verify that the Food or Eating Establishment is constructed and equipped in accordance with the Approved plans and Approved modifications of those plans, has established standard operating procedures as specified under ¶ 8-201.12 (E), and is in compliance with Law and this Code.

8-3 PERMIT TO OPERATE

8-301 Requirement

8-301.11 Prerequisite for Operation.

A Person may not operate a Food or Eating Establishment without a valid Permit to operate issued by the Regulatory Authority.

8-302 Application Procedure

8-302.11 Submission 30 Calendar Days Before Proposed Opening.

An applicant shall submit an application for a Permit at least 30 calendar days before the date planned for opening a Food or Eating Establishment or the expiration date of the current Permit for an existing facility.

8-302.12 Form of Submission.

A Person desiring to operate a Food or Eating Establishment shall submit to the Regulatory Authority a written application for a Permit on a form provided by the Regulatory Authority.

8-302.13 Qualifications and Responsibilities of Applicants.

To qualify for a Permit, an applicant shall:

(A) Be an owner of the Food or Eating Establishment or an officer of the legal ownership;

(B) Comply with the requirements of this Code;

(C) As specified under §8‑402.11, agree to allow access to the Food or Eating Establishment and to provide required information; and

(D) Pay the applicable Permit fees at the time the application is submitted.

8-302.14 Contents of the Application.

The application shall include:

(A) The name, mailing address, telephone number, and signature of the Person applying for the Permit and the name, mailing address, and location of the Food or Eating Establishment;

(B) Information specifying whether the Food or Eating Establishment is owned by an association,

corporation, individual, partnership, or other legal entity;

(C) A statement specifying whether the Food or Eating Establishment:

(1) Is mobile or stationary and temporary or permanent, and

(2) Is an operation that includes one or more of the following:

(a) Prepares, offers for sale, or serves Potentially Hazardous Food (Time/Temperature Control for Safety Food):

(i) Only to order upon a Consumer’s request,

(ii) In advance in quantities based on projected Consumer demand and discards Food that is not sold or served at an approved frequency, or

(iii) Using time as the public health control as specified under §3‑501.19,

(b) Prepares Potentially Hazardous Food (Time/Temperature Control for Safety Food) in advance using a Food preparation method that involves two or more steps which may include combining Potentially Hazardous Food (Time/Temperature Control for Safety Food) ingredients; cooking; cooling; reheating; hot or cold holding; freezing; or thawing,

(c) Prepares Food as specified under Subparagraph (C)(2)(b) of this section for delivery to and consumption at a location off the Premises of the Food or Eating Establishment where it is prepared,

(d) Prepares Food as specified under Subparagraph (C)(2)(b) of this section for service to a Highly Susceptible Population,

(e) Prepares only Food that is not Potentially Hazardous Food (Time/Temperature Control for Safety Food) , or

(f) Does not prepare, but offers for sale only prepackaged Food that is not Potentially Hazardous Food (Time/Temperature Control for Safety Food);

(D) The name, title, address, and telephone number of the Person directly responsible for the Food Establishment;

(E) The name, title, address, and telephone number of the Person who functions as the immediate supervisor of the Person specified under ¶ (D) of this section such as the zone, district, or regional supervisor;

(F) The names, titles, and addresses of:

(1) The Persons comprising the legal ownership as specified under ¶ (B) of this section including the owners and officers, and

(2) The local resident agent if one is required based on the type of legal ownership;

(G) A statement signed by the applicant that:

(1) Attests to the accuracy of the information provided in the application, and

(2) Affirms that the applicant will:

(a) Comply with this Code, and

(b) Allow the Regulatory Authority access to the establishment as specified under §8‑402.11 and to the records specified under §§3‑203.12 and 5‑205.13 and Subparagraph 8‑201.14(D)(6); and

(H) Submission to the Regulatory Authority that the subsurface wastewater disposal system is in compliance with the State of Maine Rules Relating to Subsurface Wastewater Disposal Systems 10-144 C.M.R. 241 (Amended 2011); and

(I) Other information required by the Regulatory Authority.

8-303 Issuance

• 1. New, Converted, or Remodeled Establishments.

For Food or Eating Establishments that are required to submit plans as specified under §8‑201.11 the Regulatory Authority shall issue a Permit to the applicant after:

(A) A properly completed application is submitted;

(B) The required fee is submitted;

(C) The required plans, specifications, and information are reviewed and Approved; and

(D) A preoperational inspection as specified in §8-203.10 shows that the establishment is built or remodeled in accordance with the Approved plans and specifications and that the establishment is in compliance with this Code.

8-303.20 Existing Establishments, Permit Renewal, and Change of Ownership.

The Regulatory Authority may renew a Permit for an existing Food or Eating Establishment or may issue a Permit to a new owner of an existing Food or Eating Establishment after a properly

completed application is submitted, reviewed, and Approved, the fees are paid, and an inspection shows that the establishment is in compliance with this Code.

8-303.30 Denial of Application for Permit, Notice.

If an application for a Permit to operate is denied, the Regulatory Authority shall provide the applicant with a notice that includes:

(A) The specific reasons and Code citations for the Permit denial;

(B) The actions, if any, that the applicant must take to qualify for a Permit; and

(C) Advisement of the applicant's right of appeal and the process and time frames for appeal that are provided in Law.

8-304 Conditions of Retention

8-304.10 Responsibilities of the Regulatory Authority.

(A) At the time a Permit is first issued, the Regulatory Authority shall provide to the Permit Holder a copy of this Code so that the Permit Holder is notified of the compliance requirements and the conditions of retention, as specified under §8‑304.11, that are applicable to the Permit.

(B) Failure to provide the information specified in ¶ (A) of this section does not prevent the Regulatory Authority from taking authorized action or seeking remedies if the Permit Holder fails to comply with this Code or an order, warning, or directive of the Regulatory Authority .

8-304.11 Responsibilities of the Permit Holder.

Upon acceptance of the Permit issued by the Regulatory Authority, the Permit Holder in order to retain the Permit shall:

(A) Post the Permit in a location in the Food or Eating Establishment that is conspicuous to Consumers;

(B) Comply with the provisions of this Code including the conditions of a granted Variance as

specified under §8‑103.12, and approved plans as specified under §8‑201.12;

(C) If a Food or Eating Establishment is required under §8‑201.13 to operate under a HACCP Plan, comply with the plan as specified under §8‑103.12;

(D) Immediately contact the Regulatory Authority to report an illness of an Employee as specified under §2-201.11(B);

(E) Immediately discontinue operations and notify the Regulatory Authority if an Imminent Health Hazard may exist as specified under §8‑404.11;

(F) Allow representatives of the Regulatory Authority access to the Food or Eating

Establishment as specified under §8‑402.11;

(G) Replace existing facilities and Equipment specified in §8‑101.10 with facilities and Equipment that comply with this Code if:

(1) The Regulatory Authority directs the replacement because the facilities and Equipment constitute a public health Hazard or nuisance or no longer comply with the criteria upon which the facilities and Equipment were accepted,

(2) The Regulatory Authority directs the replacement of the facilities and Equipment because of a change of ownership, or

(3) The facilities and Equipment are replaced in the normal course of operation;

(H) Comply with directives of the Regulatory Authority including time frames for corrective actions specified in inspection reports, notices, orders, warnings, and other directives issued by the Regulatory Authority in regard to the Permit Holder’s Food Establishment or in response to community emergencies;

(I) Accept notices issued and served by the Regulatory Authority according to Law; and

(J) Be subject to the administrative, civil, injunctive, and criminal remedies authorized in Law for failure to comply with this Code or a directive of the Regulatory Authority, including time frames for corrective actions specified in inspection reports, notices, orders, warnings, and other directives.

8-304.20 Permits Not Transferable.

A Permit may not be transferred from one Person to another Person, from one Food or Eating Establishment to another, or from one type of operation to another if the Food operation changes from the type of operation specified in the application as specified under ¶ 8‑302.14(C) and the change in operation is not approved.

8-4 INSPECTION AND CORRECTION OF VIOLATIONS

8-401 Frequency

8-401.10 Establishing Inspection Interval.

(A) Except as specified in ¶¶ (B) and (C) of this section, the Regulatory Authority shall inspect a Food or Eating Establishment at least once every 2 years, in accordance with 22 M.R.S. §2497 (Amended 2011). The frequency of routine inspections shall be determined by the Regulatory Authority based on risk factors. These risk factors include the type of Food served, the preparation steps these Foods require, the volume of Food, the population served and previous compliance history. The Regulatory Authority may, at its discretion, inspect at a more frequent intervals as necessary to follow-up on complaints or other problems noted on previous inspections.

(B) The Regulatory Authority may increase the interval between inspections if:

(1) The Food Establishment is fully operating under an Approved and validated HACCP Plan as specified under §8‑201.14 and ¶¶ 8‑103.12(A) and (B);

(2) The Food or Eating Establishment is assigned a less frequent inspection frequency based on a written risk-based inspection schedule that is being uniformly applied throughout the jurisdiction; or

(3) The Establishment's operation involves only coffee service and other unpackaged or prepackaged Food that is not Potentially Hazardous (Time/Temperature Control for Safety Food) such as carbonated Beverages and snack Food such as chips, nuts, popcorn, and pretzels.

(C) The Regulatory Authority shall periodically inspect throughout its Permit period a Temporary Food or Eating Establishment that prepares, sells, or serves unpackaged Potentially Hazardous (Time/Temperature Control for Safety Food) and that:

(1) Has improvised rather than permanent facilities or Equipment for accomplishing functions such as handwashing, Food preparation and protection, Food temperature control, Warewashing, providing Drinking Water, waste retention and disposal, and insect and rodent control; or

(2) Has inexperienced Food Employees.

8-401.20 Performance- and Risk-Based.

Within the parameters specified in §8‑401.10, the Regulatory Authority shall prioritize, and conduct more frequent inspections based upon its assessment of a Food or Eating Establishment’s history of compliance with this Code and the establishment's potential as a vector of foodborne illness by evaluating:

(A) Past performance, for nonconformance with Code or HACCP Plan requirements that are critical;

(B) Past performance, for numerous or repeat violations of Code or HACCP Plan requirements that are noncritical;

(C) Past performance, for complaints investigated and found to be valid;

(D) The Hazards associated with the particular Foods that are prepared, stored, or served;

(E) The type of operation including the methods and extent of Food storage, preparation, and service;

(F) The number of people served; and

(G) Whether the population served is a Highly Susceptible Population.

8-402 Access

8-402.11 Allowed at Reasonable Times after Due Notice.

After the Regulatory Authority presents official credentials and provides notice of the purpose of, and an intent to conduct, an inspection, the Person in Charge shall allow the Regulatory Authority to determine if the Food or Eating Establishment is in compliance with this Code by allowing access to the establishment, allowing inspection, and providing information and records specified in this Code and to which the Regulatory Authority is entitled according to Law, during the Food or Eating Establishment’s hours of operation and other reasonable times.

8-402.20 Refusal, Notification of Right to Access, and Final Request for Access.

If a Person denies access to the Regulatory Authority, the Regulatory Authority shall:

(A) Inform the Person that:

(1) The Permit Holder is required to allow access to the Regulatory Authority as specified under §8‑402.11 of this Code,

(2) Access is a condition of the acceptance and retention of a Food or Eating Establishment Permit to operate as specified under ¶ 8‑304.11(F), and

(3) If access is denied, an order issued by the appropriate authority allowing access, hereinafter referred to as an inspection order, may be obtained according to Law; and

(B) Make a final request for access.

8-402.30 Refusal, Reporting.

If after the Regulatory Authority presents credentials and provides notice as specified under

§8‑402.11, explains the authority upon which access is requested, and makes a final request for access as specified in §8‑402.20, the Person in Charge continues to Refuse access, the Regulatory Authority shall provide details of the denial of access on an inspection report form.

8-402.40 Inspection Order to Gain Access.

If denied access to a Food or Eating Establishment for an authorized purpose and after complying with §8‑402.20, the Regulatory Authority may issue, or apply for issuance of an administrative

search warrant to gain access as provided in Law.

8-403 Report of Findings

8-403.10 Documenting Information and Observations.

The Regulatory Authority shall document on an inspection report form:

Administrative information about the Food or Eating Establishment’s legal identity,

street and mailing addresses, type of establishment and operation as specified under ¶ 8‑302.14(C), inspection date, and other information such as type of water supply and Sewage disposal, status of the Permit, and personnel certificates that may be required; and

(B) Specific factual observations of violative conditions or other deviations from this Code that require correction by the Permit Holder including:

(1) Failure of the Person in Charge to demonstrate the knowledge of foodborne illness prevention, application of HACCP principles, and the requirements of this Code specified under §2‑102.11,

(2) Failure of Food Employees and the Person in Charge to demonstrate their knowledge of their responsibility to report a disease or medical condition as specified under §§2‑201.11(B) and (D),

(3) Nonconformance with Critical Items of this Code,

(4) Failure of the appropriate Food Employees to demonstrate their knowledge of, and ability to perform in accordance with, the procedural, monitoring, verification, and corrective action practices required by the Regulatory Authority as specified under §8‑103.12,

(5) Failure of the Person in Charge to provide records required by the Regulatory Authority for determining conformance with a HACCP Plan as specified under Subparagraph 8‑201.14(D)(6), and

(6) Nonconformance with Critical Limits of a HACCP Plan.

8-403.20 Specifying Time Frame for Corrections.

The Regulatory Authority shall specify on the inspection report form the time frame for correction of the violations as specified under §§8‑404.11, 8-405.11, and 8-406.11.

8-403.30 Issuing Report and Obtaining Acknowledgment of Receipt.

At the conclusion of the inspection and according to Law, the Regulatory Authority shall provide a copy of the completed inspection report and the notice to correct violations to the Permit Holder or

to the Person in Charge, and request a signed acknowledgment of receipt.

8-403.40 Refusal to Sign Acknowledgment.

The Regulatory Authority shall:

(A) Inform a Person who declines to sign an acknowledgment of receipt of inspectional findings as specified in §8‑403.30 that:

(1) An acknowledgment of receipt is not an agreement with findings,

(2) Refusal to sign an acknowledgment of receipt will not affect the Permit Holder’s obligation to correct the violations noted in the inspection report within the time frames specified, and

(3) A refusal to sign an acknowledgment of receipt is noted in the inspection report and conveyed to the Regulatory Authority’s historical record for the Food or Eating Establishment; and

(B) Make a final request that the Person in Charge sign an acknowledgment receipt of inspectional findings.

8-403.50 Public Information.

Except as specified in §8‑202.10, the Regulatory Authority shall treat the inspection report as a public document and shall make it available for disclosure to a Person who requests it as provided in Law.

8-403.51 Public Posting

The Regulatory Authority shall require a sign or placard be posted in a conspicuous area notifying consumers that a copy of the most recent inspection report is available for review upon request.

8-404 Imminent Health Hazard

8-404.11 Ceasing Operations and Reporting.

Except as specified in ¶ (B) of this section, a Permit Holder shall immediately discontinue

operations and notify the Regulatory Authority if an Imminent Health Hazard may exist because of an emergency such as a fire, flood, extended interruption of electrical or water service, Sewage backup, misuse of Poisonous or Toxic Materials, onset of an apparent foodborne illness outbreak, gross unsanitary occurrence or condition, or other circumstance that may endanger public health.*

(B) A Permit Holder need not discontinue operations in an area of an establishment that is unaffected by the Imminent Health Hazard .

8-404.12 Resumption of Operations.

If operations are discontinued as specified under §8‑404.11 or otherwise according to Law, the

Permit Holder shall obtain approval from the Regulatory Authority before resuming operations.

8-405 Critical Violations

8-405.11 Timely Correction.

(A) Except as specified in ¶ (B) of this section, a Permit Holder shall at the time of inspection correct a Critical Violation of this Code and implement corrective actions for a HACCP Plan provision that is not in compliance with its Critical Limit.

(B) Considering the nature of the potential Hazard involved and the complexity of the corrective action needed, the Regulatory Authority may agree to or specify a longer time frame, not to exceed 10 calendar days after the inspection, for the Permit Holder to correct Critical Code violations or HAACP planned violations .

8-405.20 Verification and Documentation of Correction.

(A) After observing at the time of inspection a correction of a Critical violation or a HACCP Plan deviation, the Regulatory Authority shall enter the violation and information about the corrective action on the inspection report.

(B) As specified under ¶ 8‑405.11(B), after receiving notification that the Permit Holder has corrected a Critical violation or HACCP Plan deviation, or at the end of the specified period of time, the Regulatory Authority shall verify correction of the violation, document the information on an inspection report, and enter the report in the Regulatory Authority’s records.

8-406 Noncritical Violations

8-406.11 Time Frame for Correction.

(A) Except as specified in ¶ (B) of this section, the Permit Holder shall correct Noncritical violations by a date and time agreed to or specified by the Regulatory Authority but no later than 90 calendar days after the inspection.

(B) The Regulatory Authority may approve a compliance schedule that extends beyond the time limits specified under ¶ (A) of this section if a written schedule of compliance is submitted by the Permit Holder and no health Hazard exists or will result from allowing an extended schedule for compliance.

8-5 PREVENTION OF FOODBORNE DISEASE TRANSMISSION BY EMPLOYEES

8-501 Investigation and Control

8-501.10 Obtaining Information: Personal History of Illness, Medical Examination, and Specimen Analysis.

The proper Regulatory Authority shall act when it has reasonable cause to believe that a Food Employee has possibly transmitted disease; may be infected with a disease in a communicable form

that is transmissible through Food; may be a carrier of infectious agents that cause a disease that is transmissible through Food; or is affected with a boil, an infected wound, or acute respiratory infection, by:

(A) Securing a confidential medical history of the Food Employee or Conditional Employee who is suspected of transmitting disease or making other investigations as deemed appropriate; and

(B) Requiring appropriate medical examinations, including collection of specimens for laboratory analysis, of a suspected Food Employee or Conditional Employee.

8-501.20 Restriction or Exclusion of Food Employee, Closure or Suspension of Permit.

Based on the findings of an investigation related to a Food Employee or Conditional Employee who is suspected of being infected or diseased, the proper Regulatory Authority may issue an order to the suspected Food Employee, Conditional Employee or Permit Holder instituting one or more of the following control measures:

(A) Restricting the Food Employee or Conditional Employee’s services to specific areas and tasks in a Food Establishment that present no risk of transmitting the disease; or

(B) Excluding the Food Employee or Conditional Employee; or

(C) Closing the Food or Eating Establishment by summarily suspending a Permit to operate in accordance with the Maine Administrative Procedures Act; or

(D) Seeking suspension of the permit through the civil court system.

8-501.30 Restriction or Exclusion Order: Warning or Hearing Not Required, Information Required in Order.

Based on the findings of the investigation as specified in §8‑501.10 and to control disease transmission, the proper Regulatory Authority may issue an order of Restriction or Exclusion to a suspected Food Employee or the Permit Holder without prior warning, notice of a hearing, or a hearing if the order:

(A) States the reasons for the restriction or exclusion that is ordered;

(B) States the evidence that the Food Employee or Permit Holder shall provide in order to demonstrate that the reasons for the restriction or exclusion are eliminated;

(C) States that the suspected Food Employee or the Permit Holder may request an appeal hearing by submitting a timely request as provided in Law; and

(D) Provides the name and address of the Regulatory Authority representative to whom a request for an appeal hearing may be made.

8-501.40 Removal of Exclusions and Restrictions

The Regulatory Authority shall release a Food Employee or Conditional Employee from restriction or exclusion according to Law and the conditions specified under § 2-201.13.

8-6 NOTICES

8-601 Service of Notice

8-601.10 Proper Methods.

Unless otherwise required by law, a notice issued in accordance with this Code shall be considered to be properly served if it is served by one of the following methods:

(A) The notice is personally served by the Regulatory Authority, a law enforcement officer, or a person authorized to serve a civil process to the Permit Holder, the Person in Charge, or Person operating a Food or Eating Establishment without a Permit;

(B) The notice is sent by the Regulatory Authority to the last known address of the Permit Holder or the Person operating a Food or Eating Establishment without a Permit, by registered or certified mail or by other public means so that a written acknowledgement of receipt may be acquired; or

(C) In the event that (A) or (B) is not possible, the notice is provided by the Regulatory Authority by regular mail or in accordance with another manner of service authorized in Law.

8-601.20 Restriction or Exclusion Order, Hold Order.

An Employee restriction or exclusion, an order to hold and not distribute food, such as a hold, detention, embargo, or seizure order which is hereinafter referred to as a hold order shall be:

A) Served as specified in ¶ 8-601.10(A)

8-7 REMEDIES

8-701 Criteria for Seeking Remedies

8-701.10 Conditions Warranting Remedy.

In accordance with 5 M.R.S. Chapter 375 (As Amended), and 10-144 CMR 201 (Rules Relating to the Regulation and Enforcement of Establishments Regulated by the Health Inspection Program) (Amended 2012), the Regulatory Authority may seek an administrative or judicial remedy to achieve compliance with the provisions of this Code if a Person operating a Food or Eating Establishment or Employee:

(A) Fails to have a valid Permit to operate a Food or Eating Establishment as specified under §8‑301.11;

(B) Violates any term or condition of a Permit as specified under §8‑304.11;

(C) Allows serious or repeated Code violations to remain uncorrected beyond time frames for

correction approved, directed, or ordered by the Regulatory Authority under ¶¶ 8‑405.11(A) and (B), and ¶¶ 8‑406.11(A) and (B);

(D) Fails to comply with a Regulatory Authority order issued as specified in §8‑501.20 concerning an Employee suspected of having a disease transmissible through Food by infected Persons;

(E) Fails to comply with a hold order as specified in §§8-702.10 and 8-702.20;

8-702 Holding, Examination, and Destruction of Food

8-702.10 Hold Order, Justifying Conditions and Removal of Food.

(A) In accordance with all relevant procedures and requirements of 22 M.R.S. §§2159 (Amended 2011) and 2496 (Amended 2009), the Regulatory Authority may place a hold order on a Food that it has reason to believe is adulterated, or is misbranded as to be dangerous or fraudulent within the meaning of 22 M.R.S., Chapters 551 and 562 (Amended 2011).

(B) If the Regulatory Authority has reasonable cause to believe that the hold order will be violated, or finds that the order is violated, the Regulatory Authority may remove the Food that is subject to the order to a place of safekeeping.

8-702.20 Hold Order, Contents.

The hold order notice shall:

(A) State that Food subject to the order may not be used, sold, moved from the Food or Eating Establishment, or destroyed without a written release of the order from the Regulatory Authority;

(B) State the specific reasons for placing the Food under the hold order, with reference to the applicable provisions of this Code and the Hazard or adverse effect created by the observed condition;

(C) Completely identify the Food subject to the hold order by the common name, the label information, a container description, the quantity, Regulatory Authority’s tag or identification information, and location.

8-702.30 Hold Order, Official Tagging of Food.

(A) The Regulatory Authority shall securely place an official tag or label on the Food or containers, or otherwise conspicuously identify Food subject to the hold order.

(B) The tag or other method used to identify a Food that is the subject of a hold order shall include a summary of the provisions specified in §8-702.20 and shall be signed and dated by the Regulatory Authority.

8-702.40 Hold Order, Food May Not Be Used or Moved.

(A) Except as specified in ¶ (B) of this section, food placed under a hold order may not be used, sold, served, or moved from the Establishment by any Person.

The Regulatory Authority may allow the Permit Holder the opportunity to store the food in an area of the Food or Eating Establishment if the food is protected from subsequent deterioration and the storage does not restrict operations of the Establishment .

8-702.50 Examining, Sampling, and Testing Food.

The Regulatory Authority may examine, sample, and test Food in order to determine its compliance with this Code.

8-702.60 Hold Order, Removing the Official Tag.

Only the Regulatory Authority may remove hold order tags, labels, or other identification from Food subject to a hold order.

8-702.70 Destroying or Denaturing Food.

Food shall be destroyed, or otherwise rendered unsalable, in accordance with the provisions of 22 M.R.S. §2159. (Amended 2011)

8-702.80 Releasing Food from Hold Order.

The Regulatory Authority shall issue a notice of release from a hold order and shall remove hold tags, labels, or other identification from the Food if the hold order is vacated.

8-703 Hearing Administration

8-703.10 Request for Hearing, Basis and Time Frame.

A person aggrieved by a licensing decision or action taken by the state Regulatory Authority may request an administrative hearing in accordance with the provisions of the Administrative Procedure

Act (5 M.R.S. Chapter 375) (Amended 2011). The hearing request must be submitted to the state Regulatory Authority within 30 calendar days of receipt of the notice of the state Regulatory Authority’s decision or action and must specify the reason(s) for the appeal. All hearings shall be conducted in accordance with the Maine Administrative Procedure Act or rules adopted under the Administrative Procedure Act.

8-704 Civil Proceedings

8-704.10 Petitions, Penalties, and Continuing Violations.

(A) The Regulatory Authority may petition a court of competent jurisdiction to enforce the provisions of this Code or its administrative orders and, according to Law, collect penalties and fees for violations.

(B) A person who violates a provision of this Code, any rule or regulation adopted in

accordance with law related to Food or Eating Establishments within the scope of this Code, or any term, condition, or limitation of a Permit issued as specified in §§8-303.10 and 8-303.20 is subject to a civil penalty.

(C) In addition, fines may be assessed by the Regulatory Authority in accordance with 22 M.R.S. §§ 2172 (Amended 2003) and 2498 (Amended 2009).

(D) Each day of a violation constitutes a separate violation under this section.

History

• STATUTORY AUTHORITY: Department of Agriculture, Conservation & Forestry: 10 M.R.S. §§2625 – 2629, 22 M.R.S. §§2153, 2154, and 2167 – 2169,
• STATUTORY AUTHORITY: Department of Health and Human Services: 22 M.R.S. §2496.
• EFFECTIVE DATE: May 6, 1976 - as "Retail Food Establishments"
• AMENDED: December 9, 1980
• AMENDED: March 11, 1981 - Section 9
• AMENDED: May 12, 1982 - Section 3(G)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: May 1, 2001 - as "State of Maine Food Code 2001"
• MINOR CORRECTIONS: May 15, 2001 - restoration of 5-501.17, minor formatting
• REPEALED AND REPLACED: October 7, 2013 – filings 2013-232 (DHHS), 233 (Agriculture)
• APAO ACCESSIBILITY CHECK: January 7, 2026 (no issues detected)

Chapter 332 Rabbit Processing

Code Me. R. 01-001 Ch. 332 Rabbit Processing {#sec-01-001-ch.-332 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 332}

SUMMARY: The purpose of this chapter is to set forth the standards for licensing and regulations for rabbit processing. This chapter is specific for rabbit processing and Chapter 358, Rules for Manufacturing of Potentially Hazardous Foods, is also in effect for Rabbit Processing.

1. DEFINITIONS

For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

"Adequate" means that which is needed to accomplish the intended purpose in keeping with good public health practice.

“Ante-Mortem Inspection” means the inspection of live rabbits prior to being slaughtered for sickness or disease.

“Captive Bolt Apparatus” means a pistol or gun (also known as a, stun bolt gun, bolt gun, or stunner) device used for stunning live rabbits rendering them unconscious prior to slaughter.

“Carcass” means any domestic rabbit carcass.

“Cervical Dislocation Method” means a technique used in physical euthanasia of live rabbits by applying pressure to the neck and dislocating the spinal column from the skull or brain.

“Corrosion Resistant Material" means those materials that maintain their original surface characteristics under prolonged contact with organic material, the normal use of cleaning compounds and bactericidal solutions, and other conditions of the environment.

Department" means the Maine Department of Agriculture, Conservation and Forestry (DACF).

“Easily Cleanable" means readily accessible and of such material and finish and so fabricated, that residues may be completely removed by usual cleaning methods.

“Establishment” means the building or buildings or parts thereof, used for or in connection with, the manufacturing, processing, packaging, labeling or holding of human food.

“Exsanguination” means the incision made to the carotid artery sufficient to a degree to cause death by blood loss.

“Giblets” means the liver from which the bile sac has been removed and the heart which has been removed from the pericardial sac.

“Heat-Treated” means the application of heat to a food to destroy microorganisms of public health significance.

Post Mortem Inspection “means” the inspection of rabbit organs and tissue for evidence of disease which would make the meat unsuitable for human food.

“Potentially Hazardous Food” means an animal food or any food that consists in whole, or in part, of milk or milk products, eggs, meat, poultry, shellfish, fish, edible crustacea, or their ingredients, including synthetic ingredients that is raw or heat-treated; a plant Food that is heat-treated or consists of raw seed sprouts, cut melons, cut leafy greens, cut tomatoes or mixtures of cut tomatoes that are not modified in a way so that they are unable to support pathogenic microorganism growth or toxin formation, or garlic-in-oil mixtures that are not modified in a way so that they are unable to support pathogenic microorganism growth or toxin formation.

“Rabbit” means any domesticated rabbit, whether live or dead.

“Ready-to-Cook Rabbit” means any domestic rabbit which has been slaughtered for human food, from which the head, heart, kidneys, blood, skin, feet, and inedible viscera have been removed and that is ready to cook without need of further processing. Ready-to-cook rabbit also means any cut-up or disjointed portion of rabbit or any edible part.

“Sanitary" means that all buildings, equipment, and utensils shall be suitable for their intended use, so designed and of such material and workmanship as to be adequately cleanable and properly maintained.

“Wholesome" means food in sound condition, clean, free from adulteration and otherwise suitable for human consumption.

2. RABBIT HEALTH

The slaughter of rabbits demonstrating symptoms of sickness is prohibited.

If live rabbits which are affected by any contagious disease which is transmissible to man are brought into an official establishment, such rabbits shall be segregated.

All rabbits not passing ante-mortem inspections shall be killed, denatured and disposed of in a manner at a location approved by the Department.

Rabbit carcasses, parts and organs not passing post-mortem inspection shall be condemned, denatured and disposed of in a manner at a location approved by the Department.

The establishment may contract with a veterinarian of their choice for antemortem and post-mortem inspections, provided the veterinarian is licensed in Maine to practice veterinary medicine.

The establishment shall assure that all rabbits slaughtered are free from medicated feed residues, medication, pesticides, and other residues.

3. LIVE RABBIT HOLDING

Live rabbit holding areas shall be provided with adequate ventilation to prevent exposure to extreme temperatures.

Extended Live rabbit holding times should be avoided, and water should be provided when delays are expected.

Live rabbit holding pens shall be so constructed as to allow satisfactory ante-mortem examination and to permit proper cleaning.

4. RABBIT SLAUGHTER

Establishments shall use humane methods to slaughter rabbits, so must render the animal unconscious prior to causing death from exsanguination .

Rabbits shall be stunned prior to shackling; shackling and hanging of conscious rabbits shall be avoided .

Rabbit stunning shall be accomplished by use of captive bolt apparatus or cervical dislocation method.

Cervical dislocation shall be performed in a humane manner by a well-trained individual.

The use of decapitation as a method of slaughter is prohibited.

5. ROOMS AND COMPARTMENTS

Rooms and compartments used for edible products shall be separate and distinct from inedible products departments and from rooms where rabbits are slaughtered and skinned. Separate rooms shall be provided when required for conducting processing operations in a sanitary manner, and all rooms shall be of sufficient size to permit the installation of the necessary equipment for processing operations and the conduct of such operations in a sanitary manner.

Rooms for separate operation. The establishment should have separate rooms for each of the following operations depending upon the various types of operations conducted, but, in no case, shall the receiving or holding of live rabbits or killing operations be permitted in rooms in which eviscerating operations are performed:

• 1. The receiving and feeding of live rabbits. 2. Killing and skinning operations. 3. Eviscerating, chilling, and packing operations for ready-to-cook rabbits. 4. Heat-treatment, cooling and packaging of rabbit products. 5. Inedible products departments and refuse room.

Coolers and freezers of adequate size and capacity shall be provided to reduce the internal temperature of ready-to-cook rabbits prepared and otherwise handled in the establishment to 36 °F. within 24 hours.

Refuse rooms shall be entirely separate from other rooms in the establishment and shall have tight fitting doors and be properly ventilated.

Any storage and supply rooms shall be in good repair, kept dry, and maintained in a sanitary condition.

The boiler room shall be a separate room to prevent it being a source of dirt and objectionable odors. Its entrance shall not be from any room where rabbits are prepared, processed, handled, and stored.

Toilet rooms shall not open directly into rooms where rabbit products are exposed. They shall have self-closing doors and the room shall be ventilated to the outside of the building.

6. ESTABLISHMENT CONSTRUCTION AND DESIGN

All floors in rooms where exposed products are prepared or handled shall be constructed of or finished with materials impervious to moisture, so they can be readily and thoroughly cleaned. Floors that are subject to flood type cleaning in killing, eviscerating, cooling, boning, heat-treated and cooling rooms shall have at least 1/4-inch grade per foot for complete runoff with no standing water. Floors shall be kept clean and in good repair.

All walls, posts, partitions, and doors in rooms where exposed products are prepared or handled shall be smooth and constructed of materials impervious to moisture to enable thorough cleaning. Walls shall be kept clean and in good repair. All joints, seams and duck boards are to be sealed to prevent insanitary conditions.

Ceilings shall be smooth and constructed of materials impervious to moisture to enable thorough cleaning. All joints and seams are to be sealed to prevent insanitary conditions. Ceilings shall be kept clean and in good repair.

Fixtures, ducts, pipes shall not be suspended over working areas in a manner whereby condensation or dripping may contaminate food, food contact surfaces and food packaging materials.

7. SANITARY SEWER AND DRAINAGE

There shall be an efficient drainage and plumbing system for the establishment and premises.

All drains and gutters shall be properly installed with approved traps and vents. The drainage and plumbing system must permit the quick runoff of all water from the establishment, and surface water around the establishment and on the premises, and all such water shall be disposed of in such a manner as to prevent a nuisance or health hazard.

B. Sewage and Establishment Wastes

Discharge of sewerage or waste water shall be into a public or private sewage system. A private sewage system shall be approved by the appropriate municipality or regulatory authority prior to the Departments issuance of license or registration. The licensee or person registering the establishment shall provide the Department written documentation from the municipality or regulatory authority that the private sewage system is properly designed and installed for intended use.

Grease traps which are connected with the sewerage system shall be suitably located but not near any edible products department or in any area where products are unloaded from or loaded into vehicles. To facilitate cleaning, such traps shall have inclined bottoms and be provided with suitable covers.

Toilet sewage lines shall be separate from gray water drainage lines to a point outside the buildings unless they are positively trapped to prevent backing up. Drainage from toilet bowls and urinals shall not be discharged into a grease catch basin.

All floor drains shall be equipped with traps, constructed so as to minimize clogging, and the plumbing shall be so installed as to prevent sewerage from backing up and from flooding the floor.

Floor drainage lines shall be constructed and repaired with approved materials according to law and shall be properly vented to outside air.

Where refrigerators are equipped with drains, such drains should be properly trapped and shall discharge through an air gap into the sewer system.

PLUMBING SYSTEM

A plumbing system and hoses that convey potable water shall be designed, constructed, and installed according to Law. The plumbing system shall be repaired according to law and maintained in good repair.

Hot and cold water under pressure shall be provided in all areas, for the processing of food, the cleaning of equipment, utensils, and for employee sanitary facilities.

A plumbing fixture such as ware wash and handwashing sinks, toilet, or urinal shall be easily cleanable.

A backflow or back siphonage prevention device shall be installed on a water supply system or hose bibs for construction, installation, maintenance, inspection, and testing for that specific application and type of device.

A cross connection by connecting a pipe or conduit between the drinking water system and a non-drinking water system or a water system of unknown quality is prohibited.

A two-compartment sink constructed of durable non-corrosive material with drain board(s) or rack shall be provided for cleaning, sanitizing and air drying of utensils and equipment. The ware wash sink shall be provided with hot and cold running water under pressure. The ware washing sink(s) shall not be used for the disposal of waste water.

WATER SUPPLY

The water supply, either public or private shall be ample, clean, and potable with adequate facilities for its distribution in the establishment and protection against contamination and pollution.

Private water sources shall be tested annually by an accredited laboratory for coliform bacteria and nitrates.

A hot water generation system shall be sized appropriately to meet peak demand for sanitation purposes and provide hot water at a suitable temperature, and under pressure as needed, in all areas where required for the processing of food, for the cleaning of equipment, utensils, and employee sanitary facilities.

The refuse rooms shall be provided with adequate facilities for washing refuse cans and other equipment in the rooms; the rooms, cans, and equipment shall be cleaned after each day's use.

LIGHTING AND VENTILATION

There shall be ample light, either natural or artificial or both, of good quality and well distributed where food or food ingredients are stored, processed or examined. Where equipment or utensils are washed, and in handwashing areas, dressing and locker rooms and toilets. Lighting shall be provided with safety-type light bulbs or properly shielded. All fixtures, skylights, or other glass suspended over exposed food in any step of preparation or otherwise shall be protected against food contamination in case of glass breakage.

All rooms in which rabbits are killed, eviscerated, or otherwise processed shall have at least 30-foot candles of light intensity on all working surfaces.

All rooms shall be provided with adequate ventilation or control equipment to minimize odors and vapors (including steam and noxious fumes) in areas where they may contaminate food; and fans and other air-blowing equipment must be located and operated in a manner that minimizes the potential for contaminating food, food-contact surfaces and food-packaging materials.

EQUIPMENT AND UTENSILS

Equipment and utensils used for the preparation, processing, or other handling of any rabbit product in the establishment shall be so designed and of such material and workmanship as to be adequately cleanable, and shall be properly maintained.

The design, construction, and use of equipment and utensils shall preclude the adulteration of food with lubricants, fuel, metal fragments, contaminated water, or any other contaminants.

All equipment should be so installed and maintained as to facilitate the cleaning of the equipment and of all adjacent spaces.

Food-contact surfaces made of shall be corrosion-resistant nontoxic materials designed to withstand the environment of their intended use and the action of food, and, if applicable, cleaning compounds and sanitizing agents. Food-contact surfaces shall be maintained to protect food from being contaminated by any source, including unlawful indirect food additives.

Cleanable refuse containers shall be provided, and such containers shall be kept covered.

Trucks and receptacles used for handling inedible products shall be constructed of non-corrosive material of such material and workmanship as to be adequately cleanable, properly maintained and shall be conspicuously and distinctly marked for inedible use only. Trucks and receptacles marked for inedible uses shall not be used for handling of any edible product

Where grading bins are used for ready-to-cook rabbits, they shall be of sufficient number and capacity to handle the grading adequately without the use of makeshift bins, and all bins of ready-to-cook rabbits shall be kept off the floor.

Conveyors

• 1. Conveyors used in the preparation of ready-to-cook rabbits shall be of metal or other acceptable material and of such construction as to permit thorough and ready cleaning of both rabbit carcasses and inspection of their viscera. 2. Overhead conveyors shall be so constructed and maintained that they do not allow grease, oil, or dirt to accumulate on the drop chain or shackle, which shall be of noncorrosive metal. 3. Nonmetallic belt-type conveyors used in moving edible products shall be of water-proof composition.

Inspection, eviscerating, and cutting tables shall be made of metal and be so constructed and placed to permit thorough cleaning.

In establishments where no conveyors are used, each carcass shall be eviscerated in an individual metal tray of seamless construction.

Water spray washing equipment shall be used for washing carcasses inside and out.

Watertight receptacles shall be used for entrails and other waste resulting from preparation of ready-to-cook rabbits.

Receptacles for holding or handling diseased carcasses and diseased parts of carcasses shall be so constructed as to be readily and thoroughly cleaned.

Freezing equipment should be adequately equipped to freeze ready-to-cook rabbits solid in less than 48 hours. Ready-to-cook rabbits should be stored at 0 °F. or below, with the temperature maintained as constant as possible.

CLEANING OF ROOMS AND COMPARTMENTS

The premises shall be kept free from refuse, waste materials, and all other sources of objectionable odors and conditions.

All blood, offal, rabbits or parts of rabbits too severely damaged to be salvaged and all discarded containers and other materials shall be completely disposed of daily.

All windows, doors, and light fixtures in the establishment shall be kept clean.

All docks and rooms shall be kept clean and free from debris and unused equipment and utensils.

Live rabbit receiving docks and receiving rooms shall be of such construction to permit their thorough cleaning, and such docks and rooms should be kept clean at all times.

Floors in live rabbit holding rooms shall be cleaned with such regularity as may be necessary to maintain them in a sanitary condition.

The killing and skinning room shall be kept clean and free from offensive odors at all times.

The walls, floors, and all equipment and utensils used in the killing and skinning room shall be thoroughly washed and cleaned after each day's operation.

The floor in the killing and skinning rooms shall be cleaned frequently during killing and skinning operations and be kept reasonably free from accumulated blood, offal, water, and dirt.

All fixtures and equipment in the toilet room and locker room, as well as the room itself, shall be kept clean, sanitary, and in good repair.

Cooler and freezer equipment shall be free from objectionable odors of any kind and shall be maintained in a sanitary condition (including, but not being limited to, the prevention of drippings from condensation and refrigerating coils onto products.

CLEANING OF EQUIPMENT AND UTENSILS

Equipment and utensils used for preparing or otherwise handling any product shall be kept clean and in a sanitary condition and in good repair.

Pens or cages shall be cleaned regularly, and the manure removed from the establishment daily.

Food-contact surfaces, including utensils and food-contact surfaces of equipment used in the handling of ready-to cook and heat treated rabbit products, shall be maintained in a clean and sanitary condition when in use. All equipment and utensils shall be thoroughly washed and cleaned after each day's operation. Cleaned equipment and utensils shall be drained on racks and shall not be nested.

Tanks, vats, and other receptacles used to hold, or transport ready-to-cook rabbits shall be kept in a clean and sanitary condition.

Chilling vats or tanks, if practicable, shall be emptied after each use. They shall be thoroughly cleaned once daily, and after each cleaning operation, they shall be sanitized with approved chemical compounds.

When a tray evisceration operation is used, trays shall be single use and washed and sanitized after each use.

Cleaned and sanitized equipment food-contact surfaces and utensils shall be stored in a location and manner that protects food-contact surfaces from contamination.

Single-service articles (such as packaging materials) should be stored in appropriate containers and shall be handled, dispensed, used, and disposed of in a manner that protects against contamination of food or food-contact surfaces.

SUBSTANCES USED IN CLEANING AND SANITIZING; STORAGE OF TOXIC MATERIAL

Cleaning compounds and sanitizing agents used in cleaning and sanitizing procedures shall be adequate for their intended use. Compliance with this requirement may be verified by any effective means including purchase of these substances under a supplier’s guarantee or certification. Only the following toxic materials may be used or stored in an establishment where food is processed or exposed:

Those required to maintain clean and sanitary conditions;

Those necessary for use in laboratory testing procedures;

Those necessary for establishment and equipment maintenance and operation; and

Those necessary for use in the establishment's operations.

Toxic cleaning compounds, sanitizing agents, and pesticide chemicals shall be identified, held, and stored in a manner that protects against contamination of food, food-contact surfaces, or food-packaging materials. All relevant regulations promulgated by other Federal, State, and local government agencies for the application, use, or holding of these products should be followed.

A chemical sanitizer used in the sanitizing of food contact surfaces shall be used in accordance with the EPA-registered label use instructions.

Sanitization maybe accomplished by one of the following methods:

• • • 1. Immersion for at least one-half (1/) minute in clean, hot water at a temperature of at least 170º F. 2. Immersion for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypochlorite and at a temperature of at least 75º F. 3. Immersion for at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a pH not higher than 5.0 and at a temperature of at least 75º F. 4. Immersion in a quaternary ammonium compound solution having a minimum temperature of 75ºF with a concentration as specified by the manufacturer's use directions included in the labeling.

There shall be readily available a test kit or other device to accurately determined the concentration of the sanitizing solution being applied to food contact surfaces.

OPERATIONS AND PROCEDURES

Operations and procedures involving the preparation, storing, or handling of any ready-to-cook or heat treated rabbit products shall be strictly in accord with clean and sanitary methods.

All operations in the receiving, inspecting, transporting, segregating, preparing, manufacturing, packaging, and storing of food shall be conducted in accordance with adequate sanitation principles. Appropriate quality control operations shall be employed to ensure that food is suitable for human consumption and that food-packaging materials are safe and suitable. All reasonable precautions shall be taken to ensure that production procedures do not contribute contamination from any source.

Chemical, microbial, or extraneous-material testing procedures shall be used where and when necessary to identify sanitation failures or possible food contamination. All food that has become contaminated to the extent that it is adulterated within the meaning of 22 MRSA § 2156 of Maine law shall be rejected, only after consultation with and approved by the Department shall contaminated food be treated or processed to eliminate the contamination. Otherwise the contaminated food shall be denatured and properly disposed of in a manner approved by the Department.

The evisceration of ready-to cook rabbit shall result in the head and all organs being separated from the carcass. The edible giblets shall be processed so that the bile sac is removed from the liver and the heart from the pericardial sac.

Overall sanitation of the establishment shall be under the supervision of one or more competent individuals assigned responsibility for this function.

Raw materials and other ingredients shall be inspected and segregated or otherwise handled as necessary to ascertain that they are clean and suitable for processing into food and shall be stored under conditions that will protect against contamination and minimize deterioration.

Any ice used in contact with food or food contact surfaces shall be made from potable water. Ice manufacturing equipment shall not be located in the slaughter or evisceration rooms. All ice manufacturing equipment, shovels, scoops, storage and transportation bins shall be maintained in a sanitary condition through frequent cleaning including sanitization where indicated. Insofar as possible, equipment shall be taken apart for thorough cleaning.

Blood from the killing operation shall be confined to a relatively small area and kept from being splashed about the room.

In the final washing, the carcass shall be thoroughly sprayed with an abundant supply of potable water of such velocity to effectively clean the carcass.

The floors in the eviscerating room shall be kept clean and reasonably dry during eviscerating operations and free of all refuse.

Mechanized packaging equipment shall be maintained in good sanitary condition.

All offal resulting from the eviscerating operation shall be removed as often as necessary to prevent the development of a nuisance.

All food grade packaging material used for packaging rabbit products shall not transmit contaminants or objectionable substances to the product.

Operations which may cause cross-contamination with bacteria, molds, toxic chemicals, filth, or the like shall be separated by partitions of such size and construction as to prevent cross-contamination or located in different parts of the establishment.

Effective measures shall be taken to protect against the contamination of food, food contact surfaces and food packaging materials in or on the premises from dogs, cats, flies, rats, mice, and other vermin or animals.

Compressed air or other gases mechanically introduced into food or used to clean food-contact surfaces or equipment shall be treated in such a way that food is not contaminated with unlawful indirect food additives.

Food-manufacturing areas and equipment used for manufacturing human food shall not be used to manufacture nonhuman food-grade animal feed or inedible products, unless there is no reasonable possibility for the contamination of the human food.

Storage and transportation of finished food shall be under conditions that will protect food against physical, chemical, and microbial contamination as well as against deterioration of the food and the container.

CLEANLINESS AND HYGIENE OF PERSONNEL

All persons working in direct contact with food, food-contact surfaces, and food-packaging materials shall conform to hygienic practices while on duty to the extent necessary to protect against contamination of food. The methods for maintaining cleanliness include, but are not limited to:

Wearing outer garments suitable to the operation in a manner that protects against the contamination of food, food-contact surfaces, or food-packaging materials.

Maintaining adequate personal cleanliness.

Washing hands thoroughly (and sanitizing if necessary to protect against contamination with undesirable microorganisms) in an adequate hand-washing facility before starting work, after each absence from the work station, after using the bathroom and at any other time when the hands may have become soiled or contaminated.

Removing all unsecured jewelry and other objects that might fall into food, equipment, or containers, and removing hand jewelry that cannot be adequately sanitized during periods in which food is manipulated by hand. If such hand jewelry cannot be removed, it may be covered by material which can be maintained in an intact, clean, and sanitary condition and which effectively protects against the contamination by these objects of the food, food-contact surfaces, or food-packaging materials.

Maintaining gloves, if they are used in food handling, in an intact, clean, and sanitary condition. The gloves should be of an impermeable material.

Wearing, where appropriate, and in an effective manner, hair nets, headbands, caps, beard covers, or other effective hair restraints.

Storing clothing or other personal belongings in areas other than where food is exposed or where equipment or utensils are washed.

Confining the following to areas other than where food may be exposed or where equipment or utensils are washed: eating food, chewing gum, drinking beverages, or using tobacco.

Taking any other necessary precautions to protect against contamination of food, food-contact surfaces, or food-packaging materials with microorganisms or foreign substances including, but not limited to, perspiration, hair, cosmetics, tobacco, chemicals, and medicines applied to the skin.

TEMPERATURES AND COOLING AND FREEZING PROCEDURES

Temperatures and procedures which are necessary for cooling and freezing of ready-to-cook and heat-treated rabbit products in accordance with sound commercial practices shall be maintained in the coolers and freezers, and chilling temperatures and procedures shall also be in accordance with sound commercial practice.

Cooling. Immediately after evisceration and washing of the rabbit carcass, it shall be placed in a cooling tank containing running cold tap water to remove the animal heat from the carcass. Carcasses shall not be allowed to remain in the cooling tank for longer than 1 hour.

Air chilling. Immediately after the initial water chilling, the carcasses shall be placed in cooling racks and placed in a refrigerated cooler at a temperature which will reduce the internal temperature of the carcasses to 36 °F within 24 hours.

Freezing. When ready-to-cook and heat treated rabbit products are frozen, the carcasses should receive an initial rapid freezing under such packaging, temperature, air circulation, and stacking conditions which will result in freezing the carcasses solid in less than 48 hours. Frozen ready-to-cook rabbits and heat treated rabbit products shall be held under conditions which will maintain the product in a solidly frozen state with temperature maintained as constant as possible.

Refrigeration. Immediately after packaging, all ready-to-cook rabbits, shall be refrigerated and held at 36º F to 40° F.

Each freezer and cold storage compartment used to store and hold food capable of supporting growth of microorganisms shall be fitted with an indicating thermometer, temperature-measuring device, or temperature-recording device so installed as to show the temperature accurately within the compartment.

Heat Treated rabbit products shall be chilled:

Within 2 hours, from 135 o F to 70o F; and

Within a total of 6 hours, from 135 o F to 41oF or less.

TOILET FACILITIES

Each establishment shall provide its employees with adequate, readily accessible toilet facilities. Compliance with this requirement may be accomplished by:

Maintaining the facilities in a sanitary condition.

Keeping the facilities in good repair at all times.

Providing self-closing doors that do not open into areas where food is exposed to airborne contamination, except where alternate means have been taken to protect against such contamination (such as double doors or positive air-flow systems).

HAND-WASHING FACILITIES

Hand-washing facilities shall be adequate and convenient, and provided with running water at a suitable temperature. Compliance with this requirement may be accomplished by providing:

A handwashing sink(s) and, where appropriate, hand-sanitizing facilities conveniently located in each room used for slaughter and processing. The handwashing sink shall be equipped to provide water at a temperature of at least 100º F) through a mixing valve or combination faucet. Each sink shall be provided with hand soap, disposable towels and waste receptacle.

Readily understandable signs directing employees handling food, food equipment or food-packaging materials, to wash and, where appropriate, sanitize their hands before they start work, after each absence from post of duty, and when their hands may have become soiled or contaminated. These signs shall be posted in toilet rooms and in the processing room(s) and in all other areas where employees may handle such food, materials, or surfaces.

PREMISES

The grounds of the outer building or buildings shall be reasonably clean and well drained, free from any materials or conditions that may create rodent, bird and/or insect harborages and free from other nuisances and sources of contamination.

Roads, yards, and parking lots must be maintained so that they do not constitute a source of contamination in areas where food is exposed.

Areas that may contribute contamination to food by seepage, foot-borne filth, or providing a breeding place for pests must be adequately drained.

Systems for waste treatment and disposal must be operated in an adequate manner so that they do not constitute a source of contamination in areas where food is exposed.

PEST CONTROL

No pests shall be allowed in any area of an establishment. Effective measures shall be taken to exclude pests from the processing areas and to protect against the contamination of food on the premises by pests.

Where necessary, adequate screening or other protection against pests shall be provided.

The use of insecticides or rodenticides is permitted only under precautions and restrictions that will protect against the contamination of food, food-contact surfaces, and food-packaging materials.

RECORDKEEPING

Rabbit processors and manufacturers shall code products so to identify specific food lots affected by contamination, spoilage or by sanitation failure and shall separate each lot from non-affected products.

Individual ready-to-cook and heat-treated rabbit products labeled as consumer commodities for retail sale shall be individually coded, in addition to coding the master carton.

Individual ready-to-cook and heat-treated rabbit products, when not labeled as a consumer commodity but offered for sale as a foodservice item do not need to be individually coded but shall have a code affixed to the master carton.

The operator must have written procedures explaining the code information and how it relates to production records.

The operator shall maintain production records that document:

Date the product was processed.

Name of the product.

Units produced.

Size of the product

Code by lot.

LABELING

Ready-to cook and heat-treated rabbit products shall be labeled as specified in law, including 21 Code of Federal Regulations (CFR) § 101 (Food Labeling), and 22 M.R.S. §2157.

Ready-to cook and heat-treated rabbit products shall be labeled with safe handling instructions in the following manner:

Individual ready-to-cook and heat-treated rabbit products labeled as consumer commodities and distributed as a refrigerated product shall have both the product and master carton labeled conspicuously with the wording “Keep Refrigerated or Freeze”.

Individual ready-to-cook and heat-treated rabbit products labeled as consumer commodities and distributed as a frozen product shall have both the product and master carton conspicuously labeled with the wording “Keep Frozen”.

Individual ready-to-cook and heat-treated rabbit products labeled as consumer commodities and distributed as a frozen product with the intent to be thawed and offered for retail as a refrigerated product shall conspicuously label both the individual product and master carton label with the wording “Previously Handled Frozen for Your Protection, Refreeze or Keep Refrigerated.”

Individual ready-to-cook and heat-treated rabbit products that are not labeled as consumer commodities and intended to be sold as a bulk foodservice commodity shall have their master cartons labeled with safe handling instruction in the manner specified in sections 1and 2.

The safe handling statement shall be conspicuously placed on the bottom 1/3 of the product label’s principal face panel in capitalized letters not less than 3/8 of an inch in height.

24. LICENSING

Application and Fee. An owner or operator of a food processing and manufacturing establishment used for rabbit processing shall annually apply to the Department of Agriculture, Conservation and Forestry for a license for the establishment. A license fee of $50.00 shall accompany each application. In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding 12 months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B. Inspection and Issuance. Before a license is issued or renewed, the Department shall inspect the premises of the applicant. Following inspection and receipt of the application and required fee, the Commissioner shall within thirty (30) days of the receipt of the application issue a license to operate any rabbit processing establishment which is found to comply with 22 M.R.S.A. §2151 et seq . and the provisions of this Chapter and Chapter 358, Department of Agriculture, Conservation and Forestry.

C. Any warehouse or warehouse space within the establishments covered by this rule shall comply with 01-001 CMR Chapter (Food Storage Warehouse), but only one license fee need be paid.

History

• STATUTORY AUTHORITY: 22 MRS §§ 2167, 2168 & 2169
• EFFECTIVE DATE: July 27, 1987
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: February 3, 2020 – filing 2020-014

Chapter 333 Official Grades for Sardines Packed in Louisiana Hot Sauce (1/4 Size Cans)

Code Me. R. 01-001 Ch. 333 Official Grades for Sardines Packed in Louisiana Hot Sauce in 1/4 Size Cans (128.5 Ml. Water Capacity). Part I (condensed Grading) - Part Ii (detailed Grading) {#sec-01-001-ch.-333 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 333}

SUMMARY: Product Definition, Grades of Canned Maine Sardines Packed in Louisiana Hot Sauce, Fill of Container (1/4 Size Can), Drained Weight Procedure, Ascertaining the Grade, Ascertaining the Rating for the Factors Which are Scored, i.e. , Color of Louisiana Hot Sauce, Absence of Defects, Taste and Odor, Texture, Ventral Breaks, Sampling, Provision for Grade Classification, Tolerance for Certification of Officially Drawn Samples, and Method of Salt Analysis.

PART I (CONDENSED GRADING)

1. Product Definition

"Canned Maine Sardines in Louisiana Hot Sauce" is the commercially canned product prepared from immature Atlantic Herring (Clupea harengus); packed with a suitable quantity and quality of Louisiana Hot Sauce in hermetically sealed containers and so processed by heat as to prevent spoilage. The Louisiana Hot Sauce ingredients shall conform to Federal Specifications of purity and be free from adulteration. Immature herring means herring of which less than fifty percent (50%) have well developed gonads and may or may not have spawned.

2. Grades of Canned Maine Sardines in Louisiana Hot Sauce

A. "Fancy Grade" is the quality of canned Maine sardines packed in Louisiana Hot Sauce that possess an excellent appearance, are practically free from defects, possess excellent color of Louisiana Hot Sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89-100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in Louisiana Hot Sauce that possess good appearance, are reasonably free from defects, possess good color of Louisiana Hot Sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79-88)

C. "Standard Grade" is the quality of canned Maine sardines in Louisiana Hot Sauce that possess a fair appearance, are fairly free from defects, possess fair color of Louisiana Hot Sauce and fair taste, odor and texture of the sardines and score not less than 70 points when scored in accordance with the scoring system outlined hereinafter. (70-78)

Lots not in compliance with above average scores shall be graded under Part II (Detailed Grading).

Note 1: The requirements for these Standards shall not excuse failure to comply with the provisions of existing applicable State Laws and Regulations, including State Laws and Regulations relating to packing of sardines providing License and Standards.

Note 2: The requirements of these Standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

3. Fill of Container (1/4 Size Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F. cannot be graded above "Standard" regardless of total score. If more than 20% of the cans in a sample lot are flippers, the lot cannot be graded above Standard regardless of the total score. This is a limiting rule.

A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after pressure is released.

Swells

1. A "swell" is a can with the cover permanently convex of distended. The presence of any swelled can in a lot will be graded under Part II (Detailed Grading).

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum liquid sauce of Louisiana Hot Sauce listed in Table No. 1. If more than 20% of the cans are below the minimum drained weight and/or minimum liquid sauce the lot cannot be graded above "Standard". This is a Limiting Rule. Any sample lot containing a can in which the Louisiana Hot Sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be graded under Part II (Detailed Grading).

Table No. 1

Drained Weight Requirements for 1/4 Size Cans (128.5 ml. Water Capacity)

Suggested

Louisiana Hot Sauce to be added:

30 C.C.'s or I Oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

85 gms. 3 Oz. 25.5 gms. 0.9 Oz.

4. Drained Weight Procedure

The opened can is first graded for color of the Louisiana Hot Sauce and for floating defects in the sauce and for General Appearance. The Louisiana Hot Sauce is then carefully removed by placing the opened can under a tap of running water using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice. The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the Louisiana Hot Sauce, then drained three minutes on the draining screen. The residue remaining on the screen is the-drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can

5. Ascertaining the Grade

The grade of canned Maine sardines in Louisiana Hot Sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of sauce color of the Louisiana Hot Sauce, Absence of Defects, Odor - Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Louisiana Hot Sauce Color 15

2. Absence of Defects 45

3. Taste and Odor of Drained Fish 30

4. Texture of Drained Fish 10

Maximum Number of Points 100

6. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27-30 points 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (45).

1. Color of Louisiana Hot Sauce

a. Canned Maine sardines in Louisiana Hot Sauce with sauce showing an excellent color (for Louisiana Hot Sauce) may be given a score of 13-15 points.

b. Canned Maine sardines in Louisiana Hot Sauce with sauce slightly lacking in normal Louisiana Hot Sauce Color may be given a score of 9-12 points.

c. Canned Maine sardines in Louisiana Hot Sauce with sauce decidedly off color may be given a score of 5-8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

2. Absence of Defects (Workmanship) Top Appearance (After Washing)

General Appearance and workmanship refers to overall appearance of canned product.

a. A bright, shiny appearance with excellent workmanship, virtually free of defects may be given a score of 0-10 points under Top Appearance.

b. A clean, shiny appearance with good workmanship, reasonably free of defects may be given a score of 11-22 points under Top Appearance.

c. A dull, gray appearance with a fair amount of defects shall be given a score of 23-30 points under Top Appearance.

d. Lots not in compliance with a, b, and c, above shall be graded under Part 11 (Detailed Grading).

3. Taste and Odor (Determined on Drained Fish)

a. Canned Maine Sardines in Louisiana Hot sauce having excellent taste and odor, for Louisiana Hot Sauce sardines may be given a score of 29-30 points.

b. Canned Maine sardines in Louisiana Hot Sauce having a good taste and odor that is slightly lacking or faint and not up to normal for the product packed in Louisiana Hot Sauce may be given a score of' 27-28 points and cannot be graded above "Extra Standard" regardless of the total score.

c. Canned Maine sardines in Louisiana Hot Sauce having a fair taste and odor that is free from rancidity and reasonably free of foreign or unusual taste may be given a score of 24-26 points and cannot be graded above "Standard" regardless of the total score.

d. Lots not in compliance with a, b, and c, above shall be graded under Part II (Detailed Grading).

e. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product will be assigned a taste score of 26 points which limits the lot to Standard grade and notation is made on the grading sheet to explain this action. If the salt content is so high as to make the product inedible, the product cannot be graded above "Substandard" - 0 under taste.

4. Texture (Character of Sardines)

a. Canned Maine sardines in Louisiana Hot Sauce that possess good character or texture may be given a score of 9-10 points.

b. Canned Maine sardines in Louisiana Hot Sauce that possess a reasonably good character and texture may be given a score of 7-8 points.

c. Canned Maine sardines in Louisiana Hot Sauce that possess a fair character or texture may be given a score of 5 to 6 points.

d. Lots not in compliance with a, b, and c, above shall be graded under Part 11 (Detained Grading).

5. Ventral Breaks

Any lot containing a can with more than 25 1/16 inch squares shall be graded under Part II (Detailed Grading).

7. Sampling

A. An official sample drawn at random from each embossed code lot, regardless of the lot size, shall be submitted to the laboratory for grading.

1. The number of cans submitted for this initial grading shall be 15 cans except that the size of such samples will be changed to 10 cans whenever the following conditions are met:

a. The 15 can samples for each of eight consecutive or eight of ten consecutive lots each has an average score greater than sixty-five plus the average range (R) of sub groups of five within said fifteen can sample and

b. None of such fifteen can samples shows a quality level such as to make necessary the grading or additional cans to determine the final grade.

2. Whenever the sample size has been reduced to ten cans as a result of the conditions outlined above under 1-a and 1-b, the grade of each succeeding lot will be determined on the basis of a ten can sample except that the sample size will revert to fifteen cans whenever either or both of the following conditions are met:

a. The average score of any ten can sample is less than sixty-five plus the average range (R) of sub groups of five within said sample, or

b. The quality of any such ten can sample is such as to make necessary the grading of additional cans to determine the final grade. An unlimited number of supplementary officially approved samples may be drawn as required to establish the final grade as indicated below.

8. Provision for Grade Classification

A. The grade of any lot will be determined on the basis of a 15 can sample (or 10 can sample as described above).

B. Any lot containing a substandard can or with an average lot score below 70.0% of the first 15 cans (or 10) shall require grading under Part II (Detained Grading).

9. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

1. Not more than one fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers fall more than one grade below the grade indicated by the average of such total scores.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restriction.

3. All containers comprising the sample meet all the applicable standards of quality In effect at the time, whether State or Federal Laws.

10. Method of Salt Analysis

Samples for salt analysis shall be a composite sample representing all cans in the sample. The sardines shall be drained as hereinbefore described under "Fill of Container" (1/4 size can). The official method of analysis shall be that described in the "Official Methods of Analysis of the Association of Official Agricultural Chemists", thirteenth edition, 1980, Chapter 32, paragraph 33.025, Page 540.

PART II (DETAILED GRADING)

11. Detailed grading of Maine Sardines packed in Louisiana Hot Sauce in 1/4 size can

Lots not in compliance with requirements of Part I (Condensed Grading) shall be graded in detail under the following provisions.

12. Sampling Procedure

A. An official forty-five can sample drawn at random from each embossed code lot regardless of lot size shall be submitted to the grading laboratory for grading. The grade will be determined on the basis of the forty-five can sample provided it does not contain more than two substandard cans.

B. Lots not meeting requirements of A, above shall require an additional forty-five cans to be drawn for grading and the lot grade determinations shall be based on a total of a ninety can sample, (45 + 45 - 90), excepting under circumstances when the Commissioner requires additional samples as proof of validity.

13. Fill of Container (1/4 Size Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F. cannot be graded above "Standard" regardless of total score. This is a limiting rule. A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum liquid weight of Louisiana Hot Sauce listed in Table I and any can in which the Louisiana Hot Sauce Is entirely lacking or is present in such a small amount as to be difficult to detect, shall be limited to "Substandard" grade. These are limiting rules.

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State Laws and Regulations, including State Laws and Regulations relating to packing of sardines providing for license and standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food Drug and Cosmetic Act .

Table No. 1

Drained Weight Requirements for 1/4 Size Cans (128.5 ml. Water Capacity)

Suggested

Louisiana Hot Sauce to be added:

30 C.C.'s or 1 Oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

85 gms. 3 Oz. 25.5 gms. 0.9 Oz.

14. Drained Weight Procedure

The opened can is first graded for color of the Louisiana Hot Sauce for floating defects in the sauce and for general appearance. The Louisiana Hot Sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 318" diameter 3" below the faucet orifice.) The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen(8" in diameter, 2 meshes per inch with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the Louisiana Hot Sauce, then drained three minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

15. Ascertaining the Grade

The grade of canned Maine sardines in Louisiana Hot Sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color of Louisiana Hot Sauce, Odor - Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Louisiana Hot Sauce Color 15

2. Absence of Defects 45

3. Taste and Odor of Drained Fish 30

4. Texture of Drained Fish 10

Maximum Number of Points 100

16. Grades of Canned Maine Sardines in Louisiana Hot Sauce

A. "Fancy Grade" is the quality of canned Maine sardines packed in Louisiana Hot Sauce that posses an excellent appearance, are practically free from defects, possess excellent color of Louisiana Hot Sauce and excellent Odor-Taste and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter (89-100).

B. "Extra Standard Grade" is the quality of canned Maine sardines pecked in Louisiana Hot Sauce that possess good appearance, are reasonably free from defects, possess good color of Louisiana Hot Sauce and good Odor-Taste and Texture of sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79-88)

C ."Standard Grade" is the quality of Maine sardines packed in Louisiana Hot Sauce that possess a fair appearance, are fairly free from defects, possess fair color of Louisiana Hot Sauce and fair Odor-Taste and Texture of sardines and score not less than 60 points when scored in accordance with the scoring system outlined hereinafter. (60-78)

17. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically.

The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (45).

1. Color of Louisiana Hot Sauce

a. Canned Maine sardines packed in Louisiana Hot Sauce showing an excellent Louisiana Hot Sauce color may be given a score of 13-15 points.

b. Canned Maine sardines packed in Louisiana Hot Sauce with sauce slightly lacking in normal Louisiana Hot Sauce color may be given a score of 9-12 points.

c. Canned Maine sardines packed in Louisiana Hot Sauce with a slight darkening or brown tinge may be given a score of 5-8 points. Louisiana Hot Sauce sardines that fall into the 5-8 point classification cannot be graded above Standard regardless of the total point score of the container. This is a limiting rule.

d. Canned Maine sardines packed in Louisiana Hot Sauce with no sauce present or if the sauce is present in such a small amount as to be difficult to detect, it will be given a score of zero (0). Sardines in Louisiana Hot Sauce that fall into this category cannot be graded-above "Sub Standard" regardless of the total point score of the container. This is a limiting rule.

2. Absence of Defects (Workmanship), (For Procedure see Drained Weights)

The factor of Absence of Defects refers to the degree of freedom from unsightly factors and careless workmanship.

a. Detached or protruding: Coagulated blood, visceral parts, detached fins, headparts (gills, gill bone, eyes and pectoral fins), and any extraneous material floating in the sauce or visible on the surface of the fish after the sauce has been washed away. Protruding means that they extend more than 1/4 inch from the body of the fish. Deduct 2 points for each occurrence.

If six or more points are deducted under this category, the cans shall not be graded above Extra Standard.- This is a limiting rule.

b. Attached gill bone and protruding backbone. Gill bones in cans with seven fish or less must be removed. Deduct 2 points for each occurrence of these defects.

c. Flesh cracks. "Flesh cracks" mean well defined cracks, lateral or longitudinal, extending into the flesh and extending more than 1/2 the width of the fish at its point of occurrence. (Narrow cracks of the skin alone are not objectionable.) Deduct 2 points for each occurrence of this defect.

c-1. Sloughed, slipped or mutilated skin. Excessive exposure of flesh as the result of sloughing, slipping or mutilation of skin is an objectionable defect. However, small exposed areas, each of which is less than 1/16 square inch (i.e. 1/4 inch squares), are not objectionable. Deduct 1 point for each 3/16 square inch of exposed flesh when measured from areas, each of which is greater than 1/16 square inch. If 3 or 4 points are deducted under this paragraph, a grade above "Extra Standard" may not be assigned regardless of the total score. If 5 or more points are deducted under this paragraph, a grade above "Standard" may not be assigned regardless of the total score. These are limiting rules.

d. Ragged or angular head and tailcuts. The heads of all fish must be removed. The tails may be removed on all fish and must be removed when there are less than 8 fish in a can. Head and tail cuts shall be sharp, clean and perpendicular to the lateral line. Tail cuts shall be made at the juncture of the body and the tail fin. Deduct 2 points for each occurrence of this defect. Trimming the tail, called "fanning" is acceptable when neatly done.

e. Improper dovetailing. The sardines should be properly dovetailed, i.e. heads and tails are alternately placed adjacent to one end of the can. The tails must be depressed below the top-surface or hidden as far as possible on large fish, but not over the head end of the adjacent fish. The head end of the sardines must be located within 1/2 inch of the can wall. Improper dovetailing or overfilling that results in mechanically damaged fish from can cover pressure is included as a dovetailing defect. Deduct two points for each occurrence of this defect.

f. Telescoping. "Telescoping" means excessive shifting of the mass of fish so as to cause a large separating of the fish from any sidewall of the can. This condition gives an appearance of an underfilled can. Deduct four points if the distance between the mass of fish and any sidewall of the can is 1/2 inch or more. If there is any deduction under this defect, the product in the can cannot be graded above "Standard". This is a limiting rule.

g. Top Appearance. "Top Appearance" refers to the general appearance of the top surface of the sardines before the Louisiana Hot Sauce has been removed. Ratings under this paragraph are determined by the presence of any defects or factors that influence the appearance of the sardines, including the color and amount of Louisiana Hot Sauce. Deduct 1 to 2 points if the surface is nearly free from defects and presents a desirable appearance. Deduct 3 to 5 points if the surface shows a moderate amount of defects and, presents a satisfactory appearance. Deduct 6 to 8 points if the surface shows many defects and presents a moderately displeasing appearance. Deduct 9 points if the surface shows a great many defects and presents an objectionable or undesirable appearance, or if the Louisiana Hot Sauce is entirely lacking or is present in such small amounts as to be difficult to detect.

g-1. Top Appearance. This factor of Top Appearance, g-1, shall be determined after the Louisiana Hot Sauce is washed off. Any such ratings, however, shall not be included in the "Total deductions for defects" and shall be listed on the grading sheets for the purpose only of applying the following limiting rules:

Ratings of 6, 7, or 8 points shall limit the can grade to Standard. A rating of 9 points shall limit the can grade to Sub Standard.

3. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in Louisiana Hot Sauce having excellent taste and odor for Louisiana Hot Sauce sardines may be given a score of 29-30 points.

b. Canned Maine sardines in Louisiana Hot Sauce having a good taste and odor that is slightly lacking or faint and not up to normal for the product may be given a score of 27-28 points and cannot be graded above "Extra standard" regardless of total score.

c. Canned Maine sardines in Louisiana Hot Sauce having a fair taste and odor that is free from randicity and reasonably free of foreign or unusual taste or odor may be given a score of 24-26 points and cannot be graded above "Standard" regardless of the total score. This is a limiting rule.

d. Canned Maine sardines in Louisiana Hot Sauce having a strong unpleasant foreign taste or odor to the point of being unpalatable will be given a taste odor score of zero and cannot be graded above "Sub Standard". This is a limiting rule.

e. Salt. If the salt content of an average composite sample of all the cans included in the sample lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard' regardless of total score. This is a limiting rule. The method of salt analysis of the drained fish as described hereinafter under the heading, "Method of Salt Analysis' shown under 9 of Condensed Grading.

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Sub Standard" under "Taste".

4. Texture (Character of Sardines)

a. Canned Maine sardines in Louisiana Hot Sauce that possess good character or texture maybe given a score of 9-10 points. Good character or texture means that the sardines remain intact when lifted with a standard four tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not tough or fibrous.

b. Canned Maine sardines in Louisiana Hot sauce that possess a reasonably good character or texture may be given a score of 7-8 points. "Reasonably good character or texture" means that the sardines remain intact when lifted with a standard four tined table fork, 0.75 inches wide, when placed near the horizontal balance and may be slightly tough or fibrous.

c. Canned Maine sardines in Louisiana Hot Sauce that possess a fair character or texture may be given a score of 5 to 6 points. "Fair character or texture" means that the sardines remain intact when lifted with a standard four tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not excessively tough or fibrous.

d. Canned Maine sardines in Louisiana Hot Sauce must be sufficiently cooked to have friable rib-bones and the back-bone shall not be present as grit between the teeth when the sardine is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the draining screen. Any product not meeting the requirements of this paragraph will be given a score of 0-4 and cannot be graded above "Sub Standard". This is a limiting rule.

18. Ventral Breaks

A ventral break is an unsightly rupture in the ventral area. Estimate the size of the break in terms of sixteen inch squares. Deduct 1/2 point for each square 1/16 from the total score derived as described under sections 1, 2, 3, 4, and 5 above. Record the remainder as the final score of the can involved.

19. Procedure for Grade Classification of Regrades

A. The grade will be determined on the basis of a forty five can sample provided such forty five can sample contains no more than two sub standard cans.

B. An additional forty five can sample will be required if more than two cans are sub standard. If no more than five cans are sub standard in the first ninety cans, a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If no more than seven cans are substandard in the first ninety cans another ninety cans may be required for additional grading under circumstances when the Commissioner requires additional samples as proof of validity.

D. A grade will be determined on the 180 can sample. If no more than eleven cans are sub standard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are twelve to forty four cans sub standard, a grade of "Sub Standard" will be given to the lot. A 180 can sample with forty five or more cans sub standard will be given a grade of "No Grade" to the lot.

20. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represents a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored.

1. Not more than one fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores except that a lot may contain sub standard cans not to exceed 3%.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restrictions.

3. Not more than 6% of the cans are sub standard. Any lots failing to comply with this tolerance cannot be graded above Sub Standard.

4. Any lots failing to obtain an average score of 60 cannot be graded above substandard.

5. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

History

• STATUTORY AUTHORITY: 32 M.R.S.A. §4157
• EFFECTIVE DATE: July 31, 1981
• AMENDED: August 30, 1983 - Section 18(C) & 19 (A)(4)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 21, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 334 Packing of Sardines

Code Me. R. 01-001 Ch. 334 Packing of Sardines {#sec-01-001-ch.-334 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 334}

SUMMARY: These regulations provide standards for sanitation of personnel, equipment factories and fish to be used, to aid the packer/inspector to insure that a wholesome product will be available to the consumer.

1. General Plant Conditions

A. The factory and surroundings, including buildings and wharves, shall be kept clean and free from any contaminating conditions, debris, rubbish or other material which, in any way, will make it difficult to provide sanitary methods or insect and rodent control.

B. The plant shall be constructed with a tight, sound cleanable floor. All concrete floors shall be graded and drained and any openings to the floor below shall be curbed to prevent water and waste from going to the room below.

C. Walls and ceilings shall be tight, smooth and cleanable; painted with an oil paint and kept in good repair to facilitate cleaning. They shall be constructed with a minimum of ledges so that dust and dirt will not collect thereon that may contaminate the fish.

D. There shall be light of good quality and well distributed wherever the product may become contaminated.

E. There shall be an efficient drainage and plumbing system for the plant and premises installed in compliance with the state and local plumbing codes.

F. Toilet facilities shall be provided in all factories in conformity with the rules and regulations of the sanitary code of the Maine Department of Health and Welfare (Maine Department of Human Services, 1975) which requires that clean, separate toilets and lavatories shall be provided for each sex. Sufficient facilities shall be provided for all factory workers of each sex. The toilets shall have self closing doors and all windows or other openings shall be screened. Toilets shall be constructed with tight cleanable floors, walls and ceilings, and be properly lighted and ventilated. There shall be adequate hand washing facilities and an adequate supply of soap, paper towels and toilet paper. Hand washing signs shall be conspicuously posted with tight tanks.

G. The plant shall be provided with an adequate rest room with facilities for the storage, in lockers or other means, of the clothing and personal property of the employees which shall be kept clean and well ventilated.

H. The plant shall be equipped with adequate hot and cold running water and with a sufficient supply of pure drinking water for the employees.

I. Every precaution shall be taken to keep the establishment free from flies, rats, mice and other vermin.

2. Equipment

A. The fish boats bringing fish to the factory shall be kept clean and provided

B. Fish pumps, pickling tanks, sluices and refrigeration systems shall be constructed in a manner to be kept clean and they shall be kept clean, free from scales, fish or particles of fish.

C. The screens used to spill the conveying water shall be removable and shall be kept clean and be so constructed as to prevent sluicing water from entering the pickling tanks.

D. Pickling tanks shall be tight, sound and cleanable and shall be kept clean.

E. Pickling brine and refrigeration brine shall be changed daily or after each operation, or often enough to prevent souring. No sour brine shall be used.

F. Pipe lines used to convey fluid or semi-fluid products shall be so constructed that they can be readily and thoroughly cleaned.

G. Carts and pans shall be kept in good repair, shall be constructed in a manner to facilitate cleaning and be kept free from rust. Carts and pans shall be kept clean, free from grease, dirt and accumulated fish waste, and the plant shall be equipped with adequate facilities for cleaning carts and pans.

H. Steam boxes shall be kept clean and the doors kept open when the boxes are not in use.

I. The dryer shall be kept clean and shall be of adequate size and efficiency to perform the function for which it is intended.

J. Carriers which convey the fish and cans to the packing tables shall be constructed in a manner to be kept clean and to insure fish not being contaminated and to assure the cans being kept clean, free from dust and dirt. All sardine cans shall be removed from the conveyor at the end of each day's work and properly stored in closed containers until used and the can conveyor shall be thoroughly cleaned. If can-bins are used, they shall be enclosed, including a proper cover to insure the cans not being contaminated with dust or dirt or other foreign material. Also, the can removal opening shall be constructed in a manner to prevent waste fish from entering the opening while fish are being packed. Any cans which may have been contaminated shall be removed and washed to insure their being free of any foreign material.

K. Cans and covers shall be clean and shall be stored in such a manner as to prevent contamination. Cases of empty cans shall not be kept uncovered on the factory floor. There shall be ample and proper storage room for all cans.

L. Cans shall be kept picked up off the floor and these and other dirty sardine cans shall not be permitted to accumulate in the plant. They shall be washed free of all foreign material daily before being returned to the supply.

M. Cans after retorting shall be free from oil and dirt before being packed for shipment.

N. Packing tables shall be washed daily or after each operation with all fish scales and fish waste being completely removed. They shall be well constructed in a manner to be easily cleanable; the tops shall be constructed preferably of hard wood or metal and shall be free from cracks. Lunches shall not be eaten at the packing tables.

O. The floor shall be cleaned daily or after each operation. Provision shall be made to prevent accumulation of fish on the floor during packing.

P. Pans shall be kept clean and not stacked on top of each other in such a way that the top pans contaminate the fish below. Containers and other equipment used for holding the partially processed product and ingredients shall not be stacked in such a manner as to permit contamination of the product or the ingredients.

Q. The pan trucks and the trucks used to convey canned fish to the closing machine shall be kept clean.

R. Pans shall be stored off the floor.

S. Screens shall be provided for the windows and doors and other openings of the factory where necessary to facilitate proper fly control.

T. No rags, caps or any article of clothing shall be placed in the can bins, on top of cans or under the packing room tables.

U. Belts conveying the fish to and from the closing machine shall be kept clean.

V. Retorts shall be kept clean and proper retorting procedure shall be followed. Water cooling of all fish is recommended. Fish in the retort shall be heated to and held at sufficient time and temperature to insure sterility of the product.

W. The shipping room shall be clean and properly lighted. Adequate space shall be provided for cooling of the cans. Cans shall be properly cooled before being cased and stored in blocks.

X. Waste may be conveyed directly to a trailer truck or a trailer truck bin for temporary storage and daily removal. The trailer truck shall be set on a properly drained concrete floor or slab which shall be kept clean and free from an accumulation of waste fish. If waste fish is stored in bins, these shall be constructed in a manner to be easily cleaned and shall be kept clean to prevent the breeding of flies therein and there shall be a properly drained concrete slab under and about the waste bin where necessary to prevent contamination of surroundings. Waste shall be removed frequently and shall not be allowed to be a nuisance about the plant.

3. Fish

A. The fish used for packing of sardines shall be fish commonly called herring, which is definitely specified by statute. These fish shall be sound, free from decomposition and adulteration. Fish shall be subject to inspection throughout the packing process and if for any reason they fail to meet the standards set to assure their compliance with the Federal Food and Drug Administration requirements, they shall be rejected and shall not be packed as sardines.

B. The cans shall be fully packed. The gills of the fish are considered a part of the head and shall be entirely removed during the cutting operation.

C. Fish waste shall not be allowed to accumulate on the packing tables. The separation and accumulation of fish on the packing table for packing at a later time shall not be permitted.

D. Fish which have been contaminated in any way shall not be packed. Fish shall not be picked out of the waste and packed. Fish after being packed in the cans shall be carefully protected from contamination until the cans have been closed.

4. Personnel

A. No person affected with a communicable disease shall be employed knowingly in a sardine packing plant.

B. Women shall wear washable clothing, clean caps or small mesh nets over their hair.

C. All employees engaged in handling fish or work in the vicinity or unsealed cans shall keep their hair properly covered.

D. Packers and other employees who handle fish shall wash their hands before going to work and each time before leaving the toilet.

E. There shall be no smoking or other use of tobacco in the packing, flaking and sealing rooms. Smoking shall be confined to areas in the plant specifically designated for this purpose.

F. Care shall be taken to prevent contamination of the processed product and ingredients used in its production with perspiration, hair, medicaments, cosmetics and the like.

History

• STATUTORY AUTHORITY: 32 MRSA (4155
• EFFECTIVE DATE: March 27, 1958
• RE-ADOPTED: August 22, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 334 page 5

Chapter 335 Official Grades for Sardines in Mustard Sauce (1/4 and 3 1/4 Size Cans)

Code Me. R. 01-001 Ch. 335 Official Grades for Sardines in Mustard Sauce Packed in 1/4 Size Cans (128.5 Ml. Water Capacity) and Grades for Sardines in Mustard Sauce Packed in 3 1/4 Oz. Size Cans (103.2 Ml. Water Capacity): {#sec-01-001-ch.-335 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 335}

PART I (CONDENSED GRADING) - PART 11 (DETAILED GRADING)

SUMMARY: Product Definition, Grades of Canned Maine Sardines in Mustard Sauce, Fill of Container (1/4 Size Can and 3 1/4 Oz. Size Can), Drained Weight Procedure, Ascertaining the Grade, Ascertaining the Rating for the Factors Which are Scored, Color of Mustard Sauce, Texture of Mustard Sauce, Absence of Defects, Taste and Odor, Texture, Ventral Breaks, Sampling, Provision for Grade Classification, Tolerance for Certification of Officially Drawn Samples, Method of Salt Analysis.

PART I (CONDENSED GRADING)

1. Product Definition

"Canned Maine Sardines in Mustard Sauce" is the commercially canned product prepared from immature Atlantic herring (Clupea harengus); packed with a suitable quantity and quality of mustard sauce in hermetically sealed containers and so processed by heat as to prevent spoilage. The mustard sauce ingredients shall conform to Federal Specifications of purity and be free from adulteration. Immature herring means herring of which less than fifty percent (50%) have well developed gonads and may or may not have spawned.

2. Grades of Canned Maine Sardines in Mustard Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in mustard sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of mustard sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89 - 100)

B ."Extra Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess good appearance, are reasonably free from defects, possess good color and texture of mustard sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of mustard sauce and fair taste, odor and texture of the sardines and score not less than 70 points when scored in accordance with the scoring system outlined hereinafter. (70 - 78)

Lots not in compliance with above average scores shall be graded under Part, 11 (Detailed Grading).

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

3. Fill of Container (1/4 Size Can (3 1/4 Oz. Size Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F. cannot be graded above "Standard" regardless of the total score. A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of mustard sauce listed in Table No. 1. Any lot containing a can in which the mustard sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be graded under Part 11 (Detailed Grading).

Table No. 1

Drained Weight Requirements for 1/4 Size Cans (128.5 ml's. Water Capacity)

Mustard Sauce to be added:

Minimum Maximum Drained Weight of Fish

6#/100 - 1/4 Size Cans Suggested for Concave Ends

28.3 gms. or 1.0 oz. 110.6 gms. or 3.9 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

85 gms. 3 oz. 25.5 gms. 0.9 oz.

Drained Weight Requirements for 3 1/4 Size Cans (103.2 ml's. Water Capacity

Maximum Drained Weight of Fish

Suggested for Concave Ends

90.7 gms. or 3.2 oz

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

68.0 gms. or 2.4 oz. 22.7 gms. or 0.8 oz.

4. Drained Weight Procedure

The opened can is first graded for color and texture of the mustard sauce for floating defects in the sauce and for General Appearance. The mustard sauce is then carefully removed by placing the opened can under a tap of running water (using) a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the mustard sauce, then drained 3 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

5. Ascertaining the Grade

The grade of canned Maine sardines in mustard sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Mustard Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Mustard Sauce Color - - - - - - - - - - 15

2. Mustard Sauce Texture- - - - - - - - - 15

3. Absence of Defects- - - - - - - - - - - 30

4. Taste and Odor of Drained Fish - - - - 30

5. Texture of Drained Fish - - - - - - - - 10

Maximum number of points - - - - - - - 100

6. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Mustard Sauce

a. Canned Maine sardines in mustard sauce with sauce showing an excellent "mustard" yellow color may be given a score of 13 - 15 points.

b. Canned Maine sardines in mustard sauce with sauce slightly lacking in normal "mustard" yellow color may be given a score of 9 - 12 points.

c. Canned Maine sardines in mustard sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part 11 (Detailed Grading).

2. Texture of Mustard Sauce

a. Canned Maine sardines in mustard sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in mustard sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the mustard sauce may be given a score of 9 - 12 points.

c. Canned Maine sardines in mustard sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the mustard sauce may be scored 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

3. Absence of Defects (Workmanship); Top Appearance (After Washing)

General Appearance and workmanship refers to the overall appearance of the canned product.

a. A bright, shiny appearance with excellent workmanship, virtually free of defects may be given a score of 23 - 30 points under 3 Absence of Defects.

b. A clean, shiny appearance with good workmanship, reasonably free of defects may be given a score of 15 - 22 points under 3 Absence of Defects.

c. A dull, gray appearance with a fair amount of defects shall be given a score of 7 - 14 points under 3 Absence of Defects.

d. Lots not in compliance with a, b, and c, above shall be graded under Part II (Detailed Grading).

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in mustard sauce having excellent taste and odor for mustard sardines may be given 29 - 30 points.

b. Canned Maine sardines in mustard sauce having a good taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 27 - 28 points and cannot be graded above "Extra Standard" regardless of the total score.

c. Canned Maine sardines in mustard sauce having a fair taste and/or odor that is free from rancidity and reasonably free of foreign or unusual taste may be given a score of 24 - 26 points and cannot be graded above Standard regardless of the total score.

d. Lots not in compliance with a, and b. and c. above shall be graded under Part II (Detailed Grading).

e. Salt. If the salt content of an average composite sample of all the cans-included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score, The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Substandard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in mustard sauce that possess good character or texture may be given a score of 9 - 10 points.

b. Canned Maine sardines in mustard sauce that possess a reasonably good character or texture may be given a score of 7 or 8 points.

c. Canned Maine sardines in mustard sauce that possess a fair character or texture may be given a score of 5 or 6 points.

d. Lots not in compliance with a. b, and c above shall be graded under Part II (Detailed Grading).

7. Ventral Breaks

Any lot containing a can with more than 25 1/16 inch squares shall be graded under Part II (Detailed Grading).

8. Sampling

A. An official sample drawn at random, from each embossed code lot, regardless of the lot size, shall be submitted to the laboratory for grading.

1. The number of cans submitted for this initial grading shall be 15 except that the size of such samples will be changed to 10 cans whenever the following conditions are met:

a. The 15 can samples for each of eight consecutive lots or eight of ten consecutive lots each has an average score greater than sixty-five plus the average range (R) of subgroups of five within said fifteen can sample and

b. None of such 15 can samples shows a quality level such as to make necessary the grading of additional cans to determine the final grade.

2. Whenever the sample size has been reduced to ten cans as a result of the conditions outlined above under 1-a and 1-b, the grade of each succeeding lot will be determined on the basis of a ten can sample except that the sample size will revert to fifteen cans whenever either or both of the following conditions are met:

a. The average score of any ten can sample is less than sixty-five plus the average range (R) of subgroups of five within said sample, or

b. The quality of any such ten can sample is such as to make necessary the grading of additional cans to determine the final grade.

An unlimited number of supplementary officially approved samples may be drawn as required to establish the final grade as indicated below.

9. Provision for Grade Classification

A. The grade of any lot will be determined on the basis of a 15 can sample (or 10 can sample as described above).

B. Any lot containing a substandard can or with an average lot score below 70.0 of the first 15 cans (or 10) shall require grading under Part II (Detailed Grading).

10. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restriction.

3. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

11. Method of Salt Analysis

Samples for salt analysis shall be a composite sample representing all cans in the lot. The sardines shall be drained as hereinbefore described under "Fill of Container 1/4 size can and 3 1/4 oz. size can)". The official method of analysis shall be that described in the "Official Methods of Analysis of the Association of Official Agricultural Chemists, thirteenth edition, 1980, Chapter 32 Para. 33.025, Page 540.

PART II (DETAILED GRADING)

12. Detailed Grading of Maine Sardines in 1/4 Size Can in Mustard and 3 1/4 Oz. Size Can in Mustard Sauce

Lots not in compliance with requirements of Part 1, (condensed grading) shall be graded in detail under the following provisions.

13. Sampling Procedure

A. An official 45 can sample drawn at random from each embossed code lot regardless of lot size shall be submitted to the grading laboratory for grading. The grade will be determined on the basis of the 45 can sample provided it does not contain more than 2 Sub Standard cans.

B. Lots not meeting requirements of A, above shall require an additional 45 cans to be drawn for grading and the lot grade determination shall be based on a total of a 90 can sample, (45 + 45 = 90), excepting under circumstances when the Commissioner requires additional samples as proof of validity.

14. Fill of Container (1/4 Size Can) (3 1/4 Oz. Size Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F, cannot be graded above "Standard" regardless of the total score. This is a limiting rule. (1) A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of mustard sauce listed in Table No. I and any can in which the mustard sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be limited to Sub Standard grade. These are limiting rules.

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

Table No. 1

Drained Weight Requirements for 1/4 Size Cans (128.5 ml's. Water Capacity)

Mustard Sauce to be added:

Minimum Maximum Drained Weight of Fish

6#/100 - 1/4 Size Cans Suggested for Concave Ends

28.3 gms. or 1.0 oz. 110.6 gms. or 3.9 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

85 gms. 3 oz. 25.5 gms. 0.9 oz.

Drained Weight Requirements for 3 1/4 Size Cans (103.2 ml's. Water Capacity

Maximum Drained Weight of Fish

Suggested for Concave Ends

90.7 gms. or 3.2 oz

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

68.0 gms. or 2.4 oz. 22.7 gms. or 0.8 oz.

15. Drained Weight Procedure

The opened can is first graded for color and texture of the mustard Sauce for floating defects in the sauce and for General Appearance. The mustard sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the mustard sauce, then drained 3 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

16. Ascertaining the Grade

The grade of canned Maine sardines in mustard sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Mustard Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Mustard Sauce Color - - - - - - - - - - 15

2. Mustard Sauce Texture- - - - - - - - - 15

3. Absence of Defects- - - - - - - - - - - 30

4. Taste and Odor of Drained Fish - - - - 30

5. Texture of Drained Fish - - - - - - - - 10

Maximum number of points - - - - - - - 100

17. Grades of Canned Maine Sardines in Mustard Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in mustard sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of mustard sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter (89 - 100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess good appearance, are reasonably free from defects, possess good color and texture of mustard sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of mustard sauce and fair taste, odor and texture of the sardines and score not less than 60 points when scored in accordance with the scoring system outlined hereinafter. (60 - 78)

18. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29, or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Mustard Sauce

a. Canned Maine sardines in mustard sauce with sauce showing an excellent "mustard" yellow color may be given a score of 13 - 15 points.

b. Canned Maine sardines in mustard sauce with sauce slightly lacking in normal "mustard" yellow color may be given a score of 9 - 12 points.

c. Canned Maine sardines in mustard sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points. Mustard sardines that fall into the 5 - 8 point classification cannot be graded above Standard regardless of the total point score of the container. This is a limiting rule.

d. Canned Maine sardines in mustard sauce with a sauce showing an objectionable dark brown and/or green tinge may be given a score of 0 - 4 points. If the can contains no mustard sauce or if the sauce is present in such a small amount as to be difficult to detect, it will be given a score of 0. Mustard sardines that fall into the 0 - 4 point classification cannot be graded above "Sub Standard" regardless of the total point score of the container. This is a limiting rule.

2. Texture of Mustard Sauce

a. Canned Maine sardines in mustard sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in mustard sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the mustard sauce may be given a score of 9 - 12 points. A deduction of one point in the range (9 - 12) shall be made for each type of trace objections listed above.

c. Canned Maine sardines in mustard sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the mustard sauce may be scored 5 - 8 points, subtracting one point for each slight occurrence of each of the objections listed above.

d. Canned Maine sardines in mustard sauce with an objectionable amount of sauce granulation, an objectionable sauce separation, an objectionable amount of drying (caking), or an objectionable greasy "slippery" appearance in the sauce may be scored 0 - 4 points. Any can in which the mustard sauce is entirely lacking or is present in such small amounts as to be difficult to detect shall be given a score of 0. Any container scoring 4 or less points under this factor must be graded "Sub Standard" regardless of its total grade score. This is a limiting rule.

If the deductions under sections I and 2 above total 10 or more points, the can shall not be graded above "Extra Standard". This is a limiting rule.

3. Absence of Defects (Workmanship); (For procedure see "Drained Weight")

The factor of Absence of Defects refers to the degree of freedom from unsightly factors and careless workmanship.

a. Detached or protruding: Coagulated blood, visceral parts, detached fins, head parts (gills, gill-bone, eyes and pectoral fins), and any extraneous material floating in the sauce or visible on the surface of the fish after the sauce has been washed away. Protruding means that they extend more than 1/4 inch from the body of the fish. Deduct 2 points for each occurrence of this defect.

If six or more points are deducted under this category, the cans shall not be graded above Extra Standard. This is a limiting rule.

b. Attached gill-bone and protruding backbone. Gill bones in cans with seven fish or less must be removed. Deduct 2 points for each occurrence of these defects.

c. Flesh cracks. "Flesh cracks" mean well-defined cracks, lateral or longitudinal, extending into the flesh and extending more than 1/2 the width of the fish at its point of occurrence. (Narrow cracks of the skin alone are not objectionable.) Deduct 2 points for each occurrence of this defect.

c-1. Sloughed, slipped or mutilated skins. Excessive exposure of flesh as the result of sloughing, slipping or mutilation of skin is an objectionable defect. However, small exposed areas, each of which is less than 1/16 square inch (i.e. 1/4 inch squares), are not objectionable. Deduct 1 point for each 3/16 square inch of exposed flesh when measured from areas, each of which is greater than 1/16 square inch. If 3 or 4 points are deducted under this paragraph, a grade above "Extra Standard" may not be assigned regardless of the total score. If 5 or more points are deducted under this paragraph, a grade above "Standard" may not be assigned regardless of the total score. These are limiting rules.

d. Ragged or angular head and tail cuts. The heads of all fish must be removed. The tails may be removed on all fish and must be removed when there are less than 8 fish in a can. Head and tail cuts shall be sharp, clean and perpendicular to the lateral line. Tail cuts shall be made at the juncture of the body and the tail fin. Deduct 2 points for each occurrence of this defect. Trimming the tail, called "fanning" is acceptable when neatly done.

e. Improper dovetailing. The sardines should be properly dovetailed, i.e. heads and tails are alternately placed adjacent to one end of the can. The tails must be depressed below the top surface or hidden as far as possible on large fish, but not over the head end of the adjacent fish. The head end of the sardines must be located within 1/2 inch of the can wall. Improper dovetailing or overfilling that results in mechanically damaged fish from can cover pressure is included as a dovetailing defect. Deduct 2 points for each occurrence of this defect.

f. Telescoping. "Telescoping" means excessive shifting of the mass of fish so as to cause a large separation of the fish from any side wall of the can. This condition gives an appearance of an underfilled can. Deduct 4 points if the distance between the mass of fish and any side wall of the can is 1/2 inch or more. If there is any deduction under this defect, the product cannot be graded above "Standard". This is a limiting rule.

g. Top Appearance. "Top Appearance" refers to the general appearance of the top surface of the sardines before the mustard sauce has been removed. Ratings under this paragraph are determined by the presence of any defects or factors that influence the appearance of the sardines, including the color, texture and amount of Mustard Sauce. Deduct I to 2 points if the surface is nearly free from defects and presents a desirable appearance. Deduct 3 to 5 points if the surface shows a moderate amount of defects and presents a satisfactory appearance. Deduct 6 to 8 points if the surface shows many defects and presents a moderately displeasing appearance. Deduct 9 points if the surface shows a great many defects and presents an objectionable or undesirable appearance, or if the mustard sauce is entirely lacking or is present in such small amounts as to be difficult to detect.

g-l. Top Appearance. This factor of Top Appearance, g-1, shall be determined after the mustard sauce is washed off. Any such ratings, however, shall not be included in the "Total Deductions for Defects" and shall be listed on the grading sheet for the purpose only of applying the following limiting rules:

Ratings of 6, 7, or 8 points shall limit the can grade to Standard. A rating of 9 points shall limit the can grade to Sub Standard.

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in mustard sauce having excellent taste and/or for mustard sardines may be given 29 - 30 points.

b. Canned Maine sardines in mustard sauce having a good taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 27 - 28 points and cannot be graded above "Extra Standard" regardless of the total score.

c. Canned Maine sardines in mustard sauce having a fair taste and/or odor that is free from rancidity and reasonably free of foreign or unusual taste may be given a score of 24- 26 points and cannot be graded above Standard regardless of the total score.

d. Canned Maine sardines in mustard sauce having a strong, unpleasant, foreign taste and/or odor to the point of being unpalatable will be given a taste-odor score of zero and cannot be graded above "Sub Standard". This is a limiting rule.

e. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score. This is a limiting rule. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Sub Standard" under "Taste".

5 Texture (Character of Sardines)

a. Canned Maine Sardines in mustard sauce that possess good character or texture may be given a score of 9 to 10 points. Good character or texture means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not tough or fibrous.

b. Canned Maine sardines in mustard sauce that possess a reasonably good character or texture may be given a score of 7 or 8 points. "Reasonably good character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and may be slightly tough or fibrous.

c. Canned Maine sardines in mustard sauce that possess a fair character or texture may be given a score of 5 to 6 points. "Fair character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not excessively tough or fibrous.

d. Canned Maine sardines in mustard sauce must be sufficiently cooked to have friable rib-bones and the back-bone shall not be present as grit between the teeth when the sardine is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the draining screen. Any product not meeting the requirements of this paragraph will be given a 0 to 4 score and cannot be graded above "Sub Standard". This is a limiting rule.

19. Ventral Breaks

A ventral break is an unsightly rupture in the ventral area. Estimate the size of the break in terms of sixteen inch squares. Deduct 1/2 point for each square 1/16 from the total score derived as described under Sections 1, 2, 3, 4, and 5 above. Record the remainder as the final score of the can involved.

20. Procedure for Grade Classification of Regrades

A. The grade will be determined on the basis of a 45 can sample provided such 45 can samples contains no more than 2 sub standard cans.

B. An additional 45 can sample will be required if more than 2 cans are substandard. If no more than 5 cans are substandard in the first 90 cans a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If not more than 7 cans are substandard in the first 90 cans another 90 cans may be required for additional grading under circumstances when the Commissioner requires additional samples as proof of validity.

D. A grade will be determined on the 180 can sample. if no more than 11 cans are substandard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are 12 cans to 44 cans substandard a grade of "Substandard" will be given to the lot. A 180 can sample with 45 or more cans substandard will be given a grade of "No Grade" to the lot.

21. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored.

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores except that a lot may contain Sub Standard cans not to exceed 3%.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restrictions.

3. Not more than 6% of the cans are Sub Standard. Any lots failing to comply with this tolerance cannot be graded above Sub Standard.

4. Any lots failing to obtain an average score of 60 cannot be graded above substandard.

5. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

History

• STATUTORY AUTHORITY: 32 M.R.S.A. 4157
• EFFECTIVE DATE: February 20, 1980
• AMENDED: June 15, 1980
• AMENDED: August 30, 1983 - Section 20(C) & (D); Section 21.4
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 21, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 336 Official Grades for Sardines in Tomato Sauce (l/4 and 3 1/4 oz. Size Cans)

Code Me. R. 01-001 Ch. 336 Official Grades for Sardines in Tomato Sauce Packed in 1/4 Size Can (128.5 Ml. Water Capacity) and Grades for Sardines in Tomato Sauce Packed in 3 1/4 Oz. Size Cans (103.2 Ml. Water Capacity) {#sec-01-001-ch.-336 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 336}

PART I (CONDENSED GRADING) - PART II (DETAILED GRADING)

SUMMARY: Product Definition, Grades of Canned Maine Sardines in Tomato Sauce, Fill of Container (1/4 Size Can and 3 1/4 Oz. Size Cans), Drained Weight Procedure, Ascertaining the Grade, Ascertaining the Rating for the Factors Which are Scored, Color of Tomato Sauce, Absence of Defect, Taste and Odor, Texture, Ventral Breaks, Sampling, Provision for Grade Classification, Tolerance for Certification of Officially Drawn Sample, Method of Salt Analysis, Texture of Tomato Sauce

PART I (CONDENSED GRADING)

1. Product Definition

"Canned Maine sardines in Tomato Sauce" is the commercially canned product prepared from immature Atlantic herring (Clupea harengus); packed with a suitable quantity and quality of tomato sauce in hermetically sealed containers and so processed by heat as to prevent spoilage. The tomato sauce ingredients shall conform to Federal Specifications of purity and be free from adulteration. Immature herring means herring of which less than fifty percent (50%) have well developed gonads and may or may not have spawned.

2. Grades of Canned Maine Sardines in Tomato Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in tomato sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of tomato sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89‑100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess good appearance, are reasonably free from defects, possess good color and texture of tomato sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of tomato sauce and fair taste, odor and texture of the sardines and score not less than 70 points when scored in accordance with the scoring system outlined hereinafter. (70 - 78)

Lots not in compliance with above average scores shall be graded under Part II (Detailed Grading).

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulation, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

3. Fill of Containers (1/4 Size Can) (3 1/4 Oz. Size Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F cannot be graded above "Standard" regardless of the total score. A "flipper" is a can having convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of tomato sauce listed in Table No. 1. Any lot containing a can in which the tomato sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be graded under Part 11 (Detailed Grading).

Table No. 1

Drained Weight Requirements for 1/4 Size Cans (128.5 ml's. Water Capacity)

Tomato Sauce to be added:

Minimum Maximum Drained Weight of Fish

6#/100 - 1/4 Size Cans Suggested for Concave Ends

28.3 gms. or 1.0 oz. 110.6 gms. or 3.9 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

85 gms. 3 oz. 25.5 gms. 0.9 oz.

Drained Weight Requirements for 3 1/4 Size Cans (103.2 ml's. Water Capacity)

Maximum Drained Weight of Fish

Suggested for Concave Ends

90.7 gms. or 3.2 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

68.0 gms. or 2.4 oz. 22.7 gms. or 0.8 oz.

4. Drained Weight Procedure

The opened can is first graded for color and texture of the tomato sauce for floating defects in the sauce and for General Appearance. The tomato sauce is then carefully removed by placing the opened can under a tap of running water (using) a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice. The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water-while the sardines are turned over to remove the tomato sauce, then drained 3 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

5. Ascertaining the Grade

The grade of canned Maine sardines in tomato sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors Absence of Defects, Color and Texture of the Tomato Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Tomato Sauce Color - - - - - - - - - 15

2. Tomato Sauce Texture - - - - - - - - 15

3. Absence of Defects - - - - - - - - - 30

4. Taste and Odor of Drained Fish- - - 30

5. Texture of Drained Fish - - - - - - 10

Maximum number of points - - 100

6. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Tomato Sauce

a. Canned Maine sardines in tomato sauce with sauce showing an excellent "tomato" red color may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with sauce slightly lacking in normal "tomato" red color may be given a score of 9 - 12 points.

c. Canned Maine sardines in tomato sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

2. Texture of Tomato Sauce

a. Canned Maine sardines in tomato sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the tomato sauce may be given a score of 9‑12 points.

c. Canned Maine sardines in tomato sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the tomato sauce may be scored 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part 11 (Detailed Grading).

3. Absence of Defects (Workmanship); Top Appearance (After Washing)

General Appearance and workmanship refers to the overall appearance of the canned product.

a. A bright, shiny appearance with excellent workmanship, virtually free of defects may be given a score of 23 - 30 points under 3 Absence of Defects.

b. A clean, shiny appearance with good workmanship, reasonably free of defects may be given a score of 15 - 22 points under 3 Absence of Defects.

c. A dull, gray appearance with a fair amount of defects shall be given a score of 7 - 14 points under 3 Absence of Defects.

d. Lots not in compliance with a, b, and c, above shall be graded under

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in tomato sauce having excellent taste and odor for tomato sardines may be given 29 - 30 points.

b. Canned Maine sardines in tomato sauce having a good taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 27 - 28 points and cannot be graded above "Extra Standard" regardless of the total score.

c. Canned Maine sardines in tomato sauce having a fair taste and/or odor that is free from rancidity and reasonably free of foreign or unusual taste may be given a score of 24 - 26 points and cannot be graded above Standard regardless of the score.

d. Lots not in compliance with a. and b. and c. above shall be graded under Part II (Detailed Grading).

e. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Substandard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in tomato sauce that possess good character or texture may-be given a score of 9 - 10 points.

b. Canned Maine sardines in tomato sauce that possess a reasonably good character or texture may be given a score of 7 or 8 points.

c. Canned Maine sardines in tomato sauce that possess a fair character or texture may be given a score of 5 or 6 points.

d. Lots not in compliance with a., b., and c. above shall be graded under Part II (Detailed Grading).

7. Ventral Breaks

Any lot containing a can with more than 25 1/16 inch squares shall be graded under Part II (Detailed Grading).

8. Sampling

A. An official sample drawn at random, from each embossed code lot, regardless of the lot size, shall be submitted to the laboratory for grading.

1. The number of cans submitted for this initial grading shall be 15 except that the size of such samples will be changed to 10 cans whenever the following conditions are met:

a. The 15 can samples for each of eight consecutive lots or eight of ten consecutive lots each has an average score greater than sixty-five plus the average range (R) of subgroups of five within said fifteen can sample and

b. None of such 15 can samples shows a quality level such as to make necessary the grading of additional cans to determine the final grade.

2. Whenever the sample size has been reduced to ten cans as a result of the conditions outlined above under 1-a and 1-b, the grade of each succeeding lot will be determined on the basis of a ten can sample except that the sample size will revert to fifteen cans whenever either or both of the following conditions are met:

a. The average score of any ten can sample is less than sixty-five plus the average range (R) of subgroups of five within said sample, or

b. The quality of any such ten can sample is such as to make necessary the grading of additional cans to determine the final grade.

An unlimited number of supplementary officially approved samples may be drawn as required to establish the final grade as indicated below.

9. Provision for Grade Classification

A. The grade of any lot will be determined on the basis of a 15 can sample (or 10 can sample as described above).

B. Any lot containing a Substandard can or with an average lot score below 70.0 of the first 15 cans (or 10) shall require grading under Part II:-(Detailed Grading).

10. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restriction.

3. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

11. Method of Salt Analysis

Samples for salt analysis shall be a composite sample representing all cans in the lot. The sardines shall be drained as hereinbefore described under "Fill of Container (1/4 size can and 3 1/4 oz. size can)". The official method of analysis shall be that described in the "Official and Tentative Method of Analysis of the Association of Official Agricultural Chemists", thirteenth edition, 1980, Chapter 32. Para. 33.025 Page 540.

PART II (DETAILED GRADING)

12. Detailed Grading of Maine Sardines in 1/4 Size Cans in Tomato and 3 1/4 Oz. Size Can in Tomato Sauce

Lots not in compliance with requirements of Part I, (Condensed Grading) shall be graded in detail under the following provisions.

13. Sampling Procedure

A. An official 45 can sample drawn at random from each embossed code lot regardless of lot size shall be submitted to the grading laboratory for grading. The grade will be determined on the basis of the 45 can sample provided it does not contain more than 2 Sub Standard cans.

B. Lots not meeting requirements of A, above shall require an additional 45 cans to be drawn for grading and the lot grade determination shall be based on a total of a 90 can sample, (45 + 45 = 90), excepting under circumstances when the Commissioner requires additional samples as proof of validity.

14. Fill of Container (1/4 Size Can) (3 1/4 Oz. Size Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e. 68F cannot be graded above "Standard" regardless of the total score. This is a limiting rule. (1) A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of tomato sauce listed in Table No. I and any can in which the tomato sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be limited to Sub Standard grade. These are limiting rules.

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

Table No. 1

Drained Weight Requirements for 1/4 Size Cans (128.5 ml's. Water Capacity)

Tomato Sauce to be added:

Minimum Maximum Drained Weight of Fish

6#/100 - 1/4 Size Cans Suggested for Concave Ends

28.3 gms. or 1.0 oz. 110.6 gms. or 3.9 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

85 gms. 3 oz. 25.5 gms. 0.9 oz.

Drained Weight Requirements for 3 1/4 Size Cans (103.2 ml's. Water Capacity)

Maximum Drained Weight of Fish

Suggested for Concave Ends

90.7 gms. or 3.2 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

68.0 gms. or 2.4 oz. 22.7 gms. or 0.8 oz.

15. Drained Weight Procedure

The opened can is first graded for color and texture of the tomato sauce for floating defects in the sauce and for General Appearance. The tomato sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per Inch, with 0.446 + 3% square opening). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the tomato sauce, then drained 3 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

16. Ascertaining the Grade

The grade of canned Maine sardines in tomato sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Tomato Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Tomato Sauce Color - - - - - - - - - 15

2. Tomato Sauce Texture - - - - - - - - 15

3. Absence of Defects - - - - - - - - - 30

4. Taste and Odor of Drained Fish- - - 30

5. Texture of Drained Fish - - - - - - 10

Maximum number of points - - 100

17. Grades of Canned Maine Sardines in Tomato Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in tomato sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of tomato sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89‑100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess good appearance, are reasonably free from defects, possess good color and texture of tomato sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of tomato sauce and fair taste, odor and texture of the sardines and score not less than 60 points when scored in accordance with the scoring system outlined hereinafter. (60 - 78)

18. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Tomato Sauce

a. Canned Maine sardines in tomato sauce with sauce showing an excellent "tomato" red color may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with sauce slightly lacking in normal "tomato" red color may be given a score of 9 - 12 points.

c. Canned Maine sardines in tomato sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points. Tomato sardines that fall into the 5 - 8 point classification cannot be graded above Standard regardless of the total point score of the container. This is a limiting rule.

d. Canned Maine sardines in tomato sauce with a sauce showing an objectionable dark brown may be given a score of 0 - 4 points. If the can contains no tomato sauce or if the sauce is present in such a small amount as to be difficult to detect, it will be given a score of 0. Tomato sardines that fall into the 0 - 4 point classification cannot be graded above "Sub Standard" regardless of the total point score of the container. This is a limiting rule.

2. Texture of Tomato Sauce

a. Canned Maine sardines in tomato sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the tomato sauce may be given a score of 9‑12 points. A deduction of one point in the range (9 - 12) shall be made for each type of trace objections listed above.

c. Canned Maine sardines in tomato sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the tomato sauce may be scored 5 - 8 points, subtracting one point for each slight occurrence of each of the objections listed above.

d. Canned Maine sardines in tomato sauce with an objectionable amount of sauce granulation I an objectionable sauce separation, an objectionable amount of drying (caking), or an objectionable greasy slippery" appearance in the sauce may be scored 0 - 4 points. Any can in which the tomato sauce is entirely lacking or is present in such small amounts as to be difficult to detect shall be given a score of 0. Any container scoring 4 or less points under this factor must be graded "Substandard" regardless of its total grade score. This is a limiting rule.

If the deductions under sections 1 and 2 above total 10 or more points, the can shall not be graded above "Extra Standard". This is a limiting rule.

3. Absence of Defects (Workmanship); (For procedure see "Drained Weight"

The factor of Absence of Defects refers to the degree of freedom from unsightly factors and careless workmanship.

a. Detached or protruding. Coagulated blood, visceral parts, detached fins, head parts (gills, gill-bone, eyes and pectoral fins), and any extraneous material floating in the sauce or visible on the surface of the fish after the sauce has been washed away. Protruding means that they extend more than 1/4 inch from the body of the fish. Deduct 2 points for each occurrence of this defect.

If six or more points are deducted under this category, the cans shall not be graded above Extra Standard. This is a limiting rule.

b. Attached gill-bone and protruding backbone. Gill bones in cans with seven fish or less must be removed. Deduct 2 points for each occurrence of these defects.

c. Flesh cracks. "Flesh cracks" mean well-defined cracks, lateral or longitudinal, extending into the flesh and extending more than 1/2 the width of the fish at its point of occurrence. (Narrow cracks of the skin alone are not objectionable.) Deduct 2 points for each occurrence of this defect.

c-l. Sloughed, slipped or mutilated skins. Excessive exposure of flesh as the result of sloughing, slipping or mutilation of skin is an objectionable defect. However, small exposed areas, each of which is less than 1/16 square inch (i.e. 1/4 inch squares), are not objectionable. Deduct 1 point for each 3/16 square inch of exposed flesh when measured from areas, each of which is greater than 1/16 square inch. If 3 or 4 points are deducted under this paragraph, a grade above "Extra Standard" may not be assigned regardless of the total score. If 5 or more points are deducted under this paragraphs grade above "Standard" may not be assigned regardless of the total score. These are limiting rules.

d. Ragged or angular head and tail cuts. The heads of all fish must be removed. The tails may be removed on all fish and must be removed when there are less than 8 fish in a can. Head and tail cuts shall be sharp, clean and perpendicular to the lateral line. Tail cuts shall be made at the juncture of the body and the tail fin. Deduct 2 points for each occurrence of this defect. Trimming the tail, called "fanning" is acceptable when neatly done.

e. Improper dovetailing. The sardines should be properly dovetailed, i.e. heads and tails are alternately placed adjacent to one end of the can. The tails must be depressed below the top surface or hidden as far as possible on large fish, but not over the head end of the adjacent fish. The head end of the sardines must be located within 1/2 inch of the can wall. Improper dovetailing or overfilling that results in mechanically damaged fish from can cover pressure is included as a dovetailing defect. Deduct 2 points for each occurrence of this defect.

f. Telescoping. "Telescoping" means excessive shifting of the mass of fish so as to cause a large separation of the fish from any side wall of the can. This condition gives an appearance of an underfilled can. Deduct 4 points if the distance between the mass of fish and any side wall of the can 1/2 inch or more. If there is any deduction under this defect, the product cannot be graded above "Standard". This is a limiting rule.

g. Top Appearance. "Top Appearance" refers to the general appearance of the top surface of the sardines before the tomato sauce has been removed. Ratings under this paragraph are determined by the presence of any defects or factors that influence the appearance of the sardines, including the color, texture and amount of Tomato Sauce. Deduct 1 to 2 points if the surface is nearly free from defects and presents a desirable appearance. Deduct 3 to 5 points if the surface shows a moderate amount of defects and presents a satisfactory appearance. Deduct 6 to 8 points if the surface shows many defects and presents a moderately displeasing appearance. Deduct 9 points if the surface shows a great many defects and presents an objectionable or undesirable appearance, or if the tomato sauce is entirely lacking or is present in such small amounts as to be difficult to detect.

g-l. Top Appearance. This factor of Top Appearance, g-1, shall be determined after the tomato sauce is washed off. Any such ratings, however, shall not be included in the "Total Deductions for Defects" and shall be listed on the grading sheet for the purpose only of applying the following limiting rules:

Ratings of 6, 7, or 8 points shall limit the can grade to Standard. A rating of 9 points shall limit the can grade to Sub Standard.

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in tomato sauce having excellent taste and odor for tomato sardines may be given 29 - 30 points.

b. Canned Maine sardines in tomato sauce having a good taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 27 - 28 points and cannot be graded above "Extra Standard" regardless of the total score.

c. Canned Maine sardines in tomato sauce having a fair taste and/or odor that is free from rancidity and reasonably free of foreign or unusual taste may be given a score of 24 - 26 points and cannot be graded above Standard regardless of the total score.

d. Canned Maine sardines in tomato sauce having a strong, unpleasant, foreign taste and/or odor to the point of being unpalatable will be given a taste-odor score of zero and cannot be graded above "Sub Standard". This is a limiting rule.

e. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score. This is a limiting rule. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Sub Standard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in tomato sauce that possess good character or texture may be given a score of 9 to 10 points. Good character or texture means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not tough or fibrous.

b. Canned Maine sardines in tomato sauce that possess a reasonably good character or texture may be given a score of 7 or 8 points. "Reasonably good character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and may be slightly tough or fibrous.

c. Canned Maine sardines in tomato sauce that possess a reasonably good character or texture may be given a score of 6 or 7 points. "Reasonably good character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and may be slightly tough or fibrous.

d. Canned Maine sardines in tomato sauce that possess a fair character or texture may be given a score of 4 or 5 points. "Fair character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not excessively tough or fibrous.

e. Canned Maine sardines in tomato sauce must be sufficiently cooked to have friable rib-bones and the back-bone shall not be present as grit between the teeth when the sardine is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the draining screen. Any product not meeting the requirements of this paragraph will be given a zero score and cannot be graded above "Sub Standard". This is a limiting rule.

19. Ventral Breaks

A ventral break is an unsightly rupture in the ventral area. Estimate the size of the break in terms of sixteenth inch squares. Deduct 1 point for each six 1/16 inch squares from the total score derived as described under Sections 1, 2, 3, 4, and 5 above. Record the remainder as the final score of the can involved.

20. Procedure for Grade Classification of Regrades

A. The grade will be determined on the basis of a 45 can sample provided such 45 can samples contains no more than 2 sub standard cans.

B. An additional 45 can sample will be required if more than 2 cans are substandard. If no more than 5 cans are substandard in the first 90 cans a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If not more than 7 cans are substandard in the first 90 cans another 90 cans may be required for additional grading under the circumstances when the Commissioner requires additional samples as proof of validity.

D. A grade will be determined on the 180 can sample. If no more than 11 cans are substandard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are 12 cans to 44 cans substandard a grade of "Substandard" will be given to the lot. A 180 can sample with 45 or more cans substandard will be given a grade of "No Grade" to the lot.

21. Tolerance for Certification of Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored.

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores except that a lot may contain Sub Standard cans not to exceed 3%.

On those lots affected by paragraphs No. I and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restrictions.

3. Not more than 6% of the cans are Sub Standard. Any lots failing to comply with this tolerance cannot be graded above Sub Standard.

4. Any lots failing to obtain an average score of 60 cannot be graded above substandard.

5. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

History

• STATUTORY AUTHORITY: 32 M.R.S.A. 4157
• EFFECTIVE DATE: February 20, 1980
• AMENDED: June 15, 1980
• AMENDED: August 30, 1983 - Section 19 (C & D), and Section 21.
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 22, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 337 Official Grades for Sardines in Oil Packed in 1/4 and 3 1/4 oz. Size Cans

Code Me. R. 01-001 Ch. 337 Official Grades for Sardines in Oil Packed in 1/4 Size Cans (128.5 Ml. Water Capacity) and Grades for Sardines in Oil Packed in 3 1/4 Oz. Cans (103.2 Ml. Water Capacity) {#sec-01-001-ch.-337 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 337}

PART I (CONDENSED GRADING) - PART II (DETAILED GRADING)

SUMMARY: Product Definition, Grades of Canned Maine Sardines in Oil, Fill of Container (1/4 Size Can and 3 1/4 Oz. Size Can), Ascertaining the Grade, Ascertaining the Rating for Factors which are Stored, Top Appearance, Oil and Water Fill, Texture (Character of Sardines), Taste, Salt Content, Ventral Breaks, Sampling, Provision for Grade Classification, of Officially Drawn Samples, Method of Salt Analysis, Procedure for Grade Classification of Regrades.

PART I (CONDENSED GRADING)

1. Product Definition

"Canned Maine Sardines in Oil" is the commercially canned product prepared from immature Atlantic herring (Clupea harengus); smoked or not smoked; packed with edible vegetable oil (including olive), with or without added spices, flavorings and/or other ingredients in hermetically sealed containers and so processed by heat so as to attain commercial sterility.

"Immature herring" means herring of which less than fifty percent (50%) have well developed gonads and may or may not have spawned.

2. Grades of Canned Maine Sardines in Oil

A. "Fancy Grade" is the quality of canned Maine sardines in oil that possess excellent appearance, are practically free from defects, possess excellent odor, taste and texture, and score not less than 89 points when scored in accordance with the scoring system outlined in this section (89 to 100).

B. "Extra Standard Grade" is the quality of canned Maine sardines in oil that possess a good appearance, are reasonably free from defects, possess good odor, taste and texture, and score not less than 79 points when scored in accordance with the scoring system outlined in this section (79 to 88).

C. "Standard Grade" is the quality of canned Maine sardines in oil that possess a fair appearance, are fairly free from defects, possess fair odor, taste and texture, and score not less than 70 points when scored in accordance with the scoring system outlined in this section (70 to 78).

Lots not in compliance with above average scores shall be graded under Part II (Detailed Grading).

3. Procedure for Grade Classification of Regrades

A. The grade will be determined on the basis of a 45 can sample provided such 45 can samples contains no more than 2 substandard cans.

B. An additional 45 can sample will be required if more than 2 cans are substandard. If no more than 5 cans are substandard in the first 90 cans a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If no more than 7 cans are substandard in the first 90 cans another 90 cans will be required for additional grading.

D. A grade will be determined on the 180 can sample and if no more than 11 cans are substandard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are 12 cans to 44 cans substandard a grade of "Substandard" will be given to the lot. A 180 can sample with 45 or more cans substandard will be given a grade of "No Grade" to the lot.

4. Fill of Container 1/4 Size Can) (3 1/4 Oz. Size Can)

A. Flippers

1. Lots that contain cans that are "flippers", and where more than 20% of the cans in a lot are flippers, cannot be graded above "Standard" regardless of the total score. This is a limiting rule. A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure, but will spring out again (convex) after pressure is released.

B. Swells

1. A "swell" is a can with the cover permanently convex or distended. The presence of any swelled cans in a lot will be graded under Part II (Detailed Grading).

C. Underfilled Cans

1. 1/4 Size Can. Underfilled cans are cans that contain less than 3.3 ounces of fish after draining. Lots in which more than 20% of the cans in that lot sample are underfilled shall not be graded above "Standard" regardless of the total score. This is a limiting rule.

2. 3 1/4 Size Can. Underfilled cans are cans that contain less than 2.7 ounces of fish after draining. Lots in which more than 20% of the cans in that lot sample are underfilled shall not be graded above "Standard" regardless of the total score. This is a limiting rule.

3. The drained weight of canned Maine sardines in oil is determined by emptying the contents of the completely opened container upon a standard draining screen, 8 inches in diameter, 2 meshes per inch, with 0.446 inch + 3% square openings. The individual sardines are then separated. (In order to permit proper drainage of oil and water, the emptied can and its detached lid are inverted over the screen and propped against the screen wall at an angle of approximately 45. The funnel for collecting the oil and water portion tapers from 8 inches to 5/8, with a 3 - inch length. The oil and water is collected in a 30 ml. at 20C pharmaceutical graduate manufactured according to the National Bureau of Standards specifications.) The drained weight is the weight of the sardines remaining on the screen after a 3 minute draining period.

5. Ascertaining the Grade

The grade of canned sardines is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Top Appearance, Odor, Taste, and Texture. The relative importance of each factor scored is expressed numerically on the scale of 100. The maximum number of points that may be given each factor is:

Factors Points

1. Top Appearance - - - - - - - - - - - 45

2. Odor - - - - - - - - - - - - - - - - 15

3. Taste- - - - - - - - - - - - - - - - 30

4. Texture - - - - - - - - - - - - - - 10

Maximum number of points - - 100

6. Ascertaining the Rating for Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 24 to 26 points means 24, 25, or 26 points.)

1. Odor

a. Canned Maine sardines with an "excellent odor" typical of that type of pack may be given a score of 14 to 15 points. "Excellent odor" means that the product be free from rancidity, has no detectable foreign odor or any acrid or unusual odors.

b. Canned Maine sardines with a "good odor" typical of that type of pack may be given a score of 12 to 13 points. A "good odor" means that the product be free from rancidity, and has no strong off odors. Sardines that score 12 to 13 points cannot be graded above "Extra Standard" regardless of the total score. This is a limiting rule.

c. Canned Maine sardines with a "fair odor" typical of the type of pack may be given a score of 10 to 11 points. "Fair odor" means that the product be free from rancidity and is reasonably free of foreign or unusual odors. Sardines that fall into the 10 to 11 point score classification cannot be graded above "Standard" grade regardless of the total score. This is a limiting rule.

d. Canned Maine sardines with a rancid, objectionable, foreign acrid, strong, or unusual odor will be given a zero score and must be graded under Part II (Detailed Grading).

2. Top Appearance

Top Appearance refers to the overall appearance of the canned product and is scored by grading the cans in a sample as a composite rather than individually and assessing a deduction ranging from 0 to 45 points.

a. A bright, shiny appearance with excellent workmanship, virtually free of defects may be given a deduction of 0 to 10 points.

b. A clean, shiny appearance with good workmanship, reasonably free of defects, may be given a deduction of 11 to 20 points. Lots in this category cannot be graded above "Extra Standard" regardless of total score. This is a limiting rule.

c. A dull, gray appearance with a fair amount of defects shall be given a deduction of 21 to 30 points. Lots in this category cannot be graded above "Standard" regardless of total score. This is a limiting rule.

d. Lots not complying with a, b, or c above shall be graded under Part II (Detailed Grading).

Note: The score assessed is actually a penalty score and is deducted from the 45 points allocated for Absence of Defects.

3. Oil and Water Fill

a. 1/4 Size Can. A can exceeding five (5) ml's. of water shall be assessed a penalty of I point for each ml. in excess of five (5) ml's. The total number of penalty points shall be divided by the number of cans in the sample.

b. 3 1/4 Size Can. A can exceeding four (4) ml's. of water shall be assessed a penalty of 1 point for each ml. in excess of four (4) ml's. The total number of penalty points shall be divided by the number of cans in the sample.

c. 1/4 Size Can. Lots containing more than twenty percent (20%) of the cans in excess of (12) ml's. water must be graded under Part II (Detailed Grading).

d. 3 1/4 Size Can. Lots containing more than twenty percent (20%) of the cans in excess of (10) ml's. water must be graded under Part II (Detailed Grading).

e. 1/4 Size Can. A can containing less than thirteen (13) ml's. of oil shall be assessed a penalty of one (1) point for each ml. under thirteen (13) ml's. The total number of penalty points shall be divided by the number of cans in the sample.

f. 3 1/4 Size Can. A can containing less than eleven (11) ml's. of oil shall be assessed a penalty of one (1) point for each ml. under eleven (11) ml's. The total number of penalty points shall be divided by the number of cans in the sample.

g. 1/4 Size Can. Lots that contain more than twenty (20%) percent of the cans with less than (6) ml's. of oil shall be graded under Part II (Detailed Grading).

h. 3 1/4 Size Can. Lots that contain more than twenty (20%) percent of the cans with less than (5) ml's. of oil shall be graded under Part II (Detailed Grading).

4. Texture (Character of Sardines)

a. Canned Maine sardines that possess "excellent character" or texture may be given a score of 9 to 10 points. "Excellent character or texture means that the sardines remain intact when lifted with the thumb and forefinger, are firm but not tough or fibrous.

b. Canned Maine sardines that possess "good character" or texture may be given a score of 7 to 8 points. "Good character" or texture means that the sardines remain intact when lifted with the thumb and forefinger are reasonably firm and may be slightly tough or fibrous. Lots in this category may not be graded above "Extra Standard" regardless of total score. This is a limiting rule.

c. Canned Maine sardines that possess a "fair character" or texture may be given a score of 5 to 6 points. "Fair character" means that the sardines remain intact when lifted with the thumb and forefinger are fairly firm and are not excessively tough or fibrous. Lots in this category cannot be graded above "Standard" regardless of total score. This is a limiting rule.

d. Canned Maine sardines must be sufficiently cooked to have friable rib bones and the backbone shall not be present as grit between the teeth when the sardines is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the drain screen. Any product not meeting the requirements of this paragraph will be given a score of 0 - 4 and must be graded under Part II (Detailed Grading).

5. Taste

a. Canned Maine sardines having an "excellent" taste for that type of pack may be given a score of 29 to 30 points. "Excellent" taste means that the product be free from rancidity and has no detectable foreign or unusual taste.

b. Canned Maine sardines having a "good" taste for that type of pack may be given a score of 27 to 28 points. A "Good" taste means that the product be free from rancidity, and has no strong or foreign off taste. Lots that fall into this category cannot be graded above "Extra Standard" regardless of the total score. This is a limiting rule.

c. Canned Maine sardines having a "fair" taste for that type of pack may be given a score of 24 to 26 points. A "fair" taste means that the product be free from rancidity and reasonably free of foreign or unusual tastes. Lots falling into this category cannot be graded above "Standard" regardless of total score. This is a limiting rule.

d. Canned Maine sardines with an unpleasant or objectionable taste will be given a score of 0 to 23 points and must be graded under Part 11 (Detailed Grading).

6. Salt Content

If the salt content of an average composite sample of all the cans included in the lot is above 3.0%, or below 0.7% when analyzed, the product will be assigned a taste score of 26 points which limits the lot to Standard Grade and notation is made on the grading sheet to explain this action.

Note: If the salt content is so high as to make the product inedible, the product must be graded under Part II (Detailed Grading).

7. Ventral Breaks

Any lot containing a can with more then 25 - 1/16th inch squares shall be graded under Part 11 (Detailed Grading).

8. Sampling

a. An official sample drawn at random from each embossed code lot, regardless of the lot size, shall be submitted to the laboratory for grading.

(1). The number of cans submitted for this initial grading shall be 15 except that the size of such samples will be changed to 10 cans whenever the following conditions are met.

(a). The 15 can samples for each of eight consecutive lots has an average score greater than seventy.

(b). None of such 15 can samples shows a quality level such as to make necessary the grading of additional cans to determine the final grade.

(2). Whenever the sample size has been reduced to ten cans as a result of the conditions outlined above under l-a and 1-b, the grade of each succeeding lot will be determined on the basis of a ten can sample except that the sample size will revert to fifteen cans whenever the following conditions is met:

The quality of any such ten can sample is such as to make necessary the grading of additional cans to deter-mine the final grade.

9. Provision for Grade Classification

a. The grade of any lot will be determined on the basis of a 15 can sample (or 10 can sample as described above).

b. Any lot containing a Substandard can or with an average lot score below 70.0 of the first 15 cans (or 10) shall require grading under Part II (Detailed Grading).

10. Tolerance for Certification of Officially Drawn Samples

a. When samples have been officially drawn and which represents a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

(1). Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

(2). All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restriction.

(3). All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

7. Method of Salt Analysis

Samples for salt analysis shall be a composite sample representing all cans in the lot. The sardines shall be drained as hereinbefore described under "Fill of Container (1/4 size cans - 3 1/4 oz. size cans)".

The official method of analysis shall be that described in the "Official and Tentative Method of Analysis of the Association of Official Agricultural Chemists", thirteenth edition, 1980, Chapter 32, Para. 33.025, Page 540.

PART II (DETAILED GRADING)

8. Detailed Grading of Maine Sardines in 1/4 Oil and 3 1/4 Oz. Oil Cans

Lots not in compliance with requirements of Part I, (condensed grading) shall be graded in detail under the following provisions.

9. Sampling Procedure

A. An official 45 can sample drawn at random from each embossed code lot regardless of lot size shall be submitted to the grading laboratory for grading. The grade will be determined on the basis of the 45 can sample provided it does not contain more than 2 Substandard cans.

B. Lots not meeting requirements of A, above shall require an additional 45 cans to be drawn for grading and the lot grade determination shall be based on a total of a 90 can sample, 45 + 45 = 90), excepting under circumstances when the Commissioner requires additional samples as proof of validity.

10. Fill of Container (1/4 Size Can) (3 1/4 Oz. Can

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F cannot be graded above "Standard" regardless of the total score. This is a limiting rule. A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure, but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weights listed in Table 1. This is a limiting rule.

Table No. 1

Drained Weights for 1/4 Size Cans

Oil Maximum Drained Weight Minimum Drained

Added Suggested for Concave Ends Weight to Comply

4# oil added per standard case 120 grams or 4.25 oz. 93.5 grams or 3.3 oz.

5# oil added per standard case 113 grams or 4.00 oz. 93.5 grams or 3.3 oz.

Drained Weights for 3 1/4 Size Cans

3 1/4# oil added per standard case 92.1 grams or 3.25 oz. 76.5 grams or 2.7 oz.

11. Drained Weight Procedure

The drained weight of canned Maine sardines in oil is determined by emptying the contents of the completely opened container upon a standard draining screen, 8 inches in diameter, 2 meshes per inch, with 0.446 inch + 3% square openings. The individual sardines are then separated. (In order to permit proper drainage of oil and water, the emptied can and its detached lid are inverted over the screen and propped against the screen wall at an angle of approximately 45. The funnel for collecting the oil and water portion tapers from 8 inches to 5/8 inches with a 3-inch length. The oil and water are collected in a 30 ml. at 20C. pharmaceutical graduate manufactured according to the National Bureau of Standards Specifications.) The drained weight is the weight of the sardines remaining on the screen after a 3 minute draining period.

12. The Grade

The grade of canned sardines is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Odor, Taste, and Texture. The relative importance of each factor scored is expressed numerically on the scale of 100. The maximum number of points that may be given each factor is:

Factors Points

1. Top Appearance - - - - - - - - - - - 45

2. Odor - - - - - - - - - - - - - - - - 15

3. Taste- - - - - - - - - - - - - - - - 30

4. Texture - - - - - - - - - - - - - - 10

Maximum number of points - - 100

13. Grades of Canned Maine Sardines in Oil

A. "Fancy Grade" is the quality of canned Maine sardines in oil that possess excellent appearance, are practically free from defects, possess excellent odor, taste and texture, and score not less than 89 points when scored in accordance with the scoring system outlined in this section (89 to 100).

B. "Extra Standard Grade" is the quality of canned Maine sardines in oil that possess a good appearance, are reasonably free from defects, possess good odor, taste and texture, and score not less than 79 points when scored in accordance with the scoring system outlined in this section (79 to 88).

C. "Standard Grade" is the quality of canned Maine sardines in oil that possess a fair appearance, are fairly free from defect, possess fair odor, taste and texture, and score not less than 60 points when scored in accordance with the scoring system outlined in this section (60 to 78).

14. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example 27 to 30 points means 27, 28, 29, or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (45).

1. Absence of Defects (Workmanship)

The factor of Absence of Defects refers to the degree of freedom from unsightly factors and careless workmanship.

a. Detached or protruding: Coagulated blood, visceral parts, detached fins, head parts, (gills, gill-bone, eyes and pectoral fins), floating detached skin, and all extraneous material. Protruding means that they extend more than 1/4 inch from the body of the fish. Deduct 2 points for each occurrence of this defect.

b. Attached gill-bone and protruding backbone. Gill bones in cans with seven fish or less must be removed. Deduct 2 points for each occurrence of these defects.

c. Flesh cracks. "Flesh cracks" mean well defined cracks, lateral or longitudinal, extending into the flesh and extending more than 1/2 the width of the fish at its point of occurrence. (Narrow cracks of the skin alone are not objectionable.) Deduct 2 points for each occurrence of this defect.

d. Sloughed, slipped or mutilated skins. Excessive exposure of flesh as the result of sloughing, slipping or mutilation of skin is an objectionable defect. However, small exposed areas, each of which is less than 1/16 square inch (i.e. 1/4 inch squares), are not objectionable. Deduct 1 point for each 3/16 square inch of exposed flesh when measured from areas, each of which is greater than 1/16 square inch. If 4 or more points are deducted under this paragraph, a grade above "Standard" may not be assigned regardless of the total score. This is a limiting rule.

e. Ragged or angular head and tail cuts. The heads of all fish must be removed. The tails may be removed on all fish and must be removed when there are less than 8 fish in a can. Head and tail cuts shall be sharp, clean and perpendicular to the lateral line. Tail cuts shall be made at the juncture of the body and tail fin. Deduct 2 points for each occurrence of this defect. Trimming the tail, called "fanning" is acceptable when neatly done.

f. Improper dovetailing. The sardines should be properly dovetailed. i.e., heads and tails are alternately placed adjacent to one end of the can. The tails must be depressed below the top surface or hidden as far as possible on large fish, but not over the head end of the adjacent fish. The head end of the sardines must be located within 1/2 inch of the can wall. Improper dovetailing or overfilling that results in mechanically damaged fish from can cover pressure is included as a dovetailing defect. Deduct 2 points for each occurrence of this defect.

g. Telescoping. "Telescoping" means excessive shifting of the mass of fish so as to cause a large separation of the fish from any side wall of the can. This condition gives an appearance of an underfilled can. Deduct 4 points if the distance between the mass of fish and any side wall of the can is 1/2 inch or more. If there is any deduction for this defect, the product cannot be graded over "Standard". This is a limiting rule.

h. Top appearance. Top appearance refers to the general appearance of the top surface of the sardines, especially its brightness, reflectance or shiny qualities. In scoring the top appearance of canned sardines, the differences due to the different processing methods are to be recognized. Deduct I to 2 points if there are traces of a dull, gray color. Deduct 3 to 5 points if the top surface is slightly dull, gray or muddy. Deduct 6 to 8 points if the top appearance is dull, gray and muddy to the point of being slightly objectionable. If 6 to 8 points are deducted, the product cannot be graded above "Standard". This is a limiting rule. If the top surface is an unsightly mass of scum and discolored scales, deduct 9 points. If the deduction is 9 points, the product cannot be graded above "Substandard". This is a limiting rule.

i. 1/4 Size Cans - Oil, water and sediment. Deduct 1 point for each ml. of water over 5 ml. Deduct 1 point for each ml. of oil less than 13 ml. Deduct I point for each ml. of sediment in the water phase. Deduct 1 point for each ml. of sediment in the oil phase. Deduct 5 points for objectionable turbidity in the oil phase.

j. 3 1/4 Size Can - Oil, water and sediment. Deduct 1 point for each ml. of water over 4 ml. Deduct 1 point for each ml. of oil less than 11 ml. Deduct 1 point for each ml. of sediment in the water phase. Deduct 1 point for each ml. of sediment in the oil phase. Deduct 5 points for objectionable turbidity in the oil phase.

2. Odor

a. Canned Maine sardines with a normal odor typical of the type of pack may be given a score of 14 to 15 points. "Normal odor" means that the product be free from rancidity, has no detectable foreign odor (such as bilge oil), or any acrid or unusual odors not normal to the sardines or the oil.

b. Canned Maine sardines with a reasonably normal odor typical of the type of pack may be given a score of 12 to 13 points. "Reasonably normal odor" means that the product be free from rancidity and is reasonably free of detectable foreign or unusual odors.

c. Canned Maine sardines that are slightly lacking or faint and not up to normal odor typical of the type of pack may be given a score of 10 to 11 points. Sardines that fall into the 10 to 11 point score classification cannot be graded above "Standard" grade regardless of the total score. This is a limiting rule.

d. Canned Maine sardines with an objectionable rancid, foreign, acrid, strong or unusual odor will be given a zero odor score and cannot be graded above "Substandard". This is a limiting rule.

3. Taste

a. Canned Maine sardines having a taste normal for the type of pack may be given a score of 29 to 30 points. "Normal taste" means that the product has the typical taste usually associated with sardines packed with the particular procedure and has not off or strong taste foreign to sardines.

b. Canned Maine sardines with a reasonably normal taste typical of the type of pack may be given a score of 27 to 28 points.

c. Canned Maine sardines having a taste that is slightly lacking or faint and not up to normal taste may be given a score of 24 to 26 points and cannot be graded above "Standard" grade regardless of the total score. This is a limiting rule.

d. Canned Maine sardines having a strong objectionable taste such as rancid, foreign (such as bilge oil), acrid or unusual tastes will be given a zero score and cannot be graded above "Substandard" regardless of the total score. This is a limiting rule.

e. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3% or below 0.7% when analyzed, the product cannot be graded above "Standard" regardless of the total score. This is a limiting rule. The method of salt analysis on the drained fish is described hereinafter under the headline. "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Substandard" under Taste.

4. Texture (Character of Sardines)

a. Canned Maine sardines that possess "excellent character" or texture may be given a score of 9 to 10 points. "Excellent character" or texture means that the sardines remain intact when lifted with the thumb and forefinger, are firm but not tough or fibrous.

b. Canned Maine sardines that possess "good character" or texture may be given a score of 7 to 8 points. "Good character" or texture means that the sardines remain intact when lifted with the thumb and forefinger are reasonably firm and may be slightly tough or fibrous. Lots in this category may not be graded above "Extra Standard" regardless of total score. This is a limiting rule.

c. Canned Maine sardines that possess a "fair character" or texture may be given a score of 5 to 6 points. "Fair character" means that the sardines remain intact when lifted with the thumb and forefinger are fairly firm and are not excessively tough or fibrous. Lots in this category cannot be graded above "Standard" regardless of total score. This is a limiting rule.

d. Canned Maine sardines must be sufficiently cooked to have friable rib bones and the backbone shall not be present as grit between the teeth when the sardine is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the drain screen. Any product not meeting the requirements of this paragraph will be given a score of 0 to 4 and cannot be graded above "Substandard" grade. This is a limiting rule.

15. Ventral Breaks

A ventral break is an unsightly rupture in the ventral area.

Estimate the size of the break in terms of sixteenth inch squares. Deduct 1/2 point for each square 1/16 from the total score derived as described under Sections 1, 2, 3, and 4 above. Record the remainder as the final score of the can involved.

16. Procedure for Grade Classification

A. The grade will be determined on the basis of a 45 can sample provided such 45 can samples contains not more than 2 substandard cans.

B. An additional 45 can sample will be required if more than 2 cans are substandard. If not more than 5 cans are substandard in the first 90 cans a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If not more than 7 cans are substandard in the first 90 cans another 90 cans may be required for additional grading under circumstances when the Commissioner requires additional samples as proof of validity.

D. A grade will be determined on the 180 cans sample, if not more than 11 cans are substandard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are 12 cans to 44 cans substandard a grade of "Substandard" will be given to the lot. A 180 can sample with 45 or more cans substandard will be given a grade of "No Grade" to the lot.

17. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores except that a lot may contain substandard cans not to exceed 3%.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restrictions.

3. Not more than 6% of the cans are substandard. Any lots failing to comply with this tolerance cannot be graded above Substandard.

4. Any lots failing to obtain an average score of 60 cannot be graded above substandard.

5. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

History

• STATUTORY AUTHORITY: 32 M.R.S.A. §4157
• EFFECTIVE DATE: February 20, 1980
• AMENDED: June 15, 1980
• AMENDED: August 30, 1983 - Sections 16 (C & D) & 17.4
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 22, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 338 Official Grades for Sardines in Mustard Sauce Packed in 15 oz. Oval Cans

Code Me. R. 01-001 Ch. 338 Official Grades for Sardines in Mustard Sauce Packed in 15 Oz. Oval Cans (607 X 406 X 108) {#sec-01-001-ch.-338 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 338}

PART I (CONDENSED GRADING) - PART II (DETAILED GRADING)

SUMMARY: Product Definition, Grades of Canned Maine Sardines in Mustard Sauce, Fill of Container, Drained Weight Procedure, Ascertaining the Grade, Ascertaining the Rating for the Factors Which are Scored, Color of Mustard Sauce, Texture of Mustard Sauce, Absence of Defects, Taste and Odor, Texture, Ventral Breaks, Sampling, Provision for Grade Classification, Tolerance for Certification of Officially Drawn Samples, Method of Salt Analysis

PART I (CONDENSED GRADING)

1. Product Definition

"Canned Maine Sardines in Mustard Sauce" is the commercially canned product prepared from immature Atlantic herring (Clupea harengus); packed with a suitable quantity and quality of mustard sauce in hermetically sealed containers and so processed by heat as to prevent spoilage. The mustard sauce ingredients shall conform to Federal Specifications of purity and be free from adulteration. Immature herring means herring of which less than fifty percent (50%) have well developed gonads and may or may not have spawned.

2. Grades of Canned Maine Sardines in Mustard Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in mustard sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of mustard sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89‑100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess good appearance, are reasonably free from defects, possess good color and texture of mustard sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in mustard sauce that-possess a fair appearance, are fairly free from defects, possess fair color and texture of mustard sauce and fair taste, odor and texture of the sardines and score not less than 70 points when scored in accordance with the scoring system outlined hereinafter. (70 - 78)

Lots not in compliance with above average scores shall be graded under Part II (Detailed Grading).

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

3. Fill of Container (15 Oz. Oval Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F. cannot be graded above "Standard" regardless of the total score. A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of mustard sauce listed in Table No. 1. Any lot containing a can in which the mustard sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be graded under Part II (Detailed Grading).

Table No. 1

Drained Weight Requirements for 15 Oz. Oval Cans

Mustard Sauce to be Maximum Drained Weight of Fish

Added Per Can Suggested for Concave Ends

56.7 gms. or 2 oz. 368.5 gms. or 13 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

297.7 gms. or 10.5 oz. 40.8 gms. or 1.44 oz.

4. Drained Weight Procedure

The opened can is first graded for color and texture of the mustard sauce for floating defects in the sauce and for General Appearance. The mustard sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the mustard sauce, when drained 5 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

5. Ascertaining the Grade

The grade of canned Maine sardines in mustard sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Mustard Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Mustard Sauce Color- - - - - - - - - 15

2. Mustard Sauce Texture- - - - - - - - 15

3. Absence of Defects- - - - - - - - - 30

4. Taste and Odor of Drained Fish - - - 30

5. Texture of Drained Fish - - - - - - 10

Maximum number of points - - - - - 100

6. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Mustard Sauce

a. Canned Maine sardines in mustard sauce with sauce showing an excellent "mustard" yellow color may be given a score of 13‑15 points.

b. Canned Maine sardines in mustard sauce with sauce slightly lacking in normal "mustard" yellow color may be given a score of 9 - 12 points.

c. Canned Maine sardines in mustard sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

2. Texture of Mustard Sauce

a. Canned Maine sardines in mustard sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in mustard sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the mustard sauce may be given a score of 9 - 12 points.

c. Canned Maine sardines in mustard sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the mustard sauce may be scored 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

3. Absence of Defects (Workmanship); Top Appearance (After Washing)

General appearance and workmanship refers to the overall appearance of the canned product.

a. A bright, shiny appearance with excellent workmanship, virtually free of defects may be given a score of 23 - 30 points under 3 Absence of Defects.

b. A clean, shiny appearance with good workmanship, reasonably free of defects may be given a score of 15 - 22 points under 3 Absence of Defects.

c. A dull, gray appearance with a fair amount of defects shall be given a score of 7 - 14 points under 3 Absence of Defects.

d. Lots not in compliance with a, b, and c, above shall be graded under Part II (Detailed Grading).

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in mustard sauce having normal taste and odor for mustard sardines may be given 27 - 30 points.

b. Canned Maine sardines in mustard sauce having a taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 24 - 26 points and cannot be graded above "Standard" regardless of the total score.

c. Lots not in compliance with a. and b. above shall be graded under Part II (Detailed Grading).

d. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Substandard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in mustard sauce that possess good character or texture may be given a score of 8 - 10 points.

b. Canned Maine sardines in mustard sauce that possess a reasonably good character or texture may be given a score of 6 or 7 points.

c. Canned Maine sardines in mustard sauce that possess a fair character or texture may be given a score of 4 or 5 points.

d. Lots not in compliance with a., b., and c. above shall be graded under Part II (Detailed Grading).

7. Ventral Breaks

Any lot containing a can with more than 50 1/16 inch squares shall be graded under Part II (Detailed Grading).

8. Sampling

A. An official sample drawn at random, from each embossed code lot, regardless of the lot size, shall be submitted to the laboratory for grading.

1. The number of cans submitted for this initial grading shall be 15 except that the size of such samples will be changed to 10 cans whenever the following conditions are met:

a. The 15 can samples for each of eight consecutive lots or eight of ten consecutive lots each has an average score greater than sixty-five plus the average range (R) of subgroups of five within said fifteen can sample and

b. None of such 15 can samples shows a quality level such as to make necessary the grading of additional cans to determine the final grade.

2. Whenever the sample size has been reduced to ten cans as a result of the conditions outlined above under 1-a and 1-b, the grade of each succeeding lot will be determined on the basis of a ten can sample except that the sample size will revert to fifteen cans whenever either or both of the following conditions are met:

a. The average score of any ten can sample is less than sixty-five plus the average range (R) of subgroups of five within said sample, or

b. The quality of any such ten can sample is such as to make necessary the grading of additional cans to determine the final grade.

An unlimited number of supplementary officially approved samples may be drawn as required to establish the final grade as indicated below.

9. Provision for Grade Classification

A. The grade of any lot will be determined on the basis of a 15 can sample (or 10 can sample as described above).

B. Any lot containing a Sub Standard can or with an average lot score below 70.0 of the first 15 cans (or 10) shall require grading under Part II (Detailed Grading).

10. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restriction.

3. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

11. Method of Salt Analysis

Samples for salt analysis shall be a composite sample representing all cans in the lot. The sardines shall be drained as hereinbefore described under "Fill of Container (15 oz. oval can)".

The official method of analysis shall be that described in the "Official Methods of Analysis of the Association of Official Agricultural Chemists", thirteenth edition, 1980, Chapter 32, Para. 33.025, Page 540.

PART II (DETAILED GRADING)

12. Detailed Grading of Maine Sardines in 15 Ounce Oval Mustard

Lots not in compliance with requirements of Part 1,(Condensed Grading) shall be graded in detail under the following provisions.

13. Sampling Procedure

A. An official 45 can sample drawn at random from each embossed code lot regardless of lot size shall be submitted to the grading laboratory for grading. The grade will be determined on the basis of the 45 can sample provided it does not contain more than 2 Sub Standard cans.

B. Lots not meeting requirements of A, above shall require an additional 45 cans to be drawn for grading and the lot grade determination shall be based on a total of a 90 can sample, (45 + 45 = 90), excepting under circumstances when the Commissioner requires additional samples as proof of validity.

14. Fill of Container (15 Ounce Oval Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F cannot be graded above "Standard" regardless of the total score. This is a limiting rule. (1) A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of mustard sauce listed in Table No. 1, and any can in which the mustard sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be limited to Sub Standard grade. These are limiting rules.

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

Table No. 1

Drained Weight Requirements for 15 Oz. Oval Cans

Mustard Sauce to be Maximum Drained Weight of Fish

Added Per Can Suggested for Concave Ends

56.7 gms. or 2 oz. 368.5 gms. or 13 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

297.7 gms. or 10.5 oz. 40.8 gms. or 1.44 oz.

15. Drained Weight Procedure

The opened can is first graded for color and texture of the mustard sauce for floating defects in the sauce and for General Appearance. The mustard sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the mustard sauce, then drained 5 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents - the difference being the weight of free sauce in the can.

16. Ascertaining the Grade

The grade of canned Maine sardines in mustard sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Mustard Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Mustard Sauce Color- - - - - - - - - 15

2. Mustard Sauce Texture- - - - - - - - 15

3. Absence of Defects- - - - - - - - - 30

4. Taste and Odor of Drained Fish - - - 30

5. Texture of Drained Fish - - - - - - 10

Maximum number of points - - - - - 100

17. Grades of Canned Maine Sardines in Mustard Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in mustard sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of mustard sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89 - 100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess good appearance, are reasonably free from defects, possess good color and texture of mustard sauce and good taste, odor, and texture of the sardines and score not less-than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in mustard sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of mustard sauce and fair taste, odor and texture of the sardines and score not less than 60 points when scored in accordance with the scoring system outlined hereinafter. (60 - 78)

18. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29, or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Mustard Sauce

a. Canned Maine sardines in mustard sauce with sauce showing an excellent "mustard" yellow color may be given a score of 13‑15 points.

b. Canned Maine sardines in mustard sauce with sauce slightly lacking in normal "mustard" yellow color may be given a score of 9 - 12 points.

c. Canned Maine sardines in mustard sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points. Mustard sardines that fall into the 5 - 8 point classification cannot be graded above Standard regardless of the total point score of the container. This is a limiting rule.

d. Canned Maine sardines in mustard sauce with a sauce showing an objectionable dark brown and/or green tinge may be given a score of 0 - 4 points. If the can contains no mustard sauce or if the sauce is present in such small amount as to be difficult to detect, it will be given a score of 0. Mustard sardines that fall into the 0 - 4 point classification cannot be graded above "Sub Standard" regardless of the total point score of the container. This is a limiting rule.

2. Texture of Mustard Sauce

a. Canned Maine sardines in mustard sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in mustard sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the mustard sauce may be given a score of 9 - 12 points. A deduction of one point in the range (9 - 12) shall be made for each type of trace objections listed above.

c. Canned Maine sardines in mustard sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the mustard sauce may be scored 5 - 8 points, subtracting one point for each slight occurrence of each of the objections listed above.

d. Canned Maine sardines in mustard sauce with an objectionable amount of sauce granulation, an objectionable sauce separation, an objectionable amount of drying (caking), or an objectionable greasy "slippery" appearance in the sauce may be scored 0 - 4 points. Any can in which the mustard sauce is entirely lacking or is present in such small amounts as to be difficult to detect shall be given a score of 0. Any container scoring 4 or less points under this factor must be graded "Sub Standard" regardless of its total grade score. This is a limiting rule.

If the deductions under sections 1 and 2 above total 10 or more points, the can shall not be graded above "Extra Standard". This is a limiting rule.

3. Absence of Defects (Workmanship); (For procedure see "Drained Weight")

The factor of Absence of Defects refers to the degree of freedom from unsightly factors and careless workmanship.

a. Detached or protruding: Coagulated blood, visceral parts, detached fins, head parts (gill, gill-bone, eyes and pectoral fins), and any extraneous material floating in the sauce or visible on the surface of the fish after the sauce has been washed away. Protruding means that they extend more than 1/4 inch from the body of the fish. Deduct 2 points for each occurrence of this defect.

If six or more points are deducted under this category, the cans shall not be graded above Extra Standard. This is a limiting rule.

b. Attached gill-bone and protruding backbone. Gill bones in cans with seven fish or less must be removed. Deduct 2 points for each occurrence of these defects.

c. Flesh Cracks. "Flesh cracks" mean well-defined cracks, lateral or longitudinal, extending into the flesh and extending more than 1/2 the width of the fish at its point of occurrence. (Narrow cracks of the skin alone are not objectionable.) Deduct 2 points for each occurrence of this defect.

c-1. Sloughed, slipped or mutilated skins. Excessive exposure of flesh as the result of sloughing, slipping or mutilation of skin is an objectionable defect. However, small exposed areas, each of which is less than 4/16 square inch ( 4 - 1/4 inch squares), are not objectionable. Deduct 1 point for each 4/16 square inch of exposed flesh when measured from areas, each of which is greater than 4/16 square inch. If 3 or 4 points are deducted under this paragraph, a grade above "Extra Standard" may not be assigned regardless of the total score. If 5 or more points are deducted under this paragraph, a grade above "Standard" may not be assigned regardless of the total score. These are limiting rules.

d. Ragged or angular head and tail cuts. The heads of all fish must be removed. 'The tails may be removed on all fish and must be removed when there are less than 8 fish in a can. Head and tail cuts shall be sharp, clean and perpendicular to the lateral line. Tail cuts shall be made at the juncture of the body and tail fin. Deduct 2 points for each occurrence of this defect. Trimming the tail, called "fanning" is acceptable when neatly done.

e. Improper dovetailing. The sardines should be properly dovetailed, i.e. heads and tails are alternately placed adjacent to one end of the can. The tails must be depressed below the top surface or hidden as far as possible on large fish, but not over the head end of the adjacent fish. The head end of the sardines must be located within 112 inch of the can wall. Improper dovetailing or overfilling that results in mechanically damaged fish from can cover pressure is included as a dovetailing defect. Deduct 2 points for each occurrence of this defect.

f. Telescoping. "Telescoping" means excessive shifting of the mass of fish so as to cause a large separation of the fish from any side wall of the can. This condition gives an appearance of an underfilled can. Deduct 4 points if the distance between the mass of fish and any side wall of the can is 112 inch or more. If there is any deduction under this defect, the product cannot be graded above "Standard". This is a limiting rule.

g. Top Appearance. "Top Appearance" refers to the general appearance of top surface of the sardines before the mustard sauce has been removed. Ratings under this paragraph are determined by the presence of any defects or factors that influence the appearance of the sardines, including the color, texture and amount of Mustard Sauce. Deduct 1 to 2 points if the surface is nearly free from defects and presents a desirable appearance. Deduct 3 to 5 points if the surface shows a moderate amount of defects and presents a satisfactory appearance. Deduct 6 to 8 points if the surface shows many defects and presents a moderately displeasing appearance. Deduct 9 points if the surface shows a great many defects and presents an objectionable or undesirable appearance, or if the mustard sauce is entirely lacking or is present in such small amounts as to be difficult to detect.

g-1. Top Appearance. This factor of Top Appearance, g-1, shall be determined after the mustard sauce is washed off. Any such ratings, however, shall not be included in tie "Total Deductions for Defects" and shall be listed on the Grading sheet for the purpose only of applying the following limiting rules:

Ratings of 6, 7, or 8 points shall limit the can grade to Standard. A rating of 9 points shall limit the can grade to Sub Standard.

g-2. Top Appearance Rating of Layers below Top Layer. If an excess of defect #8 exists in a lower layer from the top layer the following table shall apply.

Amount of Excess Point Deduction

0 – 1 0

2 5

3 9

4 13

5 17

6 21

Size Variation of Fish. A tolerance of 3/4 of an ounce is allowed from the smallest to the largest fish in the can.

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in mustard sauce having normal taste and odor for mustard sardines may be given 27 - 30 points.

b. Canned Maine sardines in mustard sauce having a taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 24 - 26 points and cannot be graded above "Standard" regardless of the total score. This is a limiting rule.

c. Canned Maine sardines in mustard sauce having a strong, unpleasant, foreign taste and/or odor to the point of being unpalatable will be given a taste-odor score of zero and cannot be graded above "Sub Standard". This is a limiting rule.

d. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score. This is a limiting rule. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Sub Standard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in mustard sauce that possess good character or texture may be given a score of 8 to 10 points. Good character or texture means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are tough or fibrous.

b. Canned Maine sardines in mustard sauce that possess a reasonably good character or texture may be given a score of 6 or 7 points. "Reasonably good character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and may be slightly tough or fibrous.

c. Canned Maine sardines in mustard sauce that possess a fair character or texture may be given a score of 4 or 5 points. "Fair character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not excessively tough or fibrous.

d. Canned Maine sardines in mustard sauce must be sufficiently cooked to have friable rib-bones and back-bone shall not be present as grit between the teeth when the sardine is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the draining screen. Any product not meeting the requirements of this paragraph will be given a zero score and cannot be graded above "Sub Standard". This is a limiting rule.

19. Ventral Breaks

A ventral break is an unsightly rupture in the ventral area. Estimate the size of the break in terms of sixteenth inch squares. Deduct 1 point for each six 1/16 inch squares from the total score derived as described under Sections 1, 2, 3, 4, and 5 above. Record the remainder as the final score of the can involved.

20. Procedure for Grade Classification of Regrades

A. The grade will be determined on the basis of a 45 can sample provided such 45 can samples contains no more than 2 Sub Standard cans.

B. An additional 45 can sample will be required if more than 2 cans are substandard. If no more than 5 cans are substandard in the first 90 cans a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If no more than 7 cans are substandard in the first 90 cans another 90 cans may be required for additional grading under circumstances when the Commissioner requires additional samples as proof of validity.

D. A grade will be determined on the 180 can sample. if no more than 11 cans are substandard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are 12 cans to 44 cans substandard a grade of "Substandard" will be given to the lot. A 180 can sample with 45 or more cans substandard will be given a grade of "No Grade" to the lot.

21. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored.

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores except that a lot may contain Substandard cans not to exceed 3%.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restrictions.

3. Not more than 6% of the cans are Sub Standard. My lots failing to comply with this tolerance cannot be graded above Sub Standard.

4. Any lots failing to obtain an average score of 60 cannot be graded above substandard.

5. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Law.

EFFECTIVE DATE:

June 15, 1981

AMENDED:

August 30, 1983 - Section 20 (C& D) and Sections 21

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 22, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 339 Official Grades for Sardines in Tomato Sauce Packed in 15 oz. Oval Cans

Code Me. R. 01-001 Ch. 339 Official Grades for Sardines in Tomato Sauce Packed in 15 Oz. Oval Cans (607 X 406 X 108) {#sec-01-001-ch.-339 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 339}

PART I (CONDENSED GRADING) - PART II (DETAILED GRADING)

SUMMARY: Product Definition, Grades of Canned Maine Sardines in Tomato Sauce, Fill of Container, Drained Weight Procedure, Ascertaining the Grade, Ascertaining the Rating for the Factors which are Scored, Color of Tomato Sauce, Texture of Tomato Sauce, Absence of Defects, Taste and Odor, Texture, Ventral Breaks, Sampling, Provision for Grade Classification, Tolerance for Certification of Officially Drawn Samples, Method of Salt Analysis

PART I (CONDENSED GRADING)

1. Product Definition

"Canned Maine sardines in Tomato Sauce" is the commercially canned product prepared from immature Atlantic herring (Clupea harengus); packed with a suitable quantity and quality of tomato sauce in hermetically sealed containers and so processed by heat as to prevent spoilage. The tomato sauce ingredients shall conform to Federal Specification of purity and be free from adulteration. Immature herring means herring of which less than fifty percent (50%) have well developed gonads and may or may not have spawned.

2. Grades of Canned Maine Sardines in Tomato Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in tomato sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of tomato sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89‑100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess good appearance, are reasonably free from defects, possess good color and texture of tomato sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of tomato sauce and fair taste, odor and texture of the sardines and score not less than 70 points when scored in accordance with the scoring system outlined hereinafter. (70 - 78)

Lots not in compliance with above average scores shall be graded under Part II (Detailed Grading).

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards .

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

3. Fill of Container (15 Oz. Oval Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F. cannot be graded above "Standard" regardless of the total score. A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of tomato sauce listed in Table No. 1. Any lot containing a can in which the tomato sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be graded under Part II (Detailed Grading).

Table No. 1

Drained Weight Requirements for 15 Oz. Oval Cans

Tomato Sauce to be Maximum Drained Weight of Fish

Added Per Can Suggested for Concave Ends

56.7 gms. or 2 oz. 368.5 gms. or 13 oz.

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

297.7 gms. or 10.5 oz. 40.8 gms. or 1.44 oz.

4. Drained Weight Procedure

The opened can is first graded for color and texture of the tomato sauce for floating defects in the sauce and for General Appearance. The tomato sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the tomato sauce, then drained 5 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents, the difference being the weight of free sauce in the can.

5. Ascertaining the Grade

The grade of canned Maine sardines in tomato sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Tomato Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Tomato Sauce Color- - - - - - - - - - - 15

2. Tomato Sauce Texture- - - - - - - - - - 15

3. Absence of Defects- - - - - - - - - - - 30

4. Taste and Odor of Drained Fish- - - - - 30

5. Texture of Drained Fish - - - - - - - - 10

Maximum number of points- - - - -100

6. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29 or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Tomato Sauce

a. Canned Maine sardines in tomato sauce with sauce showing an excellent "tomato" red color may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with sauce slightly lacking in normal "tomato" red color may be given a score of 9 - 12 points.

c. Canned Maine sardines in tomato sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

2. Texture of Tomato Sauce

a. Canned Maine sardines in tomato sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the tomato sauce may be given a score of 9‑12 points.

c. Canned Maine sardines in tomato sauce with slightly granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the tomato sauce may be scored 5 - 8 points.

d. Lots not in compliance with the above shall be graded under Part II (Detailed Grading).

3. Absence of Defects (Workmanship); Top Appearance (After Washing)

General appearance and workmanship refers to the over all appearance of the canned product.

a. A bright, shiny appearance with excellent workmanship, virtually free of defects may be given a score of 23 - 30 points under 3 Absence of Defects.

b. A clean, shiny appearance with good workmanship, reasonably free of defects may be given a score of 15 - 22 points under 3 Absence of Defects.

c. A dull, gray appearance with a fair amount of defects shall be given a score of 7 - 14 points under 3 Absence of Defects.

d. Lots not in compliance with a, b, and c, above shall be graded under Part II (Detailed Grading).

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in tomato sauce having normal taste and odor for tomato sardines may be given 27 - 30 points.

b. Canned Maine sardines in tomato sauce having a taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 24 - 26 points and cannot be graded above "Standard" regardless of the total score.

c. Lots not in compliance with a. and b. above shall be graded under Part II (Detailed Grading).

d. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Substandard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in tomato sauce that possess good character or texture may be given a score of 8 - 10 points.

b. Canned Maine sardines in tomato sauce that possess a reasonably good character or texture may be given a score of 6 or 7 points.

c. Canned Maine sardines in tomato sauce that possess a fair character or texture may be given a score of 4 or 5 points.

d. Lots not in compliance with a., b., and c. above shall be graded under Part II (Detailed Grading).

7. Ventral Breaks

Any lots containing a can with more than 50 1/16 inch squares shall be graded under Part II (Detailed Grading).

8. Sampling

A. An official sample drawn at random, from each embossed code lot, regardless of the lot size, shall be submitted to the laboratory for grading.

1. The number of cans submitted for this initial grading shall be 15 except that the size of such samples will be changed to 10 cans whenever the following conditions are met:

a. The 15 can samples for each of eight consecutive lots or eight of ten consecutive lots each has an average score greater than sixty-five plus the average range (R) of subgroups of five within said fifteen can sample and

b. None of such samples shows a quality level such as to make necessary the grading of additional cans to determine the final grade.

2. Whenever the sample size has been reduced to ten cans as a result of the conditions outlined above under l-a and 1-b, the grade of each succeeding lot will be determined on the basis of a ten can sample except that the sample size will revert to fifteen cans whenever either or both of the following conditions are met:

a. The average score of any ten can sample is less than sixty-five plus the average range (R) of subgroups of five within said sample, or

b. The quality of any such ten can sample is such as to make necessary the grading of additional cans to determine the final grade.

An unlimited number of supplementary officially approved samples may be drawn as required to establish the final grade as indicated below.

9. Provision for Grade Classification

A. The grade of any lot will be determined on the basis of a 15 can sample (or 10 can sample as described above).

B. Any lot containing a Sub Standard can or with an average lot score below 70.0 of the first 15 cans (or 10) shall require grading under Part II (Detailed Grading).

10. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the scores of the containers comprising the sample if, with respect to those factors which are scored:

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restriction.

3. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

11. Method of Salt Analysis

Samples for salt analysis shall be a composite sample representing all cans in the lot. The sardines shall be drained as hereinbefore described under "Fill of Container (15 oz. oval can)".

The official method of analysis shall be that described in the "Official Methods of Analysis of the Association of Official Agricultural Chemists, thirteenth edition, 1980, Chapter 32, Para. 33.025, Page 540.

PART II (DETAILED GRADING)

12. Detailed Grading for Maine Sardines in 15 Ounce Oval Tomato

Lots not in compliance with requirements of Part I, (Condensed Grading) shall be graded in detail under the following provisions.

13. Sampling Procedure

A. An official 45 can sample drawn at random from each embossed code lot regardless of lot size shall be submitted to the grading laboratory for grading. The grade will be determined on the basis of the 45 can sample provided it does not contain more than 2 Sub Standard cans.

B. Lots not meeting requirements of A, above shall require an additional 45 cans to be drawn for grading and the lot grade determination shall be based on a total of a 90 can sample, (45 + 45 = 90), excepting under circumstances when the Commissioner requires additional samples as proof as validity.

14. Fill of Container (15 Ounce Oval Can)

A. Overfilled cans that are "flippers" or "swells" at room temperature, i.e., 68F., cannot be graded above "Standard" regardless of the total score. This is a limiting rule. (1) A "flipper" is a can having a convex or bulging cover which may be pressed concave or normal again with finger pressure but will spring out again (convex) after the pressure is released. A "swell" is a can with the cover permanently convex or distended.

B. Underfilled cans cannot be graded above "Standard" regardless of the total score when they fail to comply with the minimum drained weight of fish and the minimum weight of tomato sauce listed in Table No. 1 and any can in which the tomato sauce is entirely lacking or is present in such a small amount as to be difficult to detect, shall be limited to Sub Standard grade. These are limiting rules.

Note 1: The requirements for these standards shall not excuse failure to comply with the provisions of existing applicable State laws and regulations, including State Laws and Regulations Relating to Packing of Sardines Providing for License and Standards.

Note 2: The requirements of these standards shall not excuse failure to comply with the provisions of the Federal Food, Drug and Cosmetic Act .

Table No. 1

Drained Weight Requirements for 15 Oz. Oval Cans

Tomato Sauce to be Maximum Drained Weight of Fish

Added Suggested for Concave Ends

2 Oz. (56.7 gms.) 13 Oz. (368.5 gms.)

Minimum Drained Weight Minimum Weight of Free

of Fish to Comply Sauce Canned

10.5 Oz. (297.7 gms.) 1.44 Oz. (40.8 gms.)

15. Drained Weight Procedure

The opened can is first graded for color and texture of the tomato sauce for floating defects in the sauce and for General Appearance. The tomato sauce is then carefully removed by placing the opened can under a tap of running water (using a standard faucet with 3/4" to 1/2" orifice and water adjusted to a stream of 3/8" diameter 3" below the faucet orifice). The can contents, with the sauce removed, are graded for defects, then the can is inverted onto a tared standard grading screen (8" in diameter, 2 meshes per inch, with 0.446 + 3% square openings). The sardines are separated on the draining screen, sprayed gently with water while the sardines are turned over to remove the tomato sauce, then drained 5 minutes on the draining screen. The residue remaining on the screen is the drained weight of the fish. The free sauce is determined by subtracting the weight of the drained fish from the net weight of contents the difference being the weight of free sauce in the can.

16. Ascertaining the Grade

The grade of canned Maine sardines in tomato sauce is ascertained by considering in conjunction with the requirements of the respective grade, the respective ratings for the factors of Absence of Defects, Color and Texture of the Tomato Sauce, Odor, Taste and Texture of the fish. The maximum number of points that may be given each factor is:

Factors Points

1. Tomato Sauce Color- - - - - - - - - - - 15

2. Tomato Sauce Texture- - - - - - - - - - 15

3. Absence of Defects- - - - - - - - - - - 30

4. Taste and Odor of Drained Fish- - - - - 30

5. Texture of Drained Fish - - - - - - - - 10

Maximum number of points- - - - -100

17. Grades of Canned Maine Sardines in Tomato Sauce

A. "Fancy Grade" is the quality of canned Maine sardines in tomato sauce that possess an excellent appearance, are practically free from defects, possess excellent color and texture of tomato sauce and excellent taste, odor and texture of sardines and score not less than 89 points when scored in accordance with the scoring system outlined hereinafter. (89 - 100)

B. "Extra Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess good appearance, are reasonably free from defects, possess good color and texture of tomato sauce and good taste, odor and texture of the sardines and score not less than 79 points when scored in accordance with the scoring system outlined hereinafter. (79 - 88)

C. "Standard Grade" is the quality of canned Maine sardines in tomato sauce that possess a fair appearance, are fairly free from defects, possess fair color and texture of tomato sauce and fair taste, odor and texture of the sardines and score not less than 60 points when scored in accordance with the scoring system outlined hereinafter. (60 - 78)

18. Ascertaining the Rating for the Factors which are Scored

A. The essential variations within each factor are expressed numerically. The numerical range within each factor is inclusive (for example, 27 to 30 points means 27, 28, 29, or 30 points). For the factor Absence of Defects, the score is determined by deducting the number of points indicated for each defect from the maximum number of points assigned to the factor (30).

1. Color of Tomato Sauce

a. Canned Maine sardines in tomato sauce with sauce showing an excellent "tomato" red color may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with sauce slightly lacking in normal "tomato" red color may be given a score of 9 - 12 points.

c. Canned Maine sardines in tomato sauce with sauce with a slight darkening or brown tinge may be given a score of 5 - 8 points. Tomato sardines that fall into the 5 - 8 point classification cannot be graded above Standard regardless of the total point score of the container. This is a limiting rule.

d. Canned Maine sardines in tomato sauce with a sauce showing an objectionable dark brown may be given a score of 0 - 4 points. If the can contains no tomato sauce or if the sauce is present in such a small amount as to be difficult to detect, it will be given a score of 0. Tomato sardines that fall into the 0 - 4 point classification cannot be graded above "Sub Standard" regardless of the total point score of the container. This is a limiting rule.

2. Texture of Tomato Sauce

a. Canned Maine sardines in tomato sauce that has an excellent texture, not granular, greasy or showing any separation of the sauce, may be given a score of 13 - 15 points.

b. Canned Maine sardines in tomato sauce with a trace of granulation, separation, drying (caking) or a greasy appearance in the tomato sauce may be given a score of 9‑12 points. A deduction of one point in the range (9 - 12) shall be made for each type of trace objections listed above.

c. Canned Maine sardines in tomato sauce with slight granulation, separation of liquid, greasy "slippery" appearance or drying (caking) in the tomato sauce may be scored 5 - 8 points, subtracting one point for each slight occurrence of each of the objections listed above.

d. Canned Maine sardines in tomato sauce with an objectionable amount of sauce granulation, an objectionable sauce separation, an objectionable amount of drying (caking), or an objectionable greasy "slippery" appearance in the sauce may be scored 0 - 4 points. Any can in which the tomato sauce is entirely lacking or is present in such small amounts as to be difficult to detect shall be given a score of 0. Any container scoring 4 or less points under this factor must be graded "Sub Standard" regardless of its total grade score. This is a limiting rule.

If the deductions under sections 1 and 2 above total 10 or more points, the can shall not be graded above "Extra Standard". This is a limiting rule.

3. Absence of Defects (Workmanship); (For procedure see "Drained Weight")

The factor of Absence of Defects refers to the degree of freedom from unsightly factors and careless workmanship.

a. Detached or protruding. Coagulated blood, visceral parts, detached fins, head parts (gills, gill-bone, eyes and pectoral fins), and any extraneous material floating in the sauce or visible on the surface of the fish after the sauce has been washed away. Protruding means that they extend more than 1/4 inch from the body of the fish. Deduct 2 points for each occurrence of this defect.

If six or more points are deducted under this category, the cans shall not be graded above Extra Standard. This is a limiting rule.

b. Attached gill-bone and protruding backbone. Gill bones in cans with seven fish or less must be removed. Deduct 2 points for each occurrence of these defects.

c. Flesh cracks. "Flesh cracks" mean well-defined cracks, lateral or longitudinal, extending into the flesh and extending more than 1/2 the width of the fish at its point of occurrence. (Narrow cracks of the skin alone are not objectionable). Deduct 2 points for each occurrence of this defect.

c-l. Sloughed, slipped or mutilated skins. Excessive exposure of flesh as the result of sloughing, slipping or mutilation of skin is an objectionable defect. However, small exposed areas, each of which is less than 4/16 square inch (4 - 1/4 inch squares), are not objectionable. Deduct 1 point for each 4/16 square inch of exposed flesh when measured from areas, each of which is greater than 4/16 square inch. If 3 or 4 points are deducted under this paragraph, a grade above "Extra Standard" may not be assigned regardless of the total score. If 5 or more points are deducted under this paragraph, a grade above "Standard" may not be assigned regardless of the total score. These are limiting rules.

d. Ragged or angular head and tail cuts. The heads of all fish must be removed. The tails may be removed on all fish and must be removed when there are less than 8 fish in a can. Head and tail cuts shall be sharp, clean and perpendicular to the lateral line. Tail cuts shall be made at the juncture of the body and the tail fin. Deduct 2 points for each occurrence of this defect. Trimming the tail, called "fanning" is acceptable when neatly done.

e. Improper dovetailing. The sardines should be properly dovetailed, i.e. heads and tails are alternately placed adjacent to one end of the can. The tails must be depressed below the top surface or hidden as far as possible on large fish, but not over the head end of the adjacent fish. The head end of the sardines must be located within 1/2 inch of the can wall. Improper dovetailing or overfilling that results in mechanically damaged fish from can cover pressure is included as a dovetailing defect. Deduct 2 points for each occurrence of this defect.

f. Telescoping. "Telescoping" means excessive shifting of the mass of fish so as to cause a large separation of the fish from any side wall of the can. This condition gives an appearance of an underfilled can. Deduct 4 points if the distance between the mass of fish and any side wall of the can is 1/2 inch or more. If there is any deduction under this defect, the product cannot be graded above "Standard". This is a limiting rule.

g. Top Appearance. "Top Appearance" refers to the general appearance of the top surface of the sardines before the tomato sauce has been removed. Ratings under this paragraph are determined by the presence of any defects or factors that influence the appearance of the sardines, including the color, texture and amount of Tomato Sauce. Deduct 1 to 2 points if the surface is nearly free from defects and presents a desirable appearance. Deduct 3 to 5 points if the surface shows a moderate amount of defects and presents a satisfactory appearance. Deduct 6 to 8 points if the surface shows many defects and presents a moderately displeasing appearance. Deduct 9 points if the surface shows a great many defects and presents an objectionable or undesirable appearance, or if the tomato sauce is entirely lacking or is present in such small amounts as to be difficult to detect.

g-1. Top Appearance. This factor of Top Appearance, g-1, shall be determined after the tomato sauce is washed off. Any such ratings, however, shall not be included in the "Total Deductions for Defects" and shall be listed on the grading sheet for the purpose only of applying the following limiting rules:

Ratings of 6, 7, or 8 points shall limit the can grade to Standard. A rating of 9 points shall limit the can grade to Sub Standard.

g-2. Top Appearance Rating of Layers below Top Layer. If an excess in defect #8 exists in a lower layer from the top layer the following table shall apply.

Amount of Excess Point Deduction

0 – 1 0

2 5

3 9

4 13

5 17

6 21

Size Variation of Fish. A tolerance of 3/4 of an ounce is allowed from the smallest to the largest fish in the can.

4. Taste and Odor (Determined on Drained Fish)

a. Canned Maine sardines in tomato sauce having normal taste and odor for tomato sardines may be given 27 - 30 points.

b. Canned Maine sardines in tomato sauce having a taste and/or odor that is slightly lacking or faint and not up to normal for the product may be given a score of 24 - 26 points and cannot be graded above "Standard" regardless of the total score. This is a limiting rule.

c. Canned Maine sardines in tomato sauce having a strong unpleasant, foreign taste and/or odor to the point of being unpalatable will be given a taste-odor score of zero and cannot be graded above "Sub Standard". This is a limiting rule.

d. Salt. If the salt content of an average composite sample of all the cans included in the lot is above 3.0% or below 0.7% when analyzed, the product must be graded "Standard" regardless of the total score, This is a limiting rule. The method of salt analysis of the drained fish is described hereinafter under the heading, "Method of Salt Analysis".

Note: If the salt content is so high as to make the product inedible, the product cannot be graded above "Sub Standard" under "Taste".

5. Texture (Character of Sardines)

a. Canned Maine sardines in tomato sauce that possess good character or texture may be given a score of 8 to 10 points. Good character or texture means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are tough or fibrous.

b. Canned Maine sardines in tomato sauce that possess a reasonably good character or texture may be given a score of 6 or 7 points. "Reasonably good character or texture" means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and may be slightly tough or fibrous.

c. Canned Maine sardines in tomato sauce that possess a fair character or texture may be given a score of 4 or 5 points. "Fair character or texture means that the sardines remain intact when lifted with a standard 4-tined table fork, 0.75 inches wide, when placed near the point of horizontal balance and are not excessively tough or fibrous.

d. Canned Maine sardines in tomato sauce must be sufficiently cooked to have friable rib-bones and the back-bone shall not be present as grit between the teeth when the sardine is eaten. The sardines cannot be excessively mushy and must retain their identity when inverted onto the draining screen. Any product not meeting the requirements of this paragraph will be given a zero score and cannot be graded above "Sub Standard". This is a limiting rule.

19. Ventral Breaks

A ventral break is an unsightly rupture in the ventral area. Estimate the size of the break in terms of sixteenth inch squares. Deduct I point for each six 1/16 inch squares from the total score derived as described under Sections 1, 2, 3, 4, and 5 above. Record the remainder as the final score of the can involved.

20. Procedure for Grade Classification of Regrades

A. The grade will be determined on the basis of a 45 can sample provided such 45 can samples contains no more than 2 sub standard cans.

B. An additional 45 can sample will be required if more than 2 cans are substandard. If no more than 5 cans are substandard in the first 90 cans a grade of "Standard" will be given to the lot regardless of the grade of the other cans.

C. If no more than 7 cans are substandard in the first 90 cans another 90 cans may be required for additional grading under circumstances when the Commissioner requires additional samples as proof of validity.

D. A grade will be determined on the 180 can sample. if no more than 11 cans are substandard a grade of "Standard" will be given to the lot regardless of the grade of the other cans. If there are 12 cans to 44 cans substandard a grade of "Substandard" will be given to the lot. A 180 can sample with 45 or more cans substandard will be given a grade of "No Grade" to the lot.

21. Tolerance for Certification of Officially Drawn Samples

A. When samples have been officially drawn and which represent a specific lot of canned Maine sardines, the grade for such lot will be determined by averaging the score of the containers comprising the sample if, with respect to those factors which are scored.

1. Not more than one-fifth of the containers fail to meet the grade indicated by the average of such total scores.

2. None of the containers falls more than one grade below the grade indicated by the average of such total scores except that a lot may contain Sub Standard cans not to exceed 3%.

On those lots affected by paragraphs No. 1 and 2 above, the lot grade assigned shall be the highest grade that will permit compliance with such restrictions.

3. Not more than 6% of the cans are Sub Standard. Any lots failing to comply with this tolerance cannot be graded above Sub Standard.

4. Any lots failing to obtain an average score of 60 cannot be graded above substandard.

5. All containers comprising the sample meet all the applicable standards of quality in effect at the time, whether State or Federal Laws.

History

• STATUTORY AUTHORITY: 32 MRSA 4157
• EFFECTIVE DATE: June 15, 1980
• AMENDED: August 30, 1983 - Section 20 (C & D) and Section 20
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 22, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 9, 2025

Chapter 340 Sardine Inspection Tax

Code Me. R. 01-001 Ch. 340 Sardine Inspection Tax {#sec-01-001-ch.-340 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 340}

SUMMARY: To increase the sardine inspection tax from the present fee of 15 cents/case to 20 cents/case and to increase the fee on all products packed in hermetically sealed containers which are not classified as sardines from 10 cents/case to 13 cents/case as prescribed by law.

1. Sardine Inspection Tax

A. Each packer shall pay monthly, not later than the 10th day of each month, 20 cents/case on the amount of sardines packed during the previous month, toward the cost of maintaining the inspection fee provided for in Title 32 M.R.S.A. §4155 and as a part of the fee for obtaining and retaining his license.

B. All products which are not classified as sardines, but have herring as their predominant contents and which are packed in hermetically sealed containers are assessed at 13 cents/case, with payment being made in the same manner and for the same purpose as set forth in subsection 1, paragraph A of this rule.

History

• STATUTORY AUTHORITY: 32 M.R.S.A. §4156
• EFFECTIVE DATE: November 1, 1980
• AMENDED: June 14, 1983
• AMENDED: October 21, 1983
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 340 page 1

Chapter 341 Bakeries (Commercial, Retail and Distributors)

Code Me. R. 01-001 Ch. 341 Bakeries (commercial, Retail and Distributors) {#sec-01-001-ch.-341 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 341}

SUMMARY: The purpose of this chapter is to set forth standards for licensing and regulations for bakeries commercial, retail and distributors).

1. Definitions. For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

A. "Bakery" means any place, premises or establishment other than a home food manufacturing establishment regulated by the Department of Agriculture, Conservation and Forestry, where any bakery product is regularly prepared, processed or manufactured for sale other than for consumption on the premises where originally prepared, processed or manufactured.

B. "Bakery product" includes bread, rolls, cakes, pies, doughnuts, cookies, biscuits, crackers and all similar goods, to be used for human food.

C. "Commercial bakery" means any bakery predominantly engaged in the preparation, processing or manufacture of bakery products for further distribution. All other bakeries shall be deemed retail bakeries.

D. "Container" or "package" means the container or wrapper in which bakery products are sold or offered for sale.

E. "Corrosion resistant material" means those materials that maintain their original surface characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and bactericidal solutions, and other conditions of the environment.

F. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

G. "Distributor" means any person other than a bakery engaged in the selling, marketing, or distributing at wholesale or retail any bakery products.

H. "Food contact surface" means those surfaces of equipment and utensils with which food comes in contact, and those surfaces from which food may drain, drip, or splash back onto surfaces normally in contact with food.

I. "Hazardous substance" means any substance or mixture of substances which is toxic, corrosive, an irritant, strong sensitizer, flammable or which generates pressure through decomposition.

J. "Manufacturing" means the preparing, mixing, blending, icing, decorating. baking or handling of bakery products and food ingredients or materials used therein.

K. "Perishable food" means any food of such type or in such condition or physical state as it may spoil or otherwise become unfit for human consumption.

L. "Person" includes an individual, partnership, corporation, association or club.

M. "Potentially hazardous food" means any perishable food or food product which consists in whole or in part of milk or any other ingredient capable of supporting rapid and progressive growth of infectious and toxigenic microorganisms including, but not limited to, cream fillings in pies, cakes or pastries; custard products; meringue topped bakery products; or butter cream type fillings in bakery products.

2. Construction and Sanitation Standards

A. Rooms. Separate rooms shall be provided for the manufacturing of bakery products and the retail sale of bakery products. Bakery products may be packaged in properly protected parts of retail sale areas, subject to the specific approval of the Department.

B. Floors

1. The floors of all rooms shall be of easily cleanable, impervious construction and shall be smooth and free of cracks. Where wood floors are used they shall be treated with a protective nontoxic compound which effectively seals cracks and crevices.

2. When subject to flood type cleaning, floors shall be sloped and provided with drains.

3. Joints at wall-floor junction shall be effectively sealed.

4. The floors of all rooms shall be kept clean and in good repair.

C. Walls and Ceilings

1. The surfaces of walls and ceilings of all rooms except dry supply storage shall be reasonably smooth, impervious, and of washable light color.

2. Dry supply storage room walls and ceiling construction shall be tight and designed to be easily cleaned.

3. The surfaces of all walls and ceilings shall be kept clean and in good repair. Storage rooms shall be kept free of dust and cobwebs.

D. Doors and Windows

1. All openings to the outside shall have solid tight-fitting doors.

2. Outside screen doors shall open outward. All doors used by the public and employees shall be self-closing.

3. All outside openings shall be screened. Mechanical devices may be used in lieu of screens subject to approval by the department. This paragraph does not apply to supply receiving and load-out doors while in use, providing they are kept closed at all other times.

4. All reasonable means shall be taken to minimize the entrance of insects, animals, birds, rodents, dust and vermin.

5. Windows, doors, screens and window ledges shall be kept clean and in good repair.

E. Lighting

1. Ample lighting shall be provided in all rooms.

2. Light bulbs, fixtures, skylights, or other glass suspended over exposed food in any step of preparation, shall be of the safety type or otherwise protected to prevent food contamination in case of breakage.

F. Ventilation

1. Adequate ventilation shall be provided to maintain all rooms free from strong and undesirable odors, smoke, dust and excessive condensation.

2. Permanently installed pressured ventilating and/or air conditioning equipment shall be equipped with filtered air intake. Piston type compressors shall be equipped with oil and moisture traps.

3. Bake ovens shall be properly vented to the outside and equipped with exhaust fans where necessary to remove smoke and odor. Fryers shall be properly hooded and vented to the outside and equipped with exhaust fans where necessary to remove smoke.

G. Water supply

1. The water supply shall be ample for operations and shall be obtained from a potable public or private supply. Hot and cold water under pressure shall be provided in all areas of the bakery where bakery products are prepared, processed or manufactured. Private water supplies shall be tested yearly.

2. There shall be no cross connections with other water supply systems unless approved by the department.

H. Toilet facilities

1. Adequate, conveniently located, flush-type toilet facilities shall be provided for the employees on the premises.

2. The doors of all toilet rooms shall be solid, tight, self-closing and shall not open directly into any rooms used for processing, packaging or selling bakery products.

3. The toilet room shall be ventilated to the outside, kept free of odors, clean and in good repair.

I. Dressing and locker room facilities

1. Dressing rooms and locker rooms where provided shall be kept clean and in good repair. Such rooms shall be separated from any bakery, manufacturing, packaging or sales rooms. Such rooms shall be provided with covered waste receptacles.

2. No employees shall store their clothing in any other area on the premises except in suitable lockers, closets or protected space provided for this purpose.

J. Handwashing facilities

1. Handwash facilities in good repair shall be provided for employees within or adjacent to toilet room and shall also be provided in or adjacent to manufacturing and sales rooms. Such facilities shall be equipped with hot and cold running water. Handwashing detergent or soap, and single-service sanitary towels or hot air blowers, shall be provided at handwashing facilities.

2. A sink used for washing equipment and utensils shall not be used as a place to wash hands after using toilet facilities.

3. Before beginning the work of preparing, mixing or handling the ingredients used in baking, and immediately after visiting the toilet or whenever hands become soiled for any other reason, every person shall thoroughly wash and dry his hands. Use of a common towel is prohibited.

4. A hand washing notice shall be posted in each toilet and dressing room.

K. Waste disposal

1. All plumbing shall be so designed and installed as to prevent contamination of the water supply through interconnections and back siphonage from fixtures, including dishwashing machines and sinks.

2. Equipment sufficient to prevent littering of premises with rubbish, garbage or other refuse or wastes shall be provided and maintained.

3. All liquid wastes resulting from cleaning and rinsing utensils and floors, from flush toilets, from lavatories, and from air conditioners shall be disposed of in a public sewer or by a method approved by the department.

4. All garbage and waste shall be stored in covered containers. Reusable containers shall be nonabsorbent, easily washable receptacles which are covered with close-fitting lids pending removal. Disposable containers and liners may be used. Removal of garbage and waste shall be frequent and the holding area shall be kept clean.

5. All garbage receptacles shall be washed and treated with a disinfectant, as needed, to prevent a nuisance.

L. Construction and repair of equipment

1. All utensils and equipment used in the manufacture and packaging of bakery products shall be made of smooth, nonabsorbent, nontoxic material. They shall be of such construction and design as to be easily cleanable and shall be kept in good repair.

2. Joints and seams shall be smooth and flush-welded or soldered.

M. Equipment and utensil cleaning and sanitizing facilities

1. A two compartment sink made of corrosion resistant material large enough to accommodate the utensils and equipment to be washed and rinsed therein and plumbed with hot and cold water under pressure shall be provided and located in or adjacent to the processing room.

2. All equipment and utensils, including counters, tables, refrigerators, ovens, hoods, racks, conveyors, proof box, etc., shall be kept clean and free from dust, dirt, insects and other contaminating materials.

3. Utensils used in handling potentially hazardous foods must be cleaned after each usage and sanitized prior to reuse.

4. Food contact surfaces of all equipment shall be cleaned daily and sanitized prior to usage, except for the following, which shall be cleaned as necessary to prevent contamination but need not be sanitized:

a. Flour sifters and proofers;

b. Flour handling equipment, conveyor belts, equipment housing, and structural surfaces that remain dry;

c. Bread pans, dough troughs, dividers, rounders, overhead proofers, cake tins and similar equipment and utensils.

5. Sanitization shall be accomplished by one of the following methods; (a) immersion for at least one-half () minute in clean, hot water at a temperature of at least 170 F; or (b) immersion for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypochlorite and at a temperature of at least 75F; or (c) immersion for at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a pH not higher than 5.0 and at a temperature of at least 75 F. Where both cleaning and sanitation are required, sanitation will follow cleaning. Utensils and product contact surfaces of equipment which cannot be immersed shall be sanitized by rinsing with one of the three solutions described in this paragraph.

6. Wash cloths and steel sponges shall not be used in cleaning equipment and utensils.

N. Storage and handling of equipment

1. After cleaning, utensils and equipment shall be stored in a clean, dry place, protected from insects, dust and any other contamination, and shall be handled in such manner as to prevent contamination of food contact surfaces.

2. Cleaned pans, receptacles and utensils shall be inverted or covered in a sanitary manner when not in use.

O. Refrigeration

1. Adequate refrigeration facilities of an approved type shall be provided for storage of frozen foods, potentially hazardous foods and perishable foods requiring refrigeration.

2. Perishable and potentially hazardous foods shall be stored at a temperature of 45 F or below.

3. Potentially hazardous foods shall be refrigerated at 45 F or below and protected from contamination.

4. Frozen foods shall be stored at a temperature of 0 F or below.

P. Storage of bakery product ingredients and supplies

1. Adequate storage facilities shall be provided to protect bakery product ingredients and supplies from contamination and/or spoilage.

2. Bulk bakery product ingredients may be stored in manufacturing rooms in properly constructed covered bins, cabinets or containers.

3. Bakery product ingredients and packaging supplies may be stored in manufacturing rooms in original containers provided that the storage area is sufficiently removed from bakery manufacturing and packaging areas so as to not interfere with these operations or create a sanitation hazard.

4. Packaged bakery products, ingredients, and packaging supplies shall be stored at least six (6) inches off the floor and eighteen (18) inches from any wall to facilitate cleaning and control of rodents and vermin.

5. The storage area shall be well lighted, dry, kept clean, and kept free of vermin.

6. Cleaning materials, pesticides, rodenticides, and other hazardous substances shall be stored in properly labeled containers in a closed cabinet outside manufacturing, packaging and retail sales rooms.

Q. Protection from contamination

1. All ingredients used in the preparation of bakery products shall be clean, wholesome, free from spoilage and properly stored so as to be protected from contamination.

2. No room of any bakery shall be used for domestic purposes.

3. No live animals or birds shall be permitted in any of the bakery rooms.

4. No tobacco shall be used in any form during the processing and baking of food.

5. Ice used in the preparation or cooling of bakery products must be from a potable water supply and shall be of safe and sanitary quality.

6. Adequate means for the elimination of flies and other insects shall be provided. The building shall be of rodent proof construction.

7. Effective measures shall be taken to protect containers, utensils, equipment and bakery products from possible contamination by insects and rodents and by chemicals used to control such vermin.

8. Only pesticides and rodenticides that are registered pursuant to the Maine Pesticide Control Act of 1975 , 7 MRSA, Sec. 601 to Sec. 624, shall be used in bakeries.

9. The bakery shall not be used for any other purposes than the manufacture and packaging of bakery products and the operations incident thereto, except as may be approved by the department as not detrimental to the processing of bakery products and public safety.

10. There shall be no public passageway thru the manufacturing room.

11. Immediate bakery surroundings shall be kept neat, clean, and free of rodent harborages and insect breeding areas.

12. In all new construction taking place after the effective date of this chapter, there shall be no exposed overhead drain or waste disposal piping, or any other piping which may cause a condensation problem, in the manufacturing room, retail salesroom, or rooms where bakery products and supplies are stored. Existing exposed piping in these rooms shall be protected where necessary to prevent possible contamination of bakery products.

R. Personnel - Cleanliness and health

1. All production employees shall wear clean, light colored clothing.

2. Head covering must be worn by all employees.

3. All employees must immediately wash hands and arms thoroughly before returning to work in manufacturing or sales rooms after visiting toilet or dressing room areas, or after hands or arms have become soiled.

4. All employees shall be free of communicable diseases, open sores, cuts or any sign of infection on hands and arms.

3. Labeling

All products packaged for self-service retail sales shall bear; (a) the common or usual name of the product; (b) ingredients in order of predominance; (c) net weight or numerical count; (d) name and address of manufacturer or distributor and zip code.

4. Licensing

A. Application and Fee. Application for approval for Bakeries (Commercial, Retail and Distributors) shall be filed annually with the Department of Agriculture, Conservation and Forestry. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages .In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding twelve months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B Inspection and Issuance. Before a license is issued or renewed the Department shall inspect the premises of the applicant.

The commissioner shall, within 30 days following receipt of application, issue a license to operate any food establishment which is found to comply with this chapter and any rules and regulations adopted by the commissioner. When any such applicant, upon inspection by the commissioner, is found not to meet the requirements of this chapter or regulations adopted hereunder, the commissioner is authorized to issue either a temporary license for a specified period not to exceed 90 days, during which time corrections specified by the commissioner shall be made by the applicant for compliance or a conditional license setting forth conditions which shall be met by the applicant to the satisfaction of the commissioner.

C. Display. Licenses issued to retail bakeries shall be displayed in a place visible to consumers or other persons using a licensed establishment.

History

• STATUTORY AUTHORITY: 10 MRSA, 2625, 22 MRSA, 2153, 2157.9B, 2167, 2168 and 2169.
• EFFECTIVE DATE: December 9, 1980
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: April 15, 2008
• AMENDED: September 21, 2008 – Section 4(A), filing 2008-429
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 342 Cider and Apple Juice

Code Me. R. 01-001 Ch. 342 Cider and Apple Juice {#sec-01-001-ch.-342 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 342}

SUMMARY: The purpose of this chapter is to set forth standards for production and labeling of apple cider and juice, and requirements for inspection and licensing of apple cider and juice plants.

I. Definitions. For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings:

A. “Adequate” means that which is needed to accomplish the intended purpose in keeping with good public health practice.

B. “Apple Cider and Apple Juice” means a beverage consisting of natural juice extracted from apples. Apple cider and apple juice may contain chemical preservatives.

C. “Clean” means free from foreign material.

D. “Critical Control Point” means a procedure or practice in food handling or preparation that will reduce, eliminate or prevent hazards. It is a step that eliminates microorganisms or a control step that prevents or slows their growth.

E. “Critical Limit(s)” means the upper and lower boundaries of food safety. If these boundaries are not adhered to, a food safety hazard can exist or develop in the future. These boundaries include time, temperature, water activity and acidity.

F. “Department” means the Maine Department of Agriculture, Conservation and Forestry.

G. “Dropped Apples” means apples that have dropped from trees and been in contact with the ground.

H. “Easily Cleanable” means constructed in a manner that is capable of being readily assembled and disassembled for cleaning and of such material and finish that residue can be effectively removed by normal cleaning methods.

I. “Food Contact Surfaces” means those surfaces of equipment and utensils with which apples, apple cider and apple juice come in contact, and those surfaces from which food may drain, drip, or splash back onto surfaces in contact with food.

J. “Good Manufacturing Practices” means processing in a planned, logical sequence to ensure that the facilities, methods, practices and controls to process apple cider and juice are safe, and the finished product has been processed under sanitary conditions.

K. “HACCP” means Hazard Analysis Critical Control Point, it is a food safety control system based on technical and scientific principles that assure safe food. The system is designed to identify and control potential problems before they occur. It provides the framework for monitoring the total food system from harvesting to consumption.

L. “HACCP Plan” means a written document that delineates the formal procedures for following the Hazard Analysis Critical Control Point principles and is approved by the Department for apple cider and juice production.

M. “Hazard” means a biological, chemical, or physical condition that may cause a health hazard.

N. “Monitoring” means written records documenting observations of conditions and practices during processing designed to ensure product safety.

O. “Pasteurization” means the process of heating every particle of apple cider or juice to a temperature and length of time that destroys pathogenic microorganisms in equipment that is maintained and operated in accordance with manufacturer’s specifications and otherwise in a manner suitable for its purpose.

P. “Plant” means any building or part thereof used for the manufacturing, processing, bottling, labeling or, storage of cider and apple juices prior to being placed in commerce.

Q. “Principal Display Panel” means that part, or those parts of a product label designed to be displayed and examined under normal conditions of display at retail markets.

R. “Sanitary” means promoting health and healthful conditions by the elimination of dirt and agents of infection or disease.

S. “Sanitized” means the application of heat or chemicals after the cleaning of a food contact surface that are sufficient to destroy pathogenic microorganisms that might result in disease.

T. “Sound” means free of decay.

U. “Ultraviolet Light” means non-thermal treatment of apple cider by pumping the cider past ultraviolet light(s) in equipment that is designed to destroy pathogenic microorganisms and is operated and maintained in accordance with manufacturer’s specifications and otherwise in a manner suitable for its purpose.

V. “Warewashing” means the cleaning and sanitizing of food contact surfaces of equipment and utensils.

II. Acceptable Processing Methods and Controls

A. Processors of apple juice and cider must use one of the following processes:

(1) Pasteurization;

(2) Treatment by ultraviolet light;

(3) Production under a State of Maine approved HACCP plan; or

(4) Production in a sanitary environment and conspicuously labeled “Not Pasteurized, Keep Refrigerated”, and “WARNING: This product has not been pasteurized. It may contain harmful bacteria that can cause serious illness in children, the elderly, and persons with weakened immune systems” on the principal display panel of the label.

B. Apple cider or apple juice shall be pressed, squeezed or extracted from clean, sound apples that have been carefully inspected and sorted to remove defects.

C. All apple cider or apple juice, immediately after being pressed, squeezed or extracted, shall be rapidly chilled in either refrigerated holding tanks or bottled and refrigerated so that the product does not remain above 41 degrees Fahrenheit for a total of more than four (4) hours. Apple cider and apple juice shall be stored until the time of retail sale at internal temperatures of 41 degrees Fahrenheit or less.

D. Production records shall be maintained that state the date of manufacturer, product name, product size, units produced, and product code. Production records shall be accessible to the Department upon request.

E. All apple cider or apple juice processors shall have a written plan that outlines a system of product recall in case of food borne illness or injury.

F. The cap or other closing mechanism of any cider container shall be tamper evident, which means it would be readily apparent to the consumer if it had been previously opened.

G. Unauthorized persons shall not be permitted in processing areas of the plant unless during an authorized tour with predetermined controls.

H. Use of Dropped Apples. Dropped apples may be used for processing into apple cider or apple juice, provided that all the following conditions have been met:

(1) Dropped apples shall be washed and brushed with potable water or water that has been treated with a substance or method that renders it safe for cleaning fruit prior to processing into apple cider and apple juice;

(2) No animal manure shall be deposited in orchards from which dropped apples will be collected for use in apple cider and apple juice;

(3) Livestock shall not be pastured in orchards from which dropped apples will be collected for use in apple cider and apple juice; and

(4) Non-pasteurized or non-ultraviolet light treated apple cider and juice produced with dropped apples must be labeled with the warning label required in Section six (VI) of this regulation.

I. Prohibition on the use of Dropped Apples in certain cases. Dropped Apples may not be used for processing into apple cider by processors pressing under a State of Maine approved HACCP Plan. To satisfy the requirements of operating under the HACCP plan the following additional requirements must be met:

(1) HACCP plans must be pre-approved by the Department;

.

(2) Processors must sign and file forms prescribed by the Department stating that they will not use dropped apples; and

(3) Processors must adhere to good manufacturing practices.

III. Construction and Design OF PLANTS

A. Floors at all plants shall be smooth and easily cleanable and made of concrete, tile or a substance impervious to water. All floors must be properly trapped and sloped to drains with an adequate slope to facilitate the removal of standing water.

B. Walls and ceilings at all plants shall be constructed of impervious smooth material so to be readily cleanable. They shall be kept clean and in good repair. Floor and wall junctures shall be effectively sealed.

C. Exterior openings at all plants shall be protected by the following measures:

(1) Filling or closing holes and other gaps along floors, walls and ceilings;

(2) Closed, tight fitting windows;

(3) Solid self closing, tight-fitting doors; and/or

(4) 16 mesh or 25.4 mm (16 mesh to 1 inch) screens on windows and doors.

D. Light bulbs, fixtures, skylights, or other glass at all plants suspended over any exposed food in any step of preparation or storage, shall be of the safety type or otherwise protected to prevent food contamination in case of breakage.

IV. CONSTRUCTION / MAINTENANCE OF GROUNDS AND Premises

A. The grounds around all plants shall be reasonably clean and well drained, free from any materials or conditions that attract rodents birds or insects and free from other nuisances and sources of contamination. Manure shall not be allowed within 100 feet of the plant. Manure stored or spread in the area shall be managed in such a manner that there is no risk of contamination of ground water, apples or the plant.

B. No pumice shall be stored within fifty feet of a plant. Pumice storage and disposal in the vicinity shall be undertaken in a sanitary manner.

C. Sewage and waste water from any plant shall be disposed in a sanitary manner into a lawfully operated private or public system.

V. Equipment and Utensils

A. Plant equipment and utensils shall be adequate for their intended use. All press racks shall be:

(1) Made of hardwood or food grade plastic or stainless steel;

(2) Cleaned and sanitized each day of use; and

(3) Stored off the floor at all times.

B. Utensils and all food-contact surfaces of equipment and storage containers shall be made of materials and maintained so as to prevent the absorption of food or other substances or the imparting of colors, odors, or tastes to apple cider or apple juice. All such surfaces shall be:

(1) Safe;

(2) Durable, corrosion resistant;

(3) Sufficient in weight and thickness to withstand repeated warewashing;

(4) Finished to have a smooth, easily cleanable surface;

(5) Resistant to pitting, chipping, crazing, scratching, scoring, distortion, and decomposition; and

(6) Containing none of the following:

(a) Copper;

(b) Galvanized metal;

(c) Metal soldered with solder or flux containing in excess of .2 percent lead; or

(d) Any other substance which might damage or affect the color, flavor, marketability, edibility, purity, or safety of apple juice or cider.

C. Equipment and utensils shall be designed, constructed, used and maintained so as to be durable and in accordance with manufacturer’s specifications and otherwise in a manner suitable for their purpose. All food contact surfaces shall be:

(1) Smooth;

(2) Free of breaks, open seams, cracks, chips, pits, and similar imperfections;

(3) Free of sharp internal angles, corners, and crevices;

(4) Finished to have smooth welds and joints; and

(5) Accessible for cleaning and inspection by one of the following methods:

(a) Without being disassembled;

(b) By disassembling without the use of tools; or

(c) By easy disassembling with the use of hand held tools commonly available to maintenance and cleaning personnel such as screwdrivers, pliers and common wrenches.

D. Equipment food contact surfaces and utensils shall be kept clean, free of encrusted matter and other accumulations, clean and in sanitary condition at all times.

E. Non food-contact surfaces of equipment shall be kept free of any accumulation of dust, dirt, food residue or other material.

F. All utensils and food contact surfaces of equipment shall be cleaned and sanitized prior to use and following any interruption during which such utensils and contact surfaces may become contaminated. Where such equipment and utensils are used in a continuous production operation, the contact surfaces of such equipment and utensils shall be cleaned and sanitized on a predetermined schedule Where such equipment and utensils are used for custom pressing, it shall be cleaned and sanitized between custom and commercial pressing.

G. Before processing begins, all equipment and utensils shall be treated with a sanitizer of adequate strength as specified in Section IX F of the regulation.

H. All filter cloths shall be hand or mechanically washed and sanitized and dried after each day’s press. A washing machine used for this purpose shall be used for no other purpose; the use of a household washing machine or a commercial Laundromat for the washing of filter cloths is prohibited. The drying of filter cloths shall be done in a manner that precludes the contamination from pests or other foreign materials. Clean filter cloths shall be stored in a sanitary manner to prevent contamination.

I. All containers, other than new containers used for apple cider or apple juice shall be thoroughly washed, sterilized and rinsed with potable water before being filled. Washing and sterilization shall be done in an automatic washer of the type used in carbonated beverage plants. Such containers shall be exposed to a 3 ½ alkali solution of which not less than 60% is caustic ( such as sodium hydroxide) for a period of not less than five minutes at a temperature of not less than 120 degrees.

J. Apple cider and juice containers and caps shall be:

(1) New; or clean and sanitary; and

(2) Stored off the floor and otherwise in a manner that prevents contamination.

VI. Labeling

A. Mandatory labeling. Each container shall bear:

(1) The name of the product;

(2) The name of any chemical preservative used followed by the words “Chemical Preservative(s)”;

(3) The volume of the net contents;

(4) Name, address and zip code of manufacturer or distributor;

(5) A code permanently placed on each container or label for purposes of tracing the product to the place and date of manufacture.

B. Apple cider or apple juice that is not pasteurized, not treated by ultraviolet light(s), or pressed under a HACCP plan shall be conspicuously labeled:

(1) “Not Pasteurized;

(2) “Keep Refrigerated”; and

(3) “WARNING: This product has not been pasteurized. It may contain harmful bacteria that can cause serious illness in children, the elderly, and persons with weakened immune systems” on the principal display panel of the label.

C. Permissive Labeling: Apple cider or apple juice that is pasteurized or treated with ultra violet light may state that fact on the principal display panel of the label.

VII. Licensing / INSPECTION

A. No person, firm or corporation may operate a plant unless licensed for that purpose by the Department. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages . In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding twelve months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B. Applications for licenses and renewals for cider and apple juice plants shall be filed annually on forms prescribed by the Department.

C. Before an initial license is issued the Department shall inspect the plant to determine compliance with these regulations. Before a license is renewed the Department may conduct an inspection to determine compliance with these regulations.

VIII. Personnel

A. No person suffering from any communicable or contagious disease shall be employed in or about an establishment where apple cider or apple juice is produced or bottled.

B. Personnel shall wear clean hair restraints and outer garments and remove unsecured jewelry when working in the processing or bottling areas.

C. There shall be no eating, gum chewing, or use of tobacco in any form in food processing or bottling areas.

D. Personnel shall wash hands thoroughly in an adequate hand washing facility before starting work, after each absence from the work station, and after any other time when the hands have become soiled or contaminated.

IX. Sanitary Facilities and Controls

A. The water supply shall be ample for all operations and shall be obtained from a potable public or private supply. Private water supplies shall meet State standards for non-community water systems. Private water supplies shall be tested annually within 60 days prior to the start of production for bacteria, nitrites, and nitrates. No water supply will be used that shows contamination levels above those allowed by State standards for non-community water systems.

B. Hot and cold running water under pressure shall be provided in all areas of the plant. Hot water generation and distribution systems shall be sufficient to meet the peak hot water demands throughout the plant.

C. A minimum of a two bay warewash sink shall be required in existing plants for washing equipment and utensils. Warewash sinks shall be designed with drain boards or drain racks.

D. Modification of plumbing in existing plants or construction of new plants shall require the installation of a three bay sink.

E. Detergent and sanitizing agents used shall be effective and safe for use in food processing facilities for appropriate applications, properly stored and labeled and otherwise handled so as not to contaminate food, food contact surfaces or apple cider and juice containers and caps.

F. Where both cleaning and sanitation are required, sanitation shall follow cleaning.

G. Chemical test strips shall be available and used to measure chemical sanitizer concentrations.

H. Sanitation of the plant and food contact surfaces shall be accomplished by one of the following methods:

(1) Immersion, spraying or rinsing for at least one-half (1/2) minute in clean, hot water at a temperature of at least 170° F; or

(2) Immersion, spraying or rinsing for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypochlorite and at a temperature of at least 75° F; or

(3) Immersion, spraying or rinsing at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a pH not higher than 5.0 and at a temperature of at least 75° F.

I. Toilets shall be adequate for the number of employees and shall have self-closing doors not opening directly into food processing areas. Toilets shall be properly vented to the outside by means of a mechanical vent or window. Toilet and hand washing facilities shall be maintained in a clean and sanitary condition.

J. Hand wash facilities shall be adequate and conveniently located to the toilet and food processing areas. Hand wash signs shall be posted.

K. Soap or detergent and paper towels or other one-use drying devices and covered waste receptacles shall be provided at all times.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §543-A, 10 M.R.S.A. §§ 2625-2629, 22 M.R.S.A. §§ 2153, 2154, 2167-2169
• EFFECTIVE DATE: December 9, 1980
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: September 1, 1999 -- also converted to MS Word
• AMENDED: September 21, 2008 – filing 2008-430, Section VII(A)
• CORRECTIONS: February, 2014 – agency names, formatting
• APAO ACCESSIBILITY CHECK: January 7, 2026 (no issues detected by agency)

Chapter 343 Food Processing and Manufacturing

Code Me. R. 01-001 Ch. 343 Food Processing and Manufacturing {#sec-01-001-ch.-343 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 343}

SUMMARY: The purpose of this chapter is to set forth standards for licensing and regulations for food manufacturing and processing establishments, including shellfish processing.

1. Definitions

For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

A. “Adequate" means that which is needed to accomplish the intended purpose in keeping with good public health practice.

B. “Building" means the building or buildings or parts thereof, used for or in connection with, the manufacturing, processing, packaging, labeling or holding of human food.

C. “Corrosion resistant material" means those materials that maintain their original surface characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and bactericidal solutions, and other conditions of the environment.

D. “Department" means the Maine Department of Agriculture, Conservation and Forestry.

E. “Easily cleanable" means readily accessible and of such material and finish and so fabricated, that residues may be completely removed by usual cleaning methods.

F. “Food" means any article used or intended to be used by human beings for food, drink, confection or condiment, whether simple or compound or any part or ingredient thereof or the preparation thereof.

G. “Food contact surfaces" means those surfaces of equipment and utensils with which food normally comes in contact.

H. “Food processing and manufacturing" means an establishment in which food is processed or otherwise prepared and packaged for human consumption.

I. “Perishable food" means any food of such type or in such condition or physical state as it may spoil or otherwise become unfit for human food.

J. “Potentially hazardous food" means any perishable food which consists in whole or in part, of milk or milk products, eggs, meat, poultry, fish, shellfish or other ingredients capable of supporting rapid and progressive growth of infectious or toxigenic microorganisms.

K. “Safe temperatures" as applied to potentially hazardous food means air temperature of 45 F or below and 140 F or above.

L. “Sanitary" means that all buildings, equipment, and utensils shall be suitable for their intended use, so designed and of such material and workmanship as to be adequately cleanable and properly maintained.

M. “Wholesome" means food in sound condition, clean, free from adulteration and otherwise suitable for human consumption.

2. Premises

The grounds of the outer building or buildings shall be reasonably clean and well drained, free from any materials or conditions that create rodent, bird and/or insect harborages and free from other nuisances and sources of contamination.

3. Plant Construction and Design

A. Floors, walls and ceilings shall be constructed so as to be readily cleanable and shall be kept clean and in good repair.

B. Fixtures, ducts, pipes shall not be suspended over working areas in a manner whereby drip may contaminate foods, raw materials or equipment.

C. Operations which may cause cross-contamination with bacteria, molds, toxic chemicals, filth, or the like shall be separated by partitions or located in different parts of the plant.

D. Adequate lighting shall be provided where food or food ingredients are stored, processed or examined. Where equipment or utensils are washed, and in handwashing areas, dressing and locker rooms and toilets.

E. Light bulbs, fixtures, skylights, or other glass suspended over exposed food in any step of preparation, shall be of the safety type or otherwise protected to prevent food contamination in case of breakage.

F. Adequate ventilation shall be provided to eliminate objectionable odors and vapors, including steam, and constructed in such a manner as to avoid possible airborne contamination.

G. Adequate facilities for employees to eat lunches and hang clothing to prevent food contamination or contamination of food contact surfaces.

H. Adequate screening, where necessary, shall be provided to exclude birds, dogs, flies and other vermin and rodents.

4. Equipment and Utensils

A. Equipment and utensils shall be adequate for their intended use.

B. Equipment and utensils shall be designed and constructed to enable easy cleaning and maintenance.

C. Equipment shall not contaminate food with lubricants, fuel, metal fragments, contaminated water and the like.

5. Cleaning and Sanitization of Food Contact Surfaces

A. All equipment and utensils shall be maintained in a sanitary condition through cleaning at frequent intervals to prevent contamination of food and food products.

B. Suitable facilities for cleaning equipment and utensils shall be provided at convenient locations.

C. All food contact surfaces shall be cleaned and sanitized prior to use and following any interruption during which such utensils and contact surfaces may have become contaminated. Where such equipment and utensils are used in a continuous production operation, the contact surfaces of such equipment and utensils shall be cleaned and sanitized on a predetermined schedule using adequate methods for cleaning and sanitizing. Sanitizing agents shall be effective and safe under conditions of use.

D. Sanitization shall be accomplished by one of the following methods; (1) immersion for at least one-half () minute in clean, hot water at a temperature of at least 170 F; or (2) immersion for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypochlorite and at a temperature of at least 75 F; or (3) immersion for at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a pH not higher than 5.0 and at a temperature of at least 75 F. Where both cleaning and sanitation are required, sanitation shall follow cleaning. Utensils and product contact surfaces of equipment which cannot be immersed shall be sanitized by rinsing with one of the three solutions described in this paragraph.

E. All cleaned and sanitized portable equipment and utensils shall be stored above the floor in a clean and dry location in such a manner that all food contact surfaces are protected from splash, dust or other contamination.

6. Sanitary Operations and Controls

A. The water supply shall be ample for operations, and shall be of safe and sanitary quality. Water may be drawn from a public or private supply. Private water supplies shall be tested yearly.

B. Hot and cold running water under pressure shall be provided in all areas where foods are processed. Only a two bay sink made of corrosion resistant material shall be used for washing equipment and utensils.

C. Sewage disposal shall be made into a public sewerage system or into an adequate private sewerage system.

D. Adequate floor drains shall be provided in areas where floors are subjected to flooding type of cleaning or where there is release or discharge of water or waste onto the floor.

E. Toilets shall be adequate for the number of employees and have self-closing doors not opening directly into any rooms used for processing or packaging. Handwashing facilities shall be adequate and conveniently located in relation to the toilet and food processing area. Soap or detergent, and paper towels or other one use drying devices, shall be provided at all times. Toilet and handwashing facilities shall be maintained in a clean and sanitary condition. Handwash signs shall be posted. The toilet room shall be ventilated to the outside, kept free of odors, clean and in good repair.

F. Offal and rubbish shall be conveyed, disposed of or stored in such a manner as to minimize the development of odor, prevent waste from becoming an attractant, harborage or breeding place for vermin and flies and prevent contamination of food, food contact surfaces and water supply.

G. Effective measures shall be taken to protect against contamination of food in or on the premises by cats, dogs. birds, rodents or insects.

H. Buildings, fixtures and other physical facilities shall be kept in good repair and maintained in an orderly, sanitary condition at all times.

I. Cleaning operations shall be conducted in such a manner as to minimize food contamination or the contamination of food contact surfaces.

J. Only detergents, disinfectants and other cleaning supplies contained in the current List of Chemical Compounds, Authorized for use under U.S.D.A. Inspection and Grading Programs shall be used in food manufacturing and processing facilities. Such detergents, disinfectants, and cleaning supplies shall be used only for their approved purposes as noted in the List.

7. Processes and Controls

A. Raw materials and ingredients received in bulk or enclosed containers shall be inspected on receipt and segregated as necessary to assure that they are clean, wholesome and fit for processing into human food. They shall be stored under conditions which will protect against contamination and deterioration.

B. Containers and carriers of raw materials shall be inspected on receipt to assure that their condition has not contributed to contamination or deterioration of the product.

C. Any ice used in contact with the product shall be made from potable water and manufactured in accordance with adequate standards. It shall be stored, transported and handled in a sanitary manner.

D. Food processing areas and equipment used for the processing of human food shall not be used in the processing of animal feed or inedible products unless such use cannot result in the contamination of human food.

E. Processing equipment shall be maintained in a sanitary condition through frequent cleaning and shall be sanitized where necessary.

F. Chemical, microbiological or extraneous testing procedures shall be utilized where necessary to identify sanitation failures or food adulterants.

G. Packaging processes or materials shall not transmit contaminants or objectionable substance to the product.

H. Processors and manufacturers shall keep records and code products so as to enable them to identify specific food lots affected by contamination, spoilage or by sanitation failure and shall separate each lot from non-affected.

I. Finished products shall be stored and transported under conditions which will preclude all contamination and protect against deterioration of the product and the container.

8. Personnel

A. Employees shall wear clean outer garments and maintain a high degree of personal cleanliness, and wear hair nets, headbands, caps or effective hair restraints, in processing and manufacturing areas.

B. Remove all jewelry, excepting wedding rings but including wrist watches, during periods in which food components are manipulated by hand.

C. Wash hands thoroughly in an adequate handwashing facility before starting work, after each absence from work station, and after any other time when the hands have become soiled or contaminated.

D. Maintain gloves used in food handling in an intact, clean and sanitary condition. Such gloves shall be of an impermeable material except where their usage would be inappropriate or incompatible with the work involved.

9. Tobacco

No person shall use tobacco in any form in food processing, food handling and equipment/utensil washing areas.

10. Licensing

A. Application and Fee. Application for approval of Food Processing And Manufacturing establishments shall be filed annually with the Department of Agriculture, Food and Conservation and Forestry. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages .In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding twelve months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B. Inspection and Issuance. Before a license is issued or renewed the Department shall inspect the premises of the applicant.

The commissioner shall, within 30 days following receipt of application, issue a license to operate any food establishment which is found to comply with this chapter and any rules and regulations adopted by the commissioner. When any such applicant, upon inspection by the commissioner, is found not to meet the requirements of this chapter or regulations adopted hereunder, the commissioner is authorized to issue either a temporary license for a specified period not to exceed 90 days, during which time corrections specified by the commissioner shall be made by the applicant for compliance or a conditional license setting forth conditions which shall be met by the applicant to the satisfaction of the commissioner.

C. Display. Licenses issued shall be displayed in a place visible to consumers or other persons using a licensed establishment.

D. Warehouses within the food processing and manufacturing establishments shall comply with 01-001 CMR Chapter (Food Storage Warehouse), but only one fee need be paid.

History

• STATUTORY AUTHORITY: 22 MRSA 2167, 2168 and 2169
• EFFECTIVE DATE: December 9, 1980
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: April 15, 2008
• AMENDED: September 21, 2008 – Section 10(A), filing 2008-431
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 344 Food Storage Warehouses

Code Me. R. 01-001 Ch. 344 Food Storage Warehouses {#sec-01-001-ch.-344 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 344}

SUMMARY: The purpose of this chapter is to set forth standards for licensing and regulations for food storage warehouses.

1. Definitions

For purposes of this chapter, and unless the context otherwise indicates, the following words shall have the following meanings.

A. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

B. "Food" means articles used for food or drink for man, chewing gum, and articles used for components of any such article.

C. "Food storage warehouse" means any building, establishment or place where food is stored as a commercial venture or business, or is stored in connection with or as a part of a business. Notwithstanding the foregoing, "food storage warehouse" does not include a storage facility for one kind of native produce such as an apple warehouse, potato warehouse, or carrot warehouse; a warehouse which is part of a "beverage plant" as defined in 32 MRSA §1751; a person's home or dwelling; or an eating establishment as defined in 22 MRSA §2491.7.

D. "Hazardous substance" mans any substance or mixture of substances which is toxic, corrosive, an irritant, strong sensitizer, flammable or which generates pressure through decomposition.

E. "Operator" means any person, partnership, corporation, association, cooperative or other business unit having the direct and primary responsibility for the construction, maintenance and operation of a food storage warehouse.

F. "Perishable food" means any food of such type or in such condition or physical state as it may spoil or otherwise become unfit for human consumption.

G. "Potentially hazardous food" means any perishable food which consists in whole or in part of milk or milk products, eggs, meat, poultry, fish, shellfish or other ingredients capable of supporting rapid and progressive growth of infectious or toxigenic microorganisms.

H. "Safe temperatures" as applied to potentially hazardous food means air temperature of 45( F or below and 140( F or above.

I. "Wholesome" mans food in sound condition, clean, free from adulteration and otherwise suitable for human consumption.

2. Lighting and Ventilation

A. All parts of the food storage warehouse shall be lighted so as to permit the activity for which the premises are used to be carried on safely and to permit effective cleaning and inspection of the premises. Safety shields on lights or safety type lights shall be used where needed for the protection of food storage.

B. Where needed, rooms shall have sufficient ventilation to prevent any undue condensation of water vapor or objectionable odors.

3. Dry Storage; Construction and Maintenance

A. Floors shall be constructed of easily cleanable and reasonably smooth material. They shall be kept clean and in good repair.

B. Walls and ceiling shall be of sound construction. They shall be kept reasonably free of dirt, dust, cobwebs and in good repair.

4. Cold Storage

A. Each cold storage room shall be equipped with an accurate and easily visible thermometer with the sensing element at least five feet above the floor.

B. Perishable and potentially hazardous foods shall be stored at safe temperatures.

C. All frozen food shall be stored at an air temperature of 0( F or below except for defrost cycles, loading and unloading, or for other temporary conditions beyond the immediate control of the person or company under whose care or supervision the frozen food is stored. However, the internal product temperature of all frozen food shall be maintained at 0(F or below except when the product is subjected to the above-mentioned conditions; at such times the internal product temperature shall not exceed 10( F and such product shall be returned to 0( F as quickly as possible.

D. Floors shall be constructed of material that can be easily kept clean, sanitary and in good repair.

E. Walls and ceiling shall be reasonably smooth, and be kept clean and in good repair.

F. During defrosting of overhead coils in cold storage rooms, stored food shall be effectively protected from contamination by condensation, drip or leakage.

5. Protection of Stored Foods

A. The operator shall take all reasonable measures to protect the area where food is kept or stored in a food storage warehouse against the entrance into the establishment, and the breeding or presence on the premises, of rodents, birds, flies, roaches, weevils, and other vermin.

B. No dogs, cats, fowl, birds, or any other type animal shall be permitted in a food warehouse establishment.

C. When in use, rodenticides shall be placed in covered bait boxes where necessary as to prevent spillage or possible contamination of stored food and danger to employees. The bait boxes shall be properly labeled with a warning notice. All rodenticide baits shall be applied in such manner as to prevent contamination of stored food products.

D. All pesticides and rodenticides used for control of vermin shall be registered pursuant to the Maine Pesticide Control Act of 1975, 7 MRSA §601 to §624, and applied in such manner as to protect stored foods from contamination and be applied in accordance with labeled instruction.

E. Cleaning materials, pesticides, rodenticides or any other such hazardous substances used in the operation of a warehouse shall be stored in properly labeled containers in a closed closet or cabinet in a separate area from food products.

F. When a licensed pest control service is employed, it shall file at the warehouse a diagram of the bait station locations and the rodenticide in use. The operator may designate an employee to be responsible for the pest control program being used.

G. No overhead waste drain pipes or other overhead piping shall be used which presents a risk of contamination to foods stored below due to excess condensation. Protective shields may be used to eliminate this risk.

H. Storage methods shall be used which will minimize deterioration and prevent contamination of stored food products. Shelves, cabinets, dunnage and pallets shall be used where necessary to protect stored food products from contamination or deterioration.

I. Skids or pallets shall provide a minimum of 6" clearance above the floor to facilitate cleaning and for movement of air in refrigerated storage areas.

J. Merchandise stored on skids or pallets shall be at least 18" away from any wall.

K. Construction of shelving, cabinets and storage methods used shall be such as to permit ready access for cleaning and sanitary inspection.

L. Bagged animal feeds shall be stored so as not to be intermingled with the storage of human food products. Storage on separate pallets is acceptable.

6. Morgue

A. The operator of a food storage warehouse shall provide an area for the accumulation and holding of all damaged foods or foods which are or may be unwholesome.

B. The operator shall maintain a program of timely and proper disposal of unwholesome food to prevent development of unsanitary conditions or vermin breeding places and rodent harborage.

7. Toilet and Handwashing Facilities

A. The warehouse shall be provided with conveniently located toilets and shall be kept clean and in good repair. The toilet room shall be completely enclosed, well lighted and equipped with a tight, self-closing door. Any window opening shall be screened to prevent entrance of insects.

B. Handwashing facilities shall be adequate and conveniently located in relation to toilet areas. Soap or detergent, and paper towels or other one-use drying devices shall be provided at all times. Handwashing facilities shall be kept clean and in good repair.

C. A sign directing employees to wash their hands before returning to work shall be posted in all toilet rooms.

8. Waste Disposal

A. All liquid waste resulting from cleaning floors, equipment, flushing toilets, handwashing facilities, refrigeration equipment and air conditioners shall be disposed of in a sanitary manner.

B. Containers shall be provided for trash or rubbish.

C. The warehouse shall be free of unnecessary litter and rubbish, such as paper, empty containers, or other material that might serve as a place for harborage of rodents or other vermin.

D. All garbage and waste shall be stored in covered containers. Reusable containers shall be nonabsorbent, easily washable receptacles which are covered with close-fitting lids pending removal. Disposable containers and liners may be used. Removal of garbage and waste shall be frequent and the holding area shall be kept clean.

E. All garbage and rubbish shall be disposed of at regular intervals of sufficient frequency and in such manner as to prevent the creation of unsanitary conditions.

9. Exterior Construction

A. The exterior of a food storage warehouse shall be so designed, fabricated and finished to minimize the entrance of insects, birds and rodents.

B. All necessary ventilation louvers or openings into food storage warehouse shall be effectively screened against insects, birds and rodents.

C. All service connections through the exterior wall of the establishment, including water, gas, electrical and refrigerator connections shall be grommeted or sealed to prevent the entrance of insects, birds and rodents.

10. Surroundings

The outer premises of the food storage warehouse shall be reasonably clean and well drained, free from any material or condition that creates rodent, bird and/or insect harborages and free from other nuisances and sources of contamination.

11. Transportation

All cars, trucks or other vehicles used in the transportation of processed food products shall be kept in a clean condition at all times. Refuse, dirt and waste products subject to decomposition shall be removed daily. Food products shall be handled in such a manner so as to protect all food from deterioration while in transit. Foods while in transit shall be protected in such manner as to preclude being contaminated by hazardous substances.

12. Licensing

A. Application and Fee. Application for approval for Food Storage Warehouses shall be filed annually with the Department of Agriculture, Conservation and Forestry. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages. In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding twelve months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B. Inspection and Issuance. Before a license is issued or renewed the Department shall inspect the premises of the applicant.

The commissioner shall, within 30 days following receipt of application, issue a license to operate any food establishment which is found to comply with this chapter and any rules and regulations adopted by the commissioner. When any such applicant, upon inspection by the commissioner, is found not to meet the requirements of this chapter or regulations adopted hereunder, the commissioner is authorized to issue either a temporary license for a specified period not to exceed 90 days, during which time corrections specified by the commissioner shall be made by the applicant for compliance or a conditional license setting forth conditions which shall be met by the applicant to the satisfaction of the commissioner.

History

• STATUTORY AUTHORITY: 22 MRSA §§ 2167, 2168 and 2169
• EFFECTIVE DATE: December 9, 1980
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• AMENDED: September 21, 2008 – Section 12(A), filing 2008-432
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 344 page 6

Chapter 345 Home Food Manufacturing

Code Me. R. 01-001 Ch. 345 Home Food Manufacturing {#sec-01-001-ch.-345 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 345}

SUMMARY: The purpose of this chapter is to set forth standards for licensing and regulations for home food manufacturing, including shellfish processing.

1. Definitions

For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

A. "Corrosion resistant material" means those materials that maintain their original surface characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and bactericidal solutions, and other conditions of the environment.

B. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

C. "Food contact surfaces" means those surfaces of equipment and utensils with which food comes in contact, and those surfaces from which food may drain, drip, or splash back onto surfaces normally in contact with food.

D. "Food" means articles used for food or drink for man, chewing gum and articles used for components of any such article.

E. "Home food manufacturing" means an establishment in the home in which food is processed or otherwise prepared and packaged for human consumption and offered for sale directly to the consumer or through other distribution methods.

F. "Kitchen" means a room, place or equipment for the preparation and cooking of food.

G. "Potentially hazardous foods" means any perishable food or food product which consists in whole or in part of milk or any other ingredient capable of supporting rapid and progressive growth of infectious and toxigenic microorganisms including, but not limited to, cream fillings. in pies, cakes or pastries; custard products; meringue topped bakery products; or butter cream type fillings in bakery products.

2. Premises

A. The grounds of the outer premises of the home shall be reasonably clean and well drained, free from any materials or conditions that create rodent, bird and/or insect harborages and free from other nuisances and sources of contamination.

B. Sewage and waste water shall be disposed of in a sanitary manner.

3. Kitchen Construction and Design

A. Food preparation shall be done only in an area which will assure the production of a wholesome, uncontaminated product.

B. All doors and windows in the preparation area shall be provided with screens.

C. Floors shall be smooth and kept in a clean and sanitary condition at all times.

D. Walls and ceilings shall be constructed so as to be readily cleanable. They shall be kept clean and in good repair.

E. All food contact surfaces shall be of a nonabsorbent, corrosion resistant material such as stainless steel, formica, or other chip resistant, nonpitted, surface.

4. Equipment and Utensils

A. Equipment and utensils shall be adequate for their intended use.

B. Equipment shall be designed to prevent food contamination.

C. Equipment and utensils shall be kept in a clean, sanitary condition at all times.

5. Sanitary Facilities and Controls

A. There shall be an adequate supply of hot and cold water under pressure. A two bay sink made of corrosion resistant material shall be used. These facilities shall be provided in or adjacent to the food preparation area.

B. Private water supplies shall be tested yearly.

C. The food contact surfaces of all equipment and utensils shall be sanitized as necessary to prevent contamination. Sanitization shall be accomplished by one of the following methods; (1) immersion for at least one-half (() minute in clean, hot water at a temperature of at least 170( F; or (2) immersion for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypochlorite and at a temperature of at least 75( F; or (3) immersion for at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a Ph not higher than 5.0 and at a temperature of at least 75(F. Utensils and product contact surfaces of equipment which cannot be immersed shall be sanitized by rinsing with one of the three solutions described in this paragraph.

D. Toilet facilities shall be maintained in a sanitary condition and kept in good repair. In all new construction, doors shall not open directly into the food preparation area.

E. No animals or birds or uncontrolled children shall be allowed in the food preparation area.

F. Provision shall be made for proper disposal of waste in covered, fly tight, metal or plastic containers.

G. No tobacco shall be used in any form during the processing of food.

6. Food Protection

A. Potentially hazardous foods shall be refrigerated at a temperature of 45( F or below. Frozen foods to be kept at a temperature of 0( F or below.

B. All food products shall be wrapped, or if unwrapped, covered by an enclosed display case or jar with cover.

C. Only new glass containers, or home canning glass containers designed and intended for reuse, shall be used for the packaging of foods that are offered for sale. Reusable containers shall be sanitized prior to reuse. Seals shall not be reused.

D. Home canned foods that require pressure cooking for sealing shall not be sold.

7. Labeling

When products are sold to stores, sold wholesale for further distribution, or retailed by any manner of public marketing, each individual item shall bear a label showing;

A. The common or usual name of the product.

B. Ingredients in order of predominance.

C. Net weight or numerical count.

D. The name and address of the producer, manufacturer or distributor and zip code.

When sold directly to a consumer from the home, the product does not require a label.

8. Licensing

A. Application and Fee. Application for approval for Home Food Manufacturing shall be filed annually with the Department of Agriculture, Conservation and Forestry. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages. In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding twelve months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B. Inspection and Issuance. Before a license is issued or renewed the Department shall inspect the premises of the applicant.

The commissioner shall within 30 days following receipt of application, issue a license to operate any food establishment which is found to comply with this chapter and any rules and regulations adopted by the commissioner. When any such applicant, upon inspection by the commissioner, is found not to meet the requirements of this chapter or regulations adopted hereunder, the commissioner is authorized to issue either a temporary license for a specified period not to exceed 90 days, during which time corrections specified by the commissioner shall be made by the applicant for compliance or a conditional license setting forth conditions which shall be met by the applicant to the satisfaction of the commissioner.

History

• STATUTORY AUTHORITY: 10 MRSA §2625, 22 MRSA §§ 2153, 2157.9B, 2167, 2168 and 2169.
• EFFECTIVE DATE: December 9, 1980
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: April 15, 2008
• AMENDED: September 21, 2008 – Section 8(A), filing 2008-433
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 345 page 4

Chapter 346 Rules Governing Meat and Poultry Inspection and Licensing

Code Me. R. 01-001 Ch. 346 Rules Governing Meat and Poultry Inspection and Licensing {#sec-01-001-ch.-346 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 346}

Summary: These Rules set standards for management and personnel, food operations, equipment, processing plants, and slaughter facilities; and provides for plan review, license issuance, inspection, employee restriction, and license suspension.

Page

Section 1 - DEFINITIONS, PURPOSE, VARIANCES, AND HEALTH STATUS 9

Subsection 1 - Definitions 9

Subsection 2 - Authority 18

Subsection 3 - Maine Meat and Poultry Inspection Rule 18

Subsection 4 - Statement of Purpose 18

Subsection 5 - Public Health Protection 18

Subsection 6 - Variances and Waivers 19

Subsection 7 - Documentation or Proposed Variance or Waiver and Justification 19

Subsection 8 - Variance and Waiver Requirements 19

Subsection 9 - Person In Charge Requirements 20

Subsection 10 - Health Status of Food Employees and Applicants 20

Subsection 11 - Adoption of Federal Regulations 20

Section 2 - REQUIREMENTS FOR PLAN SUBMISSION; LICENSE APPLICATION AND ISSUANCE; INSPECTION 20

Subsection 1 - Prerequisite for Operation 20

Subsection 2 - Submission and Contents of the License Application 21

Subsection 3 - Qualifications and Responsibilities of Applicants 22

Subsection 4 - Issuance of License 22

Subsection 5 - Requirement for Plans and Specifications 23

Subsection 6 - Contents of the Plans and Specifications 23

Subsection 7 - Approval of Plans and Specifications 23

Subsection 8 - Pre-operational Inspections 24

Subsection 9 - Application for Official Inspection, Granting Inspection, Official Numbers, and Withdrawal of Inspection 24

Subsection 10 - Denial of License Application, Notice 25

Subsection 11 - Responsibilities of the License Holder 26

Subsection 12 - Ceasing Operations and Reporting 27

Subsection 13 - Resumption of Operations 27

Subsection 14 - Conditions Warranting Remedy 27

Subsection 15 - Administrative Meetings 28

Subsection 16 - Stop Sale or Use Order 29

Subsection 17 - Suspension and Revocation 30

Subsection 18 - Establishing Inspection Interval 30

Subsection 19 - Performance and Risk Based Inspection 31

Subsection 20 - Access for Inspection 31

Subsection 21 - Documenting Information and Observations 32

Subsection 22 - Timely Correction for Critical Item Violation 32

Subsection 23 - Verification and Documentation of Correction for Critical Item Violation 33

Subsection 24 - Time Frame for Correction for a Non-critical Violation 33

Subsection 25 - Issuing Report and Obtaining Acknowledgement of Receipt 33

Subsection 26 - Refusal to Sign Acknowledgement 33

Subsection 27 - Examining, Sampling, and Testing Food 34

Section 3 - FOOD CONCERNS 34

Subsection 1 - Compliance with Food Law 34

Subsection 2 - Animals Slaughtered and Processed Under Inspection 34

Subsection 3 - Rendering 35

Subsection 4 - Package Integrity 35

Subsection 5 - Packaged and Unpackaged Food; Separation, Packaging, and Segregation 36

Subsection 6 - Temperature Requirements 36

Subsection 7 - Food Contact with Equipment and Utensils 37

Subsection 8 - Miscellaneous Sources of Contamination 37

Subsection 9 - Food Storage, Allowable Areas 37

Subsection 10 - Food Storage, Prohibited Areas 37

Subsection 11 - Cooling, Heating, and Holding Capacities 38

Subsection 12 - Cooling Times and Temperatures 38

Subsection 13 - Cooling Methods 38

Subsection 14 - Frozen Food Storage 39

Subsection 15 - Ice 39

Subsection 16 - Food Preparation Preventing Contamination 39

Subsection 17 - Raw Animal Foods, Heating Times and Temperatures 39

Subsection 18 - Raw Animal Food, Microwave Cooking 41

Subsection 19 - Reheating for Hot Holding 41

Subsection 20 - Reheating for Immediate Service 42

Subsection 21 - Food Temperature Measuring Devices 42

Subsection 22 - Thawing Potentially Hazardous Food 42

Subsection 23 - Potentially Hazardous Food, Slacking 43

Subsection 24 - Potentially Hazardous Food, Hot and Cold Holding 43

Subsection 25 - Variance Requirement 44

Subsection 26 - Reduced Oxygen Packaging Criteria 44

Subsection 27 - Standards of Identity 46

Subsection 28 - Honestly Presented 46

Subsection 29 - Consumer Warnings, Date Information 46

Subsection 30 - Discarding or Reconditioning Unsafe, Adulterated, or Contaminated Food 46

Subsection 31 - Prohibited Re-service and Prohibited Food, Unless a Specific HACCP Plan Being Utilized 46

Subsection 32 - Meat and Poultry Establishment Processing Requirements 47

Subsection 33 - Tagging Food Products, "Maine Retained." 47

Section 4 - LABELING 48

Subsection 1 - Labels 48

Subsection 2 - Imported Meat Labeling; Requirements and Inspections 48

Subsection 3 - Official Marks, Devices, Marking Products and Their Containers 49

Subsection 4 - Specific Labeling Requirements for Inspected and Passed Meat and Poultry Products, Label Contents and Approval 51

Section 5 - PERSONAL HYGIENE 51

Subsection 1 - Employee Health 51

Subsection 2 - Personal Cleanliness 52

Section 6 - EQUIPMENT AND UTENSILS 52

Subsection 1 - Equipment and Utensils, Design and Construction 52

Subsection 2 - Characteristics of Food Contact Surfaces 52

Subsection 3 - Conditioning Device, Design 52

Subsection 4 - Food Contact Surfaces 53

Subsection 5 - Bearings and Gearboxes, Leak Proof 53

Subsection 6 - Food Contact Surface Lubricants 53

Subsection 7 - Condenser Unit, Separation 53

Subsection 8 - Ware-washing Sinks and Drain-boards, Self-draining 53

Subsection 9 - Equipment Compartments, Drainage 53

Subsection 10 - Cleaned In Place Equipment 54

Subsection 11 - Temperature Measuring Devices 54

Subsection 12 - Food Temperature Devices 54

Subsection 13 - Nonfood Contact Surfaces 55

Subsection 14 - Heating, Ventilating, Air Conditioning System Vents 55

Subsection 15 - Ventilation Hood Systems, Drip Prevention 55

Subsection 16 - Ventilation Hood Systems, Filters 55

Subsection 17 - Equipment Repair and Proper Adjustment 55

Subsection 18 - Calibration 55

Subsection 19 - Cutting Surfaces 55

Subsection 20 - Fixed Equipment, Elevation or Sealing 56

Subsection 21 - Fixed Equipment, Spacing or Sealing 56

Section 7 - CLEANING, SANITIZATION AND STORAGE EQUIPMENT AND UTENSILS 57

Subsection 1 - Equipment Food Contact Surfaces and Utensils 57

Subsection 2 - Manual Ware-washing, Sink Compartment Requirements 57

Subsection 3 - Hot Water and Chemical Sanitation 57

Subsection 4 - Ware-washing Equipment, Clean Solutions 58

Subsection 5 - Manual Ware-washing Equipment, Chemical Sanitization Using Detergent Sanitizers 58

Subsection 6 - Manual Ware-washing Equipment, Hot Water Sanitization Temperatures 58

Subsection 7 - Temperature Measuring Devices, Manual Ware-washing 58

Subsection 8 - Sanitization Requirements at Official Meat and Poultry Establishments 58

Subsection 9 - Tagging Unsanitary Equipment, Utensils, Rooms, or Compartments 58

Subsection 10 - Sanitizing of Food Contact Surfaces in Commercial Slaughter Establishments 59

Section 8 - SANITARY FACILITIES AND CONTROLS 59

Subsection 1 - Approved Water Source 59

Subsection 2 - Approved Water System 59

Subsection 3 - Sampling 59

Subsection 4 - Sample Report 60

Subsection 5 - Capacity 60

Subsection 6 - Water Pressure 60

Subsection 7 - Hot Water 60

Subsection 8 - Conveying Sewage 60

Subsection 9 - Toilet Rooms 60

Subsection 10 - Hand-washing Lavatory Minimum Number 60

Subsection 11 - Hand-washing Lavatory Location 61

Subsection 12 - Waste Receptacles, Inedible Products 61

Subsection 13 - Covering Waste Receptacles 61

Subsection 14 - Outside Waste Receptacles 61

Subsection 15 - Cleaning Waste Receptacles 62

Subsection 16 - Storing Refuse 62

Subsection 17 - Community or Individual Facility 62

Subsection 18 - Controlling Pests 62

Subsection 19 - Insect Control Devices, Design and Installation 62

Subsection 20 - Rodent Bait Stations 63

Subsection 21 - Outer Opening Protected 63

Subsection 22 - Exterior Walls and Roofs, Protective Barrier 63

Subsection 23 - Operating and Storage Rooms for Inedibles, Outside Premises, Maintained in Clean Condition 63

Section 9 - CONSTRUCTION AND MAINTENANCE OF PHYSICAL FACILITIES 64

Subsection 1 - Floor, Wall, and Ceiling Surface Characteristics 64

Subsection 2 - Floors, Walls, and Ceilings; Designed and Installed 64

Subsection 3 - Floor and Wall Junctures, Coved, and Enclosed or Sealed 64

Subsection 4 - Floors, Walls, and Ceilings; Utility Lines 64

Subsection 5 - Wall and Ceiling Coverings and Coatings 64

Subsection 6 - Walls and Ceilings, Studs, Joists, and Rafters 65

Subsection 7 - Walls and Ceilings, Attachments 65

Subsection 8 - Cleaning Frequency and Restrictions 65

Subsection 9 - Ware-washing Sinks, Use Limitation 65

Subsection 10 - Cleaning Maintenance Tools, Preventing Contamination 65

Subsection 11 - Service Sink 65

Subsection 12 - Light Intensity 66

Subsection 13 - Light Bulbs, Protective-Shielding 66

Subsection 14 - Mechanical Ventilation 66

Subsection 15 - Ventilation Hood Systems, Adequacy 67

Subsection 16 - Cleaning Ventilation Systems, Discharge Prohibition 67

Subsection 17 - Employee Accommodations 67

Subsection 18 - Dressing Rooms and Lockers 67

Subsection 19 - Presence and Use of Toxic Materials 67

Subsection 20 - Working Containers and Chemicals 67

Subsection 21 - Chemical Storage 67

Subsection 22 - Storage and Display 68

Subsection 23 - Sanitizers, Criteria 68

Subsection 24 - Lubricants 68

Subsection 25 - Conditions of Use 68

Subsection 26 - Poisonous or Toxic Material Containers 69

Subsection 27 - First Aid Supplies 69

Subsection 28 - Facilities in Good Repair 69

Subsection 29 - Maintaining Premises, Unnecessary Items and Litter 69

Subsection 30 - Linen Specifications 69

Subsection 31 - Storage of Soiled Linen 69

Subsection 32 - Drying Mops 70

Subsection 33 - Storing Maintenance Tools 70

Subsection 34 - Prohibiting Animals 70

Subsection 35 - Outdoor Surface Characteristics 70

Subsection 36 - Outdoor Walking and Driving Surfaces, Graded to Drain 70

Subsection 37 - Outdoor Refuse Areas, Curbed and Graded to Drain 71

Subsection 38 - Facilities, Sanitation at Official Establishments Requiring Inspection 71

Section 10 - HAZARD ANALYSIS AND CRITICAL CONTROL POINTS 71

Subsection 1 - When a HACCP Plan is Required 71

Subsection 2 - Contents of a HACCP Plan 71

Subsection 3 - HACCP Plans Required in Official Meat and Poultry Establishments 72

Section 11 - FOOD SALVAGE 73

Subsection 1 - Handling of Non-salvageable Merchandise 73

Subsection 2 - Records 73

Section 1 - DEFINITIONS, PURPOSE, VARIANCES, AND HEALTH STATUS

Subsection 1: Definitions

The following definitions apply to the terms used in these Rules:

A. "Accredited Program" refers to the certification process and is a designation based upon an independent evaluation of factors such as the sponsor's mission; organizational structure; staff resources; policies; public information regarding program scope, eligibility requirements, re-certification, discipline and grievance procedures; and test development and administration.

B. "Administrative Meeting" means an informal meeting conducted by the Maine Department of Agriculture for the purpose of facilitating a mutually agreed upon plan of compliance for the license holder.

C. "Adulterated" has the same meaning as stated in 22 MRSA, chapter 562-A, sec. 2511.

D. "Animals" means, but is not limited to, livestock as defined in 9 CFR 301, Definitions (2002), poultry as defined in 9 CFR 381.1, Definitions (2002), exotic animals as defined in 9 CFR 352.1 (2002), Rabbits as defined in 9 CFR 354.1 (2002), and Poultry as defined in 9 CFR 362.1 (2002).

E. "Approved" means acceptable to the Department based on a determination of conformity with principles, practices, and generally recognized standards that protect public health.

F. "Aw" means water activity, which is a measure of free moisture in a food, is the quotient of the water vapor pressure of the substance divided by the vapor pressure of pure water at the same temperature, and is indicated by the symbol Aw.

G. "Carcass" means all or any part of a slaughtered animal, including viscera, which is capable of being used for human consumption.

H. "CFR" means the Code of Federal Regulations . Citations in this Regulation to the CFR refer sequentially to the Title, Part, and Section numbers, such as 9 CFR 306.4 refers to Title 9, Part 306, Section 4 (2002).

I. "Comminuted" means reduced in size by methods including chopping, flaking, grinding, or mincing. Comminuted includes meat products that are reduced in size and restructured or reformulated such as ground beef, and sausage; and a mixture of two or more types of meat that have been reduced in size and combined, such as sausages made from two or more meats.

J. "Commissioner" means the Commissioner of Maine Department of Agriculture, Conservation and Forestry or the Commissioner's designee.

K. "Confirmed disease outbreak," means a food borne disease outbreak in which laboratory analysis of appropriate specimens identifies a causative agent and epidemiological analysis implicates the food as the source of the illness.

L. "Consumer" means a person who is a member of the public, who takes possession of food, who is not functioning in the capacity of an operator of an establishment or processing plant and who does not offer the food for resale.

M. "Contaminant" means any foreign, chemical, radiological, or deleterious substance or matter in food.

N. "Contract Veterinarian" means a graduate of a school of veterinary medicine accredited by the American Veterinary Association who provides services for the Department under contract, and who is licensed to practice veterinary medicine in the State of Maine.

O. "Cooked," means food to which heat has been applied for preservation and/or to change the color, aroma, texture, and/or flavor of the product.

P. "Corrosion resistant material" means a material that maintains acceptable surface clean-ability characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and sanitizing solutions, and other conditions of use environment.

Q. "Critical control point" means a point of procedure in a specific food system where loss of control may result in an unacceptable health risk.

R. "Critical item or critical violation" means a provision of these Rules that, if in noncompliance, is more likely than other violations to contribute to food contamination, illness, or health hazard.

S. "Critical limit" means the maximum or minimum value to which a physical, biological, or chemical parameter must be controlled at a critical point to minimize the risk that the identified food safety hazard may occur.

T. "Cured," means meat to which specific no-meat ingredients have been incorporated by dry additions or use of aqueous solutions to affect preservation, safety, flavor, and/or color. The non-meat ingredients must include salt (sodium chloride), and most often include sodium nitrite or nitrate. In addition, sugar (sucrose) or other sweetening agents are frequently used.

U. "Custom carcass or meat" means carcasses, meat, meat food products or meat by-products that were slaughtered, dressed or otherwise processed by custom license holders.

V. "Department" means The Maine Department of Agriculture, Conservation and Forestry.

W. "Director" means the Director of the Maine Department of Agriculture, Conservation and Forestry, Division of Quality Assurance and Regulations, or his duly authorized representative.

X. "Disinfectant" means any oxidant, including but not limited to, chlorine, chlorine dioxide, chloramines and ozone added to water in any part of the treatment or distribution process that is intended to kill or inactivate pathogenic microorganisms.

Y. "Distressed merchandise" means any food:

1. For which the label has been lost;

2. Which has been subjected to possible damage due to accident, fire, flood, adverse weather, or to any other similar cause; or

3. Which may have been rendered unsafe or unsuitable for human or animal consumption or use.

Z. "Drinking water" means water that meets 40 CFR 141, National Primary Drinking Water Regulations , State of Maine Rules Relating to Drinking Water (Chapter 231, CMR 10-144), and 22 M.R.S.A., Chapter 601, Water for Human Consumption (1992 and Supp 2001);

1. Drinking water is known as potable water.

2. Drinking water includes the term "water", except where the term connotes that the water is not potable, such as boiler water, or mop water, rainwater, wastewater, and non-drinking water.

AA. "Easily cleanable" means a characteristic of a surface that:

1. Allows effective removal of soil by normal cleaning methods;

2. Is dependent on the material, design, construction, and installation of the surface;

3. Varies with the likelihood of the surface's role in introducing pathogenic or toxigenic agents or other contaminants into food based on the surface's approved placement, purpose, and use.

BB. "Easily moveable" means:

1. Portable; mounted on casters, gliders, or rollers; provided with a mechanical means to safely tilt a unit of equipment for cleaning; and

2. Having no utility connection, a utility connection that disconnects quickly, or a flexible utility line of sufficient length to allow the equipment to be moved for cleaning of the equipment and adjacent area.

CC. "Edible" means intended for use as human food.

DD. "Employee" means the license holder, person in charge, person having supervisory or management duties, person on the payroll, family member, volunteer, person performing work under contractual agreement, or other person working in an establishment or processing plant.

EE. "EPA" means the U.S. Environmental Protection Agency.

FF. "Equipment" means an article that is used in the operation of a food establishment such as a freezer, grinder, hood, meat block, mixer, oven, reach-in refrigerator, scale, sink, slicer, stove, table, or temperature-measuring device for ambient air.

1. Equipment does not include items used for handling or storing large quantities of packaged foods that are received from a supplier in a cased or over wrapped lot, such as hand trucks, forklifts, dollies, pallets, racks, and skids.

GG. "Establishment" means and includes any place or any area in which meat or poultry products are displayed for sale, manufactured, processed, packed, held, or stored. This includes but is not limited to retail stores, meat and poultry slaughter, and processing plants.

HH. "Establishment number" means an official number assigned by the Commissioner to each meat and poultry establishment and included on the inspection legend and label to identify all inspected and passed carcasses, meat, meat food products, and meat by-products handled in that establishment.

II. "Exotic animal" means any reindeer, elk, deer, antelope, water buffalo, or bison.

JJ. "Federal inspection" means the meat and poultry inspection service conducted by the United States Department of Agriculture.

KK. "Federal Meat Inspection Act" means the act of congress approved March 4, 1907, as amended and extended and the imported meat provisions of subsections 306 (b) and (c) of the Tariff Act of 1930 , 19 U.S.C. 1306 (b) and (c), as amended.

LL. "Federal Poultry Products Inspection Act" means the act of congress approved August 28, 1957, as amended by the Wholesome Poultry Products Act .

MM. "Food" means: articles used as food or drink for humans, including meat and ice intended for human consumption.

NN. "Food borne disease outbreak" means the occurrence of two or more cases of a similar illness resulting from the ingestion of a common food.

OO. "Food-contact surface" means a surface of equipment or a utensil with which food normally comes into contact.

PP. "Food employee" means an individual working with unpackaged food, food equipment or utensils, or food-contact surfaces.

QQ. "Game animals" means any big game animal, elk, deer, mountain sheep, wild goat, antelope, moose, or bear.

RR. "General use pesticide" has the same meaning as stated in 22 M.R.S.A. sections 1471-C (11-B) (1992 supp-2001).

SS. "HACCP plan" means a written document that delineates the formal procedures for following the Hazard Analysis and Critical Control Point principles developed by the National Advisory Committee on Microbiological Criteria for Foods.

TT. "Hazard" means a biological, chemical, or physical, property that may cause an unacceptable consumer health risk.

UU. "Imminent health hazard" means a significant threat or danger to health that is considered to exist when there is evidence sufficient to show that a product, practice, circumstance, or event creates a situation that requires immediate correction or cessation of operation to prevent injury based on:

1. The number of potential injuries; and

2. The nature, severity, and duration of the anticipated injury.

VV. "Injected" means manipulating a meat so that infectious or toxigenic microorganisms may be introduced from its surface to its interior through tenderizing with deep penetration or injecting the meat such as with juices which may be referred to as "injecting," "pinning," or "stitch Pumping."

WW. "Law" means applicable local, state, and federal statutes, rules regulations and ordinances.

XX. "License" means the document issued by the Department that authorizes a person to operate an establishment or a processing plant.

YY. "License holder" means the entity that:

1. Is legally responsible for the operation of the establishment or processing plant such as the owner, the owner's agent or other person; and

2. Possesses a valid license to operate an establishment or processing plant.

ZZ. "Maine condemned" or abbreviation thereof, means the animal so marked has been inspected and found to be in dying condition, or to be affected with any other condition or disease that would require condemnation of its carcass.

AAa. "Maine inspected and condemned" or abbreviation thereof means that the carcass, meat, meat food product, meat by-product so marked or so identified, is unwholesome or adulterated and shall be disposed of in the manner prescribed by the Commissioner.

BBb. "Maine inspected and passed" or abbreviation thereof, means that the carcass, meat, meat food product or meat by-product so marked or so identified, was at the time it was so marked or so identified found to be wholesome.

CCc. "Maine retained" means that the Commissioner or Veterinarian, to determine its disposal, holds the carcass, meat, meat food product so identified for further examination.

DDd. "Maine suspect" means that any animal so marked and identified is suspected of being affected with a disease or condition which may require its condemnation, in whole or in part, when slaughtered, and is subject to further examination by the Commissioner or Veterinarian to determine its disposal.

EEe. "Manufactured" means meat which has been processed by curing, smoking, canning, cooking, freezing, dehydration, production of intermediate moisture products, and/or the use of certain additives, chemicals, and enzymes, into a product different from the starting raw material. This definition shall not include simple grinding, cutting, or mixing

FFf. "Meat" has the meaning as stated in 22 M.R.S.A., chapter 562-A, §2511(27)(1992 and supp. 2001).

GGg. "Misbranding" has the meaning stated in 22 M.R.S.A., chapter 562-A, §2511 (29) (1992 and supp. 2001)

HHh. "Non-salvageable merchandise" means distressed merchandise, which cannot be safely or practically reconditioned.

IIi. "Official establishment" means any slaughtering, cutting, boning, meat canning, curing, smoking, salting, packing, rendering, or similar establishments at which inspection is maintained under the authority of the Department and these Rules.

JJj. "Official inspection legend" means any inspection symbol prescribed by the Commissioner showing that an article was inspected and passed in accordance with these Rules.

KKk. "Official inspection mark" means any symbol prescribed by the Commissioner for the purpose of identifying the inspection status of any article so inspected.

LLl. "Packaged" means bottled, canned, cartoned, securely bagged, or securely wrapped, whether packaged in an establishment or processing plant.

MMm. "Perishable" means there exists a significant risk of spoilage or deterioration when a product has not been properly refrigerated or handled.

NNn. "Person" means an individual, partnership, corporation, association, other legal entity, government, or governmental subdivision or entity.

OOo. "Person in charge" means the individual present, that has been designated in writing by the owner, at an establishment or processing plant who is responsible for the operation at the time of inspection.

PPp. "Personal care items" means items or substances that may be poisonous, toxic, or a source of contamination and which are used to maintain or enhance a person's health, hygiene, or appearance.

QQq. "pH" means the symbol for the negative logarithm of the hydrogen ion concentration, which is a measure of the degree of acidity or alkalinity of a solution. Values between zero and seven indicate acidity and values between seven and fourteen indicate alkalinity.

RRr. "Physical facilities" means the structure and interior surfaces of an establishment including accessories such as soap and towel dispensers and attachments such as light fixtures and heating or air conditioning system vents.

SSs. "Plumbing system" means the water supply and distribution pipes; plumbing fixtures and traps; vent pipes; sanitary and storm sewers and building drains, including their respective connections, devices and appurtenances within the premises; and water treating equipment.

TTt. "Poisonous or toxic materials" means substances that are not intended for ingestion and are included in the following four categories:

1. Cleaners and sanitizers, which include cleaning and sanitizing agents and agents such as caustics, acids, polishes, and other chemicals;

2. Pesticides except sanitizers, which include substances such as insecticides and rodenticides;

3. Substances necessary for the operation and maintenance of the establishment such as nonfood grade lubricants and personal care items that may be deleterious to health; and

4. Substances that are not necessary for the operation and maintenance of the establishment and are on the premises for retail sale, such as petroleum products and paints.

UUu. "Potentially hazardous food" means a food that is natural or synthetic and that requires temperature control because it is in a form capable of supporting the rapid and progressive growth of infectious or toxigenic microorganisms.

VVv. "Poultry'" means any domesticated bird (chickens, turkeys, ducks, geese, guineas, ratites, or squabs, also termed young flightless pigeons), whether live or dead, as defined in 9 CFR 381, Poultry Products Inspection Regulations , (2002); and

1. "Poultry'" means any migratory water fowl or game bird, whether dead or alive, as defined in 9 CFR 362, Voluntary Poultry Inspection Program , (2002).

WWw. "Premises" means a physical facility, its contents, and the contiguous land or property under the control of the license holder.

XXx. "Primal cut" means a basic major cut into which carcasses and sides of meat are separated, such as a beef round, pork loin, lamb flank, or veal breast.

YYy. "Processed" as applied to meat products means fresh meat, which has been altered to affect preservation and or manufacture of meat products, except for simple grinding, cutting, or mixing. This includes curing, smoking, canning, cooking, freezing, dehydration, production of intermediate moisture products and the use of certain additives, chemicals, or enzymes. Processed does not include otherwise unprocessed meats that are sold in a frozen state.

ZZz. "Processing Plant" means a commercial plant that manufactures, packages, or labels food for human consumption and may provide food directly to a consumer.

AAaa. "Ratite" means a group of flightless birds including ostriches, cassowaries, kiwis, emus, etc., having undeveloped wings and a breastbone without a keel.

BBbb. "Ready-to-eat food" means food that is in a form that is edible without washing, cooking, or additional preparation by the establishment or the consumer and that is reasonably expected to be consumed in that form.

CCcc. "Reconditioning," means any appropriate process or procedure by which distressed merchandise can be brought into compliance with the standards of the Department for consumption or use by the public.

DDdd. "Restricted use pesticide" shall have the same meaning as stated in 22 MRSA, §1471-C (23) (1992 and supp. 2001).

EEee. "Safe materials" means an article manufactured from or composed of materials that may not reasonably be expected to result, directly or indirectly, in their becoming a component or otherwise affecting the characteristics of any food.

FFff. "Salvaged merchandise," means distressed merchandise that has been reconditioned.

GGgg. "Sanitation" means the application of cumulative heat or chemicals on clean food-contact surfaces that, when evaluated for efficacy, is sufficient to yield a reduction of five logs, which is equal to a ninety nine and nine hundred ninety nine thousandths percent reduction, of representative disease microorganisms of public health importance.

HHhh. "Sealed" means free of cracks or other openings that allow the entry or passage of moisture.

IIii. "Sewage" means liquid waste containing animal or vegetable matter in suspension or solution and may include liquids containing chemicals in solution.

JJjj. "Shipping container or outside container" means the box, bag, barrel, crate, or other receptacle or covering enclosing any product packed in one or more immediate or true containers.

KKkk. "Slacking" means the process of moderating the temperature of a food such as allowing a food to gradually increase from a temperature of -10 degrees F. to 25 degrees F.

LLll. "Slaughterhouse" shall include all buildings, structures and facilities used in the slaughtering or dressing of animals for human consumption.

MMmm. "Smooth" means:

1. A food contact surface that has a surface free of pits and inclusions with a cleanability equal to or exceeding that of one hundred grit number three stainless steel;

2. A non-food contact surface of equipment having a surface equal to that of commercial grade hot-rolled steel free of visible scale; and

3. A floor, wall, or ceiling having an even or level surface with no roughness or projections that renders it difficult to clean.

NNnn. "Table mounted equipment" means equipment that is not portable and is designed to be mounted off the floor on a table, counter, or shelf.

OOoo. "Temperature measuring device" means a thermometer, thermocouple, or other device that indicates the temperature of food, air, or water.

PPpp. "Unwholesome" means any animal, or carcass, meat, meat food product which:

1. Is unsound, injurious to health, contains any biological residue not permitted under these rules, or is otherwise unfit for human consumption;

2. Consists in whole or in part of any filthy, putrid, or decomposed substance;

3. Was processed, prepared, packed, or held under unsanitary conditions so that the same may have become contaminated or may have become injurious to health or;

4. Was produced, in whole or in part, from animals that died other than by slaughter.

QQqq. "USDA" means the United States Department of Agriculture.

RRrr. "Variance" means a written document issued by the Maine Department of Agriculture that authorizes a modification or waiver of one or more requirements of these Rules if, in the opinion of the Department, a health hazard or nuisance will not result from the modification or waiver.

SSss. "Ware-washing," means the cleaning and sanitizing of food contact surfaces of equipment and utensils.

TTtt. "Whole muscle intact beef" means any whole muscle beef that is not injected, mechanically tenderized, reconstructed, or scored and marinated, from which beefsteaks may be cut.

UUuu. "Wholesome" means sound, healthful, clean and otherwise fit for human consumption.

Subsection 2: Authority

These Rules are promulgated in accordance with the authority vested in the Department of Agriculture, Conservation and Forestry pursuant to 22 MRSA, ch. 562-A. (hereinafter referred to as the "Department")

Subsection 3: Maine Meat and Poultry Inspection Rule

These provisions shall be known as the Maine Meat and Poultry Inspection Rule , (hereinafter referred to as the "Rule").

Subsection 4: Statement of Purpose

The purpose of these Rules are to safeguard public health and assure consumers safe food that is unadulterated and honestly presented.

Subsection 5: Public Health Protection

A. The Department of Agriculture shall apply these Rules to promote its underlying purpose of safeguarding the public health and assuring that food is safe, unadulterated, and honestly presented when offered to the consumer.

B. In enforcing the provisions of these Rules, the Department shall assess existing facilities or equipment that were in use before the effective date of these Rules based on the following considerations:

1. Whether the facility is in good repair and capable of being maintained in a sanitary condition;

2. Whether food contact surfaces comply with Section 6, Subsection 2;

3. Whether the capabilities or cooling, heating, and holding equipment are sufficient; and

4. The existence of a written agreement with the license holder that the facilities or equipment will be replaced as specified under Section 2, Subsection 11(A), (7), or upgraded or replaced as specified under Section 2, Subsection 11(A), (7), (a).

Subsection 6: Variances and Waivers

The Department may grant a variance from or waive the requirements of these Rules if, in the opinion of the Department, a health hazard or nuisance will not result from the variance or waiver. If a variance or waiver is granted, the Department shall retain the information specified under Section 1, Subsection 7, (Documentation of Proposed Variance or Waiver and Justification) in its records for the establishment or processing plant.

Subsection 7: Documentation of Proposed Variance or Waiver and Justification

A. Before a variance from, or a waiver of, a requirement of these Rules is approved, the person requesting the variance or waiver must, at a minimum, provide the following information to the Department, which information must be retained in the Department's file on the establishment or processing plant:

1. A statement of the proposed variance or waiver of the Rule requirement citing relevant Rule part numbers;

2. An analysis of how the potential public health hazards and nuisances addressed by the relevant Rule parts for which a variance of waiver is sought will be alternately addressed by the proposal; and

3. A HACCP plan, if required, as specified under Section 10, Subsection 1(A), that includes the information specified under Section 10, Subsection 2, as it is relevant to the variance or waiver requested.

Subsection 8: Variance and Waiver Requirements

A. If the Department grants a variance or waiver, as specified in Section 1, Subsection 7, or a HACCP plan is otherwise required as specified under Section 10, Subsection 1, the license holder shall:

1. Comply with the HACCP plan and procedures that are submitted as specified under Section 10, Subsection 2, and approved as a basis for the variance or waiver; and

2. Maintain and provide to the Department, upon request, records specified under Section 10, Subsection 2(A), (4), and (5) that demonstrate that the following are routinely employed:

a. Procedures for monitoring critical control points;

b. Monitoring of the critical control points;

c. Verification of the effectiveness of an operation or process; and

d. Necessary corrective actions if there is a failure at a critical control point.

Subsection 9: Person in Charge Requirements

The license holder shall be the person in charge, or shall designate in writing a person in charge and shall ensure that a person in charge is present at the establishment or processing plant during all hours of operation.

Subsection 10: Health Status of Food Employees and Applicants

The license holder shall require food employee applicants to whom a conditional offer of employment is made and food employees to report to the person in charge information about their health and activities as they relate to diseases that are transmissible through food. A food employee or applicant shall report the information in a manner that allows the person in charge to prevent the likelihood of food borne disease transmission.

Subsection 11: Adoption of Federal Regulations

A. These Rules are to incorporate by reference, those provisions of the Code of Federal Regulations that are applicable to meat and poultry inspection, as such regulations may be amended and that are necessary to remain in compliance with the federal requirements for the State’s meat and poultry products inspection and licensing program, insofar as they are not inconsistent with the laws of the State of Maine.

Section 2 - REQUIREMENTS FOR PLAN SUBMISSION; LICENSE APPLICATION AND ISSUANCE; INSPECTION

Subsection 1: Prerequisite for Operation

A. A person may not operate an establishment or processing plant engaged in commerce in the business of buying, selling, preparing, processing, packing, storing, transporting, or otherwise handling meat, meat food products or poultry products unless that person holds a valid license issued by the Department of Agriculture. The license is not transferable and shall be permanently displayed.

1. When a person engages in activities requiring a license under these Rules at two or more locations, and those locations are not on the same premises in this state, a separate license is required for each location.

2. A person engaging in two or more operations on the same premise in this state, which involve activities requiring a license under these Rules, may operate under one license.

Subsection 2: Submission and Contents of the License Application

A. A written application for a new license shall be made on a form approved by the Commissioner and provided by the Commissioner and shall be signed by the applicant.

1. The application shall include:

a. The name, mailing address, telephone number, and signature of the person applying for the license; the name, mailing address, and telephone number of the registered agent; the name, mailing address, and location of the establishment or processing plant; and statement specifying whether the establishment or processing plant:

I. Is mobile, stationary, temporary, or permanent;

II. Prepares potentially hazardous food in advance using a food preparation method that involves two or more steps which may include combining potentially hazardous ingredients; cooking; cooling; reheating; hot or cold holding; freezing; or thawing;

III. Prepares food for delivery to and consumption at a location off the premises of the establishment where it is prepared;

IV. Prepares food for service to a highly susceptible population.

b. Information specifying whether an association, corporation, individual, partnership, or other such entity owns the establishment or processing plant and, if so, identifying the entity.

c. A statement signed by the applicant that:

I. Certifies to the accuracy of the information provided in the application; and

II. Affirms that the applicant will:

i. Comply with these Rules; and

ii. Allow the Department access to the establishment as specified under Section 2, Subsection 20, and to the records specified under Section 10, Subsection 2(A)(4).

Subsection 3: Qualifications and Responsibilities of Applicants

A. To qualify for a license, the applicant must:

1. Be an owner or other person legally in charge of the establishment or processing plant;

2. Comply with the requirements of these Rules;

3. As specified under Section 2, Subsection 20, agree to allow access to the establishment or processing plant and to provide required information; and

4. Pay the applicable license fees at the time the application is submitted.

Subsection 4: Issuance of License

A. For establishments or processing plants that are required to submit plans as specified under Section 2, Subsection 5, the Department shall issue a license to the applicant after:

1. A properly completed application is completed;

2. The required fee is submitted;

3. The required plans, specifications, and information are reviewed and approved; and

4. A pre-operational inspection shows that the establishment or processing plant is built or remodeled in accordance with the approved plans and specifications and that the establishment is in compliance with these Rules.

B. The Department may renew a license for an existing establishment or processing plant or may issue a license to a new owner of an existing establishment or processing plant after:

1. A properly completed application is submitted, reviewed, and approved;

2. The required fees are submitted; and

3. An inspection shows that the establishment or processing plant is in compliance with these Rules.

Subsection 5: Requirement for Plans and Specifications

A. A license applicant or license holder shall submit to the Department properly prepared plans and specifications for review and approval before:

1. The construction of an establishment or processing plant;

2. The conversion of an existing structure for use as an establishment or processing plant; or

3. The remodeling of an establishment or processing plant, or a change of type of the establishment or processing plant as specified under Section 2, Subsection 6, if the Department determines that plans and specifications are necessary to ensure compliance with these Rules.

Subsection 6: Contents of the Plans and Specifications

A. The plans and specifications for an establishment or processing plant, including an establishment or processing plant specified under Section 10, Subsection 1, shall include, as required by the Department based on the type of operation, type of food preparation, and foods prepared, the following information to demonstrate conformance with Rule provisions:

1. Intended menu;

2. Anticipated volume of food to be stored, prepared, and sold or served;

3. Proposed layout, mechanical schematics, construction materials, and finish schedules;

4. Proposed equipment types, manufacturers, model numbers, locations, dimensions, performance capacities, and installations specifications;

5. Evidence that standard procedures that ensure compliance with the requirements of these Rules are developed or are being developed; and

6. Other information that may be required by the Department for the proper review of the proposed construction, conversion or modification, and procedures for operating as establishment or processing plant.

Subsection 7: Approval of Plans and Specifications

A. The Department shall review all plans and specifications to determine if they are in compliance with these Rules. After reviewing the plans and specifications, the Department shall complete a plan review sheet.

B. If the plans and specifications are approved the Department shall submit a copy of the plan review sheet denoting such approval to the license applicant or license holder.

C. If the plans and specifications are disapproved, a copy of the plan review sheet stating the reason for disapproval shall be sent to the license applicant or license holder.

Subsection 8: Pre-Operational Inspections

A. The Department may conduct one or more pre-operational inspections to verify that the establishment or processing plant is constructed and equipped in accordance with the approved plans and approved modifications of those plans and is in compliance with law and these Rules.

B. The Department may conduct a pre-opening inspection prior to issuance of a license.

Subsection 9: Application for Official Inspection, Granting Inspection, Official Numbers, and Withdrawal of Inspection

A. State of Maine Inspectors, as authorized by 9 CFR 321, Cooperation with States and Territories , shall perform inspections at official establishments.

B. To qualify for official inspection, as specified in 9 CFR 304, Application for Inspection; Grant of Inspection , an applicant shall:

1. Submit a completed license application on the form furnished by the Commissioner;

2. Comply with the requirements of these Rules in addition to 9CFR 304, Application for Inspection; Grant of Inspection ;

3. Comply with the requirements of 9 CFR 304.3, Conditions for Receiving Inspection , including:

a. Developing written Sanitation Standard Operating Procedures, as specified in 9 CFR 416, Sanitation ;

b. Conduct a hazard analysis and have developed and validated a HACCP plan, as required in 9 CFR 417, Hazard Analysis and Critical Control Point (HACCP) Systems ; and

4. Comply with the requirements of 9 CFR 305.3, Sanitation and Adequate Facilities ;

C. To each official establishment granted inspection, the Commissioner or his designee shall:

1. Give notice in writing to each applicant;

2. Assign an official number to each official establishment as specified in 9 CFR 305.1, Official Numbers; Subsidiaries and Tenants ,

a. Such numbers shall be used to identify all inspected and passed products prepared in the establishment;

b. More than one number may not be assigned to an establishment; and

c. Numbers designating all establishments shall be determined by the Commissioner or his designee, and appropriately placed on all of the inspection stamps designed for each establishment.

D. Each official establishment granted inspection should be separate and distinct from any unofficial establishment as specified in 9 CFR 305.2, Separation of Official Establishments .

E. To each official establishment granted inspection, the Commissioner or his designee shall assign inspection, as specified in 9 CFR 305.4, Inauguration of Inspection , and 9 CFR 306, Assignment and Authorities of Program Employees .

F. As specified in 9 CFR 307.4, Schedule of Operations , no operation requiring inspection shall be conducted except under the supervision of the Commissioner or his designee.

G. All slaughtering of animals and preparation of products produced under inspection shall be done within reasonable hours and with reasonable speed, considering the official establishment's facilities.

Subsection 10: Denial of License Application, Notice

A. The Commissioner or his designee may deny a license application if he finds:

1. The applicant has made false statements on the license application;

2. The applicant has failed to comply with any provision of 22 M.R.S.A., Chapter 562-A (1992 and supp. 2001) or these Rules.

B. If a license application is denied, the Department shall provide the applicant with a notice that includes:

1. The specific reasons and rule citations for the license application denial;

2. The actions, if any, that the applicant must take to qualify for a license application;

3. Notice of the applicant's right to request a hearing before the Commissioner;

4. The time, place, and nature of the hearing;

5. The legal authority under which the hearing will be held; and

6. A short plain statement of the matters asserted.

C. The applicant must request a hearing within twenty days of receipt of the Commissioner's notice.

D. If a hearing is requested the Commissioner shall schedule a time and a place for the hearing, to be held not later than thirty days from the date of the request unless a later date is agreed to by the parties.

E. If the applicant supplies evidence that all the reasons for the license denial have been corrected, and if all other license requirements have been met, a license shall be issued.

F. The applicant shall be notified of the time, date and place of the hearing at least seven days prior to the hearing date.

Subsection 11: Responsibilities of the License Holder

A. Upon acceptance of the license issued by the Department, the license holder in order to retain the license shall:

1. Post the license in a location in the establishment or processing plant that is conspicuous to consumers;

2. Comply with the provisions of these Rules including the conditions of a granted variance as specified in Section 1, Subsection 6, and approved plans as specified under Section 2, Subsection 7;

3. Comply with the plan as specified under Section 1, Subsection 1, if an establishment or processing plant is required under Section 10, Subsection 1, to operate under a HACCP plan;

4. Immediately contact the Department and any other applicable regulatory authority to report an illness of a food employee applicant or food employee;

5. Immediately discontinue operations and notify the Department and any other applicable regulatory authority, if an imminent health hazard may exist as specified under Section 2, Subsection 12;

6. Allow representatives of the Department access to the establishment as specified under Section 2, Subsection 20;

7. Replace existing facilities and equipment, with facilities and equipment that comply with these Rules if:

a. The Department directs the replacement because the facilities and equipment constitute a public health hazard or nuisance or no longer comply with the criteria upon which the facilities and equipment were accepted;

b. The Department directs the replacement of the facilities and equipment because of a change of ownership; or

c. The facilities and equipment are replaced in the normal course of operation.

8. Upgrade or replace refrigeration equipment as specified under Section 3, Subsection 25, if the circumstances specified under Section 2, Subsection 11(A), (7), (a-c), do not occur first, and ten years pass after the Department adopts these Rules;

9. Comply with directives of the Department, including time frames for corrective actions specified in inspection reports, notices, orders, warnings, and other directives issued by the Department in regard to the license holder's establishment or processing plant or in response to community emergencies;

10. Accept notices issued and served by the Department according to law; and

11. Be subject to the administrative, civil, injunctive, and criminal remedies authorized in law for failure to comply with these Rules or a directive of the Department, including time frames for corrective actions specified in inspection reports, notices, orders, warnings, and other directives.

Subsection 12: Ceasing Operations and Reporting

A. Except as specified in Section 2, Subsection 12(B), a license holder shall immediately discontinue operations and notify the Department and any other applicable regulatory authority, if an imminent health hazard may exist because of an emergency such as, but not limited to, a fire, flood, extended interruption of electrical or water service, sewage backup, misuse of poisonous or toxic materials, onset of an apparent food borne illness breakout, or gross unsanitary occurrence or condition.

B. A license holder need not discontinue operations in an area of an establishment or processing plant that is unaffected by the imminent health hazard.

Subsection 13: Resumption of Operations

A. If operations are discontinued as specified under Section 2, Subsection 12, or otherwise according to law, the license holder shall obtain approval from the Department before resuming operations.

Subsection 14: Conditions Warranting Remedy

A. The Department may schedule an administrative meeting to address compliance with the provisions of these Rules, if a person operating an establishment or processing plant or employee:

1. Fails to have a valid license to operate an establishment or processing plant as specified under Section 2, Subsection 1;

2. Violates any term or condition of a license as specified under Section 2, Subsection 11;

3. Allows serious or repeated rule violations to remain uncorrected beyond time frames for correction as approved, directed, or ordered by the Department under Section 2, subsections 25 and 27;

4. Fails to comply with a Departmental order issued as a result of a hearing for an administrative remedy;

5. Fails to comply with a summary suspension order issued by the Department as specified in Section 2, Subsection 16; or

6. Fails to comply with any other rule or regulation.

Subsection 15: Administrative Meetings

A. The Commissioner or his designee may, in its discretion, initiate an administrative meeting for the licensee's failure to:

1. Correct critical violations from a routine inspection if there is a history of non-compliance with these Rules;

2. For refusal to grant access by the Department; or

3. If an inspection reveals deviations in the HACCP plan.

B. Notice of administrative meeting shall state:

1. The reasons for the notice of administrative meeting with reference to the provisions of the rules that are in violation;

2. The location and time the administrative meeting will be held; and

3. That the licensee may appear in person or with counsel licensed in the State of Maine.

C. This section shall not be construed as requiring the Department to initiate an administrative meeting prior to suspending or revoking any license.

D. The purpose of the administrative meeting is to negotiate a mutually agreed upon plan of compliance for the license holder.

E. The plan of compliance shall be:

1. Presented, in writing to the license holder after the meeting;

2. Signed by both the license holder and the Department.

F. The administrative meetings have three possible outcomes:

1. A mutually agreed upon plan of compliance;

2. No agreement of cooperation by the license holder resulting in the suspension or revocation of the license by the Department, in accordance with subsection 17 below.

3. Dismissal of the meeting by the Commissioner.

G. If no agreement is reached between the Commissioner and the license holder, or the re-inspection finds the plan of compliance has not been complied with, in accordance with subsection 17 below, the Department may suspend or revoke the license.

Subsection 16: Stop Sale or Use Order

A. The Department may issue a stop sale or use order if the licensee fails to comply with any provision of 22 M.R.S.A, Chapter 562-A (1992 and Supp. 2000) or these Rules or it is determined through inspection, or examination of food employees, food, records, or other means as specified in these Rules, that an imminent health hazard exists.

1. The Department may issue a stop sale or use order by providing written notice of the stop sale or use order to the license holder or the person in charge without prior warning, notice of a hearing, or a hearing.

2. A stop sale or use order shall state:

a. That all operations shall immediately cease;

b. The reasons for the stop sale or use order with reference to the provisions of these Rules that are in violation;

c. The type of imminent threat to the public health that may be caused by the violation;

d. The name and address of the Department representative to whom notice for re-inspection may be made and who may certify that reasons for the stop sale or use order are eliminated;

e. That the license holder may appeal a stop sale or use order to the Commissioner of the Department within five business days of the issue of the stop sale or use order, and that the Department will hold a hearing, if requested, within ten business days of the stop sale or use order; and

3. If any person receiving a stop sale or use order appeals the order to the Commissioner of the Department within 5 days of receiving the order, the Commissioner, or his designee, shall, within 10 business days of the issuance of the order, hold a hearing in conformance with the requirements of the Administrative Procedure Act.

4. The Department shall conduct a re-inspection of the establishment or processing plant for which the stop sale or use order was issued within 48 hours after receiving notice from the license holder stating that the conditions cited in the stop sale or use order no longer exist.

5. A stop sale or use order shall remain in effect until the conditions cited in the stop sale or use order no longer exist and their elimination has been confirmed by the Department through re-inspection and other means as appropriate or until a court of competent jurisdiction otherwise orders.

6. The stop sale or use order shall be lifted immediately if the Department determines that there are no imminent health hazards and the establishment is in compliance with 7 M.R.S.A, Chapter 562-A (1992 and Supp. 2001) and these Rules. A notice of resuming operations shall be provided to the license holder or person in charge.

Subsection 17: Suspension or Revocation

A. The Department may after notice and opportunity for hearing in conformance with the applicable provisions of the Maine Administrative Procedure Act , initiate suspension or revocation proceedings for a license if:

1. The Commissioner determines that a false statement was made in the license application; or

2. The Commissioner finds that the licensee failed to comply with the requirements of 7 M.R.S.A. Chapter 562-A, or these Rules.

Subsection 18: Establishing Inspection Interval

A. Except as specified under Section 2, Subsection 9(F) and Subsection 20(B) and (C), the Department may inspect an establishment or processing plant at least once every six months.

B. The Department may increase the interval between inspections beyond six months but in no event less than once a year if:

1. The establishment or processing plant is fully operating under an approved and validated HACCP plan as specified under Section 1, Subsection 7(A), (1), and (2), and Section 10, Subsection 1;

2. The establishment or processing plant is assigned a less frequent inspection frequency based on a written risk based inspection schedule that is being uniformly applied throughout the jurisdiction, and at least once every six months the establishment or processing plant is contacted by telephone or other means by the Department to ensure that the establishment or processing plant manager and the nature or operation are not changed.

Subsection 19: Performance and Risk Based Inspections

A. Within the parameters specified under Section 2, Subsection 20, the Department shall prioritize and conduct more frequent inspections based upon its assessment of an establishment or processing plant's potential as a vector of food borne illness by evaluating:

1. Past performance, for non-conformance with these Rules or HACCP plan requirements that are critical;

2. Past performance, for numerous or repeat violations of these Rules or HACCP plan requirements that are non-critical;

3. Past performance, for complaints investigated and found to be valid;

4. The hazards associated with the particular foods that are prepared, stored, or served;

5. The type of operation including the methods and extent of food storage, preparation, and service;

6. The number of people served;

7. Whether the population served is a highly susceptible population.

Subsection 20: Access for Inspection

A. After the Department presents official credentials and states the purpose of, and an intent to conduct an inspection, the person in charge shall allow the Department to determine if the establishment or processing plant is in compliance with these Rules by:

1. Allowing access to the establishment or processing plant;

2. Allowing inspection; and

3. Providing information and records specified in these Rules and to which the Department is entitled according to law, during the establishment or processing plant's hours of operation and other reasonable times.

B. Denial of access to inspect shall be grounds for suspension or revocation of a license.

C. The details of the denial of access shall be recorded on the inspection report form.

Subsection 21: Documenting Information and Observations

A. The Department shall document on an inspection report form:

1. Administrative information about the establishment or processing plant's legal identity, street and mailing addresses, type of establishment or processing plant and operation as specified under Section 2, Subsection 2(B), inspection date, and other information such as type of water supply and sewage disposal, status of the license, and personnel certificates that may be required; and

2. Specific factual observations of violative conditions or other deviations from these Rules that require correction by the license holder including but not limited to:

a. Failure of the person in charge to demonstrate the knowledge of food borne illness prevention and the requirements of these Rules specified under Section 1, Subsection 10;

b. Failure of food employees and the person in charge to demonstrate their knowledge of their responsibility to report a disease or medical condition;

c. Nonconformance with critical items of these Rules;

d. Failure of the appropriate food employees to demonstrate their knowledge of, and ability to perform in accordance with, the procedural, monitoring, verification, and corrective action practices required by the Department as specified under Section 1, Subsection 7;

e. Failure of a person in charge to provide records required by the Department for determining conformance with a HACCP plan as specified under Section 10, Subsection 2(A), (4), and (f);

f. Nonconformance with critical limits of a HACCP plan.

Subsection 22: Timely Correction for Critical Item Violation

A. Except as specified in Section 2, Subsection 24(B), a license holder shall at the time of inspection correct a critical violation of these Rules or implement corrective actions for a HACCP plan provision that is not in compliance with its critical limit.

B. Considering the nature of the potential hazard involved and the complexity of the corrective action needed, the Department may agree to or specify a longer time frame, not to exceed ten calendar days after the inspection, for the license holder to correct critical violations of these Rules or HACCP plan deviations, provided food safety controls and preventive measures are in place and no health hazards exist consistent with 9 CFR 416, and 417.

C. If a determination by the inspector that the corrective action cannot be completed within ten days, the inspector may request an extension be granted which must only be approved in writing by a supervisor.

Subsection 23: Verification and Documentation of Correction for Critical Item Violation

A. After observing at the time of inspection a correction of a critical item violation or HACCP plan deviation, the Department shall enter the violation and information about the corrective action on the inspection report

B. After receiving notification that the license holder has corrected a critical item violation or HACCP plan deviation, or at the end of the specified period of time, the Department shall verify correction of the violation, document the information on an inspection report, and enter the report in the Department's records.

Subsection 24: Time Frame for Correction for a Non-Critical Violation

A. Except as specified in Section 2, Subsection 26(B), the license holder shall correct non-critical violations by a date and time agreed to or specified by the Department, but no later than ninety calendar days after the inspection.

B. The Department may approve a compliance schedule that extends beyond the time limits specified under Section 2, Subsection 24(A), if a schedule of compliance is submitted by the license holder and no health hazard exists or will result from allowing an extended schedule for compliance.

Subsection 25: Issuing Report and Obtaining Acknowledgement of Receipt

At the conclusion of the inspection, the Department shall provide a copy of the completed inspection report to the license holder or to the person in charge, and request a signed acknowledgement of receipt.

Subsection 26: Refusal to sign Acknowledgement

A. The Department shall:

1. Inform a person who declines to sign an acknowledgement of receipt of inspection findings that:

a. An acknowledgement of receipt is not an agreement of findings;

b. Refusal to sign an acknowledgement of receipt will not affect the license holder's obligation to correct the violations noted in the inspection report within the time frames specified; and

c. A refusal to sign an acknowledgement of receipt is noted in the inspection report and conveyed to the Department's historical record for the establishment or processing plant.

Subsection 27: Examining, Sampling, and Testing Food

The Department may examine, sample, and test food in order to determine its compliance with these Rules.

Section 3 - FOOD CONCERNS

Subsection 1: Compliance with Food Law

A. Food must be obtained from sources that comply with law.

B. Food prepared in a private home may not be used or offered for human consumption in an establishment, unless such establishment is a home business licensed by the Department.

C. Packaged food must be labeled as specified in law, including Food Labeling, 9 CFR 317, Labeling, Marking Devices and Containers , 9 CFR 381, Subpart N, Labeling and Containers .

D. Whole muscle intact beefsteaks that are intended for consumption in an undercooked form must be:

1. Obtained from a food processing plant that packages the steaks and labels them to indicate that they meet the definition of whole muscle, intact beef; or

2. If individually cut in a food establishment:

a. Cut from whole muscle intact beef that is labeled by a processing plant to indicate that the beef meets the definition of whole muscle intact beef;

b. Prepared so they remain intact; and

c. If packaged for undercooking in a food establishment, labeled to indicate that they meet the definition of whole muscle intact beef.

E. Meat and poultry that is not ready to eat food and is in a packaged form when it is offered for sale or otherwise offered for consumption must be labeled to include safe handling instructions as specified in law, including 9 CFR 309, 317.2, Labels ; definitions; required features, and 9 CFR 381.125, Special Handling Labeling Requirements .

Subsection 2: Animals Slaughtered and Processed Under Inspection

A. All animals except poultry slaughtered and processed for sale must have ante mortem and post mortem inspection and must meet the requirements of 9 CFR 313, Humane Slaughter of Livestock , 9 CFR 309, Ante Mortem Inspection , 310, Post Mortem Inspection , and 311, Disposal of Diseased or Otherwise Adulterated Carcasses and Parts .

B. All animals except poultry slaughtered and processed under inspection must be conducted in accordance with these Rules, except as specified in 9 CFR 302, Application of Inspection and Other Requirements, and 9 CFR 303, Exemptions .

C. All poultry slaughtered and processed for sale under inspection, must have ante mortem and post mortem inspection and shall meet the requirements of 9 CFR 381, Subpart J, Ante Mortem Inspection , Subpart K, Post Mortem Inspection ; Dispositions of Carcasses and Parts .

D. Exempt establishments handling wild game must:

1. Be in accordance with these Rules and 9 CFR 302, Application of Inspection and Other Requirements, and 9 CFR 303, Exemptions ;

2. Hold, process, identify, and prepare wild game separately from all domestic animal carcasses, meat, meat food or meat food by-products;

3. Label and identify as "wild game" or by the species of wild game, "antelope," "deer," "elk," "moose," "bear," etc.;

4. Store the heads, horns, capes, feet, skins, or any part thereof in closed containers and in a manner that shall not create an offensive condition or odor.

E. A voluntary inspection program administered by the Department and meeting the requirements of the USDA for game animals such as exotic animals (reindeer, elk, deer, antelope, water buffalo, or bison) that are "inspected and passed" in accordance with 9 CFR 352, Exotic Animals Voluntary Inspection , 9 CFR 354, Voluntary Inspection of Rabbits and Edible Products Thereof , and 9 CFR 362, Voluntary Poultry Inspection Regulations shall be performed. As defined in 9 CFR 416 and 417; HACCP and SSOP requirements will be required of the establishment as well.

F. An animal may not be received for sale or service if it is a species of wildlife that is listed in 50 CFR 17, Endangered and Threatened Wildlife and Plants .

Subsection 3: Rendering

Rendering of carcasses and parts must be done in accordance with 9 CFR 315, Rendering or Other Disposal of Carcasses and Parts Passed for Cooking , or in compliance with other generally accepted practices, which may include composting.

Subsection 4: Package Integrity

Food packages must be in good condition and protect the integrity of the contents so that the food is not exposed to adulteration or potential contaminants.

Subsection 5: Packaged and Unpackaged Food; Separation, Packaging, and Segregation

A. Food must be protected from cross contamination by:

1. Separating raw animal foods during storage, preparation, holding, and display from cooked ready to eat food.

2. Except when combined as ingredients separating types of raw animal food from each other such as beef, fish, lamb, pork, and poultry during storage, preparation, holding and display by:

a. Using separate equipment for each type; or

b. Arranging any type of food in equipment so that cross contamination of one type with another is prevented; and

c. Preparing each type of food at different times or in separate areas;

3. Cleaning equipment and utensils as specified under Section 7, Subsection 1, and sanitizing as specified under Section 7, Subsection 5;

4. Except as specified in Section 3, Subsection 5(B), storing the food in packages, covered containers, or wrappings;

5. Cleaning hermetically sealed containers of food of visible soil before opening;

6. Protecting food containers that are received packaged together in a case or over-wrap from cuts when the case or over-wrap is opened;

7. The use of burlap as a wrapping for meat will not be permitted unless the meat is first wrapped with a food grade paper or cloth, which will prevent contamination with lint or other foreign matter.

B. Section 3, Subsection 5(A), (4) does not apply to:

1. Primal cuts, quarters, or sides or raw meat or slab bacon that are hung on clean, sanitized hooks or placed on clean, sanitized racks; or smoked or cured sausages that are placed on clean, sanitized racks;

2. Food being cooled as specified under Section 3, Subsection 13(B), (2).

Subsection 6: Temperature Requirements

A. Refrigerated, potentially hazardous food must be kept at a temperature of 41 degrees F or below.

B. Potentially Hazardous food that is cooked to a temperature and for a time specified under Section 3, Subsection 17, and 18, and received hot, must be kept at a temperature of 140 degrees F or above.

C. A food that is labeled and shipped frozen by a processing plant must be received frozen.

D. Upon receipt, potentially hazardous food must be free of evidence of previous temperature abuse.

Subsection 7: Food Contact with Equipment and Utensils

Food may only contact surfaces of equipment and utensils that are cleaned as specified under Section 7, Subsection 1, of these Rules and sanitized as specified under Section 7, Subsection 3, of these Rules.

Subsection 8: Miscellaneous Sources of Contamination

Food must be protected from contamination that may result from a factor or source not specified under Section 3, Subsection 16.

Subsection 9: Food Storage, Allowable Areas

A. Food must be protected from contamination by storing the food:

1. In a clean dry location;

2. Where it is not exposed to splash, dust, or other contamination; and

3. At least six inches above the floor.

B. Food in packages and working containers may be stored less than six inches above the floor on case lot handling equipment.

Subsection 10: Food Storage, Prohibited Areas

A. Food may not be stored:

1. In locker rooms;

2. In toilet rooms;

3. In dressing rooms;

4. In garbage rooms;

5. In mechanical rooms;

6. Under sewer lines that are not shielded to intercept potential drips;

7. Under leaking water lines, including leaking automatic fire sprinkler heads, or under lines on which water has condensed;

8. Under open stairwells; or

9. Under other sources of contamination.

Subsection 11: Cooling, Heating, and Holding Capacities

Equipment for cooling and heating food, and holding cold and hot food, must be sufficient in number and capacity to maintain food temperatures as specified under Section 3, Subsections 12, 17, 18, 19, 20 and 25.

Subsection 12: Cooling Times and Temperatures

A. Cooked potentially hazardous food must be cooled:

1. Within 2 hours, from 140 degrees F to 70 degrees F; and

2. Within 4 hours, from 70 degrees F to 41 degrees F or less, or to 45 degrees F as specified under Section 3, Subsection 24(A), (3).

B. Potentially hazardous food must be cooled within 4 hours to 41 degrees or less, or to 45 degrees F as specified under Section 3, Subsection 24(A), (3), if prepared from ingredients from ambient temperature.

Subsection 13: Cooling Methods

A. Cooling must be accomplished in accordance with the time and temperature criteria specified under Section 3, Subsection 12, by using one or more of the following methods based on the type of food being cooled:

1. Placing the food in shallow pans;

2. Separating the food into smaller or thinner portions;

3. Using rapid cooling equipment;

4. Stirring the food in a container, place in an ice water bath;

5. Using containers that facilitate heat transfer;

6. Adding ice as an ingredient; or

7. Other effective methods.

B. When placed in cooling or cold holding equipment, food containers in which food is being cooled must be:

1. Arranged in the equipment to provide maximum heat transfer through the container walls; and

2. Loosely covered, or uncovered if protected from over head contamination as specified under Section 3, Subsection 9(A), (2), during the cooling period to facilitate heat transfer from the surface of the food.

Subsection 14: Frozen Food Storage

Stored frozen foods must remain frozen.

Subsection 15: Ice

Ice used for use as a food or a cooling medium must be free of contamination.

Subsection 16: Food Preparation Preventing Contamination

During preparation, unpackaged food must be protected from environmental sources of contamination.

Subsection 17: Raw Animal Foods, Heating Times and Temperatures

A. Except as specified in Section 3, Subsection 17(B), and (C), raw animal foods must be cooked to heat all parts of the food to a temperature and for a time that complies with one of the following methods depending on the food that is being cooked:

1. 145 degrees F or above for 15 seconds:

a. Except as specified under Section 3, Subsection 17(A), (2), and (B), meat including pork and game animals commercially raised for food as specified under Section 3, Subsection 2(B) and (C), and game animals under a voluntary inspection program as specified under Section 3, Subsection 2(C);

2. 155 degrees F for 15 seconds or the temperature specified in the following chart that corresponds to the holding time for ratites, injected meats, comminuted meat, meat, game animals commercially raised for food as specified under Section 3, Subsection 2(A), and (B), game animals under a voluntary inspection program as specified under Section 3, Subsection 2(C);

Minimum

Temperature

°C (°F)

Time

63 (145)

3 minutes

66 (150)

1 minute

70 (158)

< 1 second (instantaneous)

; or

3. 165 degrees F or above for 15 seconds for poultry, wild game animals as specified under Section 3, Subsection 2(B), and (C), stuffed meat, stuffed poultry, stuffed ratites.

B. Whole beef roasts, corned beef roasts, pork roasts, and cured pork roasts such as ham, must be cooked:

1. In an oven that is preheated to the temperature specified for the roast's weight in the following chart and that is held at that temperature:

Oven Type

Oven Temperature Based On Roast Weight

Less than 10 pounds

10 pounds

Still Dry

350 degrees F or more

250 degrees F or more

Convention

325 degrees F or more

250 degrees F or more

High Humidity *

250 degrees F or more

250 degrees F or more

• = Relative humidity greater than 90% for at least 1 hour as measured in the cooking chamber or exit of the oven; or in a moisture impermeable bag that provides 100% humidity.

2. As specified in the following chart to heat all parts of a food to a temperature and for the holding time that corresponds to that temperature:

Temperature

Degrees F

**Time ***

Minutes

Temperature

Degrees F

**Time ***

Minutes

Temperature

Degrees F

**Time ***

Minutes

130

121

136

32

142

8

132

77

138

19

144

5

134

47

140

12

145

3

• Holding time may include post oven heat rise.

C. An undercooked whole muscle, intact beef steak may be served or offered for sale in a ready to eat form if:

1. The establishment serves a population that is not a highly susceptible population;

2. The steak is labeled to indicate that is meets the definition of whole muscle, intact beef as specified under Section 3, Subsection 1; and

3. The steak is cooked on both top and bottom to a surface temperature of 145 degrees F or above and a cooked color change is achieved on all external surfaces.

D. A raw animal food such as steak tartare; or a partially cooked food such as rare meat other than whole muscle, intact beef steaks as specified in Section 3, Subsection 17(C), may be served or offered for sale in a ready to eat form if:

1. The food establishment serves a population that is not a highly susceptible population; and

2. The food is prepared in response to a consumer's order and for immediate service; or

3. The Department grants a variance from Section 3, Subsection 17(A), or (B), as specified in Section 1, Subsection 5(A), based on a HACCP plan that:

a. Is submitted by the license holder and approved as specified under section 1, Subsection 6;

b. Documents scientific data or other information showing that a lesser time and temperature regimen results in a safe food; and

c. Verifies that equipment and procedures for food preparation and training of food employees at the establishment meet the condition of the variance.

Subsection 18: Raw Animal Food, Microwave Cooking

A. Raw animal food cooked in a microwave oven must be:

1. Rotated or stirred throughout or midway through cooking to compensate for uneven distribution of heat;

2. Covered to retain surface moisture;

3. Heated to a temperature of at least 165 degrees F in all parts of the food; and

4. Allowed to stand covered for 2 minutes after cooking to obtain temperature equilibrium.

Subsection 19: Reheating for Hot Holding

A. Except as specified under Section 3, Subsection 19(B), (C), and (E), potentially hazardous food that is cooked, cooled and reheated for hot holding must be reheated so that all parts of the food reach a temperature of at least 165 degrees F for 15 seconds.

B. Except as specified under Section 3, Subsection 19(C), potentially hazardous food reheated in a microwave oven for hot holding must be reheated so that all parts of the food reach a temperature of at least 165 degrees F and the food is rotated or stirred, covered, and allowed to stand covered for 2 minutes after reheating.

C. Ready to eat food taken from a commercially processed, hermetically sealed container, or from an intact package from a processing plant that is inspected by the Department must be heated to a temperature of at least 140 degrees F for hot holding.

D. Reheating for hot holding must be done rapidly at the time the food is between the temperature of 41 and 45 degrees, and must be heated to an internal temperature of 165 degrees F, but may not exceed 2 hours at this temperature.

E. Remaining unsliced portions or roasts of beef that are cooked as specified under Section 3, Subsection 17(B), may be reheated for hot holding using the oven parameters and minimum time and temperature conditions specified under Section 3, Subsection 17(B).

Subsection 20: Reheating for Immediate Service

Cooked and refrigerated food that is prepared for immediate service in response to an individual consumer order, such as roast beef sandwich au jus, may be served at any temperature.

Subsection 21: Food Temperature Measuring Devices

Food temperature measuring devices must be provided and readily accessible for use in ensuring attainment and maintenance of food temperatures.

Subsection 22: Thawing Potentially Hazardous Foods

A. Except as specified in Section 3, Subsection 22(A), (4), potentially hazardous food must be thawed;

1. Under refrigeration that maintains the food temperature at 41 degrees F or less, or at 45 degrees F as specified under Section 3, Subsection 22(A), (3); or

2. Completely submerged under running water;

a. At a water temperature of 70 degrees F or below;

b. With a sufficient water velocity to agitate and float off loose particles and overflow; and

c. For a period of time that does not allow thawed portions of ready to eat food to rise above 41 degrees F, or 45 degrees F as specified under Section 3, Subsection 22A), (3); or

d. For a period of time that does not allow thawed portions of raw animal food requiring cooking as specified under Section 3, Subsection 17(A) or (B), to be above 41 degrees F, or 45 degrees F, as specified in Section 3, Subsection 22A), (3); including

I. The time the food is exposed to running water and the time needed for the preparation for cooking; or

II. The time it takes under refrigeration to lower the food temperature to 41 degrees F, or 45 degrees F, as specified under Section 3, Subsection 24.

3. As part of a cooking process if the food that is frozen is:

a. Cooked as specified under Section 3, Subsection 17(A), or (B) or Section 3, Subsection 19;

b. Thawed in a microwave oven and immediately transferred to conventional cooking equipment, with no interruption in the process; or

4. Using any procedure if a portion of frozen ready to eat food is thawed and prepared for immediate service in response to an individual consumer's order.

Subsection 23: Potentially Hazardous Food, Slacking

A. Frozen potentially hazardous food that is slacked to moderate the temperature must be held:

1. Under refrigeration that maintains the food temperature at 41 degrees F, or at 45 degrees F or less, as specified under Section 3, Subsection 24A), (3); or

2. At any temperature if the food remains frozen.

Subsection 24: Potentially Hazardous Food, Hot and Cold Holding

A. Except during preparation, cooking, or cooling, potentially hazardous food must be maintained

1. At 140 degrees F or above, except roasts cooked to a temperature and for a time specified under Section 3, Subsection 19, may be held at a temperature of 130 degrees F; or

2. At 41 degrees F or less, except as specified under Section 3, Subsection 24A), (3), Subsections 59, and 60;

3. At 45 degrees F or between 41 and 45 degrees F in existing refrigeration equipment that is not capable of maintaining the food at 41 degrees F or less if:

a. The equipment is in place and in use in the establishment; and

b. Within ten years of the Department's adoption of these Rules, the equipment is upgraded or replaced to maintain food at a temperature of 41 degrees F or less.

Subsection 25: Variance Requirement

An establishment or processing plant must obtain a variance from the Department as specified in Section 1, Subsection 6, and under Section 1, Subsection 7, before smoking food as a method of food preservation rather than as a method of flavor enhancement; curing food; using food additives or adding components such as vinegar as a method of food preservation rather than as a method of flavor enhancement or to render a food so that it is not potentially hazardous; packaging food using a reduced oxygen packaging method except as specified under Section 3, Subsection 27, where a barrier to Clostridium Botulinum exists, in addition to using refrigeration; custom processing animals that are for personal use as food and not for sale or service in an establishment or processing plant; or preparing food by another method that is determined by the Department to require a variance.

Subsection 26: Reduced Oxygen Packaging Criteria

A. Except for an establishment or processing plant that obtains a variance as specified under Section 3, Subsection 25 an establishment or processing plant that packages food using a reduced oxygen packaging method and Clostridium Botulinum is identified as a microbiological hazard in the final packaged form must ensure that there are at least two barriers in place to control the growth and toxin formation or Clostridium Botulinum.

B. An establishment or processing plant that packages food using a reduced oxygen packaging method and Clostridium Botulinum is identified as a microbiological hazard in the final packaged form must have a HACCP plan that contains the information specified under Section 10, Subsection 2(A), (4), and that;

1. Identifies the food to be packaged;

2. Limits the food packaged to a food that does not support the growth of Clostridium Botulinum because it complies with one of the following:

a. Has an Aw of 0.91 or less;

b. Has a pH of 4.6 or less;

c. Is a meat or poultry product cured at a food processing plant regulated by the USDA using substances specified in 9 CFR 424, Preparation of Processing Operations , and is received in an intact package; or

d. Is a food with a high level of competing organisms such as raw meat or raw poultry;

3. Specifies methods for maintaining at 41 degrees F or below;

4. Describes how the packages shall be prominently and conspicuously labeled on the principal display panel in bold type on a contrasting background, with instructions to:

a. Maintain the food at 41 degrees F or below; and

b. Discard the food if within 14 days of its packaging it is not served for on premises consumption, or consumed if served or sold off premises consumption;

5. Limits the shelf life to no more than 14 calendar days from packaging to consumption or the original manufacturer's "sell by" or "use by" date, whichever occurs first;

6. Includes operational procedures that;

a. Prohibit contacting food with bare hands;

b. Identify a designated area and the method by which:

I. Physical barriers or methods of separation of raw foods and ready to eat foods minimize cross contamination; and

II. Access to the processing equipment is restricted to responsible trained personnel familiar with the potential hazards of the operation; and

III. Delineate cleaning and sanitization procedures for food contact surfaces.

7. Describes the training program that ensures that the individual responsible for the reduced oxygen packaging operation understands the:

a. Concepts required for safe operation;

b. Equipment and facilities; and

c. Procedures specified under Section 3, Subsection 26(A), (4), and Section 10, Subsection 2(A), (4).

Subsection 27: Standards of Identity

Packaged food must comply with standard of identity requirements as specified in 9 CFR 319, Definitions and Standards of Identity or Composition .

Subsection 28: Honestly Presented

A. Food must be offered for human consumption in a way that does not mislead or misinform the consumer.

B. Food or color additives, colored over wraps, or lights may not be used to misrepresent the true appearance, color, or quality or food.

Subsection 29: Consumer Warnings, Date Information

Food establishment or manufacturers' dating information on foods may not be concealed or altered.

Subsection 30: Discarding or Reconditioning Unsafe, Adulterated, or Contaminated Food

A. A food that is unsafe, adulterated, or not honestly presented shall be reconditioned according to an approved procedure or discarded.

B. Food that is not from an approved source as specified under Section 3, Subsections 1 and 2, shall be discarded.

C. Ready to eat food that may have been contaminated by an employee that has been restricted or excluded, shall be discarded.

D. Food that is contaminated by food employees, consumers, or other persons through contact with their hands, bodily discharges, such as nasal or oral discharges, or other means shall be discarded.

Subsection 31: Prohibited Re-service and Prohibited Food, Unless a Specific HACCP Plan is Being Utilized

A. In an establishment that serves a highly susceptible population the following foods may not be served or offered for sale in a ready to eat form:

1. Raw animal food such as steak tartare; or

2. A partially cooked animal food such as rare meat; unless

a. The preparation of the food is conducted under a HACCP plan that:

I. Identifies the food to be prepared;

II. Prohibits contact with food ready to eat, with bare hands;

III. Includes specifications and practices that ensure:

i. Salmonella enteritidis growth is controlled before and after cooking; and

ii. Contains the information specified in Section 10, Subsection 2(A), (4), including procedures that:

1. Delineate cleaning and sanitization procedures for food contact surfaces; and

2. Describes the training program that ensures that the food employee responsible for the preparation of the food understands the procedures to be used.

Subsection 32: Meat and Poultry Establishment Processing Requirements

Meat and poultry products processed in an official establishment must meet the requirements of 9 CFR 318, Products and Other Articles Entering Official Establishments , 9 CFR 319, Definitions and Standards of Identity or Composition , and 9 CFR 381, Poultry Products Inspection Regulations , Subpart O - Entry of Articles into Official Establishments; Processing Inspection and Other Re-inspections; Processing Requirements ; and Subpart P, Definitions and standards of Identity or Composition .

Subsection 33: Tagging Food Products, "Maine Retained"

A. Any food product suspected of being unsound, unhealthful, and adulterated or in any way unfit shall have the original mark, stamp, or label thereon removed or defaced and may be tagged with a "Maine Retained" tag by the Department.

B. The Department shall record:

1. The tag number; and

2. The kind and amount of food product retained.

C. The tag shall:

1. Accompany the food product to the room in which it is retained for final inspection; and

2. Not be removed except by the Department.

3. When the final inspection is made, if the food product is an inspected meat product, the original mark, stamp, or label thereon shall be removed or defaced and the Department shall stamp "Inspected and Condemned;" and

4. The retain tag shall accompany the meat product into the place of destruction.

D. The Department shall make a complete record of the transaction.

E. If upon final inspection, the food product is passed, the Department shall remove the retained tag and record the transaction.

Section 4 - LABELING

Subsection 1: Labels

A. Food labeled in an establishment shall be labeled as specified by law, 9 CFR 317, Labeling, Marking Devices, and Containers and 381, Subpart N, Labeling and Containers .

B. Label information must include:

1. The common name of the food, or if absent a common name, an adequately descriptive identity statement;

2. If made from two or more ingredients, a list of ingredients in descending order or predominance by weight, including a declaration of artificial color or flavor and chemical preservatives, if contained in the food;

3. An accurate declaration of the quantity of contents;

4. The name and place of business of the manufacturer, packer, or distributor.

Subsection 2: Imported Meat Labeling; Requirements and Inspections

A. Every retailer and every wholesaler who sells and offers for sale in this state through an establishment or otherwise any meat, which is the product of any country foreign to the United States, shall clearly label the meat as "imported" naming the country of its origin.

B. The following labeling requirements shall be required:

1. Meat from a foreign country received from a wholesaler or distributor must be clearly and distinctly marked to identify the meat or the meat package as being imported and specify country of origin.

a. The label can be of any size or configuration as long as it is clearly visible and readable when viewing the primary product label

b. If the meat is intended for retail sale it must have a label attached indicating, "Imported" and stating the country of origin.

c. If raw product is displayed in an unpackaged form and displayed in a retail case, a visible placard stating the foreign country of the said product may be used in lieu of a label.

C. Inspectors of the Maine Department of Agriculture shall, as part of their routine inspections of wholesale and retail establishments, inspect the meat and containers of raw meat received by the establishment to verify that meat received which is the product of any country foreign to the United States is clearly labeled to identify the product as "Imported" and the country of origin is properly named.

Subsection 3: Official Marks, Devices, Marking Products and Their Containers

A. An official inspection legend, and such other marks, devices, and certificates as required by 9 CFR 312, Official Marks, Devices, and Certificates , and 9 CFR 316, Marking Products and Their Containers , and 9 CFR 381, Subpart N, Labeling and Containers must be applied and used on inspected and passed carcasses and parts of carcasses of cattle, sheep, swine and goats, meat food products in animal casings, and other products as approved by the Commissioner and must be in the appropriate form.

1. Meat inspection stamps that contain the words "Maine Inspected and Passed" and "Maine Inspected and Condemned" shall be provided by the Maine Department of Agriculture to all establishments, which have been approved and granted state meat or poultry inspection service by the Department.

B. The use of the inspection legend is prohibited except under supervision of the Commissioner or his designee.

1. No person shall affix or place, or cause to be affixed or placed, the inspection legend, or any abbreviation, copy or representation thereof, to or on any product or container thereof except under the supervision of the Commissioner or his designee; and

2. No person shall fill or cause to be filled, in whole or in part with any product, any container bearing or intended to bear the inspection legend or any abbreviation, copy or representation thereof, except under the supervision of the Commissioner or his designee.

C. Brands and marking devices shall be approved by the Commissioner, and strict control of brands shall be maintained.

1. The Department shall furnish or have approved such ink brands, burning brands and like devices for marking products as the Commissioner may require.

a. The mark of inspection on such a device shall be a facsimile of one of the official brands using the size best suited for the intended purpose.

2. In advance of manufacture, brands and marking devices shall:

a. Have complete and accurate descriptions and designs as specified in Section 4, Subsection 3(C), (1), and (a), submitted to and approved by the Commissioner.

b. Every such brand and device which bears the inspection legend shall be delivered into the custody of the Maine Department of Agriculture; and

c. Be used only under the supervision of the Maine Department of Agriculture.

3. When not in use for marking inspected and passed product, all such brands and devices bearing the inspection legend shall be kept locked in properly equipped lockers or compartments, the keys of which shall not leave the possession of the Department.

D. No person shall remove or cause to be removed from an official establishment any article, which these Rules require to be marked.

E. Branding ink shall be:

1. Furnished by the official establishment for marking product;

2. Made with harmless ingredients that are approved by the Maine Department of Agriculture; and

3. Of proper color.

F. Brands or marking devices shall be of such style and type as will make a clear and legible impression as determined by the Maine Department of Agriculture.

G. Each carcass which has been inspected and passed in an official establishment shall be marked at the time of the inspection with the inspection legend in accordance with 9 CFR 316, Marking Products and Their Containers , and 9 CFR 381, Subpart M - Official Marks, Devices and Certificates; Export Certificates; Certification Procedures .

H. The official inspection legend, marks, devices and certificates required by 9 CFR 352, Exotic Animals Voluntary Inspection ; 9 CFR 354, Voluntary Inspection of Rabbits and Edible Products Thereof , and 9 CFR 362, Voluntary Poultry Inspection Regulations , shall be applied and used on inspected and passed carcasses and parts of carcasses of exotic animals, poultry, or rabbits as approved by the Commissioner and shall be in the appropriate form.

I. The specific requirements for use of an official mark of inspection shall be the same as Subsection 3, (A-G) above and Subsection 4 below.

Subsection 4: Specific Labeling Requirements for Inspected and Passed Meat and Poultry Products, Label Contents and Approval

A. Any inspected and passed meat or poultry product placed or packed in any can, pot, tin, canvas or other receptacle or covering constituting an immediate or true container shall be labeled as specified in these Rules, or in law, including 9 CFR 317, Labeling, Marking Devices and Containers , and 9 CFR 381, Subpart N - Labeling and Containers .

B. Labels shall be approved by the Commissioner.

1. The label shall be submitted in triplicate to the Commissioner for approval; and

2. The label shall be submitted as it appears in its final form;

3. Inserts, tags, liners, pasters and like devices containing printed or graphic matter and for use on, or to be replaced within, containers and coverings of product shall be:

a. Submitted for approval in the same manner as provided for labels in Section 4, Subsection 5(B)(1), except that:

I. The Department may permit the use of approved devices, which contain no reference to product and bear no misleading feature;

II. The Department may permit the use of approved labels or other markings, so used as not to be false or deceptive.

III. Approved labels may only be used on:

i. Products to which they are applicable;

ii. Products for which they are approved.

Section 5 - PERSONAL HYGIENE

Subsection 1: Employee Health

Food employees experiencing persistent sneezing, coughing, or a runny nose that causes discharges from the eyes, nose, or mouth may not work with exposed food; clean equipment, utensils, or linens.

Subsection 2: Personal Cleanliness

A. Food Employees shall keep their hands and exposed portions or their arms clean.

B. Food employees shall clean their hands and the exposed portions of their arms with a cleaning compound in a lavatory, by vigorously rubbing together the surfaces of their lathered hands and arms for at least 20 seconds and thoroughly rinsing with clean water. Employees shall pay particular attention to the areas underneath the fingernails and between the fingers.

C. Food employees shall clean their hands and exposed portions of their arms immediately before engaging in food preparation including working with exposed food, clean equipment and utensils.

Section 6 - EQUIPMENT AND UTENSILS

Subsection 1: Equipment and Utensils, Design and Construction

A. Equipment and utensils shall be designed and constructed to be durable and to retain their characteristic qualities under conditions of normal use.

B. Equipment and utensils should be of a safe material that is resistant under normal conditions of use to scratching, scoring, decomposition, chipping, and distortion, they should be of sufficient weight and thickness to permit cleaning and sanitizing by normal dishwashing methods.

Subsection 2: Characteristics of Food Contact Surfaces

A. Utensils and food contact surfaces of equipment must be constructed of materials that do not allow the migration of deleterious substances or impart colors, odors, or tastes to food under conditions of normal use and must be:

1. Safe;

2. Durable, corrosion-resistant, and nonabsorbent;

3. Sufficient in weight and thickness to withstand repeated ware washing;

4. Finished to have a smooth easily cleanable surface; and

5. Resistant to pitting, chipping, scratching, scoring, distortion, and decomposition.

Subsection 3: Conditioning Device, Design

A water filter, screen, and other water-conditioning device installed on water lines must be designed to facilitate disassembly for periodic servicing and cleaning. A water filter element must be of the replaceable type.

Subsection 4: Food Contact Surfaces

A. Multi-use food contact surfaces must be:

1. Smooth;

2. Free of breaks, open seams cracks, chips, pits, and similar imperfections;

3. Free of sharp internal angles, corners and crevices;

4. Finished to have smooth welds and joints; and

5. Accessible for cleaning and inspection by one of the following methods:

a. Without being disassembled;

b. By disassembling without the use of tools; or

c. By easy disassembling with the use of handheld tools commonly available to maintenance and cleaning personnel such as screwdrivers, pliers, open-end wrenches, and allen wrenches.

Subsection 5: Bearings and Gearboxes, Leak proof

Equipment containing bearings and gears that require lubricants must be designed and constructed so that the lubricant cannot leak, drip, or be forced into food or onto food contact surfaces.

Subsection 6: Food Contact Surface Lubricants

Lubricants must be applied to food contact surfaces that require lubrication in a manner that does not contaminate food contact surfaces.

Subsection 7: Condenser Unit, Separation

If a condenser unit is an integral component of equipment, the unit itself must be separated from the food and food storage space by a dust proof barrier.

Subsection 8: Ware-washing Sinks and Drain-boards, Self-draining

Sinks and drain-boards or ware-washing sinks and machines shall be self-draining.

Subsection 9: Equipment Compartments, Drainage

Equipment compartments that are subject to accumulation of moisture due to conditions such as condensation, food or beverage drip, or water from melting ice must be sloped to an outlet that allows complete draining.

Subsection 10: Cleaned In Place (CIP) Equipment

A. CIP equipment must meet the characteristics specified under Section 6, Subsection 4, and must be designed and constructed so that:

1. Cleaning and sanitizing solutions circulate throughout a fixed system and contact all interior food contact surfaces; and

2. The system is self-draining or capable of being completely drained of cleaning and sanitizing solutions.

B. CIP equipment that is not designed to be disassembled for cleaning must be designed with inspection access points to ensure that all interior food contact surfaces throughout the fixed system are being effectively cleaned.

Subsection 11: Temperature Measuring Devices

A. In a mechanically refrigerated or hot food storage unit, the sensor of a temperature measuring device must be located such as to measure the air temperature in the warmest part of a mechanically refrigerated unit and in the coolest part of a hot food storage unit.

B. Cold or hot holding equipment used for potentially hazardous food must be designed to include and must be equipped with at least one integral or permanently affixed temperature measuring device that is located to allow easy viewing of the device's temperature display.

C. Temperature measuring devices must be designed to be easily readable.

D. Food temperature measuring devices must have a numerical scale, printed record, or digital readout in increments no greater that 2 degrees F in the intended range of use.

Subsection 12: Food Temperature Measuring Devices

A. Food temperature measuring devices may not have sensors or stems constructed of glass, except that thermometers with glass sensors or stems that are encased in a shatterproof coating such as candy thermometers may be used.

B. Food temperature measuring devices that are scaled only in Celsius or dually scaled in Celsius and Fahrenheit must be accurate to within 1 degree C in the intended range of use.

C. Food temperature measuring devices that are scaled only in Fahrenheit must be accurate to 2 degrees F in the intended range of use.

Subsection 13: Nonfood Contact Surfaces

A. Nonfood contact surfaces of equipment that are exposed to splash, spillage, or other food soiling or that require frequent cleaning must be constructed of a corrosion resistant, nonabsorbent, and smooth material.

B. Nonfood contact surfaces must be free of unnecessary ledges, projections, and crevices, and designed and constructed to allow easy cleaning and to facilitate maintenance.

Subsection 14: Heating, Ventilating, Air Conditioning System Vents

Heating, ventilating and air conditioning systems must be designed and installed so that air intake and exhaust vents do not cause contamination of food, food contact surfaces, equipment, or utensils.

Subsection 15: Ventilation Hood Systems, Drip Prevention

Exhaust ventilation hood systems in food preparation and ware-washing areas including components such as hoods, fans, guards, and ducts must be designed to prevent grease or condensation from draining or dripping onto food, equipment, or utensils.

Subsection 16: Ventilation Hood Systems, Filters

Filters or other grease extracting equipment must be designed to be readily removable for cleaning and replacement if not designed to be cleaned in place.

Subsection 17: Equipment Repair and Proper Adjustment

A. Equipment must be maintained in a state of repair and condition that meets the requirements specified under Section 6, Subsections 1 and 2.

B. Equipment components such as doors, seals, hinges, fasteners, and kick plates must be kept intact, tight, and adjusted in accordance with manufacturer's specifications.

Subsection 18: Calibration

A. Food temperature measuring devices must be calibrated in accordance with manufacturer's specifications as necessary to ensure their accuracy.

B. Ambient air temperature, water pressure, and water temperature measuring devices must be maintained in good repair and be accurate within the intended range of use.

Subsection 19: Cutting Surfaces

Surfaces such as cutting blocks and boards that are subject to scratching and scoring must be resurfaced if they can no longer be effectively cleaned and sanitized, or discarded if they are not capable of being resurfaced.

Subsection 20: Fixed Equipment, Elevation or Sealing

A. Except as specified under Section 6, Subsection 21(B), floor mounted equipment that is not easily movable must be sealed to the floor or on legs that provide at least a 6-inch clearance between the floor and the equipment.

B. If no part of the floor under the floor mounting equipment is more than 6 inches from the point of cleaning access, the clearance space may be only 4 inches.

C. This section does not apply to display shelving units, display refrigeration units, and display freezer units located in the consumer shopping areas of a retail food store, if the floor under the unit is maintained clean.

D. Except as specified under Section 6, Subsection 21(B), table mounted equipment that is not easily movable must be elevated on legs that provide at least 4 inches clearance between the table and equipment.

E. The clearance space between the table and the table-mounted equipment may be:

1. Three inches if the horizontal distance of the table top under the equipment is no more than 20 inches from the point of access for cleaning; or

2. Two inches if the horizontal distance of the table top under the equipment is no more than 3 inches from the point of access for cleaning.

Subsection 21: Fixed Equipment, Spacing or Sealing

A. Equipment that is fixed because it is not easily movable must be installed so that it is:

1. Spaced to allow access for cleaning along the sides, behind, and above the equipment;

2. Spaced from adjoining equipment walls, and ceilings a distance of not more than one thirty-second inch or 1 millimeter; or

3. Sealed to adjoining equipment or walls, if the equipment is exposed to spillage or seepage.

B. Table mounted equipment that is not easily moveable must be installed to allow cleaning of the equipment and areas underneath and around the equipment by being:

1. Sealed to the table; or

2. Elevated on legs as specified in Section 6, Subsection 20(D).

Section 7 - CLEANING, SANITIZATION AND STORAGE EQUIPMENT AND UTENSILS

Subsection 1: Equipment Food Contact Surfaces and Utensils

A. Equipment food contact surfaces and utensils must be cleaned:

1. Between each use of a different type of raw animal species such as beef, lamb, pork, or poultry;

2. Each time there is a change from working with raw food to working with ready to eat food;

3. At any time during the operation when contamination may have occurred.

Subsection 2: Manual Ware-washing, Sink Compartment Requirements

A. A sink with at least 3 compartments must be provided for manual washing, rinsing and sanitizing equipment and utensils.

B. Sink compartments must be large enough to accommodate immersion of the largest equipment and utensils. If equipment or utensils are too large for the ware-washing sink, then alternative equipment specified in Section 7, Subsection 2(C), must be used.

C. Alternative manual ware-washing equipment may include:

1. High pressure detergent sprayers;

2. Low pressure spray detergent foamers; or

3. Other task specific cleaning equipment.

Subsection 3: Hot Water and Chemical Sanitization

A. After being cleaned, equipment food contact surfaces and utensils must be sanitized in:

Hot water operations by contact or immersion in at least 180 degree water.

2. Hot water operations by being cycled through equipment, and achieving a utensil surface temperature of 160 degrees F as measured by an irreversible registering temperature indicator; or

3. Chemical, manual or mechanical operations, including the application of sanitizing chemicals by immersion, manual swabbing, brushing, or pressure spraying methods, which meet the following criteria:

a. An exposure time of at least 10 seconds for a chlorine solution;

b. An exposure time of at least 7 seconds for a chlorine solution of (50) mg/l that has a pH of 10 or less and a temperature of at least 100 degrees F or a pH of 8 or less and a temperature of at least 75 degrees F;

c. An exposure time of at least 30 seconds for other chemical sanitizing solutions; or

An exposure time used in relationship with a combination of temperature, concentration, and pH that, when evaluated for efficacy yields sanitization.

Subsection 4: Ware-washing Equipment, Clean Solutions

The wash, rinse, and sanitize solutions must be maintained clean.

Subsection 5: Manual Ware-washing Equipment, Chemical Sanitization Using Detergent Sanitizers

A. If a detergent sanitizer is used to sanitize in a cleaning and sanitizing procedure where there is no distinct water rinse between the washing and sanitizing steps, the agent applied in the sanitizing step must be the same detergent sanitizer that is used in the washing step.

Subsection 6: Manual Ware-washing Equipment, Hot Water Sanitization Temperatures

When hot water is used for sanitizing, the temperature of the water must be maintained at 180 degrees F or above.

Subsection 7: Temperature Measuring Devices, Manual Ware-washing

A. In manual ware-washing operations, a temperature measuring device must be provided and readily accessible for frequently measuring the washing and sanitizing temperatures.

Subsection 8: Sanitization Requirements at Official Meat and Poultry Establishments

A. Each official establishment must be operated and maintained in a manner sufficient to prevent the creation of unsanitary conditions and to ensure that product is not adulterated.

1. Sanitation requirements shall meet the requirements specified in 9 CFR 416, Sanitation .

Subsection 9: Tagging Unsanitary Equipment, Utensils, Rooms, or Compartments

A. When in the opinion of the Department, any equipment, utensil, room, or compartment at an establishment is unclean or its use would be in violation of these Rules, as "Maine Rejected" tag may be applied.

1. No equipment, utensil, room or compartment so tagged may again be used until made acceptable; and

2. Such tag so placed may not be removed by anyone other than the Department.

Subsection 10: Sanitizing Food Contact Surfaces in Commercial Slaughter Establishments

Utensils and equipment food contact surfaces shall be sanitized before use and after cleaning by either:

A. Immersion or contact with potable water heated to a temperature of at least 180 degree F, or

B. The application of a chemical sanitizer listed in 21 CFR 178.1010, Sanitizing Solutions , which shall be used in accordance with the EPA-approved manufacturer’s label use instructions.

Section 8 - SANITARY FACILITIES AND CONTROLS

Subsection 1: Approved Water Source

A. Drinking water must be obtained from an approved source that is:

1. A public water system;

2. A nonpublic water system that is constructed, maintained, and operated according to law.

Subsection 2: Approved Water System

A. Water must be received from the source from the use of:

1. An approved public water main; or

2. One or more of the following that must be constructed, maintained, and operated according to law:

a. Nonpublic water main, water pumps, pipes, hoses, connections, and other appurtenances;

b. Water transport vehicles; or

c. Water containers.

Subsection 3: Sampling

Water from a nonpublic water system must be sampled and tested at least semi-annually.

Subsection 4: Sample Report

The most recent sample report for the nonpublic water system must be retained on file in the establishment or processing plant.

Subsection 5: Capacity

The water source and system must be of sufficient capacity to meet the peak water demands of the establishment or processing plant.

Subsection 6: Water Pressure

Water under pressure must be provided to all fixtures, equipment, and nonfood equipment that are required to use water.

Subsection 7: Hot Water

A. Hot water generation and distribution systems must be sufficient to meet the peak hot water demands throughout the establishment or processing plant.

B. Hot water must be used for the cleaning of inspection equipment and other equipment, floors, walls, and the like in commercial slaughter establishments, which are subject to contamination by the dressing or handling of diseased carcasses, their viscera and parts.

Subsection 8: Conveying Sewage

Sewage must be conveyed to the point of disposal through an approved sanitary sewage system or other system, including use of sewage transport vehicles, waste retention tanks, pumps, pipes, hoses, and connections that are constructed, maintained, and operated according to law.

Subsection 9: Toilet Rooms

Toilet rooms must be conveniently located and accessible to employees during all hours of operation.

Subsection 10: Hand-washing Lavatory, Minimum Number

A. Except as specified under Section 8, Subsection 10(B), at least 1 hand-washing lavatory must be provided.

B. If approved by the Department and capable of removing the types of soils encountered in the food operations involved, an automatic hand washing facility may be used by food employees to clean their hands.

C. If approved by the Department when food exposure is limited and hand-washing lavatories are not conveniently available, such as in some mobile or temporary establishments, employees may use chemically treated towelettes for hand-washing.

Subsection 11: Hand-washing Lavatory Location

A. A hand-washing lavatory must be located:

1. To allow convenient use by employees in food preparation, food dispensing, and ware-washing areas;

2. In, or immediately adjacent to, toilet rooms.

Subsection 12: Waste Receptacles, Inedible Products

A. Except as specified under Section 8, Subsection 12(B), receptacles and waste handling units for refuse, recyclables, and returnables and for use with materials containing food residue must be durable, cleanable, insect and rodent resistant, leak proof, and nonabsorbent.

1. Trucks and receptacles used for inedible materials must be of similar construction and must bear some conspicuous and distinctive mark and may not be used for handling edible products.

B. Plastic bags and wet strength paper bags may be used to line receptacles for storage inside the establishment or processing plant, or within closed outside receptacles.

Subsection 13: Covering Waste Receptacles

A. Receptacles and waste handling units for refuse, recyclables, and returnables must be kept covered with tight fitting lids and be kept:

1. Inside the establishment or processing plant if the receptacles and units:

a. Contain food residue and are not in continuous use; or

b. After they are filled.

Subsection 14: Outside Waste Receptacles

A. Receptacles and waste handling units for refuse, recyclables, and returnables used with materials containing food residue and used outside the establishment or processing plant must be designed and constructed to have tight fitting lids, doors, or covers.

B. Receptacles and waste handling units for refuse and recyclables such as an on site compactor must be:

1. Installed so that the accumulation of debris and insect and rodent attraction and harborage are minimized;

2. Facilitate effective cleaning, which requires, at a minimum, that the unit not be installed flush with the base pad under the unit.

Subsection 15: Cleaning Waste Receptacles

A. Receptacles and waste handling units for refuse; recyclables, and returnables must be thoroughly cleaned in a way that does not contaminate food, equipment, or utensils.

B. Soiled receptacles and waste handling units for refuse, recyclables, and returnables must be cleaned at a frequency necessary to prevent them from developing a buildup of soil or becoming attractants for insects and rodents.

Subsection 16: Storing Refuse

Refuse must be stored in receptacles or waste handling units so that they are inaccessible to insects and rodents.

Subsection 17: Community or Individual Facility

Solid waste not disposed of through the sewage system such as through grinders and pulpers must be recycled or disposed of in an approved public or private community recycling or refuse facility; or solid waste may be disposed of in an individual refuse facility such as a landfill or incinerator which is sized, constructed, maintained, and operated in accordance with law.

Subsection 18: Controlling Pests

A. Insects, rodents, and other pests must be controlled to minimize their presence on the premises by:

1. Routinely inspecting incoming shipments of food and supplies;

2. Routinely inspecting the premises for evidence of pests;

3. Using methods if pests are found, such as trapping devices or other means of pest control;

4. Eliminating harborage conditions.

Subsection 19: Insect Control Devices, Design and Installation

A. Insect control devices that are used to electrocute or stun flying insects must be designed to retain the insect within the device.

B. Insect control devices must be installed so that:

1. The devices are not located over a food preparation area; and

2. Dead insects and insect fragments are prevented from being impelled onto or falling on exposed food, clean equipment, or utensils.

Subsection 20: Rodent Bait Stations

. Rodent bait must be contained in a covered, tamper resistant bait station.

Subsection 21: Outer Openings Protected

A. Outer openings of an establishment or processing plant must be protected against the entry of insects and rodents by:

1. Filling or closing holes and other gaps along floors, walls, and ceilings;

2. Closed, tight fitting windows; and

3. Solid self-closing, tight fitting doors.

B. If the windows or doors of an establishment or processing plant, or of a larger structure within which an establishment or processing plant is located, are kept open for ventilation or other purposes, the openings must be protected against the entry of insects or rodents by:

1. Sixteen mesh to one inch screens;

2. Properly designed and installed air curtains; or

3. Other effective means.

Subsection 22: Exterior Walls and Roofs, Protective Barrier

Perimeter walls and roofs of an establishment or processing plant must effectively protect the establishment or processing plant from the weather and the entry of insects, rodents, and other animals.

Subsection 23: Operating and Storage Rooms for Inedibles, Outside Premises, Maintained in Clean Condition

A. All operating and storage rooms and departments of establishments used for edible materials must be maintained in acceptable clean conditions and meet the requirements as specified in 9 CFR 314, Handling and Disposal of Condemned and Inedible Products at Official Establishments and 9 CFR 381.95, Disposal of Condemned Poultry Products .

B. The accumulation on the premises of establishments of any material in which flies may breed, such as hog hair, bones, paunch contents, or manure is forbidden.

Section 9 - CONSTRUCTION AND MAINTENANCE OF PHYSICAL FACILITIES

Subsection 1: Floor, Wall, and Ceiling Surface Characteristics

A. Materials for indoor floor, wall, and ceiling surfaces under conditions or normal use must be:

1. Smooth, durable, and easily cleanable for areas where establishment or processing plant operations are conducted;

2. Closely woven and easily cleanable carpet for carpeted areas; and

3. Nonabsorbent for areas subject to moisture such as food preparation areas, walk-in refrigerators, ware-washing areas, toilet rooms.

Subsection 2: Floors, Walls, and Ceilings; Designed and Installed

A. The floors, floor coverings, walls, wall coverings, and ceilings must be designed, constructed, and installed so they are smooth and easily cleanable, except that anti-slip floor coverings or applications may be used for safety reasons.

Subsection 3: Floor and Wall Junctures, Coved, and Enclosed or Sealed

A. In establishments in which cleaning methods other than water flushing are used for cleaning floors, the floor and wall junctures must be coved and closed to no larger than one thirty-second inch.

B. The floors in establishments in which water flush cleaning methods are used must be provided with drains and be graded to drain, and the floor and wall junctures must be covered and sealed.

Subsection 4: Floors, Walls, and Ceilings; Utility Lines

A. Utility service lines and pipes may not be unnecessarily exposed.

B. Exposed utility service lines and pipes must be installed to not obstruct or prevent cleaning of the floor, walls, or ceilings.

C. Exposed horizontal utility service lines and pipes may not be installed on the floor.

Subsection 5: Wall and Ceiling Coverings and Coatings

A. Wall and ceiling covering materials must be attached so that they are easily cleanable.

B. Except in areas used only for dry storage; concrete, porous blocks, or bricks used for indoor wall construction must be finished and sealed to provide a smooth, nonabsorbent, easily cleanable surface.

Subsection 6: Walls and Ceilings, Studs, Joists, and Rafters

Studs, joists, and rafters may not be exposed in areas subject to moisture.

Subsection 7: Walls and Ceilings, Attachments

A. Except as specified under Section 9, Subsection 7(B), attachments to walls and ceilings such as light fixtures, mechanical room ventilation system components, vent covers, wall mounted fans, decorative items, and other attachments must be easily cleanable.

B. In a consumer area, wall and ceiling surfaces and decorative items and attachments that are provided for ambiance need not meet this requirement if they are kept clean.

Subsection 8: Cleaning, Frequency and Restrictions

A. The physical facilities must be cleaned as often as necessary to keep them clean.

B. Cleaning must be done during periods when the least amount of food is exposed, such as after closing. This requirement does not apply to cleaning that is necessary due to a spill or other accident.

Subsection 9: Ware-washing Sinks, Use Limitations

A. A ware-washing sink may not be used for hand-washing or dumping mop water.

B. If a ware-washing sink is used to wash wiping cloths, wash produce, or thaw food, the sink must be cleaned before and after each time it is used to wash wiping cloths or wash produce or thaw food. Sinks used to wash or thaw food shall be sanitized before and after using the sink to wash produce or thaw food.

Subsection 10: Cleaning Maintenance Tools, Preventing Contamination

Food preparation sinks, hand-washing lavatories, and ware-washing equipment may not be used for the cleaning of maintenance tools, the preparation of holding of maintenance materials, or the disposal of mop water and similar liquid waste.

Subsection 11: Service Sink

At least one service sink must be provided and conveniently located for the cleaning of mops or similar wet floor cleaning tools and for the disposal of mop water and similar liquid waste.

Subsection 12: Light Intensity

A. The light intensity must be:

1. At least 10 foot candles at a distance of 30 inches above the floor, in walk-in refrigeration units and dry food storage areas and in other areas and rooms during periods of cleaning;

2. At least 20 foot candles:

a. At a surface where food is provided for consumer produce self-service such as buffets and salad bars or where fresh or packaged foods are sold or offered for consumption;

b. Inside equipment such as reach-in and under-counter refrigerators;

3. At a minimum of 30 foot candles at a surface where a food employee is working with food or working with utensils or equipment such as knives, slicers, grinders, or saws where employee safety is a factor; and

4. A minimum of 50-foot candles of shadow free lighting at the inspection surfaces of the head, viscera, and carcass.

5. A minimum of 200-foot candles of shadow free lighting at the inspection surface for Poultry.

Subsection 13: Light Bulbs, Protective-Shielding

A. Except as specified under Section 9, Subsection 13(B), light bulbs must be shielded, coated, or otherwise shatter resistant in areas where there is exposed food; clean equipment, and utensils.

B. Shielded, coated, or otherwise shatter resistant bulbs need not be used in areas used only for storing food in unopened packages, if:

1. The integrity of the packages cannot be affected by broken glass falling onto them; and

2. The packages are capable of being cleaned of debris from broken bulbs before the packages are opened.

Subsection 14: Mechanical Ventilation

If necessary to keep rooms free of excessive heat, steam, condensation, vapors, obnoxious odors, smoke, and fumes, mechanical ventilation of sufficient capacity must be provided.

Subsection 15: Ventilation Hood Systems, Adequacy

Ventilation hood systems and devices must be sufficient in number and capacity to prevent grease and condensation from collecting on walls and ceilings.

Subsection 16: Cleaning Ventilation Systems, Discharge Prohibition

Intake and exhaust air ducts must be cleaned and filters changed so they are not a source of contamination by dust, dirt, and other materials.

Subsection 17: Employee Accommodations

A. Areas designated for employees to eat, drink, and use tobacco must be located so that food, equipment, and linens are protected from contamination.

B. Lockers or other suitable facilities must be located in a designated room or area where contamination of food, equipment, utensils and linens cannot occur.

Subsection 18: Dressing Rooms and Lockers

A. Dressing rooms must be used by employees if the employees regularly change their clothes in the establishment or processing plant.

B. Lockers or other suitable facilities must be used for the orderly storage of employee clothing and other possessions.

Subsection 19: Presence and Use of Toxic Materials

Only those poisonous or toxic materials that are required for the operation and maintenance of an establishment or processing plant, such as for the cleaning and sanitizing or equipment and utensils and the control of insects and rodents may be allowed in an establishment or processing plant.

Subsection 20: Working Containers and Chemicals

Working containers used for storing poisonous or toxic materials such as cleaners and sanitizers taken from bulk supplies must be clearly and individually identified with the common name of the material.

Subsection 21: Chemical Storage

A. Poisonous or toxic materials must be stored so they cannot contaminate food, equipment, utensils, and linens by:

1. Separating the poisonous or toxic materials by spacing or partitioning; and

2. Locating the poisonous or toxic materials in an area that is not above food, equipment, utensils, or linens. This paragraph does not apply to equipment and utensil cleaners and sanitizers that are stored in ware-washing areas for availability and convenience if the materials are stored to prevent contamination of food, equipment, utensils, and linens.

Subsection 22: Storage and Display

A. Poisonous or toxic materials must be stored and displayed for retail sale so they cannot contaminate food, equipment, utensils, and linens by:

1. Separating the poisonous or toxic materials by spacing or partitioning;

2. Locating the poisonous or toxic materials in an area that is not above food, equipment, utensils, and linens.

Subsection 23: Sanitizers, Criteria

Chemical sanitizers and other chemical antimicrobials applied to food contact surfaces must meet the requirements specified in 21 CFR 178.1010, Sanitizing Solutions .

Subsection 24: Lubricants

Lubricants must meet the requirements specified in 21 CFR 178.3570. if they are lubricants that may have incidental food contact, if they are used on food contact surfaces, on bearings and gears located on or within food contact surfaces, or on bearings or gears that are located so that lubricants may leak, drip, or be forced into food or onto food-contact surfaces.

Subsection 25: Conditions of Use

A. Poisonous or toxic materials must be:

1. Used according to:

a. Law and these Rules;

b. Manufacturer's use directions included in labeling, and, for a pesticide, manufacturer's label instructions that state, that use is allowed in an establishment;

c. The conditions of certification, if certification is required, for use of the pest control materials; and

d. Additional conditions that may be established by the Department; and

2. Applied so that:

a. A hazard to employees or other persons is not constituted; and

b. Contamination including toxic residues due to drip, drain, fog, splash or spray on food, equipment, utensils, or linens is prevented, and for a restricted use pesticide, this is achieved by:

I. Removing the items;

i. Covering the items with impermeable covers; or

ii. Taking other appropriate preventative actions; and

iii. Cleaning and sanitizing equipment and utensils after the application.

Subsection 26: Poisonous or Toxic Material Containers

A container previously used to store poisonous or toxic materials may not be used to store, transport, or dispense food.

Subsection 27: First Aid Supplies

First aid supplies that are in an establishment or processing plant for the employees' use must be stored in a kit or a container that is located to prevent the contamination of food, equipment, utensils, and linens.

Subsection 28: Facilities in Good Repair

The physical facilities must be maintained in good repair.

Subsection 29: Maintaining Premises, Unnecessary Items and Litter

A. The premises must be free of:

1. Items that are unnecessary to the operation or maintenance of the establishment such as equipment that is nonfunctional or no longer used; and

2. Litter.

Subsection 30: Linen Specifications

A. Linens that do not come in direct contact with food must be laundered between operations if they become wet, sticky, or visibly soiled.

B. Cloth gloves that are used must be laundered before being used with a different type or raw animal food such as beef, lamb, pork, and fish.

Subsection 31: Storage of Soiled Linen

Soiled linens must be kept in clean, nonabsorbent receptacles or clean, washable laundry bags and stored and transported to prevent contamination of food, clean equipment, and clean utensils.

Subsection 32: Drying Mops

After use mops must be placed in a position that allows them to air dry without soiling walls, equipment, or supplies.

Subsection 33: Storing Maintenance Tools

A. Maintenance tools such as brooms, mops, vacuum cleaners and similar items must be:

1. Stored so they do not contaminate food, utensils, equipment, and linens; and

2. Stored in an orderly manner that facilitates cleaning the area used for storing the maintenance tools.

Subsection 34: Prohibiting Animals

A. Except as specified in Section 9, Subsection 34(B), live animals may not be allowed on the premises of an establishment or processing plant.

B. Live animals may be allowed in the following situations if the contamination of food, clean equipment, utensils, and linens cannot result:

1. Patrol dogs accompanying police or security officers in offices and dining, sales, and storage areas, and sentry dogs running loose in outside fenced areas;

2. In areas that are not used for food preparation and that are usually open for customers, such as dining and sales areas, service animals that are controlled by the disabled employee or person if a health or safety hazard will not result from the presence or activities of the service animal.

Subsection 35: Outdoor Surface Characteristics

A. The outdoor walking and driving areas must be surfaced with concrete, asphalt, or gravel or other materials that have been effectively treated to minimize dust, facilitate maintenance, and prevent muddy conditions.

B. Exterior surfaces of buildings or processing plants must be of weather resistant materials.

Subsection 36: Outdoor Walking and Driving Surfaces, Graded to Drain

Exterior walking and driving surfaces must be graded to drain.

Subsection 37: Outdoor Refuse Areas, Curbed and Graded to Drain

Outdoor refuse areas must be curbed and graded to drain to collect and dispose of liquid waste that results from the refuse and from cleaning the area and waste receptacles.

Subsection 38: Facilities, Sanitation at Official Establishments Requiring Inspection

Official establishments must be adequate for conducting inspection and meet the requirements as specified in 9 CFR 307, Facilities for Inspection ; 416, Sanitation ; and 9 CFR 381, Poultry Products Inspection Regulations , Subpart G, Facilities for Inspection; Overtime and Holiday Service; Billing Establishments, Sanitation, and Subpart I, Operation Procedures .

Section 10 - HAZARD ANALYSIS AND CRITICAL CONTROL POINTS

Subsection 1: When a HACCP Plan is Required

A. Before engaging in an activity that requires a HACCP plan, a license applicant or license holder must submit to the Department for approval a properly prepared HACCP plan as specified under Section 10, Subsection 2, and the relevant provisions of these Rules if:

1. Submission of a HACCP is required according to law;

2. A variance is required as specified under Section 3, Subsection 25; or

3. The Department determines that a food preparation or processing method requires a variance based on a plan submittal specified under Section 2, Subsection 6, an inspection finding, or a variance request.

B. A license applicant or license holder must have a properly prepared HACCP plan as specified under Section 3, Subsection 25.

Subsection 2: Contents of a HACCP Plan

A. For an establishment or processing plant that is required under Section 10, Subsection 1, to have a HACCP plan, the plan and specifications must indicate:

1. A categorization of the types of potentially hazardous foods that are specified in the menu such as meat roasts, or other foods that are specified by the Department;

2. A flow diagram by specific food or category type identifying critical control points and providing information on the following:

a. Ingredients, materials, and equipment used in the preparation of that food; and

b. Formulations, or recipes that delineate methods and procedural control measures that address the food safety concerns involved;

3. Food employee and supervisory training plan that addresses the food safety issues of concern;

4. A statement of standard operating procedures for the plan under consideration including clearly identifying:

a. Each critical control point;

b. The critical limits for critical control point;

c. The method and frequency for monitoring and controlling each critical control point by the food employee designated by the person in charge;

d. The method and frequency for the person in charge to routinely verify that the food employee is following standard operating procedures and monitoring critical control points;

e. Action to be taken by the person in charge if the critical limits for each critical control point are not met;

f. Records to be maintained by the person in charge to demonstrate that the HACCP plan is properly operated and managed; and

5. Additional scientific data or other information, as required by the Department, supporting the determination that food safety is not compromised by the proposal.

Subsection 3: HACCP Plans Required in Official Meat and Poultry Establishments

A. Every official establishment must have a written HACCP plan as specified in 9 CFR 417, Hazard Analysis and Critical Control Point (HACCP) Systems .

B. In emergency situations, equipment and/or water not approved under the auspices of these Rules must be approved by the Department.

1. The equipment selected for emergency use must not have been previously used for hauling substances that are potentially unsafe for humans, such as sewage or chemicals;

2. All equipment must be thoroughly cleaned and sanitized before use;

3. The water must be sufficiently disinfected to ensure that it is safe for human consumption; and

4. This exception may only be granted after the personal observation and approval by the Department.

Section 11 - FOOD SALVAGE

Subsection 1: Handling of Non-Salvageable Merchandise

A. Foods shall be deemed to be non-salvageable merchandise if:

1. They are contaminated or adulterated by pesticides or other chemicals;

2. They are potentially hazardous foods which have been exposed to a temperature above 40 degrees F for a period exceeding 4 hours;

3. They are foods unfit for salvage upon examination;

4. They are foods packaged in paper or other porous materials which have been subject to contamination; and

5. They are foods so packaged that contaminating residues cannot be removed.

B. Non-salvageable merchandise may not be sold or distributed as food, but must be disposed of in a manner approved by and under the supervision of the Department.

Subsection 2: Records

A. A written record or receipt of distressed, salvageable and salvaged merchandise must be kept by the salvage processing plant for inspection by the Department during business hours.

1. The records must include;

a. The name of the product;

b. The name and address of the manufacturer or distributor;

c. The production code;

d. Container sizes;

e. Source of the distress merchandise;

f. The date received;

g. The type of damage; and

h. The salvage process conducted.

2. These records must be kept on the premises of the salvage processing plant for a period of 2 years following the completion of transaction.

a. A written record must be kept by salvage handlers on forms provided by the Commissioner.

3. The record must include, among other information requested by the Commissioner:

a. Name and address of manufacturer or distributor;

b. Description of food;

c. Production codes;

d. Container sizes;

e. Date and time of accident or other event, which caused merchandise to be distressed;

f. Date and time of removal;

g. Hours without refrigeration when applicable;

h. Type and extent of damage;

i. Methods used for moving;

j. Amount of merchandise destroyed;

k. Method of destruction;

l. Landfill receipt number;

m. Location of landfill; and

n. License and trailer numbers of all vehicles used to transport distressed food.

History

• STATUTORY AUTHORITY: 22 MRSA Chapter 562-A
• EFFECTIVE DATE: October 20, 2002 - filing 2002-384
• AMENDED: May 30, 2007 – filing 2007-227 (EMERGENCY), affecting Section 1 Subsection 11
• AMENDED: September 17, 2007 – filing 2007-397
• AMENDED: April 28, 2008 – filing 2008-178 (EMERGENCY), affecting Section 1 Subsection 11
• AMENDED: July 14, 2008 – filing 2008-285, affecting Section 1 Subsection 11
• AMENDED: January 3, 2009 – filing 2008-602
• AMENDED: June 1, 2009 – filing 2009-205
• AMENDED: June 7, 2010 – filing 2010-218
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 347 Birch and Maple Syrup Processing

Code Me. R. 01-001 Ch. 347 Birch and Maple Syrup Processing {#sec-01-001-ch.-347 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 347}

SUMMARY: The purpose of this chapter is to set forth standards for licensing and regulations for birch and maple syrup processing.

1. Definitions

For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

A. "Adequate" means that which is needed to accomplish the intended purpose in keeping with good public health practice.

B. “Birch Syrup” means the liquid food derived by concentration and heat treatment of the sap of the Black Birch (Betula Lenta), White Birch (Betula Papyrifera), Mountain Paper Birch (Betula Cordifolia), Gray Birch (Betula Populifolia) and Yellow Birch (Betula Alleghaniensis) tree. Alternatively, the word "syrup" may be spelled "sirup".

C. "Maple Syrup" means the liquid food derived by concentration and heat treatment of the sap of the maple trees (Acer) or by solution in water of maple sugar (maple concentrate) made from such sap. The solids content of the finished maple syrup shall not be less than 66% (sixty six percent) by weight (brix) at 68° Fahrenheit. Alternatively, the word "syrup" may be spelled "sirup".

D. "Department" means the Maine Department of Agriculture, Conservation & Forestry.

E. "Food contact surfaces" means those surfaces of equipment and utensils with which maple syrup comes in contact.

F. "Plant" means the building or buildings or parts thereof, used for the manufacturing, processing, packaging, labeling or holding of birch and maple syrup within the State of Maine.

2. Premises

A. The grounds of the outer premises of a birch and/or maple syrup plant shall be reasonably clean and free of unnecessary clutter or equipment that will create a rodent harborage.

B. Sewage and wastewater shall be disposed of in an approved septic system or other approved waste water disposal system consistent with Maine's Subsurface Wastewater Disposal Rule .

3. Plant Construction and Design

A. The plant shall have a roof to protect evaporator from the elements and condensation.

B. The fire shall be vented so as to prevent smoke and ashes from contaminating the syrup.

C. The plant shall be equipped with sufficient light so that thermometers, hydrometers, refractometers and other equipment are easy to read.

4. Equipment and Utensils

A. Equipment and utensils shall be adequate for their intended use.

B. Equipment shall be designed to prevent food contamination and shall be made of durable, non-porous and easily cleanable material. Evaporator pans, buckets, tanks and other food processing equipment shall not be made with solder consisting of lead in any quantity.

C. Light bulbs, fixtures, or other glass suspended over exposed food, food areas utilized in any step of preparation and in storage areas for food packaging containers, shall be of the shatter proof type, shielded or otherwise protected to prevent food contamination in case of breakage.

D. Equipment shall be kept in a clean, sanitary condition at all times and free from rust so as not to pose a risk of product contamination.

E. Only new containers shall be used for bottling finished product. Caps shall be of the tamper evident type.

5. Sanitary Facilities and Controls

A. The water supply shall be ample for all operations and shall be obtained from a potable public or private supply. Private water supplies shall be tested yearly. Small operations that bottle syrup only, directly from the evaporator, and utilize hot water drawn from the evaporator for equipment sanitizing are exempt from water testing.

B. All utensils and food contact surfaces of equipment used in the plant shall be cleaned prior to use and following any interruption during which such utensils and contact surfaces may have become contaminated.

C. Hand washing facilities shall be located in or conveniently available near the processing area.

D. Toilet facilities shall be provided to comply with United States Department of Labor standards in 29 CFR, section 1910.141. Birch and maple syrup processors are exempted from the requirements of this section if the processing plant is operated by the owner and immediate family members only and utilizes no outside employees, provided a toilet is available for immediate family in a family household conveniently located near the processing facility.

E. Sale of birch and maple syrup and birch and maple products made from permanent structures located at agricultural fairs on fair grounds may, with prior approval from the Department, utilize temporary hand washing and temporary ware washing facilities to comply with sanitary requirements and practices to assure safe food products are sold. Equipment used at these facilities that require disassembly for cleaning and sanitizing shall be disassembled at the end of each day and cleaned and sanitized, using a previously-approved method, before the start of the next day's activities. These temporary activities shall be limited to a period of not more than two weeks.

F. Birch and maple syrup shall be bottled hot at a temperature not less than 185⁰ F.

G. The pipeline tube shall be cleaned with an approved food grade sanitizer solution and rinsed prior to use and following any interruption during which the tube may have become contaminated.

6. Labeling

Each container shall bear:

The common name of the product;

Any marking that indicates pure Maine birch and maple syrup must be used exclusively for pure birch and maple syrup produced in this State that has not been bleached or lightened in color by artificial means.

The words "Maine Birch" and “Maine Maple” may not be used alone or in combination with other words on a label or container to designate the flavor of the contents unless all of the birch and maple flavoring of the contents is a pure birch and maple produced in this State.

2. Contents by volume;

3. Name and address of manufacturer or distributor and zip code; and

4. The grade of the maple syrup product, as determined in accordance with 01-001 Code of Maine Regulations , chapter 117 ( Official Standards for Maple Syrup Grades ).

7. Personnel

A. Any person who works in a birch and maple manufacturing establishment, by medical examination or supervisory observation, is shown to have, or appears to have, an illness, open lesion, including boils, sores, or infected wounds, or any other abnormal source of microbial contamination by which there is a reasonable possibility of food, food-contact surfaces, or food-packaging materials becoming contaminated, must be excluded from any operations which may be expected to result in such contamination until the condition is corrected, unless conditions such as open lesions, boils, and infected wounds are adequately covered (e.g., by an impermeable cover). Personnel must be instructed to report such health conditions to their supervisors.

B. Personnel shall wear clean outer garments when working in the processing areas.

C. No tobacco shall be used in any form in the plant.

Labeling of Further Processed Birch and Maple Products

A person may not sell or offer for sale in any place or serve in any hotel, restaurant or other public eating place any birch or maple sugar, confection or candy or maple and birch syrup or any product labeled or represented as such that is in any way combined, interfused or diluted with cane or other sugars or other substance without distinctly marking, stamping or labeling the article or the package containing cane or other sugars or other substance or the advertisement of or menu statement with an accurate and descriptive name of the article

Birch and maple sugar or syrup, that is not a 100% maple or birch product shall state the percentage of birch or maple sugar and syrup that enters into its composition.

In the case of birch and maple confection or candy, the ingredients must be listed in the order of their predominance by the weight of each ingredient with the ingredient of greatest weight listed first.

The words “birch” or “maple”, “birched" or “mapled” and "birching" or “mapleing” and words of similar import, except as printed in the percentage statement, may not appear in any manner on the article in which a product of birch or maple syrup is combined, interfused or diluted, unless the word "blend" appears immediately before, after, above or below and in equal prominence with the words "birch" or “maple” words of similar import, or unless the term "birch” or “Maple” flavored appears in similar fashion on the label.

9. Licensing

A. Application and Fee. Application for approval for Birch and Maple Syrup Processing Plants shall be filed annually with the Department of Agriculture, Conservation & Forestry. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages .

B. Additional License for Off Premises Further Processing of Birch and Maple Syrup Products. The license for a birch and maple syrup processing plant allows the license holder to sell birch and maple syrup retail from the maple processing property and to distribute wholesale without additional license. Birch and maple syrup manufacturers who finish, bottle, blend and manufacture sugar, candy and other products shall obtain additional licensing for the location which birch, and maple products are further processed. Labeling of maple and birch products shall meet the labeling requirement of sections 6 and 8 of this rule.

C. Additional License for Off Premises Sales. The license for a birch and maple syrup processing plant allows the license holder to sell maple syrup retail from the maple processing property and to distribute wholesale without additional license. Retailing products beyond the processing property requires the seller to obtain a mobile vendor license from the Department to sell packaged products, except for packaged products offered for retail sale in a permanent structure at an agricultural fair that holds a valid license as described in (C.) below.

D. Maple Product Sales at Agricultural Fairs. Permanent structures erected on fair grounds shall be licensed by the Department of Agriculture, Conservation & Forestry for the retail sale of maple syrup and products. All portable vending carts, trailers or vehicles engaged in birch or maple product food service sales shall be licensed by the Department of Health & Human Services, Health Inspection Program.

E. Inspection and Issuance. Before a license is issued or renewed the Department shall inspect the premises of the applicant.

The Commissioner shall, within 30 days following receipt of application, issue a license to operate any Birch or Maple Syrup Processing Plant which is found to comply with 22 M.R.S.A., Chapter 551, Subchapter I and the provisions of this chapter. When any such applicant, upon inspection by the Commissioner, is found not to meet such requirements, the Commissioner is authorized to issue either a temporary license for a specified period not to exceed 90 days, during which time corrections specified by the Commissioner shall be made by the applicant for compliance or a conditional license setting forth conditions which shall be met by the applicant to the satisfaction of the Commissioner.

History

• STATUTORY AUTHORITY: 10 MRSA §2625; 21 MRSA §2154; 22 MRSA §§ 2153, 2154, 2167, 2168 and 2169
• EFFECTIVE DATE: January 25, 1983
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERSION TO MS WORD: May 20, 2008
• AMENDED: September 21, 2008 – Section 8(A), filing 2008-434
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: June 22, 2014 – filing 2014-117
• AMENDED: April 26, 2022 – filing 2022-064

Chapter 348 Exemption for On-Farm Raising, Slaughter and Processing of Less Than 1,000 Ready-To-Cook Whole Poultry Carcasses

Code Me. R. 01-001 Ch. 348 Exemption for on-Farm Raising, Slaughter, and Processing of Less Than 1,000 Ready-to-Cook Whole Poultry {#sec-01-001-ch.-348 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 348}

SUMMARY: The purpose of this chapter is to set forth regulations for the slaughter and processing of whole ready-to-cook poultry carcasses for a poultry producer that processes fewer than 1,000 birds annually of their own raising, in accordance with 22 M.R.S. § 2517-C(4).

SECTION 1. DEFINITIONS

For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

“Ante-Mortem Examination” means the inspection of live poultry prior to being slaughtered for sickness or disease.

“Community Supported Agriculture” means an arrangement whereby individual consumers have agreements with a farmer to be provided with food or other agricultural products produced on that farm.

“Good Commercial Practices” means a systematic approach in which establishments focus on treating poultry in such a manner as to minimize excitement, discomfort, and accidental injury the entire time that live poultry is held in connection with slaughter.

“Interstate Commerce” means the sale of ready-to-cook poultry or the transportation of poultry between different states.

“Locally Owned Grocery Store” means a grocery store at least 51% of which is owned by one or more residents of the State and that has a gross floor area of 25,000 square feet or less.

“Locally Owned Restaurant” means an eating establishment at least 51% is owned by one or more residents of the State and that is not a chain restaurant pursuant to 22 MRSA section 2491, subsection 2-B.

“Post-Mortem Inspection” means the inspection of poultry organs and tissue for evidence of disease that would make the meat unsuitable for human food.

“Quarantine” means a place of isolation in which live poultry that are displaying signs of infectious or contagious disease or have been exposed to an infectious disease are placed.

“Poultry” means any domesticated bird (chickens, turkeys, ducks, geese, guineas, or squabs), whether live or dead.

“Poultry Producer” means a person who raises poultry which are offered for sale.

“Ready-to-Cook Poultry” means domestic poultry which has been slaughtered for human food and from which the head, heart, kidneys, blood, feathers, feet, and inedible viscera have been removed, and is ready to cook without need of further processing.

“Segregate” in all its moods or tenses means placement of diseased poultry into a restricted area separate from healthy poultry.

“Poultry Processing” means the evisceration, washing, chilling, and packaging of poultry carcasses.

“Poultry Slaughter” means the slaughter, scalding, plucking, and defeathering of poultry, including the removal of the head and feet.

“Zoonotic Disease” is a disease that can be transmitted between animals and humans.

SECTION 2. POULTRY HEALTH

The slaughter or processing of dead, dying, or diseased poultry is prohibited.

If live poultry are suspected to be affected by a zoonotic disease, producers must contact the Department of Agriculture, Conservation and Forestry (DACF) Division of Animal and Plant Health immediately, and segregate and quarantine the poultry until they can be examined by DACF Division of Animal Health veterinarians.

The establishment shall ensure that all poultry is free from medicated feed residues, medication, pesticides, and other residues before slaughter.

SECTION 3. LIVE POULTRY HUMANE HANDLING

Live poultry holding areas shall be provided with adequate ventilation to prevent exposure to extreme temperatures.

Animal pens, crates, or other holding areas must allow for satisfactory ante-mortem examination of live poultry by the producer.

Establishments shall use Good Commercial Practices to minimize to the greatest extent practicable poultry mortality resulting from causes other than slaughter.

SECTION 4. OPERATIONAL AREAS

The area(s) used for poultry processing must be separated from any area(s) used for holding live animals or poultry slaughter. Outdoor areas may be utilized for slaughter and processing operations, provided the requirements of this chapter are met.

The area(s) used for poultry processing must be protected from contamination by activities in the live holding and poultry slaughter area(s) through the use of physical distance or through the erection of walls, screens, or any other physical barriers adequate to prevent splash back and other physical contamination of carcasses in poultry processing area(s).

Areas used for poultry processing must be protected from pests such as flies or nuisance insects, or animals through the use of physical walls, screens, fans, or any other method adequate to prevent contamination of the poultry carcasses by pests.

Poultry offal and other inedible materials generated during poultry slaughter and poultry processing operations cannot be stored in the same coolers or freezers in which edible products are stored.

SECTION 5. GENERAL RULES

An establishment must be operated and maintained in a manner sufficient to prevent the creation of insanitary conditions and to ensure that product is not adulterated within the meaning of 22 M.R.S. § 2511(1).

SECTION 6. ESTABLISHMENT GROUNDS AND FACILITIES

Grounds and pest control. The areas where poultry slaughter operations are conducted must be maintained to prevent conditions that could lead to insanitary conditions and adulteration of products, including, but not limited to, keeping grass cut short, removing large junk or other harborage sites for pests, and using areas away from fecal soiled pens. Pest control chemicals used in and around these areas must be safe and effective under the conditions of use and not be applied or stored in a manner that will result in the adulteration of product or the creation of insanitary conditions.

Lights. Lighting of good quality and sufficient intensity must be provided in areas where poultry carcasses are processed and where equipment is cleaned and sanitized before use to ensure that visibility is sufficient to ensure that sanitary conditions are maintained and that product is not adulterated.

Ventilations. Ventilation must be adequate to control odors, vapors, and condensation to the extent necessary to prevent adulteration of product and the creation of insanitary conditions.

Water supply. A supply of running water that complies with the National Primary Drinking Water regulations (40 CFR part 141), at suitable temperatures and pressures to effectively clean carcasses, equipment, and facilities must be provided in all areas where required (for processing product, for cleaning rooms and equipment, utensils, and packaging materials, for employee sanitary facilities, etc.). If an establishment uses a private well for its water supply, it must make available, upon request, documentation certifying the potability of the water supply has been found to meet the drinking water standards for nitrates and coliform bacteria in the National Primary Drinking Water regulations identified above. Testing shall occur at a state-certified laboratory at least semi-annually, unless operations are conducted seasonally. Seasonal operations, defined as those lasting less than 6 months, must test annually prior to commencing operations for that season.

SECTION 7. EQUIPMENT AND UTENSILS

Equipment and utensils used for processing or otherwise handling edible products or ingredients must be of such material and construction to facilitate thorough cleaning and to ensure that their use will not cause the adulteration of product during processing, handling, or storage. Equipment and utensils must be maintained in sanitary condition so as not to adulterate product.

Equipment and utensils must not be constructed, located, or operated in a manner that prevents the producer from inspecting the equipment or utensils to determine whether they are in sanitary condition.

Receptacles used for storing inedible material must be of such material and construction that their use will not result in the adulteration of any edible product or in the creation of insanitary conditions. Such receptacles must not be used for storing any edible product and must bear conspicuous and distinctive markings to identify permitted uses.

SECTION 8. SANITARY OPERATIONS

All food-contact surfaces, including food-contact surfaces of utensils and equipment, must be cleaned and sanitized as frequently as necessary to prevent the creation of insanitary conditions and the adulteration of product.

Non-food-contact surfaces of facilities, equipment, and utensils used in the operation of the establishment must be cleaned and sanitized as frequently as necessary to prevent the creation of insanitary conditions and the adulteration of product.

Cleaning compounds, sanitizing agents, processing aids, and other chemicals used by an establishment must be safe and effective under the conditions of use. Such chemicals must be used, handled, and stored in a manner that will not adulterate product or create insanitary conditions. Documentation substantiating the safety of a chemical's use in a food processing environment must be available to inspection program employees for review.

Sanitization may be accomplished by one of the following methods:

Immersion for at least one-half (1/2) minute in clean, hot water at a temperature of at least 180º F.

Immersion for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypochlorite and at a temperature of at least 75º F.

Immersion for at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a pH not higher than 5.0 and at a temperature of at least 75º F.

Immersion in a quaternary ammonium compound solution having a minimum temperature of 75º F with a concentration as specified by the manufacturer's use directions included in the labeling.

There shall be readily available a test kit or other device to accurately determine the concentration of the sanitizing solution being applied to food contact surfaces.

The use of antimicrobial chemicals to reduce pathogen load shall be consistent with the manufacturer’s instructions for concentration and exposure time. There shall be readily available a test kit or other device to accurately determine the concentration being applied.

Poultry carcasses that have been contaminated by ingesta or fecal material shall be reconditioned in an area separate from the evisceration area. Carcasses shall be trimmed and washed of contamination, and an antimicrobial chemical can be applied in accordance with manufacturer’s instructions. DACF Division of Quality Assurance & Regulation will make available on its website a list of antimicrobial agents and processes that are allowed for decontamination under this rule.

SECTION 9. EMPLOYEE HYGIENE

Cleanliness. All persons working in contact with product, food-contact surfaces, and product-packaging materials must adhere to hygienic practices, including but not limited to, covering of open wounds, restraint of long hair, removal of jewelry, and washing of hands after employee use of the toilet while on duty to prevent adulteration of product and the creation of insanitary conditions.

Clothing. Aprons, frocks, and other outer clothing worn by persons who handle product must be of a material that is disposable or readily cleaned. Clean garments must be worn at the start of each working day, and garments must be changed during the day as often as necessary to prevent adulteration of product and the creation of insanitary conditions.

Disease control. Any person who has or appears to have an infectious disease, open lesion, including boils, sores, or infected wounds, or any other abnormal source of microbial contamination, must be excluded from any operations that could result in product adulteration and the creation of insanitary conditions until the condition is corrected.

SECTION 10. OPERATIONS AND PROCEDURES

Operations and procedures involving the preparation, storing, or handling of ready-to-cook whole chicken shall be strictly in accordance with clean and sanitary methods.

All operations in the processes of inspecting, transporting, segregating, preparing, manufacturing, packaging, and storing of food shall be conducted in accordance with adequate sanitation principles to ensure that contamination and/or adulteration is prevented.

A post-mortem inspection of all carcasses and organs must be performed by the producer, and carcasses and organs found to be diseased must be discarded.

Chemical, microbial, or extraneous material testing procedures shall be used when necessary to identify sanitation failures or possible food contamination. All food that has become contaminated to the extent that it is adulterated within the meaning of 22 M.R.S. § 2156 of Maine law shall be rejected, or, if possible, treated and processed to eliminate the contamination.

The evisceration of ready-to-cook poultry shall result in the head, feet, and all organs being separated from the carcass. The head, feet, and internal organs must be discarded and shall not be used for human food.

Any ice used in contact with food or food contact surfaces shall be made from potable water. All ice manufacturing equipment, shovels, scoops, and storage and transportation bins shall be maintained in a sanitary condition through frequent cleaning, including sanitization where indicated.

In the final washing, the carcass shall be thoroughly sprayed with an abundant supply of potable water of such velocity to effectively clean the carcass.

All feathers from plucking and offal resulting from the eviscerating operation shall be removed as often as necessary to prevent the development of a nuisance and insanitary conditions.

All packaging material used for packaging poultry products must be certified by the manufacturer as food grade.

Effective measures shall be taken to protect against the contamination of food, food contact surfaces, and food packaging materials in or on the premises from dogs, cats, flies, rats, mice, and other vermin or animals.

Food-manufacturing areas and equipment used for manufacturing human food shall not be used to manufacture nonhuman food-grade animal feed or inedible products, unless there is no reasonable possibility for contamination of the human food.

Storage and transportation of dressed poultry carcasses shall be under conditions that will protect food against physical, chemical, and microbial contamination as well as against deterioration of the carcass and the container.

SECTION 11. SCALDING PROCEDURES

Scalding equipment shall be kept clean and scalding water replenished at intervals to prevent the creation of insanitary conditions.

Poultry carcasses that are over-scalded may start to cook. Because of this, over-scalded carcasses are no longer ready-to-cook poultry. Cooked poultry carcasses must be denatured and discarded.

SECTION 12. TEMPERATURE REQUIREMENTS FOR CHILLING AND REFRIGERATED STORAGE

Poultry slaughter establishments must ensure that all poultry carcasses are chilled immediately after slaughter operations so that there is no outgrowth of pathogens, unless such poultry is to be packed and frozen immediately at the establishment.

All poultry that is slaughtered and eviscerated in the establishment using ice chilling shall chill immediately after processing so that the internal temperature of poultry carcasses:

Weighing under 4 pounds shall be reduced to 40 °F or below within 4 hours of processing;

Weighing 4 to 8 pounds shall be reduced to 40 °F or below, within 6 hours of processing; or

Weighing over 8 pounds shall be reduced to 40 °F or below, within 8 hours of processing, unless such poultry is to be frozen.

Establishments may instead air chill ready-to-cook poultry carcasses if mechanical refrigeration is provided and designed so carcasses are spaced on racking or rail systems to allow adequate air flow. The internal temperature of the carcass shall be reduced to 40° F or less within 16 hours

Poultry held in packaged form shall be stored at 40 °F or less.

SECTION 13. EXEMPTION REQUIREMENTS FOR LESS THAN 1,000 BIRD FARM RAISED POULTRY SLAUGHTER AND PROCESSING

In order to qualify to slaughter and process poultry to be sold in commerce under the 1,000 poultry exemption, the following conditions must be met:

The farm raises on its premises fewer than 1,000 live poultry to be slaughtered on-farm in one calendar year (January 1 – December 31).

Whole poultry carcasses slaughtered on-farm under this exemption may not be offered for sale nor transported in interstate commerce.

All poultry carcasses slaughtered, processed, and sold in commerce must be assigned a unique lot number, and producers must keep written records of these lot numbers and their point of sale.

The owner(s) of the slaughter and processing establishment operating under this exemption shall maintain registration with the Department of Agriculture, Conservation and Forestry, to be renewed annually.

All poultry must be labelled in accordance with 22 MRSA 2517-C(1)(I).

Poultry may only be sold in accordance with 22 MRSA 2517-C(2).

History

• STATUTORY AUTHORITY: Issued in accordance with 22 MRSA 2517-C(4)
• EFFECTIVE DATE: May 6, 2010- filing 2010-121 (final adoption, major substantive)
• CORRECTIONS: February 2014- agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025
• APAO ACCESSIBILITY CHECK (Word): April 30, 2026
• REPEALED AND REPLACED: May 30, 2026 – filing 2026-107

Chapter 349 Ethylene Dibromide (EDB): Tolerance Levels in Food Products

Code Me. R. 01-001 Ch. 349 Ethylene Dibromide (edb): Tolerance Levels in Food Products {#sec-01-001-ch.-349 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 349}

SUMMARY: This rule limits the quantity of ethylene dibromide (EDB) which may be present in certain food products. The presence of (EDB) in excess of these limits is deemed unsafe and food products containing EDB in excess of the limits are deemed to be adulterated.

1. Purpose

The purpose of this rule is to protect public health by limiting the quantity of EDB (ethylene dibromide) which may be present in certain food products and to establish that products in which EDB is present in amounts which exceed these limits are adulterated and may not be manufactured, sold or delivered, held or offered for sale in Maine.

2. Levels

The presence of EDB in the following types of food products at levels above those specified herein is deemed to be unsafe within the meaning of 22 M.R.S.A. §§ 2158 and 2156(1)(B).

Milled grain products intended to receive further cooking 30 ppb

Ready-to-eat products containing grains 5 ppb

Baby foods 0 ppb

Food products of the specified types containing EDB in excess of these amounts are deemed to be adulterated within the meaning of 22 M.R.S.A. §§ 2155 and 2156, and their manufacture, sale or delivery, holding or offering for sale is illegal.

3. Applicability to milled grain products

With respect to milled grain products intended to receive further cooking, the level set by this rule does not apply to such products which are sold or delivered, held or offered for sale on the wholesale market for use in the commercial manufacture of products which, after manufacturing, will appear on the retail consumer market as a milled grain product intended for further cooking or as a ready-to-eat product. (These products on the retail consumer market are subject to this rule.)

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §2158
• EFFECTIVE DATE: September 25, 1984
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 349 page 2

Chapter 350 Regulations under the Maine Commercial Fertilizer Law

Code Me. R. 01-001 Ch. 350 Regulations Under the Maine Commercial Fertilizer Law {#sec-01-001-ch.-350 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 350}

SUMMARY: The purpose of this chapter is to set forth uniform standards for labeling, registration and regulation of fertilizers.

1. DEFINITIONS

1. “Biosolids” means a primary organic solid material produced by wastewater treatment processes that can be beneficially recycled for its plant nutrient content and soil amending characteristics. Biosolids also include “Sludge” as defined in 38 M.R.S. §1303-C (28-A).

2. “Coated Slow Release Fertilizer” means a product containing sources of water soluble nutrients, release of which in the soil is controlled by a coating applied to the fertilizer.

3. “Commercial Value Found” means the number determined by the sum obtained from adding the percentage of Total Nitrogen (N), Available Phosphate (P₂O₅) and Soluble Potash (K₂O).

4. “Commercial Value Guaranteed” means the number determined by the sum obtained from adding the percentage guaranteed of Total Nitrogen, Available Phosphate (P₂O₅) and Soluble Potash (K₂O).

5. “Fertilizer Grade” means the minimum guarantee of available plant food expressed in terms of total Nitrogen (not ammonia), Available Phosphate and Soluble Potash. The values for Total Nitrogen (N), Available Phosphate (P₂O₅) and Soluble Potash (K₂O), expressed as the grade must coincide with the guaranteed analysis statement. Only one set of values may be used in the grade designation and with the exception of Specialty Fertilizer, the grade must be expressed in whole numbers.

6. “Guarantee” means Guaranteed Analysis.

7. “Guaranteed Analysis” means the minimum percentage of Total Nitrogen (N), available Phosphate (expressed as percent P₂O₅), water soluble Potassium (expressed as percent K₂O) and other nutrients present in quantities that conform to Chapter 350 section III.

8. “Investigation Allowance” means an allowance for variations inherent in the taking, preparation and analysis of an official sample of fertilizer.

9. “Lot” means an identifiable quantity of fertilizer that can be sampled officially according to the Association of Official Analytical Chemists (AOAC) International procedures, up to and including a freight car load or 50 tons maximum, or that amount contained in a single vehicle, or that amount delivered under a single invoice.

10. “Overall Index Value” means the value obtained from the calculation: (Commercial Value Found) x 100/(Commercial Value Guaranteed).

11 “Primary Nutrients” means the following plant foods: Nitrogen (N); Available Phosphate (P₂O₅); and Soluble Potash (K₂O).

12. “Secondary and Micro Plant Nutrients” means those nutrients, other than primary nutrients, that are essential for the normal growth of plants and that may need to be added to the growth medium. Secondary plant nutrients include calcium, magnesium, sulfur, molybdenum, nickel, sodium and zinc.

13. “Slow release” or “controlled release” means a fertilizer containing a plant nutrient in a form which delays its availability for plant uptake and use after application, or which extends its availability to the plant significantly longer than a reference “rapidly available nutrient fertilizer” such as ammonium nitrate or urea, ammonium phosphate, or potassium chloride. Such delay of initial availability or extended time of continued availability may occur by a variety of mechanisms. These mechanisms may include controlled water solubility of the material (by semi permeable coatings, occlusion, or by inherent water insolubility of polymers, natural nitrogenous organics, protein materials, or other chemical forms), by slow hydrolysis of water soluble low molecular weight compounds, or by other means.

14. “Specialty Fertilizer” means a fertilizer that is distributed for non-farm use. Specialty fertilizers may be guaranteed in fractional units of less than one percent of total nitrogen, available phosphate, and soluble potash: provided, further, that fertilizer materials, bone meal, manures, and similar materials may be guaranteed in fractional units.

15. “Unit” means twenty (20) pounds of plant food or one percent (1%) of a ton.

16. “Waste Material” means material defined as “hazardous matter”, “hazardous substance”, “hazardous waste”, “residual”, “septage” or “solid waste” in federal, state and local laws, including, but not limited to the Maine Hazardous Waste, Septage and Solid Waste Management Act , 38 M.R.S. §1301 et seq. ; the Maine Hazardous Matter Control Act , 38 M.R.S. §1317 et seq. ; and the Maine Uncontrolled Hazardous Substance Sites Law , 38 M.R.S. §1361 et seq. ; as well as the rules promulgated under these statutes.

2. REGISTRATION

1. Each brand and grade of commercial fertilizer must be registered in accordance with the requirements of Title 7 M.R.S. §743 before being offered for sale, sold or distributed in the State of Maine.

2. Applications for the registration of fertilizers manufactured from or containing “waste materials”, as that term is defined in Chapter 350 section 1.(16), and applications for registration of fertilizers containing materials which may be considered deleterious as defined 7 M.R.S. §747 subsection 2, Deleterious Materials , must include the following information:

A. Specific identification of any and all waste materials and/or deleterious materials contained in the fertilizer, including but not limited to their nature, composition, and source; and

B. An analysis of materials contained in the fertilizer by an independent laboratory verifying compliance with the standards for metals as established in Chapter 350 section 8;

3. When reviewing an application for the registration of a fertilizer, the Commissioner of the Department of Agriculture, Conservation and Forestry may submit the application for registration to the Maine Department of Environmental Protection and/or the Maine Department of Human Services for a review and evaluation of any potential deleterious or harmful impact on the environment, public health, and animal health. In addition, where a fertilizer is subject to the application requirements of the Agronomic Utilization of Residual Rules administered by the Maine Department of Environmental Protection, 06-096 c. 419 (“Chapter 419”) as well as these rules, the Commissioner of the Department of Agriculture, Conservation and Forestry shall require the applicant for registration under these rules to first obtain all the permits or licenses required by DEP under Chapter 419 and to submit copies of those permits or licenses along with its application under these rules.

4. Warning or Caution statements are required on the label for any product which contains any material in sufficient amount to be deleterious or harmful as stated in Title 7 M.R.S. section 747 subsection 2, Deleterious Materials.

3. PLANT NUTRIENTS

1. In addition to Total Nitrogen (N), Available Phosphate (P₂O₅), and Soluble Potash (K₂O), other plant nutrients when mentioned in any form or manner shall be registered and shall be guaranteed. Guarantees shall be made on the elemental basis, sources of the elements guaranteed and proof of availability shall be provided to the Maine Department of Agriculture upon request. Except guarantees for those water soluble nutrients labeled for ready to use foliar fertilizers, ready to use specialty liquid fertilizers, hydroponic or continuous liquid feed programs and guarantees for potting soils, the following percentages represent the minimum concentrations for any secondary or minor nutrients contained in fertilizers which may be accepted for registration:

Element

Minimum Conc., %

Calcium (Ca)

1.0000

Magnesium (Mg)

0.5000

Sulfur (S)

1.0000

Boron (B)

0.0200

Chlorine (Cl)

0.1000

Cobalt (Co)

0.0005

Copper (Cu)

0.0500

Iron (Fe)

0.1000

Manganese (Mn)

0.0500

Molybdenum (Mo)

0.0005

Nickel

0.0010

Sodium (Na)

0.1000

Zinc (Zn)

0.0500

2. Only fertilizers containing one or more of the above listed plant nutrients, with guaranteed amounts meeting the minimum concentrations, may be accepted for registration. Any of the above listed plant nutrients which are guaranteed must appear, in the order listed, immediately following guarantees for the primary nutrients of nitrogen, phosphate and potash.

4. FERTILIZER DEFICIENCY – INVESTIGATIONAL ALLOWANCES

1. A commercial fertilizer shall be deemed deficient if the analysis of any nutrient is below the guaranteed percentage by an amount exceeding the values in the following schedule, or if the overall index value of the fertilizer is below 98%.

Guarantee, percent

Nitrogen

(N)

Avail. Phosphate

(P₂O₅)

Sol. Potash

(K₂O)

Investigational Allowance, percent

04 or less

0.49

0.67

0.41

05

0.51

0.67

0.43

06

0.52

0.67

0.47

07

0.54

0.68

0.53

08

0.55

0.68

0.60

09

0.57

0.68

0.65

10

0.58

0.69

0.70

12

0.61

0.69

0.79

14

0.63

0.70

0.87

16

0.67

0.70

0.94

18

0.70

0.71

1.01

20

0.73

0.72

1.08

22

0.75

0.72

1.15

24

0.78

0.73

1.21

26

0.81

0.73

1.27

28

0.83

0.74

1.33

30

0.86

0.75

1.39

2. For values not listed in the above schedule, calculate the appropriate value by interpolation.

3. The overall index value is calculated by comparing the commercial value guaranteed with the commercial value found and shall be determined by using the following formula:

A. The calculation of the overall index value shall be determined by multiplying 100 times the commercial value found and dividing by the commercial value guaranteed.

4. Secondary and minor elements shall be deemed deficient if any nutrient’s concentration is below the guaranteed percentage by an amount exceeding the values in the following schedule:

Element

Investigational Allowance

Calcium

0.2 unit + 5% of guarantee

Magnesium

0.2 unit + 5% of guarantee

Sulfur

0.2 unit + 5% of guarantee

Boron

0.003 unit + 15% of guarantee

Cobalt

0.0001 unit + 30% of guarantee

Chlorine

0.005 unit + 10% of guarantee

Copper

0.005 unit + 10% of guarantee

Iron

0.005 unit + 10% of guarantee

Manganese

0.005 unit + 10% of guarantee

Molybdenum

0.0001 unit + 30% of guarantee

Sodium

0.005 unit + 10% of guarantee

Zinc

0.005 unit + 10% of guarantee

The maximum allowance when calculated in accordance to the above shall be 1 unit (1%).

5. FERTILIZERS NOT MEETING STANDARDS FOR INGREDIENTS

1. Any fertilizer failing to meet the standards for ingredients established by Chapter 350 sections 3 or 4 will not be accepted for registration.

2. If it is determined that a fertilizer fails to meet the standards for ingredients established by Chapter 350 sections 3 or 4 after it is registered, then the registration of that fertilizer may be suspended or cancelled in accordance with 7 M.R.S. §743.

3. Nothing in this subsection shall be construed as a limitation of the Department of Agriculture, Conservation and Forestry’s authority under 7 M.R.S. Chapter 103, subchapter 5.

6. FERTILIZER LABELING

1. The following information, in the format presented, is the minimum required for all fertilizer labels. For packaged products, the information must appear either on the front or back of the package and occupy at least the upper-third of the package, or the information may be printed on a tag and securely attached to the package. This information shall be in a readable and conspicuous form. For bulk products, the information must be contained on a printed form, which must accompany the fertilizer and be supplied to the purchaser at time of delivery.

A. Net Weight

B. Brand

C. Grade (Provided that the grade shall not be required when no primary nutrients are claimed)

D. Guaranteed Analysis

Total Nitrogen (N)............................................________%

________% Ammoniacal Nitrogen

________% Nitrate Nitrogen

________% Water Insoluble Nitrogen

________% Urea Nitrogen

________% (Other recognized and

determinable forms

of Nitrogen)

Available Phosphate (P₂O₅)............................. ________%

Soluble Potash (K₂O)................................. .... ________%

(Other nutrients, elemental basis)…………….________%

E. Sources of nutrients, when shown on the label, shall be listed below the completed guaranteed analysis statement.

F. Name and address of registrant

G. Directions for use for fertilizer distributed to the end user:

(1) For specialty fertilizer, minimum directions for use shall include:

(a) Recommended application rate or rates in units of weight or volume per unit of area coverage (where application rates are given in volume, the label shall provide sufficient information to calculate the application rates by weight);

(b) Application timing and minimum intervals to apply the product when plants can utilize nutrients; and

(c) The statement “Apply Only as Directed” or a statement of similar designation.

(2) For all other fertilizers, minimum directions for use shall include at least one of the following:

(a) A statement such as:

Use in accordance with recommendations of a qualified individual or institution (such as a certified crop advisor, agronomist, or university crop extension publication) or apply according to recommendations in your approved nutrient management plan; or

(b) Detailed directions for a specific use.

2. Product Labels that Meet Metal Guidelines for metals set forth in Chapter 350 section 8 may include the following statement on the label:

“When applied as directed, this product meets the guidelines for metals adopted by the Association of American Plant Food Control Officials.”

7. SLOWLY RELEASED PLANT NUTRIENTS

1. No fertilizer label shall bear a statement indicating that certain plant nutrients contained in a fertilizer are released slowly over a period of time, unless the slow release components are identified and guaranteed at a level of at least 15% of the total guaranteed for that nutrient(s).

2. Products with recognized slow release properties include:

A. Water insoluble products, such as natural organics, ureaform materials, urea-formaldehyde products, isobutylidene diurea, and oxamide;

B. Coated slow release products, such as sulfur coated urea and other encapsulated soluble fertilizers;

C. Occluded slow release products, where fertilizers or fertilizer materials are mixed with waxes, resins, or other materials and formed into particles; and

D. Products containing water soluble nitrogen such as ureaform materials, urea-formaldehyde products, methylenediurea (MDU), dimethylenetriurea (DMTU), dicyanodiamide (DCD). The terms, “water insoluble”, “coated slow release”, “slowly available water soluble”, and “occluded slow release” are accepted as descriptive of these products, provided the manufacturer can show a testing program substantiating the claim.

3. Until more appropriate methods are developed, AOAC International Method 970.04 (15^th Edition) shall be used to confirm the coated slow release and occluded slow release nutrients and others whose slow release characteristics depend on particle size. AOAC International Method 945.01 (15^th Edition) shall be used to determine the water insoluble nitrogen or organic materials

8. ADULTERATED MATERIALS

1. Fertilizers containing guaranteed amounts of phosphates and/or micronutrients shall be deemed to be adulterated when they contain metals in amounts greater than the levels of metals established by the following table¹:

Metals

ppm per

1% P₂O₅

ppm per

1% Micronutrients³

1. Arsenic

13

112

2. Cadmium

10

83

3. Cobalt

136

2,228⁴

4. Lead

61

463

5. Mercury

1

6

6. Molybdenum

42

300⁴

7. Nickel

250

1,900

8. Selenium

26

180

9. Zinc

420

2,900⁴

To use the Table:

Multiply the percent guaranteed P₂O₅ or sum of the guaranteed percentages of all micronutrients (Iron, Manganese, Zinc, etc.) in each product by the value in the appropriate column in the Table to obtain the maximum allowable concentration (ppm) of these metals. The minimum value for P₂O₅ utilized as a multiplier shall be 6.0. The minimum value for micronutrients utilized as a multiplier shall be 1. If a product contains both P₂O₅ and micronutrients multiply the Guaranteed percent P₂O₅ by the value in the appropriate column and multiply the sum of the guaranteed percentages of the micronutrients by the value in the appropriate column. Utilize the higher of the two resulting values as the maximum allowable concentrations.

Biosolids, and all compost products⁴, shall be deemed to be adulterated when they exceed the levels of metals permitted by the United States Environmental Protection Agency Code of Federal Regulations , 40 CFR Part 503 or 06-096 CMR 419. Dried biosolids and manure, as well as manipulated manure products either separately or in combination, shall also be deemed adulterated when they exceed the levels of metal permitted by the United States Environmental Protection Agency Code of Federal Regulations , 40 CFR Part 503 or 06-096 CMR 419. Hazardous waste derived fertilizers (as defined by EPA) shall be deemed to be adulterated when they exceed the levels of metals permitted by the United States Environmental Protection Agency Code of Federal Regulations , 40 CFR Parts 261, 266 and 268.

Footnotes:

¹ Woltering, Daniel M. 2004. Health Risk Assessment for Metals in Inorganic Fertilizers: Development and Use in Risk Management. In Environmental Impact of Fertilizer on Soil and Water. Hall, William L. Jr. and Wayne P. Robarge, Editors. American Chemical Society Symposium Series No. 872. p124-147.

² These guidelines are not intended to be used to evaluate horticultural growing media claiming nutrients but may be applied to the sources of the nutrients added to the growing media.

³ Micronutrients (also called minor elements) are essential for both plant growth and development and are added to certain fertilizers to improve crop production and/or quality. These micronutrients are defined by AAPFCO's Official Fertilizer Term, T-9.

⁴ Only applies when not guaranteed.

⁵ Includes all compost products separately or in combination with biosolids, manure or manipulated manure, even those registered as fertilizers (making nutrient claims).(Official 2003)

History

• STATUTORY AUTHORITY: 7 MRS §748
• EFFECTIVE DATE: April 11, 2010 – filing 2010-122
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 351 Packaged Ice Manufacturing and Processing

Code Me. R. 01-001 Ch. 351 Packaged Ice Manufacturing and Processing {#sec-01-001-ch.-351 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 351}

SUMMARY: The purpose of this chapter is to set forth standards for licensing and regulations for the manufacturing, processing and packaging of ice.

1. Definitions

For the purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

A. "Adequate" means that which is needed to accomplish the intended purpose in keeping with good public health practice.

B. "Easily cleanable" means readily accessible and of such material and finish and so fabricated that residues may be completely removed by usual cleaning methods.

C. "Employee" means any person working in an ice plant or ice production area within any commercial establishment, who transports ice or ice containers, who engages in ice manufacture, processing, packaging, storage, or distribution, or who comes into contact with any ice equipment.

D. "Food Contact Surfaces" means any surface, including water lines, that contacts the product or ingredients, and those surfaces from which water may drain, drip, or splash back onto food or food contact surfaces.

E. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

F. "Ice" means the product, in any form, obtained as a result of freezing water by mechanical or artificial means. It does not include product formed by the natural process of freezing of untreated surface waters, which shall be created separately in these regulations.

G. "Industrial Ice" means product which is not produced under sanitary conditions, and which is used in a non-food industrial process, such as cooling glue or concrete mix.

H. "Ice Plant" means any commercial establishment or production area within any commercial establishment, together with the necessary appurtenances, in which ice is manufactured, processed, or packaged.

I. "Processing" means grinding, crushing, flaking, cubing, or any other operation which changes the physical characteristics of ice packaged for human consumption.

J. "Sanitization" means effective bactericidal treatment by a process that effectively destroys microbes of public health significance, without adversely affecting the safety of the product.

2. Ice formed by the natural process of freezing of untreated surface waters shall be labeled "Not to be used for food purposes"

3. Ice used for purposes of cooling during transportation of raw foods to processing plants shall not be used as food, and shall not be manufactured from water that may in any way contaminate a raw food product.

4. Premises

The grounds of the outer building or buildings shall be clean and well-drained, free from any materials or conditions that may create rodent, bird and/or insect harborages, and free from other nuisances and sources of contamination.

5. Plant Construction and Design

A. The manufacturing, processing or packaging of ice shall be conducted in an area which is adequately lighted and ventilated and of proper construction. This area shall be used for no other purpose than the manufacture, processing or packaging of ice, or for food storage or food preparation, and shall be physically separated from any other activity, in order to prevent cross-contamination such as bacteria, molds, toxic chemicals, and filth contamination.

B. The floor, walls, ceiling of all rooms in which ice is manufactured, processed, packaged, and stored, shall be of such material and so constructed that they can be maintained in a clean, sanitary condition.

C. Lighting of 50 foot candles in production areas and 20 foot candles in storage areas shall be provided where ice is manufactured, processed, packaged, stored, or examined. Light bulbs, fixtures, skylights or other glass suspended over product areas shall be of the safety type or shielded to prevent contamination. in case of breakage.

D. Adequate screening and tight fitting closures shall be provided to prevent entry of insects, rodents, or other vermin.

6. Equipment and Utensils

A. Filtering equipment must be designed to protect ice from contamination and must be subjected to periodic treatment and cleaning as required by food sanitation practice.

B. Equipment and utensils shall be adequate for their intended use.

C. Equipment and utensils shall be designed and constructed to enable easy cleaning and maintenance.

D. No ice product shall be contaminated by any equipment used in the manufacture, processing, or packaging of ice products. For purposes of this rule, contaminants may include, but not be limited to: lubricants, fuel, metal fragments, or contaminated water.

E. All product storage and holding areas are to be refrigerated, and shall be cleaned as often as necessary to keep them free from contamination.

7. Cleaning and Sanitization

A. All equipment and utensils shall be maintained in a sanitary condition through cleaning at frequent intervals to prevent contamination of product.

B. Suitable facilities for cleaning equipment and utensils shall be provided at convenient locations.

C. All food contact surfaces shall be cleaned and sanitized prior to use and following any interruption during which such utensils and food contact surfaces may have become contaminated. Where such equipment and utensils are used in a continuous production operation, the food contact surfaces of such equipment and utensils shall be cleaned and sanitized on a predetermined schedule using adequate methods for cleaning and sanitizing. Sanitizing agents shall be effective and safe under conditions of use.

D. Sanitization shall be accomplished by one of the following methods: (1) immersion for at least one-half minute in clean, hot water at a temperature of at least 180 degrees F.; or (2) immersion for at least one minute in a clean solution containing at least 50 part per million available chlorine as hypochlorite and at a temperature of at least 75 degrees F., or immersion in a clean solution containing any other chemical sanitizing agent which has been approved by the Department, and that will provide the equivalent bactericidal effect of a solution containing at least 50 parts per million of available chlorine as hypochlorite at a temperature of at least 75 degrees F. for I minute; (3) treatment with steam in the case of equipment too large to sanitize by immersion, but in which steam can be confined; or (4) rinsing, spraying or swabbing with a chemical sanitizing solution of twice the strength required for that particular sanitizing solution in the case of equipment too large to sanitize by immersion. A chemical test kit or other device that measures the parts per million concentration of the chemical sanitizer shall be provided and used.

E. All cleaned and sanitized portable equipment and utensils shall be stored above the floor in a clean and dry location in such a manner that all food contact surfaces are protected from splash, dust, or other contamination.

8. Sanitary Operations and Controls

A. The water supply shall be ample for all operations and shall be of safe and sanitary quality and drawn from an approved public or private water supply system which is constructed, protected, operated and maintained in conformance with State laws. Private water supplies shall be tested yearly, and a copy of the water analysis shall be available on the premises.

B. Plumbing shall be of adequate size and design, and installed and maintained in compliance with State Plumbing Code , co carry sufficient quantities of water required to locations throughout the ice plant. Adequate floor drainage shall be provided in all areas where floors are subject to flood-type cleaning, or where normal operations release or discharge water or other liquid waste onto the floor, and floor drains shall be functional and properly trapped.

C. The potable water system shall be installed to preclude the possibility of backflow or back-siphonage into the system.

D. Sewage and waste water disposal shall be made into a public sewerage system or into an approved sewage disposal system which is constructed and operated in conformance with State and local laws, ordinances and regulations.

E. Toilets shall be adequate for the number of employees, and toilet rooms shall have self-closing doors not opening directly into any rooms used for manufacturing, processing or packaging. Handwashing facilities with hot and cold water under pressure shall be adequate and conveniently located in relation to the toilet and food processing areas. Toilet tissue, soap or detergent, paper towel or other one-use drying devices shall be provided at all times. Toilets and all handwashing facilities shall be maintained in a clean and sanitary condition. Handwash signs shall be posted. The toilet room shall be ventilated to the outside, kept free of odors, and be in good repair. Washable receptacles shall be provided for disposal of hand drying articles or waste material. A covered waste receptacle must be provided in toilet rooms that are used by women.

F. Rubbish shall be disposed of or stored in such a manner as to minimize odor, prevent waste from becoming an attractant, harborage or breeding place for vermin and insects and prevent contamination of food, food contact surfaces and water supply.

G. Effective measures shall be taken to protect against contamination of ice, in or on the premises, by cats, dogs, birds, rodents or insects.

9. Processes and Controls

A. All operations in the receiving, inspecting, transporting, packaging, segregating, preparing, processing and scoring of ice shall be conducted in accord with adequate sanitation principles. Precautions shall be taken to assure that production procedures do not contribute contamination such as filth, harmful chemicals, undesirable microorganisms, or any other objectionable material to the finished product. Frozen unpackaged ice blocks intended for sale for human consumption or for the refrigeration of food products shall be washed thoroughly with potable water. Hands shall not come into direct contact with ice products at any time during manufacturing, processing, packaging and storage.

B. Ice manufactured for industrial purposes and defined as "industrial ice" shall be handled and stored separately from ice intended for human consumption.

C. Equipment shall be maintained in a sanitary condition through frequent cleaning including sanitization where indicated. Insofar as possible, equipment shall be taken apart for thorough cleaning.

D Packaging processes or materials shall not transmit contaminants or objectionable substances to the product. Packaging materials shall be stored above the floor in a clean and dry location, and in such a manner chat they are protected from splash, dirt, or ocher contamination.

E. Chemical, microbiological or extraneous testing procedures shall be utilized where necessary to identify sanitation failures or food adulterants.

F. Manufacturers shall keep records and code products to enable them to identify specific lots affected by contamination or sanitation failure. All manufacturers and distributors of packaged ice shall maintain in writing a plan for the withdrawal or recall of problem ice.

G. Ice shall be stored and transported under conditions which will preclude all contamination and protect against deterioration of the product and the container.

H. Packaged ice must be tightly sealed and clearly labeled to show the name of the product, the net weight, the date code, and the name, address and zip code of the manufacturer or distributor. Staples are not permitted in the packaging of ice.

10. Personnel

A. Employees shall wear clean outer garments and maintain a high degree of personal cleanliness, and wear effective hair restraints in the processing, manufacturing and packaging areas.

B. Employees shall remove all insecure jewelry to prevent contamination of product or equipment.

C. Hands shall be washed thoroughly in an adequate handwashing facility before starting work, after each absence from work station, and after any other time when the hands have become sailed or contaminated.

D. Gloves used in product handling shall be maintained in an intact, clean, and sanitary condition.

E. No person shall use tobacco in any form in ice processing, ice handling/packaging, ice storage, and equipment/utensil washing areas.

11. Licensing

A. Application and Fee. Application for approval of Ice Manufacturing and Processing establishments shall be filed annually with the Department of Agriculture, Conservation and Forestry. A license fee of $30.00 shall accompany each application. In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding twelve months. In such cases, the initial license fee shall be increased in proportion to the length of the license period.

B. Inspection and Issuance. Before a license is issued or renewed the Department shall inspect the premises of the applicant.

The Commissioner shall, within 30 days following receipt of application, issue a license to operate any food establishment which is found to comply with this chapter and any rules and regulations adopted by the Commissioner. When the Commissioner finds upon inspection that an applicant is not in compliance with the requirements set forth by law and by this regulation, the Commissioner may (a) deny a license; or (b) if the reasons for non-compliance may be readily rectified, may issue a temporary or conditional license; or (c) may proceed according to the provisions of the Maine Administrative Procedure Act , 5 M.R.S.A. §10051, to refuse to renew, suspend, or revoke the license.

C. Display. Licenses issued shall be displayed in a place visible to consumers or other persons using a license establishment.

History

• STATUTORY AUTHORITY: 10 MRSA §2625, 22 MRSA §§ 2153, 2167, 2168 and 2169
• EFFECTIVE DATE: January 1, 1989
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 352 Domesticated Deer Processing

Code Me. R. 01-001 Ch. 352 Domesticated Deer Processing {#sec-01-001-ch.-352 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 352}

Summary: The purpose of this chapter is to set forth the standards for licensing and regulations for domestic deer processing.

I. DEFINITIONS

For the purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings:

A. "Domesticated Deer" means Fallow Deer; family Cervidae, sub-family Cervinae, genus Dams; red deer, family Cervidae, sub-family Cervinae, genus Cervus, species Elaplus and any other species specified under subsection 1-A of Public Law 649; to be kept as domestic animals for the purpose of either breeding stock or for sale as food.

B. "Building" means the building or buildings or parts thereof, used for or in connection with, the manufacturing, processing packaging, labeling or holding of human food.

C. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

D ."Food Processing and Manufacturing Establishments" means an establishment in which food is processed or otherwise prepared .and packaged for human consumption.

E. "Potentially Hazardous Food" means any perishable food which consists in whole or part, of milk or milk products, eggs, meat, poultry, fish, shellfish or other ingredients capable of supporting rapid and progressive growth of infectious or toxigenic microorganisms.

F. "Corrosion Resistant Material" means those materials that maintain their original surface characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and bactericidal solutions, and other conditions of environment.

G. "Easily Cleanable" means readily accessible and of such material and finish and so fabricated, the residues may be completely removed by usual cleaning methods.

H. "Food Contact Surfaces" means those surfaces of equipment and utensils with which food normally comes into contact.

I. "Sanitary" means that all buildings, equipment, and utensils shall be suitable for their intended use, so designed and of such material and workmanship as to be adequately cleanable and properly maintained.

J. "Wholesome" means food in sound condition, clean and free from adulteration and otherwise suitable for human consumption.

II. PLANT CONTROL AND DESIGN

A. Adequate ventilation shall be provided to eliminate objectionable odors and vapors, including steam, and constructed in such a manner as to avoid possible airborne contamination.

B. Processing room floors shall be graded to a trapped drain to allow for complete runoff of liquids.

C. Toilet sever lines shall be separate from other drainage lines to a point outside the building.

D. Metal is recommended for floor drains, but other suitable materials may be used.

E. Furnace room shall be separate from the processing area.

F. Separate handwashing sink shall be provided in the processing area, operated by a foot treadle.

G. Holding pens must be clean and maintained in an sanitary manner.

H. Floors, walls, and ceilings shall be constructed so as to be readily cleanable and shall be kept clean and in good repair.

I. Fixtures, ducts, pipes shall not be suspended over working areas in a manner whereby drip may contaminate foods, raw materials or equipment.

J. Operations which may cause cross-contamination with bacteria, molds, toxic, chemicals, filth, or the like shall be separated by partitions or located in different parts of the plant.

K. Adequate lighting shall be provided where food or food ingredients are stored, processed or examined, where equipment or utensils are washed, and in handwashing areas, dressing and locker rooms and toilets.

L. Light bulbs, fixtures, skylights, or other glass suspended over exposed food in any step of preparation, shall be of the safety type or otherwise protected to prevent food contamination in case of breakage.

M. Adequate screening, where necessary, shall be provided to exclude birds, dogs, flies and other vermin and rodents.

N. The grounds of the outer building or buildings shall be reasonably clean and well drained, free from any materials or conditions that create rodent, bird and or insect harborages and free from other nuisances and sources of contamination.

III. EQUIPMENT AND UTENSILS

A. Knives and saws that are used in skinning operation shall not be used for the evisceration process. Sheaths and scabbards must be available for storage of knives.

B. Hooks and gambrels used in the process shall be made of non corrosive material and be easily washable.

C. Equipment and utensils shall be adequate for their intended use.

D. Equipment and utensils shall be designed and constructed to enable easy cleaning and maintenance.

E. Equipment shall not contaminate food with lubricants, fuel, metal fragments, contaminated water and the like.

IV. SANITARY OPERATIONS AND CONTROLS

A. An ample supply of hot and cold water under pressure shall be maintained in all processing areas sufficient to provide water for each processing day. Private supplies must be tested yearly, and be from a safe sanitary source.

B. Non-toxic fly ribbons may be used for insect control if located properly and changed frequently. Pressurized insecticides shall be used strictly according to container instructions and must be of the type approved by USDA for use in food plants.

C. Rendering barrels shall be kept in a separate area and shall be rodent proof. Primary offal containers shall be emptied, washed, and sanitized at least daily.

D. All equipment and utensils shall be maintained in a sanitary condition through cleaning at frequent intervals to prevent contamination of food and food products.

E. Suitable facilities for cleaning equipment and utensils shall be provided at convenient locations.

F. All food contact surfaces shall be cleaned and sanitized prior to use and following any interruption during which such utensils and contact surfaces may have become contaminated. Where such equipment and utensils are used in a continuous production operation, the contact surfaces of such equipment and utensils shall be cleaned and sanitized on a predetermined schedule using adequate methods for cleaning and sanitizing. Sanitizing agents shall be effective and safe under conditions of use.

G. Unitization shall be accomplished by one of the following methods: (1) Immersion for at least one half minute in clean, hot water at a temperature of at least 170 degrees F. or (2) Immersion for at least one minute in a clean solution containing at least 50 parts per million of available chlorine as a hypoclorite and at a temperature of at least 75 degrees F.; or (3) Immersion for at least one minute in a clean solution containing at least 12.5 parts per million of available iodine and having a Ph not higher that 5.0 and at a temperature of at least 75 degrees F. (4) Quaternary ammonium compounds may also be used, following directions of the manufacturer. Where both cleaning and sanitation required, sanitation shall follow cleaning. The food contact surfaces of all equipment and utensils which cannot be immersed shall be sanitized by rinsing, spraying or swabbing with a chemical sanitizing solution of at least twice the strength required for method (1), (2), and (3) of this section.

H. All cleaned and sanitized portable equipment and utensils shall be stored above the floor in a clean and dry location in such a manner that all food contact surfaces are protected from splash, dust or other contamination.

I. Hot and cold running water under pressure shall be provided in all areas where foods are processed. Only a three bay sink made of corrosion resistant material shall be used for washing equipment and utensils.

J. Sewage disposal shall be made into an adequate approved sewerage system.

K. Adequate floor drains shall be provided in areas where floors are subjected to flooding type of cleaning or where there is release or discharge of water or waste onto the floor.

L. Toilets shall be adequate for the number of employees and have self-closing doors not opening directly into any rooms used for processing or packaging. Handwashing facilities shall be adequate and conveniently located in relation to the toilet and food processing area. Soap or detergent, and paper towels or other drying devices shall be provided at all times. Toilet and handwashing facilities shall be maintained in a clean and sanitary condition. Handwash signs shall be posted. The toilet room shall be ventilated to the outside, kept free of odors, clean and in good repair.

M. Offal and rubbish shall be conveyed, disposed of or stored in such a manner as to minimize the development of odor, prevent waste from becoming an attractant, harborage or breeding place for vermin and flies and prevent contamination of food, food contact surfaces and water supply.

N. Effective measures shall be taken to protect against contamination of food in or on the premises by cats, dogs, birds, rodents or insects.

O. Buildings, fixtures, and other physical facilities shall be kept in good repair and maintained in an orderly, sanitary condition at all times.

P. Cleaning operations shall be conducted in such a manner as to minimize food contamination or the contamination of food contact surfaces.

Q. Only detergents, disinfectants and other cleaning supplies contained in the current List of Chemical Compounds , authorized for use under U.S.D.A. Inspection and Grading Programs shall be used in food manufacturing and processing facilities. Such detergents, disinfectants, and cleaning supplies shall be used only for their approved purposes as noted in the List .

V. PROCESSING AND CONTROLS

A. Domesticated deer must be slaughtered humanely stunned or rendered senseless before being bled.

B. The incision made to bleed the animal must be made to prevent contamination.

C. Skinning of the Domesticated Deer must be done carefully to prevent contamination to the meat.

D. Ground Domesticated Deer meat must not have any added meats or fats from other types of animals, unless labeled as having added substances.

E. Adequate cooler and freezer space shall be provided for processed meat and meat products. Each unit shall be supplied with an accurate and conspicuous thermometer.

F. Domesticated meat shall not contain any residual medication, and shall come from sound, disease-free Domesticated Deer.

G. Refrigeration temperatures for cooling and storing fresh Domesticated Deer meat shall be 40 degrees F. or below. Freezer temperatures shall be -10 to -40 degrees F. for the freezing of Domesticated Deer meat. Frozen Domesticated Deer meat shall be maintained at 0 degrees F. or below.

H. Domesticated Deer may be slaughtered and processed in a United States Department of Agriculture Inspection Plant, if agreed upon by parties involved.

I. No domesticated deer may be slaughtered or processed in any custom plant if the meat is to be offered for sale.

J. If any person has a domesticated deer slaughtered of his own raising for the use or his family or non paying guest, the requirements pertaining to the processing and control of these regulations will not prevail.

K. Evisceration must be performed in a manner that will prevent fecal contamination.

L. Holding area for live domesticated deer shall be separated from the processing area by a solid partition.

M. The edible by-products, heart, tongue, liver, must be handled in a manner that will prevent contamination. The bile duct must be removed carefully to prevent rupturing.

N. [Not in use]

O. Containers and carriers of raw materials shall be inspected on receipt to assure that their condition will not contribute to contamination or deterioration of the product.

P. Any ice used in contact with the product shall be made from potable water and manufactured in accordance with sanitary standards, and it shall be stored, transported and handled in a sanitary manner.

Q. Food processing areas and equipment used for the processing of human food shall not be used in the processing of animal feed or inedible products unless such use cannot result in the contamination of human food.

R. Chemical, microbiological or extraneous testing procedures may be utilized where necessary to identify sanitation failures or food adulterants.

S. Packaging processes or materials shall not transmit contaminants or objectionable substance to the product.

T. Processors and manufacturers shall keep records and code products so as to enable them to identify specific food lots affected by contamination, spoilage or by sanitation failure and shall separate each lot from non-affected.

U. Finished products shall be stored and transported under conditions which will preclude all contamination and protect against deterioration of the product and the container.

VI. LABELING

A. All packaged products shall bear (a) the common or usual name of the product. (b) ingredients in order of predominance, (c) net weight or numerical count, (d) name and address of manufacturer or distributor and zip code.

VII. LICENSING

A. Application and Fee. An owner or operator of a food processing and manufacturing establishment used for domesticated deer processing shall annually apply to the Department of Agriculture, Conservation and Forestry, Division of Regulations for a license for the establishment. A license fee of $20.00 shall accompany each application. In order to allow for the staggering of license expiration dates, initial licenses may be issued for a period exceeding 12 months. In such cases, the initial license feel shall be increased in proportion to the length of the license period.

B. Inspection and Issuance. Before a license is issued or renewed, the Department shall inspect the premises of the applicant.

Following inspection and receipt of the application and required fee, the Commissioner shall within thirty (30) days of the receipt of the application issue a license to operate any domesticated deer processing plant (Food Processing License) which is found to comply with 22 M.R.S.A. 2151 et seq. and the provisions of Chapter 343, Department of Agriculture, Conservation and Forestry.

C. Display. Licenses issued shall be displayed in a place visible to consumers and other persons using a licensed establishment.

D. Any warehouse or warehouse space within the food processing and manufacturing establishments covered by this rule shall comply with 01-001 CMR Chapter 551 (Food Storage Warehouse), but only one license fee need be paid.

VIII. PERMITS AND GUIDELINES

A. An Import Permit must be obtained from the Division of Veterinary Services.

B. Guidelines for care and propagation of domesticated deer must be obtained from the Division of Production and Development.

C. Guidelines for controls prior to slaughter must be obtained from the Animal Welfare Board.

The proposed regulations are based on the same standards that existed in Maine under the Maine Meat Act (1969-1980) which governed all meat establishments in Maine. The Maine Meat Act was equal to the USDA function in 1980.

The state feels that the slaughter standards for domesticated deer be as stringent as past standards for other meats in order to provide adequate protection to consumers or such products.

A letter directed to this office from the Commissioner of the Department of Inland Fisheries and Wildlife expressed concern about the prevention of escapes of domestic deer into the wild. The Commissioner found that this concern could best be addressed in the Department of Agriculture, Conservation and Forestry Rules Chapter 220 governing importation of deer into Maine.

History

• STATUTORY AUTHORITY: 7 MRSA 1331(6)(1989)
• EFFECTIVE DATE: August 26, 1989
• AMENDED: September 2, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 353 Licensing of Deer for Domestic Food

Code Me. R. 01-001 Ch. 353 Licensing of Deer for Domestic Food {#sec-01-001-ch.-353 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 353}

SUMMARY: The purpose of this chapter is to set forth requirements for licensing of deer for domestic food.

Persons wishing to propagate domesticated deer must make an application to the Division of Regulations, with a $20.00 application fee. All propagators of domestic deer must meet the animal health standards contained in the Department of Agriculture, Conservation and Forestry’s Rules, Chapter 220.

Persons wishing to sell domesticated deer meat at wholesale or retail must apply to the Division of Regulations for a license, accompanied by a $20.00 application fee. All sellers must have appropriate certification, in accordance to Rule 220, that the meat is from domesticated deer only.

For calendar year 1989 only, the Department of Agriculture will issue licenses at no cost to holders of licenses from the Department of Inland Fisheries and Wildlife who wish to transfer from the wildlife category to the domestic deer category of production.

Holders of valid Livestock Dealer's Licenses who hold each individual deer for 24 hours or less do no require a Domestic Deer License.

"Domesticated deer as defined in Title 7 MRSA §1331 may include hybrid varieties derived from captive bred/reared North American elk, Cervus canadensis, Domesticated Caribou (reindeer), Rangifer tarandus and Sika Deer Cervus sika."

EFFECTIVE DATE:

August 26, 1989

AMENDED:

September 3, 1995

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 20, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 353 page 1

Chapter 354 Country of Origin Labeling on Produce

Code Me. R. 01-001 Ch. 354 Country of Origin Labeling on Produce {#sec-01-001-ch.-354 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 354}

Summary: These rules provide the initial listing of countries that need to be identified under Country of Origin Labeling provisions for Fresh Produce.

I. Produce from the countries listed in Section II must be labeled as to country of origin until further notice. Countries are listed for one or more of the following reasons:

A. Products from the country were exported to the United States and in at least one instance for each country product was found by the Food and Drug Administration to exceed U.S. pesticide tolerances.

B. The country allows application of a pesticide at rates or in a manner not allowed in the U.S. under federal law.

C. The country has one or more products under automatic detention from the Food and Drug Administration due to past problems with pesticide residues, or use of pesticides for which there is no residue tolerance for that pesticide for that product in the United States.

II. The following countries are listed, effective November 20, 1989. Produce from these countries must be labeled as to country of origin.

Antigua Argentina Australia

Belgium Belize Brazil

Cambodia Canada Chile

China Colombia Costa Rica

Dominican Republic El Salvador France

Greece Guatemala Honduras

Hong Kong India Israel

Italy Jamaica Japan

Korea Mexico Netherlands

New Zealand Pakistan Panama

Peru Spain United Kingdom

Venezuela

III. STATUTORY AUTHORITY: 7 MRSA §530

EFFECTIVE DATE:

January 10, 1990

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 20, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 354 page 2

Chapter 355 Labeling of Post-Harvest Treatments

Code Me. R. 01-001 Ch. 355 Labeling of Post-Harvest Treatments {#sec-01-001-ch.-355 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 355}

A. Definition. A postharvest treatment shall include any addition of a pesticide to a food after harvest and before retail sale. Treatment with any substance which alone, in chemical combination, or in formation with one or more other substances, is a pesticide as defined by Title 7 MRSA §604, or Title 22 MRSA §1471C shall constitute postharvest treatment. Specifically included is the use of any sprout inhibitor.

B. Labeling of Produce without Post-Harvest Treatments. Any produce which is received that has specific information indicating it has not been treated with any post-harvest treatment shall be labeled by a contiguous sign. No produce without supporting information may be so labeled.

History

• STATUTORY AUTHORITY: 22 MRSA §2157. 14.
• EFFECTIVE DATE: March 25, 1990
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 355 page 1

Chapter 357 Food Salvage

Code Me. R. 01-001 Ch. 357 Food Salvage {#sec-01-001-ch.-357 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 357}

Summary: The purpose of this rule is to protect the public safety and health by controlling the salvaging of distressed foods.

1. Definitions

A. "Food Salvage Processing Establishment" means an establishment that engages in reconditioning or by other means salvaging distressed foods and distributing such food either for charitable purposes or retailing on a non-profit basis.

B. "Food Salvage Retail Establishment" means any food establishment that buys and sells or warehouses salvaged food.

C. "Salvage broker" means a person, firm or corporation engaged in buying, selling, distributing or warehousing distressed, salvageable or salvaged foods and that does not operate a food salvage establishment.

D. "Sale" means the act of selling (whether for profit or not), and shall also include delivery, holding, offering for sale, transfer, auction, storage, or other means of handling or trafficking. "Distribute" means to hold, deliver or transfer.

E. "Distressed food" means any food without label, mislabeled, that has been subjected to prolonged or improper storage, or that has been subjected to possible damage due to accident, fire, flood, adverse weather, physical trauma, mishandling, or to any other cause, and which may have been rendered unsafe or unsuitable for human or animal consumption.

F. "Non-salvageable food" means distressed food that cannot be safely or practically reconditioned.

G. "Salvageable food" means distressed food that can be reconditioned to the satisfaction of the Department..

H. "Salvaged food" means previously distressed food which has been reconditioned to the satisfaction of the Department.

I. "Reconditioning" means any appropriate process or procedure by which distressed food can be brought into compliance with all Department requirements, making it suitable for consumption and use by humans or animals.

J. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

K. "Perishable" means there exists a significant risk of spoilage or deterioration when a product has not been properly refrigerated or handled.

L. "Potentially hazardous food" means any food which consists in whole or in part of milk or milk products. eggs, shell eggs, meat, poultry, fish, shellfish, edible crustaceans, or other ingredients, including synthetic ingredients, and which is in a form capable of supporting rapid and progressive growth of infectious or toxigenic microorganisms. The term does not include clean foods which have a PH level of 4.6 or below or a water activity value of 0.85 or less.

M. "Person" means an individual, firm, partnership company, corporation, trustee, association. agent, or any public or private entity.

N. “Vehicles" means any truck, car, bus or other means by which distressed, salvageable or salvaged food is transported from one location to another.

O. "Sanitize" means effective bactericidal treatment of clean surfaces of equipment, utensils or food containers by a process which has been approved by the Department as being effective in destroying microorganisms, including pathogens. Such treatment shall not adversely affect the product and shall be safe to the consumer.

P. "Commissioner" means the Commissioner of Agriculture or his agents in the Department.

2. General Requirements

Any food salvage processing establishment, food salvage retail establishment or salvage broker that acquires, sells, distributes or otherwise traffics in distressed, salvageable or salvaged food is subject to these regulations.

Distressed food or salvageable food shall be sold or otherwise distributed only to a licensed food salvage processing establishment.

Salvaged food shall be sold only by a food salvage processing establishment or a food salvage retail establishment or food salvage broker. Salvaged food may be donated with good faith in its integrity in accordance with Maine Statutes, Title 14, Section 166.2.

No interstate movement of distressed or salvageable food shall be made without prior approval of the Department and the responsible agency in the jurisdiction to receive the food. Concurrence shall also be obtained from the FDA or USDA prior to such anticipated movement.

Food salvage processing establishments outside the State may sell or distribute salvaged foods within the State, if such plants conform to the provisions of this regulation or to substantially equivalent provisions and have a valid permit from the Department. To determine the extent of compliance with such provisions, the Department may accept reports from responsible authorities in other jurisdictions where such plants are located.

Food approved for animal consumption shall not be sold or otherwise distributed unless an affidavit is obtained from the receiver, stating that the food will be used only for animals. Such affidavit shall remain on file at the food salvage establishment. Containers of such product must be indelibly marked "for animal consumption only" and shall be denatured. The Department reserves the right to require denaturing of food designated for animal consumption.

3. Rules and regulations for food salvage establishments

A. Examination and condemnation of unwholesome food. Samples of food may be taken by the Commissioner as often as nay he necessary for the detection of unwholesomeness, damage or contamination.

B. Notice to Commissioner. It shall be the duty of food salvage processing establishment and salvage brokers to keep records for the Commissioner whenever distressed foods subject to the provisions of this section are obtained. (May be satisfied by Section C.)

(a) Movement of embargoed foods

1. It shall be unlawful for foods under embargo by the Commissioner to be moved to a different location without prior permission granted by the Commissioner.

2. All movements of embargoed foods are to be made only under the supervision of the Commissioner.

3. Food and food products shall be moved from the localized site of a fire, flood, wreck or other cause as expeditiously as possible supervised by the Commissioner or an agent so as not to become putrid, unwholesome, rodent or insect harborages, or otherwise a menace to public health.

4. All embargoed foods, prior to reconditioning and release from embargo shall be transported only in vehicles provided with devices to render them capable of being locked and sealed. Where highly perishable foods are transported, this is to be done in vehicles provided with adequate refrigeration for product maintenance.

C. Records

A record or receipt of damaged merchandise, merchandise found to be unfit, and salvaged merchandise shall be kept by food salvage establishments and food salvage brokers and shall be kept open for inspection by the Commissioner during business hours. These records shall he kept on the premises of the food salvage establishment or broker for a period of three years following the completion of transaction involving a lot of merchandise. Records indicating the source of distressed, salvageable or salvaged foods and sales or distribution accounts shall be maintained by food salvage establishments and salvage brokers and shall be open to the inspection of the Commissioner.

D. Storage and removal of waste material and unfit foods

(a) Waste material shall be stored in such a manner as not to become a nuisance, preferably in a separate building. Leakproof, non-absorbent, covered containers shall be used and frequent removal from the premises shall be the. rule as determined by the Commissioner.

(b) All unfit foods shall be removed from food salvage Processing establishments often enough to not become a nuisance. This removal shall he done only by a method approved by the Commissioner and All disposal costs shall be borne by the establishment.

E. Required rooms

Where the operation requires, the following rooms or areas shall be provided to carry on the business of food salvage processing establishment: 1. Receiving room or area; 2. Sorting and culling room or area; 3. Reconditioning room or area; 4. Storage room or area for reconditioned food; and, 5. Waste room or area. Every salvage processing establishment shall he provided with a suitable room or rooms for changing and hanging of wearing apparel of the workers or employees, which shall be separate and apart from the work, storage and sales rooms, and shall be kept in a clean and sanitary condition. If retail sales are made on the premises, a separate room shall be provided for this purpose. Where frozen or refrigerated foods are handled, refrigerators, freezer rooms and/or freezer cabinets shall be provided.

F. Sanitation requirements

(a) Any building or portion of any building regularly used in food salvaging shall at all times be clean, free of foul atmosphere and contamination, and shall be properly lighted, drained, and ventilated.

(b) The side walls and ceilings of all work rooms shall be smooth and easily cleanable, and shall be kept reasonably free from dirt and foreign matter and clean at all times.

(c) The floors of all work rooms shall be impermeable and shall be constructed of non-absorbent material which can be flushed and washed clean with water. Floor drains shall be provided in all rooms where floors are subjected to flooding type cleaning or where normal operations release or discharge water or other liquid waste on the floor. Floor/wall joints shall be sealed with coved molding.

(d) All salvage processing establishments shall have an adequate number of conveniently located toilet rooms separate and apart from work rooms. The doors of toilet rooms shall be provided with self- closing devices. The floor of the toilet room shall be of non-absorbent material and shall be clean at all times. Toilet rooms shall be vented to the outdoors by means of ventilation. Easily cleanable waste receptacles shall be provided. A covered waste receptacle shall be provided in toilet rooms used by women. A handwash sign shall be posted.

(e) Hand wash sinks shall be located in the toilet rooms, and at other locations in the establishment where required, and shall be supplied with soap, hot and cold or warm running water and single service towels, and shall be maintained in a sanitary condition. Before beginning work, after visiting toilet rooms, and at other times as required, employees shall wash their hands thoroughly with soap and water.

(f) Sewage disposal. All sewage and other liquid waste shall be disposed of in a public sewerage system, or in the absence thereof, in a manner complying with State Plumbing Code subsurface wastewater disposal rules.

(g) All plumbing and facilities shall meet State Plumbing Code requirements.

(h) Storage rooms shall be kept clean and free from objectionable odors, and shall be rodent and vermin proof.

(i) Doors, windows and other outer openings shall be screened with screens of not coarser than 12 mesh wire screening, or other effective means of insect elimination shall be adopted, subject to approval by the Commissioner.

(j) Effective measures shall be taken to protect against the entrance into the establishment and the breeding or presence on the premises of rodents, insects, and other vermin. Extermination, when practiced, shall be, done in a safe manner so as not to contaminate foods and shall not make use of highly poisonous substances where rodent poisons are used, they shall be color coded and shall. be placed in properly located and constructed bait boxes.

(k) The water supply shall be ample, clean and potable with adequate facilities for its distribution in the establishment. Private water supplies shall meet State standards for non-community water systems and shall be tested once yearly.

(l) All apparatus, utensils and appurtenances used in the handling of salvage goods shall be so constructed and placed that they can be thoroughly cleaned. Such equipment shall be kept clean and sanitary and in good repair.

(m) No person shall live or sleep in any building used as a food salvage establishment, unless living and sleeping quarters are separated by impervious walls without windows or doors.

(n) Vats, 3 bay non-corrosive sinks and other washing equipment, provided with hot and cold water under pressure and proper drains, shall be available in the salvage food processing establishment for the cleaning, rinsing, and bactericidal treatment of food containers to be reconditioned. Necessary equipment for drying, buffing, relabeling and repacking shall, where required, be provided. A utility sink shall be provided for the washing of cleaning and maintenance equipment, and disposal of waste water from such operations. Food salvage retail establishments shall have at minimum an adequately sized two bay sink with drainboards, and a utility sink.

(o) Employees shall be clean in person at all times and shall wear clean, washable clothing and caps, where the operation requires. They shall not smoke or use tobacco except in approved employee break rooms.

(p) No person suffering from or afflicted with a contagious or infectious disease shall be employed in or about any part of a food salvage establishment.

(q) All products shall be stored on skids or pallets of sufficient height to facilitate cleaning and inspection, and shall not be placed closer than 12" to the walls. There shall be an aisle at least 18" wide between each double row of merchandise.

(r) All rooms in which salvageable or salvaged merchandise is processed or utensils are washed, dressing or locker rooms, toilet rooms, and garbage and rubbish disposal areas shall be well ventilated, and comply with applicable Federal, State and local fire prevention and air-pollution requirements.

(s) No birds or animals shall be allowed in a food salvage establishment.

(t) Lights in areas where food is handled or exposed shall be properly shielded.

G. Protection of Damaged and Salvaged Merchandise

(a) All distressed, salvageable and salvaged foods shall be protected from contamination while being stored, transported or processed. Poisonous and toxic materials shall be identified and handled under such conditions so as not to contaminate food. Poisonous or toxic materials shall be stored, transported and processed separate from foods at all times.

(b) All salvageable articles shall be promptly sorted and segregated from non-salvageable materials to prevent further contamination of foods to be salvaged or offered for sale or distribution.

(c) Vehicles used to transport damaged or salvaged merchandise shall be maintained in a clean and sanitary condition to protect food products from contamination.

4. Sorting, reconditioning and labeling

A. All metal cans of food offered for sale or distribution shall be reasonably free from rust and free from rim and/or seam dents that may have compromised the seam integrity. Springers, flippers, and swells shall be deemed unsalvageable.

B. Where there are signs of dirt or contamination under opening devices of cans and other containers (pop-top, tape-top, pull-top, key-top) or under the lip of jar top or screw top closures, these products shall be deemed unsalvageable.

C. Dry food products. Single containers of any dry food product that has been exposed to any foreign substance that may cause adulteration is unsalvageable. Products in containers with an inner wrap - if the inner wrap is broken and there are signs of adulteration, then the product is unsalvageable. if outer container shows signs of cross contamination, product is unsalvageable.

D. All metal containers whose integrity has not been compromised and whose integrity would not be compromised by the reconditioning, and which have been partially or totally submerged in water, liquid foam or other contaminant shall, after thorough cleaning, be subjected to a sanitizing rinse of a concentration of 200 ppm available chlorine for a minimum period of 1 minute, or shall be sanitized by another method approved by the Department. They shall be subsequently treated properly to inhibit rust formation. All other types of containers so damaged shall be deemed unsalvageable.

E. Any cans showing surface rust shall have labels removed, the outer surface cleaned by buffing, an approved protective coating applied where necessary, and shall be relabeled. Reconditioning of other types of containers may be required where circumstances are justified.

F. All salvaged food and food products are to be provided with complete labels. where original labels are removed from containers which are to be resold or distributed, salvager replacement labels must show the name of the salvager as the distributor.

G. Foods contaminated and/or adulterated by pesticides, chemicals, or other toxic substances; potentially hazardous foods which have been exposed to a temperature above 45 degrees F. for a period exceeding 4 hours, out of date infant foods, and foods packaged in paper or other pervious materials which have been subject to contamination shall be unsalvageable.

H. Unsalvageable merchandise shall not be sold or distributed, but shall be disposed of in a manner approved by the Department.

5. Licensing

A. Application and fee. Each application for, or renewal of, a license to operate a food salvage processing establishment, a food salvage retail establishment or to act as a salvage broker within the meaning of this chapter shall be accompanied by a fee, appropriate to the size of the establishment. Applications shall be accompanied by the appropriate fee as enumerated in Chapter 330, License Fees to Manufacture and Sell Food & Beverages .

B. Issuance and inspection will conform with 22 M.R.S.A. §2169.

C. Charitable Community Programs that utilized foods donated or purchased from a food salvage processing establishment or a food salvage retail establishment or a salvage broker for the good of the needy is exempt from licensing.

6. Penalties

Any person, firm or corporation who violates any of the provisions of 22 M.R.S.A. §2167 shall be punished by a fine of not more than $100.00 for the first offense and a fine of not more than $200.00 for each subsequent offense.

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §§ 2169, 2153
• EFFECTIVE DATE: February 6, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• AMENDED: September 21, 2008 – Section 5(A), filing 2008-435
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 358 Manufacturing of Potentially Hazardous Foods

Code Me. R. 01-001 Ch. 358 Rules for Manufacturing of Potentially Hazardous Foods {#sec-01-001-ch.-358 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 358}

Summary: The purpose of this chapter is to set forth rules for the processing and manufacture, and home food manufacturing of potentially hazardous foods, with particular emphasis on crabmeat processing. Compliance with existing Food Processing and Home Food Manufacturing regulations is also required.

1. Definitions

For the purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings:

A. "Corrosion resistant material" means those materials that maintain acceptable sanitary surface characteristics under prolonged influence of the food to be contacted, the normal use of cleaning compounds and sanitizing solutions, and other conditions of the use environment.

B. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

C. "Easily cleanable" means readily accessible and of such material and finish and so fabricated that residue be effectively removed by normal cleaning methods.

D. "Food-contact surfaces" means those surfaces of equipment and utensils with which food normally comes into contact, and those surfaces from which food may drain, drip, or splash back onto surfaces normally in contact with food.

E. "Potentially hazardous food" means any food that consists in whole or in part of milk or milk products, eggs, meat, poultry, fish, shellfish, edible crustaceans, or other ingredients, including synthetic ingredients, and which is in a form capable of supporting rapid and progressive growth of infectious or toxigenic microorganisms.

F. "Sanitization" means effective bactericidal treatment of food contact surfaces by a process that is effective in destroying vegetative cells of pathogenic bacteria and in substantially reducing other microorganisms. Such treatment shall not adversely affect the product and shall be safe for the consumer.

2. Processes and Controls

A. Potentially hazardous foods shall be cooked to such time/temperature that effectively destroys pathogenic microorganisms.

B. Potentially hazardous foods shall be handled in such a manner as to preclude contamination with and the growth of pathogenic microorganisms after heat processing.

Examples

1. Potentially hazardous foods shall not remain in the temperature "danger zone", between 40 degrees F. and 140 degrees F. internal temperature, for a total of more than 4 hours. From the time that crabs are cooked until the time packaged crabmeat is stored under refrigeration or in potable, drained ice, such cooked crab/crabmeat shall not have remained between 40 degrees F. and 140 degrees F. for more than a total of 4 hours.

2. Means shall be provided to transfer cooked crabs from cooking vessels to picking tables without contamination. Backed crabs shall be washed only under running water and immediately placed in sanitized receptacles of approved design. These sanitized receptacles may not be exposed to splash from the wash. Backs and waste may not be allowed to accumulate on the washing table. Crabmeat should be picked directly into the final container where at all feasible.

C. Accurate thermometers of types appropriate to operations shall be provided and used.

D. There shall be no cross contamination between raw and cooked products, and equipment, utensil, work surfaces, vessels, hands, clothing, ice or any other article that could result in transfer of microorganisms from raw to cooked product. Separate coolers should be provided for raw and cooked potentially hazardous foods. Raw products shall be maintained and handled separately from in-process or finished product at all times. Cross contamination must be prevented through proper sanitization of all product contact surfaces including portable equipment, and proper handling practices by individuals.

E. No animals or live plants shall be allowed in any area of the food establishment.

F. Single service containers shall be stored and handled in a sanitary manner.

G. Repacking of crabmeat which has been picked or processed in another plant is not allowed by the Department.

H. Traceability of product shall be maintained.

Example: "C" numbers on containers of crabmeat that indicate the processing facility. Lot coding is recommended to prevent loss of an entire lot in the event of a product recall.

I. All facilities and equipment employed in handling and/or preparing ice for use should be used for no other purpose and should be cleaned each day the plant is in operation. Shovels should be hung or stored in a protected manner when not in use.

3. Cleaning and Sanitization of Food Contact Surfaces

A. Before beginning operations, all equipment shall be retreated with a sanitizer of strength as specified in Food Processing/Home Food Manufacturing regulation.

B. Equipment (including sinks), utensils, food contact surfaces must be cleaned and sanitized after any interruption in operations where such utensils and contact surfaces may have become contaminated and at a minimum of every four hours.

C. Refrigerators shall be cleaned and sanitized at least weekly, and at any time contamination may have occurred.

4. Sanitary Operations and Controls

A. Unauthorized persons shall not at any time be permitted in the processing areas of the plant.

5. Equipment and Utensils

A. Equipment and utensils shall be designed and constructed of durable, easily cleanable, noncorrosive, impervious materials. Example: Metal receptacles shall be constructed of non-corrosive metal, seamless and with no rolled edges.

6. Personnel

A. Shall wash hands thoroughly in an adequate handwashing facility and sanitize hands by immersion in a hand dip solution supplying 100 parts per million active chlorine or equivalent before starting work, after each absence from work station, and after any other time when the hands have become soiled or contaminated.

B. Food handlers, for example crabmeat pickers and packers, shall wear clean aprons which cover the front and sides of the body, and caps or nets which cover the hair. Arms should be bare to the elbow.

C. There shall be no eating, gum chewing, use of tobacco in any form in food processing or packaging areas.

D. Personnel shall not be permitted to move freely between the raw product areas and cooked product areas (as in the case or raw crab areas to cooked crab areas) since foot traffic will spread bacteria. A chlorinated foot bath may be provided for personnel occasionally going directly from the raw to cooked product areas.

7. Plant Construction

A. New plants constructed should have operations in natural sequence to eliminate potential contamination factors.

1. Sorting-grading rooms, where used.

2. Cooker-cooking room.

3. Cooling-storage area, adequately vented, and opening directly into refrigerated rooms used to store cooked crabs.

4. Picking room. Exits shall be provided from this room so as to eliminate unessential traffic through other parts of the plant.

5. Equipment washing-storage room. If an extra room is provided for washing and storing of utensils, a direct entrance shall be provided into the picking room.

6. Weighing and packing room shall be so situated and arranged as to give the packing room personnel a full view of the picking room.

7. All units shall be directly connected and under one roof so as to eliminate contamination potentials.

8. Floors shall have at least 1/4 inch grade per foot.

9. Walls shall be of smooth, nonporous, easily cleanable construction.

10. Floor/wall joints should be covered.

11. One handwash sink shall be provided for each ten pickers. A container for sanitizer shall be provided near the handwash facilities.

12. A two-compartment sink with hot and cold running water. This unit shall be used for scrubbing utensils and rinsing in a bactericidal solution.

B. Violations

Any person who violates any provision of this rule may be punished in any manner authorized under Chapter 551 of Title 22 MRSA §§ 2151-2171).

History

• STATUTORY AUTHORITY: 22 MRSA §§ 2151, 2153
• EFFECTIVE DATE: November 4, 1992 (EMERGENCY)
• EFFECTIVE DATE: March 15, 1993
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 358 page 5

Chapter 359 Rules Governing the Processing / Handling / Storing / Labeling of Smoked, Cured and Salted Fish

Code Me. R. 01-001 Ch. 359 Rules Governing the Processing, Handling, Storing and Labeling of Smoked, Cured and Salted Fish {#sec-01-001-ch.-359 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 359}

Summary: The purpose of this chapter is to establish rules that will ensure the proper handling of smoked fish and other methods of preparing fish for consumption. This Chapter augments rules for Food Processing, Chapter 343, Home Food Manufacturing, Chapter 345, and Potentially Hazardous Foods, Chapter 359.

1. Definitions

For the purposes of this chapter the following words shall have the following meanings:

A. Processed fish" means fish that has been cured, salted, marinated, dried, or smoked as food for human consumption.

B. "Smoked fish" means any fish which has been subjected to smoke from the burning of wood, sawdust or similar material, or immersed in or sprayed with a smoke-flavored solution.

C. "Department" means the Maine Department of Agriculture, Conservation and Forestry.

D. "Water Phase Salt" means the amount of salt compared to the amount of moisture (water) in the fish, calculated as percent salt in the finished product multiplied by 100 and divided by the percent salt plus the percent moisture in the finished product (with percent moisture calculated by subtraction from 100 of the total solids in the finished product), expressed in the following equation:

% Water Phase Salt = % salt X 100

% Salt + % Moisture

(where % moisture = 100 - % total solids)

E. HACCP means Hazard Analysis Critical Control Points.

F. Loin muscle means the most dense part of the fish.

2. Processes and Controls

A. There shall be a scheduled procedure for all processed fish.

B. All fish offered for sale shall be free of viscera prior to processing.

C. Processing parameters for smoked fish

1. For hot process smoked fish to be air packaged, a controlled process must be used to heat fish to a continuous temperature of at least 145(F. for a minimum of 30 minutes for fish brined to contain not less than 2.5% water phase salt in the loin muscle of the finished product.

2. For hot process smoked fish to be vacuum or modified atmosphere packaged, a controlled process must be used to heat fish to a continuous temperature of at least 145(F. for a minimum of 30 minutes for fish brined to contain not less than 3.5% water phase salt in the loin muscle of the finished product or the combination of 3.0% water phase salt in the loin muscle of the finished product and not less than 100 or more than 200 parts per million of sodium nitrite.

3. Cold process smoked fish must use a controlled process to assure that all products do not exceed process temperatures in accordance with one of the following methods:

a. The temperature in the smoking chamber does not exceed 90(F. during a drying and smoking period that does not exceed 20 hours; or

b. The temperature in the smoking chamber does not exceed 50(F. during a drying and smoking period that does not exceed 24 hours.

4. For cold process smoked fish to be air packaged, only fish that have been brined to contain not less than 2.5% water phase salt in the loin muscle of the finished product may be used.

5. For cold process smoked fish to be vacuum or modified atmosphere packaged, only fish that have been brined to contain not less than 3.5% water phase salt in the loin muscle of the finished product or the combination of 3.0 % water phase salt in the loin muscle of the finished product and not less than 100 or more than 200 parts per million of sodium nitrite may be used.

D. There shall be records written and maintained in the plant that will describe in detail processing methods, procedures and controls for smoked fish, salted fish, cured fish, dried fish and marinated fish.

E. A HACCP plan may be submitted to the Department after January 1, 1994.

F. The product must be so processed as to prevent contamination by exposure to areas, utensils, or equipment involved in earlier processing steps, refuse or other objectionable areas. Any common area must be thoroughly cleaned and sanitized between processing steps.

3. Product Handling

A. Product temperatures of 38(F. or below are required during receiving, handling and storage of raw fish and processed fish except:

1. When undergoing hot smoking or cold smoking

2. Processed fish that have a water phase salt level of at least 17% shall not require refrigerated storage.

3. Processed fish which contain a water phase salt level of at least 10% or a Ph of 4.6 or below may be distributed at temperatures that do not exceed 45(F.

4. Labeling

A. Shipping containers, retail packages, and shipping records relating to processed fish shall indicate, by appropriate labeling, the perishable nature of the product. Frozen finished product shall clearly indicate that the product shall remain frozen until thawed at refrigerated temperatures and shall not be refrozen. Refrigerated product shall clearly and conspicuously state Keep Refrigerated at 38(F. or Below.

B. Packages shall be coded for processing traceability.

C. Package labels shall list all ingredients. Package labeling should comply with the Nutritional Labeling and Education Act where required under Federal law.

Violations: Any person who violates any provision of this rule may be punished under Chapter 551 of 22 MRSA §§ 1865 and 2166.

History

• STATUTORY AUTHORITY: 22 MRSA §§ 1851 and 2153
• EFFECTIVE DATE: October 6, 1993
• AMENDED: February 6, 1994
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 359 page 3

Chapter 361 On Farm Raising, Slaughter and Processing of Less Than 1000 Ready-to-Cook Whole Rabbits Carcasses

Code Me. R. 01-001 Ch. 361 On Farm Raising, Slaughter and Processing of Less Than 1000 Ready-to-Cook Whole Rabbits Carcasses {#sec-01-001-ch.-361 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 361}

SUMMARY: The purpose of this chapter is to set forth the standards for registration and regulations for whole ready-to-cook rabbit carcasses that have been slaughtered and processed by the rabbit producer on the rabbit producer’s farm. This chapter is specific for rabbits raised on the farm, slaughtered and processed as ready-to-cook rabbits, Chapter 332, Rules for Rabbit Processing and Chapter 358, Rules for Manufacturing of Potentially Hazardous Foods , are also in effect for rabbit producers operating under the less than 1000 whole rabbit exemption.

DEFINITIONS

For purposes of this chapter and unless the context otherwise indicates, the following words shall have the following meanings.

“Ante-mortem inspection” means the inspection of live rabbits prior to being slaughtered for sickness or disease.

"Community Supported Agriculture" means an arrangement whereby individual consumers have agreements with a farmer to be provided with food or other agricultural products produced on that farm.

“Interstate Commerce” means the sale or the transportation of ready to cook rabbit between different states.

“Locally Owned Grocery Store” means a grocery store at least 51% of which is owned by one or more residents of the State and that has a gross floor area of 25,000 square feet or less.

“Locally Owned Restaurant” means an eating establishment at least 51% is owned by one or more residents of the State and that is not a chain restaurant pursuant to 22 MRSA section 2491, subsection 2-B.

“Post Mortem Inspection” means the inspection of rabbit organs and tissue for evidence of disease which would make the meat unsuitable for human food.

“Principal Display Panel” means the part of the label most likely to be displayed, presented, shown, or examined under customary conditions to the consumer.

“Quarantine” means a place of isolation in which live rabbits that have arrived from elsewhere or been exposed to infectious or contagious disease are placed.

“Rabbit Producer” means a person that raises rabbits offered for sale.

“Ready-to-Cook Rabbit” means domestic rabbit which has been slaughtered for human food, from which the head, heart, kidneys, blood, skin, feet, and inedible viscera have been removed and that is ready to cook without need of further processing.

“Segregation” means placing diseased rabbits in a restricted area.

EXEMPTION FOR FARM RAISED RABBITS SLAUGHTER AND PROCESSING

Live rabbits are exempted from ante mortem and post mortem inspections, quarantine, segregation and reinspection when:

Rabbits are born and raised by the rabbit producer to maturity on the farm where they are slaughtered and processed as whole ready-to-cook rabbit carcasses.

The farm raises fewer than 1000 live rabbits that are slaughtered on the farm during a calendar year (January 1^st to December 31^st).

Farm slaughtered ready-to-cook whole rabbit carcasses are not offered for sale and transported in interstate commerce.

Processed rabbit that is sold as a ready-to-cook whole rabbit carcass shall have the head, heart, kidneys, blood, skin, feet, and inedible viscera removed.

A rabbit producer is exempted from the licensing requirement of 22 MRSA §2167 if found to be in compliance with this Chapter, Chapter 332, Rules for Rabbit Processing and Chapter 358, Rules for Manufacturing of Potentially Hazardous Foods .

An exempt rabbit producer of farm raised ready-to-cook whole rabbit carcasses shall submit a registration form to the Department prior to processing rabbits. The Department in accordance with 22 MRSA §2518 (1), shall annually review ready-to-cook whole rabbit processing establishments for compliance with this chapter.

A rabbit producer shall permanently affix a code to product packaging or label and maintain records for:

Date the product was processed.

Name of the product.

Units produced.

Size of the product.

Code by lot.

Location of sale.

Ready-to-cook whole rabbit carcasses shall have a label affixed that meets the labeling requirements of Chapter 332 Rabbit Processing regulations and the following:

The label shall state:

i. The name of the farm.

ii. The name of the farm owner.

iii. Street address of the farm and zip code.

iv. On-farm rabbit processing registration number issued by the Maine Department of Agriculture, Conservation & Forestry.

v. The statement “Exempt under the Maine Revised Statues, Title 22, section 2517-E NOT INSPECTED”. The print shall be a minimum of 1/8 inch in height. The statement must be prominently displayed (BOLD) with such conspicuousness that it is likely to be read and understood.

vi. On the principal display panel of the label there shall be SAFE HANDLING INSTRUCTIONS. These instructions must appear in lettering no less than 1/16 inch in height and “prominently with such conspicuousness as to render it likely to be read and understood under customary conditions of purchase and use.” The heading must be set in type size larger than the instructions. All safe handling information must be set off by a border and appear in one color printed on contrasting background of a single color. The instructions shall state the following:

SAFE HANDLING INSTRUCTIONS

• Keep refrigerated or frozen.
• Thaw in refrigerator or microwave.
• Keep raw rabbit meat separate from other foods.
• Wash working surfaces, including cutting boards, utensils and hands, after touching raw rabbit meat.
• Cook thoroughly to an internal temperature of at least 160 degrees Fahrenheit maintained for at least 15 seconds.
• Keep hot foods hot. Refrigerate leftovers immediately or discard.

RESTRICTIONS ON POINT OF SALE

Ready-to cook whole rabbit carcasses that were raised, slaughtered and processed on a rabbit producer’s farm and labeled in accordance with §2(e)(1) of this rule may be sold by the rabbit producer in the following locations or manner:

Retail sales directly to consumers by the rabbit producer from the rabbit producer’s farm.

Retail sales by the rabbit producer directly to consumers at a farmers' market as defined in Title 7, section 415, subsection 1, paragraph A.

Retail sales delivered to a consumer's home.

Retail sales to an individual who is a member of a community supported agriculture farm that has a direct marketing relationship with the rabbit producer.

Wholesaling ready-to-cook whole rabbit carcasses to a locally owned grocery store.

Wholesaling ready-to-cook whole rabbit carcasses to a locally owned restaurant.

History

• STATUTORY AUTHORITY: 22 MRS §§ 2154, 2517-E sub-§3
• EFFECTIVE DATE: February 4, 2020 – filing 2020-016

Chapter 365 Field Sanitation

Code Me. R. 01-001 Ch. 365 Field Sanitation {#sec-01-001-ch.-365 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 365}

SUMMARY: This rule requires agricultural employers to provide certain facilities for employees engaged in handlabor operations in blueberry fields. Basic provisions were adopted in 1984. The specific requirement for location of drinking water was amended slightly in 1985.

I. DEFINITIONS

A. Agricultural employer. "Agricultural employer" means any person, corporation, association or other legal entity that owns or operates an agricultural establishment or on whose premises or in whose interest an agricultural establishment is operated; or any person, corporation, association or other legal entity who is responsible for the management and condition of an agricultural establishment or who acts directly or indirectly in the interest of such an employer in relation to any employee.

B. Agricultural establishment. "Agricultural establishment" means a farming enterprise that uses paid employees in the production of food, fiber, or constituents thereof such as seed, seedlings, plants, or part of plants.

C. Commissioner. "Commissioner" means the Commissioner of the Department of Agriculture, Conservation and Forestry.

D. Handlabor operations. "Handlabor operations" means agricultural activities or operations performed by hand or with hand tools or hand equipment, including without limitation the hand harvest of vegetables, nuts and fruit, hand weeding of crops and hand planting of seedlings, but excluding handlabor operations performed as a part of forestry operations or in the care or feeding of livestock or in permanent structures (e.g., processing facilities, packing houses, greenhouses).

E. Handwashing facility. "Handwashing facility" means

1. a facility providing either a basin, container or outlet, with an adequate supply of clean water, soap or an equally effective cleansing agent and single use towels; or

2. the provision of prepackaged, single use moist towelettes, in quantity sufficient to enable each employee to use several towelettes each day: or

3. the provision of waterless soap and single use towels, both in quantity sufficient to enable each employee to clean his/her hands several times each day.

Where water for handwashing is not potable, the employer shall post and maintain a sign effective to so inform employees.

F. Potable water. *Potable water" means water that at the time at which it is consumed meets state drinking water standards as set forth in 10144A CMR 231.

G. Toilet facility. "Toilet facility" means a facility designed for the purpose of both defecation and urination, including biological or chemical toilets, combustion toilets or sanitary privies, supplied with toilet paper adequate to employee needs. Toilet facilities may be either fixed or portable.

II. SCOPE

A. Pending further investigation and rule-making by the Commissioner, the requirements of this rule apply to any agricultural establishment where employees are engaged in handlabor operations in blueberry fields, unless otherwise provided by B.

B. Exceptions

1. This rule does not apply to an agricultural establishment where only members of the agricultural employer's immediate family are employed.

2. This rule does not apply to an agricultural establishment where ten (10) or fewer employees are engaged on any given day in handlabor operations in the field, provided that the employees work under conditions which provide protection comparable to that which would be provided by compliance with the requirements of this rule. In determining the number of employees, employees who are members of the agricultural employer's immediate family are not required to be counted.

3. The toilet and handwashing facility requirements of this rule do not apply to employees who are engaged in handlabor operations in the field for three (3) hours or less on any given day, including transportation time to and from the field.

III. SEPARABILITY

If any provision of this rule or its application to any person or circumstances is held invalid, the application of the provision to other persons or circumstances, and the validity and applicability of the remaining provisions, shall not be affected thereby.

IV. GENERAL REQUIREMENTS

A. APPLICABILITY

The requirements of this section apply, in accordance with II., to agricultural employers whose employees are engaged in handlabor operations in the field, except to the extent that they are modified by Specific Requirements of this rule.

B. PROVISION OF FACILITIES

Agricultural employers shall provide the following for employees engaged in handlabor operations in the field:

1. Potable drinking water

a. Potable water shall be provided and shall be placed in locations reasonably accessible to all employees.

b. The water shall be suitably cool, uncontaminated and in sufficient amounts, taking into account the air temperature, humidity and the nature of the work performed, to meet all employees' needs during the entire work period.

c. The water shall be dispensed by sanitary fountain or by sanitary single use, disposable cups supplied in quantity to meet all employees' needs. Where cups are provided, a receptacle for their disposal shall be provided in close proximity to the water dispenser.

d. The use of common drinking cups or dippers is prohibited.

2. Toilet and handwashing facilities

a. Toilet facilities and handwashing facilities shall be provided in numbers sufficient to meet all employees' needs for protection of health, including privacy and reasonable convenience.

b. Toilet facilities shall have doors that can be closed and latched from the inside and shall be constructed to insure privacy.

c. Toilet and handwashing facilities shall be reasonably accessible to all employees and each toilet facility shall have a handwashing facility in close proximity. "Reasonably accessible toilet and handwashing facilities includes facilities to which the agricultural employer provides transportation which is reasonably accessible and sufficiently frequent to meet all employees' needs for protection of health, including privacy and reasonable convenience. The employer shall inform employees as to locations of facilities and changes thereof, and as to availability and location of transportation to facilities.

d. Adequate receptacles for waste towels and similar wastes shall be located in close proximity to toilet and handwashing facilities.

C. MAINTENANCE

Potable drinking water containers and toilet and handwashing facilities shall be maintained in accordance with appropriate public health sanitation practices, including without limitation the following:

1. Toilet facilities shall be operational and maintained in clean and sanitary condition, including control of odors:

2. Handwashing facilities shall be maintained in clean and sanitary condition; and

3. Disposal of wastes shall not cause unsanitary conditions and shall comply with applicable requirements of the Department of Human Services and the Department of Environmental Protection.

D. REASONABLE USE

1. Employees shall be allowed reasonable opportunities during the workday to use the facilities.

2. No agricultural employer may require any employee to pay a fee or charge of any kind for drinking water or for the use of or transportation to and from toilet or handwashing facilities, nor may any deduction from an employee's pay or hours be made as a consequence of the provision or use of water or facilities in accordance with this rule.

V. SPECIFIC REQUIREMENTS

A. APPLICABILITY

The specific requirements set forth in this section apply, in accordance with II., to agricultural employers whose employees are engaged in handlabor operations in blueberry fields. Except as specifically modified in this section, all of the requirements of IV. also apply to such employers.

B. PROVISION OF FACILITIES

1. Potable drinking water. Potable drinking water shall be provided at each field in a location that is reasonably accessible to all employees throughout the work period, in an amount equal to not less than one (1) gallon per day per employee.

2. Toilet and handwashing facilities. One toilet and one handwashing facility shall be provided for each thirty (30) employees or fraction thereof. These facilities, or transportation thereto provided by the agricultural employer in accordance with IV. B. 2. c., shall be located within one quarter (1/4) mile (0.4 kilometers) of each employees place of work in the field.

3. Comparable protection. An agricultural employer whose employees are engaged in handlabor operations in the blueberry fields may provide potable water in quantities less than or at locations different from those specified in I., and/or toilet and/or handwashing facilities different in number and/or location from those specified in 2., provided that the employer thereby provides protection comparable to that which would be provided by compliance with the requirements of this section.

VI. [RESERVED]

History

• STATUTORY AUTHORITY: 26 M.R.S.A. (( 580, 581
• EFFECTIVE DATE: July 21, 1984
• AMENDED EFFECTIVE: March 4, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 365 page 5

Chapter 375 Determination of Safety and Sufficiency of Dam or Reservoir

Code Me. R. 01-001 Ch. 375 Determination of the Safety and Sufficiency of a Dam or Reservoir {#sec-01-001-ch.-375 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 375}

SUMMARY: This Chapter describes the scope of a darn inspection, the engineering and hydrologic performance criteria that are used in the determination of whether a dam or reservoir is unsafe or insufficient, and the time schedule arid hearing procedures that apply to dam and reservoir inspection.

1. Introduction

The determination of the "safety and sufficiency of a dam or reservoir" as defined in 38 M.R.S.A. §811 shall be made pursuant to this rule. When a dam or reservoir is in addition found to be "unsafe or dangerous to the lives or property of persons residing, carrying on business, or employed near or below the same" (§812), the inspector of Dam shall recommend alterations, repairs and additions to the dam or reservoir for the protection of life and property. These include but are not limited to recommendations that the reservoir level be lowered in a safe manner, that structural repairs or additions be made to the dam or reservoir, that certain operating procedures be adopted or implemented, or that the dam or reservoir be removed. Failure of the dam owner to comply with these recommendations may result in court action as described in 38 M.R.S.A. §812.

2. Scope of Dam inspection

A. The inspector of Dam shall make a safety assessment of a given dam or reservoir with a degree of thoroughness appropriate for the particular facility, taking into account such factors as:

a. consequences of a total failure of the facility

b. stage of life of the project

c. level of safety required

d. nature of the facility and its site

The Inspector of Dam shall first make the appropriate determination of the level of consequences of a complete failure of the darn or reservoir. He shall then determine appropriate criteria for the performance of the facility. Next, he shall make a site inspection in which he searches for any field evidence of possible malfunctions of the facility. During or following the site inspection, the Inspector of Dam shall obtain any available documents on the investigation, design, construction, and performance of the dam.

B Following such site inspection, the Inspector of Dams shall take the testimony of witnesses concerning the safety and sufficiency of the dam or reservoir as provided in 38 M.R.S.A. §811 and according to the procedure for the conduct of hearings contained in 01-019 CMR ch. 30.4 and .5. For purposes of this chapter, unless the content otherwise indicates, all references to "The Chairman of the Soil and Water Conservation Commission" and "The Commission" which appear in 01-019 CMR ch. 30.4 and .5 shall be deemed to refer to the Inspector of Dams.

3. Decision

A. Following the determination of the consequences of failure, the site inspection and hearing, and appropriate analyses, the Inspector of Dams shall forthwith report his findings and his opinion of the safety and sufficiency of the dam or reservoir to the Commissioner of the Department of Agriculture, Conservation and Forestry. Pursuant to 38 M.R.S.A. §812, said findings and opinion shall include the Inspector's conclusion as to whether or riot such dam or reservoir is unsafe or dangerous to the lives or property of persons residing, carrying on business or employed near or below the same.

B. Such findings and opinion shall simultaneously be mailed to a representative of the petitioners, any intervenors, and the owners of the dam or reservoir. Within fourteen days of their receipt of such findings and opinion, these parties may file with the Inspector proposed findings, written comments, statements and arguments thereon. In the discretion of the inspector, additional time may be granted if the dam or reservoir owner desires to commission, at his own expense, an additional safety assessment of the dam or reservoir. Such request must be made within fourteen days of receipt of the Inspector's findings and opinion. Title 01-019 CMR ch. 30.5M shall apply to these proceedings as modified by the procedures set forth herein.

C. Upon the expiration of the comment period or the Inspector's receipt of an additional safety assessment, as the case may be, the record shall be closed (subject to 01-019 CMR ch.30.5N). The Inspector shall thereupon issue a final report to the Commissioner of Agriculture, Conservation and Forestry. In the case of finding a dam to be unsafe, or insufficient, the Commissioner shall notify all interested parties, including owners with riparian rights, municipalities in which the darns are located and any other persons or organizations he deems necessary.

4. Definition of "Unsafe and Insufficient"

A dam or reservoir shall be declared to be "unsafe" or "insufficient" if the Inspector of Dams, after utilizing all available data and testimony and making appropriate calculations using known values or reasonable assumptions, finds that the dam or reservoir does not meet minimum performance criteria appropriate to the facility. The types of performance features that should be evaluated are listed below:

A. Forces acting on the dam and evidence of horizontal translation that suggests there is too much force acting at any time against the facility;

B. Evidence of large total or differential deformation;

C. Evidence of slumps or bulges on the faces of the dam; an end-of-construction or steady state factor of safety against shear sliding and the factor of safety under conditions of reservoir drawdown and during appropriate earthquake loading;

D. Evidence that the phreatic surface within the dam during the full reservoir condition exists on the downstream face of the dam except through properly designed drains; evidence of bulges, seeps, or soft zones on the downstream face of the dam or on the immediate. abutments; evaluation of the effective stress within the dam;

E. Evidence that the dam is experiencing internal erosion of dam material or that the dam abutments or foundation could be subject to piping; an evaluation of internal drain design; an evaluation of seepage gradient within the dam;

F. An evaluation of the quantity and quality of seepage through the dam

G. An evaluation of whether a dam or reservoir is safe from runoff overtopping that could wash out the containment structure. In making this evaluation, the inspector shall consider whether the dam can safely sustain overtopping by the appropriate design storm, and if not, whether an emergency spillway is present. In appropriate cases where it is determined that an emergency spillway should be present, and only one spillway exists, the principal spillway may be considered to serve as an emergency spillway, provided that the principal spillway is large enough so that it cannot be blocked by driftwood and other floating or suspended debris. For each class of structure identified in paragraphs (1), (2) and (3), the inspector shall consider whether an emergency spillway is able to transmit without erosion,, or whether the dam can retain its integrity during overtopping, a storm of the frequency specified

(1) For class "a" structures, which are located in rural, agricultural, or urban areas dedicated to remain in flood tolerant usages where failure may only damage non-residential buildings, agricultural land, floodplains, or township and country roads: 25-year storm or flood;

(2) For Class "b" structures, which are located in predominantly rural or agricultural areas where failure may damage homes, industrial or commercial buildings, highways or railroads, or where failure may cause interruption of use or service of utilities: 100-year storm or flood;

(3) For Class "c" structures, where failure may cause loss of life: maximum probable flood.

H. An evaluation of the minimum freeboard during the reservoir levels that will prevail during the appropriate design storm or flood described in sub-section G above; in a reservoir where landsliding of earth or rack into the reservoir is possible, the potential for wave generation and wave run-up on the dam;

I. Evidence of holes or burrows that could render the dam unsafe;

J. Consequences of inappropriate dam placement;

K. An earthdam shall not be covered by brush, shrubs, or trees;

L. The mechanical facilities that provide control of the water levels in a reservoir shall be in good working order.

5. Qualifications in Declaring a Dam Safe

The Inspector of Dam shall declare a dam or reservoir "safe" if he finds no evidence that the dam or reservoir is unsafe during his field inspection or through his calculations of the safety based upon reasonable assumptions. In a case where the Inspector is of the opinion that there are insufficient field measurements or other data to verify definitively that certain safety criteria have been met (such as described in section 3, Sub-sections A through L), then the Inspector of Dam may declare a dam or reservoir safe subject to further specific studies which he shall recommend to the dam owner. The Inspector may also declare a dam safe subject to review by the Inspector at some later date.

History

• STATUTORY AUTHORITY: 38 M.R.S.A. (811 et seq.; 5 M.R.S.A. (8051; Batterton v. Francis, 432 U.S. 416, 424, n. 9 (1976), General Electric Co. v. Gilbert, 429 U.S. 141-45 (1976), and Skidmore v. Swift & Co., 323 U.S. 134, 14 (1944), as to the inherent authority of an agency to promulgate interpretative regulations as opposed to regulations having the force of law. See also 2 Davis, Administrative Law (7.9 et seq. (2d ed. 1979).
• EFFECTIVE DATE: June 30, 1981
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 375 page 4

Chapter 380 Wood Measurement Rules - General Provisions

Code Me. R. 01-001 Ch. 380 General Provisions {#sec-01-001-ch.-380 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 380}

Chapter 381: GENERAL REQUIREMENTS FOR WOOD TRANSACTIONS

Chapter 382: MEASUREMENT OF WOOD AND DECLARATION OF QUANTITY

Chapter 383: MEASUREMENT AND PROMPT FURNISHING OF MEASUREMENT TALLY SHEETS

Chapter 384: COMPLAINTS AND INVESTIGATIONS

Chapter 385: LICENSING OF WOOD-SCALERS

References are made to the National Forest Log Scaling Handbook . The current edition of this Handbook may be purchased for $9.55 from the:

Forest Service

United States Department of Agriculture

12th and Independence Ave., S.W.

P.O. Box 2417

Washington D.C. 20013

Telephone (202) 447-6101

NOTE: A French language version of these Wood Measurement Rules is available upon request.

Page

Chapter 380: WOOD MANAGEMENT RULES - GENERAL PROVISIONS

Section 1: Statement of Intent 1

Section 2: Applicability 2

Section 3: Territorial Application 3

Section 4: Violations and Penalties 4

Section 5: Severability 5

Section 6: Informal Advisory Committee 5

Section 7: Definitions 5

Chapter 381: GENERAL REQUIREMENTS FOR WOOD TRANSACTIONS

Section 1: General Prohibitions 1

Section 2: General Requirements where Payment is Made for Services in Harvesting Wood 1

Section 3: General Requirements where Payment is Made for Services

Hauling and for Both Harvesting and Hauling 5

Section 4: Requirements for Written Cutting and Hauling

Specifications where Payment is Made for Services 7

Section 5: General Requirements in the Sale of Wood 9

Section 6: General Requirements for a Sale of Stumpage

and Payment for Services in a Combined Transaction 11

Section 7: Suspension of Privilege to Measure Wood Out

of State where Payment is Made for Services 11

Chapter 382: MEASUREMENT OF WOOD AND DECLARATION OF QUANTITY

Section 1: Measuring Instruments and General Rules of Measurement 1

Section 2. Prohibition Against Conversion between Systems of

Measurement and the Declaration of Quantity for Payment or Price 2

Section 3: Mixed Loads in Payment for Services in Harvesting 3

Section 4: Multiple Production Forms in Payment for Services In Harvesting 3

Section 5: Wood Production Form and Corresponding Authorized Systems of Measurement 4

Section 6: Systems of Wood Measurement 7

Chapter 383: MEASUREMENT AND PROMPT FURNISHING OF MEASUREMENT TALLY SHEETS

Section 1: Measurement and Prompt Furnishing of Measurement Tally Sheets Required 1

Section 2: Contents of Measurement Tally Sheets in Payment for Services

and Sale Transactions 3

Section 3: Off-Site Measurement: Preliminary Record Required where Payment

is Made or Services Harvesting Wood 8

Section 4: Measurement Tally Sheets where Privilege to Measure Wood Out of State

Has Been Suspended 9

Chapter 384: COMPLAINTS AND INVESTIGATIONS

Section 1: Filing of Wood Measurement Complaints 1

Section 2: State Sealer's Determination of Type of Complaint and of Respondent 2

Section 3: Time Requirements for Filing Complaint 3

Section 4: Additional Procedures Relating to Disputed Wood Complaints 4

Section 5: Impoundment of Wood 6

Section 6: Notification to Respondents 7

Section 7: Investigation of Disputed Wood Complaints 8

Section 8: Investigation of General Complaints 9

Section 9: Check Measurement 9

Section 10: Investigations and Check Measurement on the State Sealer's Initiative 12

Section 11: Preliminary Findings and opportunity for Written Response 13

Section 12: State Sealer's Determination and Written Findings 14

Section 13: Informal Resolution of Dispute 17

Section 14: Additional Consequences of Failure to Furnish Proper Measurement Tally Sheets

or Failure to Obey an Impoundment Order or a Notice to Hold Wood 17

Chapter 385: LICENSING OF WOOD SCALERS

Section 1: General Provisions 1

Section 2: License Eligibility and Applications 1

Section 3: Wood Scaler License 2

Section 4: Apprentice Wood Scaler License 5

Section 5: Authorization for a Temporary Substitute to Scale when Licensed

Wood Scaler Unavailable 7

Section 6: Investigations to Ensure Compliance with Licensing Requirements 9

APPENDICES: Copies of the appendices are not part of the machine readable version of these files. They may be obtained by contacting the Department of Agriculture, Conservation and Forestry.

Table I: Units of Measure for Declaration of Quantity A-1

Table II: Systems of Measurement A-2

International 1/8 Inch Log Rule A-4

Bangor Log Rule A-5

Maine (Or Holland) Log Rule A-6

International 1/4 inch Log Rule A-7

Butt Diameter Measurement - Check Scale Procedures A-8

Chapter 82: "Cubic Foot Measurement", Code 82.3

"Defect Deduction" from National Forest Log

Scaling Handbook, 1973 edition A-14

Chapter 70: “Use of International Log Rules”, Code 72

"Scaling Cylinder in International Rule" from National

Forest Log Scaling Handbook, 1973 edition A-15

Chapter 30: “Log Defect Deductions”, Code 33

"Defect Types and Deduction Procedures" - Breaks and Splits from National

Forest Log Scaling Handbook , 1973 edition A-16

Sample Wood Measurement Complaint A-19

01-001 DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

DIVISION OF REGULATIONS

Chapter 380: WOOD MEASUREMENT RULES - GENERAL PROVISIONS

SUMMARY: This chapter of the Wood Measurement Rules covers the intent, applicability, and severability of the rules; sets out statutory provisions dealing with penalties for violations; provides for an informal advisory committee; and provides definitions of terms used in the rules.

SECTION 1: STATEMENT OF INTENT 1

SECTION 2: APPLICABILITY 2

SECTION 3: TERRITORIAL APPLICATION 3

SECTION 4: VIOLATIONS AND PENALTIES 4

SECTION 5: SEVERABILITY 5

SECTION 6: INFORMAL ADVISORY COMMITTEE 5

SECTION 7: DEFINITIONS 5

SECTION 1. STATEMENT OF INTENT

A. Accuracy and verifiability. It is the intent of the State Sealer that all methods of determining the amount of wood in wood transactions shall provide an accurate and verifiable count of the volume, quantity, dimension, or weight measured.

B. Suitability of measurements. It is the intent of the State Sealer that wood be measured by a method which is suitable to the wood production form and type of wood transaction involved.

C. Unfair or deceptive dealings. It is the intent of the State Sealer that unfair deceptive dealings in the measurement of wood be prevented by requiring measurement tally sheets in sufficient detail.

D. Uniform measurement standards and procedures. It is the intent of the State Sealer to establish uniform measurement standards and procedures which provide for accurate and verifiable measurements that can be efficiently and conveniently applied in wood transactions.

E. Licensing of scalers. It is the intent of the State Sealer to establish a licensing program for persons who measure wood to promote independent accountability.

F. Meaningful enforcement. It is the intent of the State Sealer to establish an enforcement program that will deter violations of these Wood Measurement Rules and that will provide for the expeditious investigation of complaints.

G. Construction. it is the intent of the State Sealer that these Wood Measurement Rules , which the State Sealer is required to promulgate and adopt under 10 M.R.S.A. §2367, be construed in conjunction with and in light of the Weights and Measures Law (10 M.R.S.A. §2301 et seq .) and in particular with the requirements of the Wood Measurement Law (10 M.R.S.A. §2361-A et seq .). These rules are not to be construed as modifying any rights or obligations granted or imposed by the Uniform Commercial Code (11 M.R.S.A. §1-101 et seq .) or the labor laws of this State (26 M.R.S.A. §1 et seq .)

SECTION 2. APPLICABILITY

A. Consumer transactions excluded. These Wood Measurement Rules govern all wood transactions in which measurement forms the basis for payment, except that they do not apply to the measurement of firewood in consumer transactions on the retail market.

B. Types of wood transactions. For measurement purposes, the State Sealer recognizes two distinct types of wood transactions: payment for services and a sale involving transfer of title to the wood. These two types of wood transactions are treated differently in the Wood Measurement Law and these Wood Measurement Rules .

1. Nature of transaction. The determination of which type of wood transaction is involved is based on whether there in fact occurs the transfer of title to the wood. It is the nature of the transaction that is considered rather than the terminology used by the parties ordinarily, the determination can be made by asking the question: Was payment made for services or for wood?

2. Payment for services

(a) Payment for services includes payment for services in harvesting, for services in hauling, and for services in both harvesting and hauling.

(b) The parties to a payment for services transaction are the person providing services and the person requiring services.

NOTE: Woodcutters, truckers, and loader operators who are paid piece rate wages and equipment rental are all examples of persons providing services. Jobbers or logging service contractors who are paid to harvest wood and deliver it roadside or to a designated mill or other location are also persons providing services, and are not sellers.

3. Sale of wood

(a) The sale of wood involves the exchange of payment for title to the wood.

(b) The parties to a sale transaction are the seller and the buyer.

NOTE: For example, a landowner, contractor, or broker who has marketable title to wood in any form is a seller when the wood is tendered for sale in exchange for payment. A processing mill that purchases wood in any production form is a buyer when payment is tendered in exchange for title to wood.

(c) The purchase of stumpage or stumpage rights is a sale transaction provided that the purchaser acquires title to the wood (that is, the purchaser is free to market the wood as he chooses). If the seller of the stumpage or stumpage rights controls the marketing of the wood (for example, by directing where or how it is to be marketed) the stumpage or stumpage, rights transaction is not a sale transaction involving transfer of title but is rather a payment for services transaction.

NOTE: See Chapter 381, Section 6 for the requirements where the purchase of stumpage is combined with payment for services in one transaction.

4. Chain of wood transactions. The State Sealer shall apply these Wood Measurement Rules to each transaction in a series of wood transactions, in light of its nature and the following understandings;

(a) Any wood may be dealt with in a series of wood transactions;

(b) The transactions in the series may involve payment for services, sale, or both;

(c) Any person may be involved in more than one of the transactions in the series and the nature of his involvement may be different in different transactions;

(d) Either the wood in question may be measured only once and those measurements used to calculate payment in several transactions, or it may be separately measured to calculate payment for separate transactions in the series.

SECTION 3. TERRITORIAL APPLICATION

A. Wood measurement transactions within the state. The measurement of wood within the State of Maine is subject to these Wood Measurement Rules regardless of where the wood was harvested or to what destination the wood will be delivered after measurement.

B. Wood measured outside the State. When wood harvested within the State of Maine is taken out of the state before measuring these Wood Measurement Rules apply as follows:

1. Payment for services

(a) These Wood Measurement Rules govern the measurement of all wood in all transactions in which payment is made for services harvesting or hauling wood that is harvested within the state of Maine.

(b) The Wood Measurement Law and these Wood Measurement Rules allow persons requiring services the privilege of measuring outside of the state wood that is harvested in the state of Maine. Under certain conditions this privilege may be suspended.

NOTE: The conditions under which this privilege may be suspended are provided in the Wood Measurement Law, 10 M.R.S.A. §2364-A(3) and in Chapter 381, section 7 of these Rules.

2. Sale of wood. These Wood Measurement Rules govern the measurement of all wood in sales transactions involving the transfer of title to wood that is harvested within the state of Maine, except under the following conditions:

(a) The sale transaction bears a reasonable relation to another state or nation; and

(b) The parties agree in writing that the wood measurement laws of the other state or nation shall govern their rights and duties.

SECTION 4. VIOLATIONS AND PENALTIES

A. Penalties and private actions. The Wood Measurement Law , in 10 M.R.S.A. §2368, provides:

STATUTORY PROVISION

§2368. Violations; penalties

1. Civil violations. Violations of [the Wood Measurement Law ] or any rule promulgated pursuant to [the Wood Measurement Law ] shall be a civil violation punishable by a civil penalty not to exceed $1,000 for a first offense and $2,000 for each subsequent offense. These civil penalties may be recovered by the State Sealer on behalf of the State in a civil action.

2. Private action. Any person who violates [the Wood Measurement Law ] or any rule promulgated pursuant to [the Wood Measurement Law ] shall be liable in a civil action to any person aggrieved by the violation, pursuant to the remedies set forth in Title 26, section 626-A. The civil action for damages may be brought by either the aggrieved party or, at the request of the State Sealer, by the Attorney General.

B. Denial, revocation, and suspension of license. In addition to the above provisions, licensed scalers and licensed apprentice scalers are subject to 10 M.R.S.A. §2365-A(3) which provides:

STATUTORY PROVISION

License; denial; revocation; suspension. The State Sealer may take enforcement action against the licensee or may initiate proceedings in the Administrative Court, pursuant to Title 5, Chapter 375, to revoke or suspend a license for any of the following reasons:

A. The licensee has violated any condition of the license;

B. The licensee has obtained a license by misrepresentation or failure to disclose fully all relevant facts; and

C. The licensee has violated any provision of the laws within this chapter.

SECTION 5. SEVERABILITY

If any provision of these Wood Measurement Rules is invalid, or if the application of any provision of the rules to any person or circumstance is invalid, the invalidity shall not affect other provisions or applications which can be given effect without the invalid provision or application.

SECTION 6. INFORMAL ADVISORY COMMITTEE

The State Sealer may appoint and maintain an informal advisory committee composed of persons representing a cross section of interests governed by these Wood Measurement Rules , such as independent and service contractors, woods workers, land managers, land owners, and owners and operators of mills of various types, as well as representatives of interested government agencies.

SECTION 7. DEFINITIONS

Unless the context clearly indicates otherwise, the following terms shall have the following meanings.

A. Agent. "Agent" means a person that acts or is empowered to act for another person.

B. Agreement of the parties. "Agreement of the parties" means the mutual agreement of the parties or their authorized representatives and is distinguished from a unilateral condition imposed by any party to the agreement. A party is a company or individual buying wood, a contractor, an individual providing services in or incidental to harvesting, hauling, or chipping wood or an authorized employee representative negotiating on behalf of the individual providing services. The term "party" also includes a landowner, a broker, or a person of any other designation who enters into an agreement involving wood measurement. The term "agreement of the parties" includes the term "agree" in any of its grammatical forms.

C. Apprentice scaler. "Apprentice scaler" means a person licensed to measure wood under the direct supervision of a licensed wood scaler.

D. Authorized system of measurement. "Authorized system of measurement" means a system of measurement of wood provided for in the Wood Measurement Law or in these Wood Measurement Rules , applied to a particular production form as set forth in Chapter 382.

E. Bucking. "Bucking" means sawing stems into specified lengths, as into logs or bolts of a specified length.

F. Butt back. "Butt back" means to remove a portion of a stem from its butt end.

G. Butt diameter. "Butt diameter" means the diameter of the severed stem butt, measured outside the bark, the short way through the center, disregarding crevices and cracks.

H. Butt measure. "Butt measure" means the lineal measure of the butt end of tree length wood, without subsequent conversion to volume by any means. This measurement may be represented in either the number of stems in each butt diameter class by species, or alternatively in the cumulative sum of the butt diameters by species, expressed in inches, without regard to the butt diameter class.

I. Butt scale. "Butt scale" means the volume measure of wood based solely on measurement of the butt end of individual trees and converted to volume by any means.

J. Buyer. "Buyer" means a person who purchases wood and to whom title to wood is transferred in exchange for payment.

K. Chipcord. "Chipcord" means a unit of measure equal to the Volume of sawdust, chips, bark, or shavings that are contained in 128 cubic feet at the time of the transaction. Chipcord is used synonymously with "standard cord of chips."

L. Complainant. "Complainant" means a person who is aggrieved by an alleged violation of the Wood Measurement Law or these Wood Measurement Rules and who files a complaint with the State Sealer or who gives notice to the person with possession or control of the wood to which the alleged violation relates that a complaint will be filed. A complainant may be an authorized employee representative who files a complaint on behalf of such a person.

M. Culled Wood

1. In payment for services in harvesting, "culled wood" means any stem that was not designated to be harvested and yarded, or was not prepared as directed in the cutting specifications.

2. In payment for services in hauling, "culled wood" means any stem that was designated, in the manner described in the hauling specifications, as not to be hauled.

3. In the sale of wood, "culled wood" means any stem that does not conform to the wood quality specifications.

N. Cunit. "Cunit" means a unit of measure equal to 100 solid cubic feet of either wood including bark or wood excluding bark.

O. Cutting specifications. "Cutting specifications" mean the written directions for the preparation of trees that were designated to be harvested and yarded. The requirements for cutting specifications are set forth in Chapter 381, section 4.

P. Deduction from gross scale. See Discounting.

Q. Discounting. "Discounting" means taking a deduction from gross scale on account of a merchantability factor or factors, including quality, grading, or utilization factors such as scaling defects. The amount of the discount, also referred to as the deduction from gross scale is the difference between gross scale and net scale.

R. Disputed wood. "Disputed wood" means specifically identified wood that is the subject of a complaint, under Chapter 384, based on an allegation of inaccurate measurement of the identified wood.

S. Face cord. "Face cord" means a unit of measure of wood, air, and bark, measuring 4 feet high and 8 feet long, or its equivalent, containing 32 square feet of surface area. A face cord is used only for stacked wood where the length of the bolts has been designated or agreed upon in advance of measuring the wood. The bolts may be up to 9 feet in length.

T. Green wood. "Green wood" means trees or parts of trees that have been freshly felled.

U. "Grosenbaugh" methodology. The "Grosenbaugh" methodology means the method of determining scaling deductions of tree and log length stems, adapted from Grosenbaugh, L.R., Shortcuts for Cruisers and Scalers, U.S. Forest Service, Southern Forest Experimental Station, Occasional Paper No. 126, March 1952. An application of the "Grosenbaugh" methodology is available upon request from the State Sealer.

V. Gross scale. "Gross scale" means the full measurement of wood in any production form, measured without regard to any scaling defects, according to the measurement procedure for gross scale provided in Chapter 382, section 6, for each measurement system.

W. Hauling specifications. "Hauling specifications" means the written designation of wood in any production form that is to be hauled. The requirements for hauling specifications are set forth in Chapter 381, section 4.

X. Licensee. "Licensee" means an individual licensed as a scaler or apprentice scaler in accordance with Chapter 384.

Y. Merchantability factor. A "Merchantability factor" means any characteristic of wood that affects its quality, grade, or utilization. "Merchantability factor" includes all scaling defects, such as sweep, crook, seams, and rot.

Z. Measurement. "Measurement" means the determination by whatever system of measurement of the quantity, dimensions, volume or weight of wood with or without regard to quality or merchantability factors.

A-1. Measurement tally sheet. "Measurement tally sheet" means a written or printed form or combination of forms which provides a readily understandable record of the measurement of the wood to which it relates contains the information required by Chapter 383 of these Wood Measurement Rules , and is prepared by the person who measures the wood, or the assisting tally person.

B-1. National Forest Log Scaling Handbook. "National Forest Log Scaling Handbook" means the log scaling handbook published by the United States Department of Agriculture, as amended in 1973.

NOTE: A copy of the "National Forest Log Scaling Handbook may be obtained from the United States Department of Agriculture, at the address provided on the cover page to these Rules.

C-1. Net scale. "Net scale" means the quantity of wood after reducing the gross scale measurements by the deductions taken for scaling defects or other merchantability factors, as provided for in Chapter 382, section 6 under the heading Net Scale - Discounting for those measurement systems in which such deductions are allowed.

D-1. Oven-dried wood. "Oven-dried wood" means wood that has been oven-dried to remove its moisture content according to standards as adopted by the American Society of Testing and Materials.

E-1. Payment for services. "Payment for services" means payment made for services in or incidental to harvesting, hauling or chipping wood, and does not involve transfer of title to the wood.

F-1. Person. "Person" means an individual or an organization, including but not limited to, a partnership, a corporation, a company, a society, a governmental agency, and an association, or an agent of a person.

G-1. Person providing services. "Person providing services" means a person who performs services in or incidental to harvesting, hauling, or chipping wood.

H-1. Person requiring services. "Person requiring services" means a person who calls for or requests services in or incidental to harvesting, hauling, or chipping wood.

I-1. Piece. "Piece" of wood means a portion of a harvested tree stem.

J-1. Production form. "Production form" means the form in which harvested wood is tendered for measurement.

K-1. Properly prepared wood. "Properly prepared wood" means wood that was required to be harvested and yarded, and was prepared as directed, according to written cutting specifications.

L-1. "Quality factor". See "Merchantability factor".

M-1. Quantity factor. "Quantity factor" means a factor for which reductions are made in the process of determining full measure, or "gross scale", and is distinguished from a merchantability, or quality, factor. A reduction is made for a quantity factor where necessary to determine the accurate full measurement of the wood. Under no circumstances shall scaling defects, grading considerations, or any other quality or merchantability factor be treated as a quantity factor. The measurement procedures set forth in Chapter 382, Section 6 incorporate the necessary measurement adjustments to account for the relevant quantity factors.

NOTE: An example of a quantity reduction is in stick cord scale, where a reduction in the measurements is made for loose piling which results in excessive voids.

N-1. Sale of wood. "Sale of wood" means a transaction involving transfer of title to wood.

N-2. Sample scaling. "Sample scaling" means the method of measurement as set forth in Chapter 382, Section 6 of these Wood Measurement Rules , where wood is count or weight scaled and a representative sample of the wood is then measured using other authorized systems of measurement. The final scale is the measurement of the sample expanded by the total count or weight of the wood being sample scaled.

O-1. Sawlog. "Sawlog" means a log length stem that is 8 feet long or longer, where the lengths over 8 feet correspond to standard lumber lengths.

P-1. Scaler. "Scaler" means a person who measures wood by any system of measurement.

Q-1. Scaling defect. "Scaling defect" means an unwanted quality characteristic of a harvested tree, such as rot, abnormal shapes, holes, and, where provided for in Chapter 382, section 6, may include bark. See "merchantability factor".

R-1. Seller. "Seller" means a person from whom wood is purchased and who transfers title to wood in exchange for payment.

S-1. Services in harvesting wood. "Services in harvesting wood" means any activity or process in or incidental to the harvesting of wood, such as felling, limbing, topping, skidding, chipping, forwarding, sorting, piling, bucking, or bunching. Services in harvesting wood are distinguished from services in hauling wood.

T-1. Services in hauling wood. "Services in hauling wood" means the transportation of wood by truck, railroad, or any other means, but does not include the yarding of wood for short distances incidental to harvesting. Services in hauling wood also includes the loading and handling of wood incidental to hauling. Services in hauling wood are distinguished from services in harvesting wood.

U-1. Standard cord. A "standard cord" means the cubic foot measurement of 4 foot long wood, ranked and well stowed, and stacked 4 feet wide, 4 feet high and 8 feet long, or its equivalent, which stack measure contains 128 cubic feet of wood, bark and air space. A "standard cord" when used in connection with sawdust chips, bark or shavings means the volume contained in 128 cubic feet at the time of sale.

V-1. State Sealer. "State Sealer" means the State Sealer of Weights and Measures or his designated agent.

W-1. Stem. "Stem" means the felled or fallen bole of a tree and may, in the case of unlimbed wood, include the limbs of the tree. "Stem" may refer to the entire stem or to segments of the stem.

X-1. Stem unit. "Stem unit" means a unit of measure equal to 100 lineal inches. "Stem unit" is the standard unit of measure where the cumulative sum method of butt measure scaling is used.

Y-1. Squared-defect method. "Squared-defect method" is a method of deduction from gross scale which is often used for measuring interior scaling defects in sawlogs. Using this method, defects showing in one or both ends are treated as sawn out in squares or rectangles.

Z-1. Transfer of title. "Transfer of title" means the complete transfer of ownership rights in the wood exchanged in a sale transaction.

A-2. Trim allowance. "Trim allowance" means the length in excess of standard lumber length intervals that may be specified where log scale is used.

B-2. Wood. "Wood" means the severed but unprocessed fibrous derivative of trees, without regard for quality or grade and also means the chipped fibrous derivative of trees.

C-2. Wood Measurement Rules. "Wood Measurement Rules" means Chapters 380 through 385 of these rules.

D-2. Wood quality specifications. "Wood quality specifications" means the written description of the wood that will be purchased or sold in a sale. The description may be by species, dimensions, production form, quality or grading standards, or other merchantability factors. The specifications must include any and all merchantability factors for which deductions will be made, or which determine the grade classification.

E-2. Wood transactions. "Wood transactions" means the “sale of wood" or "payment for services" as those terms are defined in this section.

F-2. Yarding. "Yarding" means the removal of a severed or fallen stem from the growing site by skidding or otherwise.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2361-A et seq.
• EFFECTIVE DATE: April 30, 1985
• AMENDED: July 30, 1986
• AMENDED: September 6, 1988 - Section 7
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 21, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 381 General Requirements for Wood Transactions

Code Me. R. 01-001 Ch. 381 General Requirements for Wood Transactions {#sec-01-001-ch.-381 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 381}

SUMMARY: This chapter of the Wood Measurement Rules covers the general requirements relating to the measurement of wood according to the type of wood transaction involved, and includes suspension of the privilege to measure wood out of state where payment for services is made.

SECTION 1: GENERAL PROHIBITIONS 1

SECTION 2: GENERAL REQUIREMENTS WHERE PAYMENT IS MADE FOR

SERVICES IN HARVESTING WOOD 1

SECTION 3: GENERAL REQUIREMENTS WHERE PAYMENT IS MADE FOR SERVICES

HAULING OR FOR BOTH HARVESTING AND HAULING 3

SECTION 4: REQUIREMENTS FOR WRITTEN CUTTING AND HAULING

SPECIFICATIONS WHERE PAYMENT IS MADE FOR SERVICES 5

SECTION 5: GENERAL REQUIREMENTS IN THE SALE OF WOOD 6

SECTION 6: GENERAL REQUIREMENTS FOR A SALE OF STUMPAGE AND

PAYMENT FOR SERVICES IN A COMBINED TRANSACTION 8

SECTION 7: SUSPENSION OF PRIVILEGE TO MEASURE WOOD OUT

OF STATE WHERE PAYMENT IS MADE FOR SERVICES 8

SECTION 1: GENERAL PROHIBITIONS

A. Underscaling or Overscaling. In all wood transactions, no person who measures wood shall represent a weight, volume, quantity or dimension of wood which is less than or more than the weight, volume, quantity, or dimension of wood to be measured where the measurements made by that person are required to determine payment.

B. Unauthorized systems of measurement. In all wood transactions, no person who measures wood may use a system of measurement that is not authorized in Chapter 382 of these Wood Measurement Rules , except that the State Sealer WMR-381-1 may give temporary approval to a new system of measurement that has been proposed pursuant to 5 M.R.S.A. §8055 (Petition for rule-making). A temporary approval of a new system of measurement shall be based on a finding that

1. the parties to the transaction have agreed to use the proposed system; and

2. the proposed system appears reasonable and appropriate for its intended use.

C. Improper use of authorized measurement systems. In all wood transactions, no person who measures wood shall use any authorized measurement system except in accordance with Chapter 382.

SECTION 2: GENERAL REQUIREMENTS WHERE PAYMENT IS MADE FOR SERVICES IN HARVESTING WOOD

A. Full Measure Required in Payment for Services in Harvesting. All wood which is tendered for measurement shall be measured in full without regard to any scaling defects or other merchantability factors, and any deduction from gross scale is prohibited.

1. The measurement procedures for gross scale are set forth in Chapter 382 §6. These measurement procedures provide for all reductions for quantity factors necessary for accurate measurement (e.g. excessive voids in a pile of wood).

2. No reductions that are not provided for in these measurement procedures may be made by being described as a deduction for a quantity factor or by being described in any other way.

B. Limitations on Full Measurement Requirement

1. Wood Not Designated to be Harvested. Stems or pieces that were not designated to be harvested may be excluded from measurement provided the wood in question is handled as culled wood at the harvesting site, according to subsection D below.

2. Improperly Prepared Wood. Stems or pieces that were not prepared as directed may be excluded from measurement provided the wood in question is handled as culled wood at the harvesting site according to subsection D below, and the person providing the services, after review of the wood in question, has not corrected the preparation after having been afforded a reasonable opportunity in which to do so.

NOTE: The definition of "properly prepared" wood is in Chapter 380 §7. The determination of whether a piece or stem was properly prepared is based on whether it was prepared as directed, for example whether it was adequately butted back or out to the length designated in the cutting specifications. Under no circumstances may scaling defects, quality or grade considerations, or any other merchantability factors be treated as improper preparation.

C. Presumption. All wood removed from the harvesting site is presumed to have been designated to be harvested and properly prepared except when the stems or pieces in question were handled as culled wood at the harvesting site, according to subsection D below. Any wood removed from the site without being handled as culled wood at the harvesting site according to subsection D below, shall be measured in full for purposes of payment for services.

D. Handling of Culled Wood

1. Determination of Culled Wood. Any stem or piece that is tendered for measurement, but was not designated for harvesting or was improperly prepared may be culled provided the piece in question is culled at the harvesting site.

2. Required Handling of Culled Wood. The person requiring the services shall handle culled wood as follows:

(a) Marking. The person requiring the services shall mark the stem or piece in an easily visible and distinct manner. The culled wood shall be marked at the harvesting area and in advance of or at the time of measurement.

(b) Reasonable Opportunity For Review and Correction. The person requiring the services shall set the culled wood aside at the harvesting area so as to be accessible for review and correction, and after directing the attention of the person providing the service to the culled wood, shall afford the person providing the services a reasonable opportunity to review the wood and to correct the preparation. In the case of culled wood the preparation of which can not be corrected, the same opportunity for review shall be provided.

3. Tally sheet Requirements for Culled Wood. The person requiring the services shall indicate on the measurement tally sheet:

(a) the reason for culling based on the written cutting specifications,

(b) the number of culled pieces, and

(c) if the culled pieces are to be removed from the harvesting site, the total measurement of the culled pieces.

4. Dispute on Culled Wood. If the person providing the services believes the culled wood had been designated to be harvested and was properly prepared, he may file a complaint with the State Sealer and may give the person with possession or control of the wood notice to hold the wood because he will file or has filed a complaint. Chapter 384 of the Wood Measurement Rules governs such complaints and the notice to hold wood.

NOTE: The culling of wood at the harvesting site does not require a licensed scaler, though it may be done by a scaler.

E. Cutting Specifications

1. Cutting Specifications Required. Written cutting specifications shall be furnished to persons providing services in harvesting, in accordance with this Chapter, section 4.

2. Measurement Required. All wood that meets the cutting specifications shall be measured in full, regardless of whether the wood is hauled or otherwise processed.

3. Failure to Provide. When cutting specifications were not provided as set forth in this Chapter, section 4, all wood that was harvested and tendered for measurement shall be measured in full.

4. Omission of Some Wood Designated to be Harvested

When cutting specifications were provided but do not include some wood that was designated to be harvested, all of such wood that was designated in some other manner to be harvested shall be measured in full.

5. Inclusion of Provisions for Taking Deductions. The inclusion of any provision in the cutting specifications for taking deductions from gross scale is prohibited and shall be disregarded for purposes of payment.

F. Prompt Measurement and Furnishing of Measurement Tally Sheet Required. Prompt measurement and furnishing of the measurement tally sheets are required for payment for services in harvesting and shall be provided by the person requiring the service in accordance with Chapter 383.

SECTION 3: GENERAL REQUIREMENTS WHERE PAYMENT IS MADE FOR SERVICES IN HAULING WOOD AND FOR SERVICES IN BOTH HARVESTING AND HAULING WOOD

A. Full Measure Required

1. Full Measure in Hauling. All wood that was designated to be hauled and which was hauled, shall be measured in full without regard to any merchantability factor. Payment for services in hauling shall be based on the measurement procedure for gross scale set forth in Chapter 382 §6.

2. Full Measure in Both Harvesting and Hauling. All wood that was designated to be harvested and hauled and which was harvested and hauled, shall be measured in full without regard to merchantability factor. Payment for services in harvesting and hauling shall be based on the measurement procedure for gross scale set forth in Chapter 382 §6 for each measurement system.

B. Limitation on Full Measurement Requirement. Wood that was designated not to be hauled but was hauled may be subtracted from the total measure for purposes of payment for services to the person providing services in hauling, when

1. the person providing the services was responsible for loading and he loaded wood which had been clearly marked as culled wood not to be hauled, or when the person providing the services was responsible for culling and marking the harvested wood that did not meet the written harvesting or hauling specifications and he loaded and hauled wood that did not meet the specifications, and

2. the person requiring the services affords the person providing the services a reasonable opportunity to review the wood in question.

C. Culled Wood

1. Method of Handling Culled Wood. To subtract the culled wood from the total measure, the marked pieces may be measured separately or the person requiring the services may use an alternative method, provided the method of calculation is reasonable and furnished to the person providing services in writing in advance of performance of the services.

2. Dispute on Culled Wood. If the person providing the services believes the culled wood had been designated to be hauled or harvested and hauled, he may file a complaint with the State Sealer and may give the person with possession or control of the wood notice to hold the wood because he will file or has filed a complaint. Chapter 384 of these Wood Measurement Rules governs such complaints and the notice to hold wood.

D. Written Specifications for Hauling or Both Harvesting and Hauling

1. Hauling. The person requiring services in hauling shall furnish the person providing the services with written hauling specifications where required by this chapter §4(B).

2. Harvesting and Hauling. The person requiring in both harvesting and hauling shall furnish services the person providing the services with written cutting and hauling specifications in accordance with this chapter §4(A) and (B).

3. Absence of Written Specifications. In the absence of written specifications, all wood that was hauled shall be presumed to have been designated for hauling, or for both harvesting and hauling.

4. Omission of Some Wood Designated To Be Hauled. When hauling specifications were provided but do not include some wood that was designated in some other manner to be hauled, all of such wood that was hauled shall be measured in full.

5. Inclusion of Provisions for Taking Deductions. The inclusion of any provision for taking deductions in hauling specifications under any circumstances other than permitted in this section under paragraph B are prohibited and shall be disregarded for purposes of payment.

6. Wood Harvested But Not Hauled. In the event that a person requiring services in both harvesting and hauling designated in the written specifications wood to be harvested but not hauled, the person requiring the services shall measure that wood according to the requirements for payment for services in harvesting, set forth in section 2 of this chapter.

E. Prompt Furnishing of Measurement Tally Sheet Required

Prompt furnishing of the measurement tally sheets is required for payment for services in hauling and in both harvesting and hauling and shall be furnished by the person requiring the service in accordance with Chapter 383.

SECTION 4: REQUIREMENTS FOR WRITTEN CUTTING AND HAULING SPECIFICATIONS WHERE PAYMENT IS MADE FOR SERVICES

A. Cutting specifications. Any person requiring services in harvesting wood shall furnish the person providing the services with written cutting specifications. The cutting specifications shall:

1. Identify the trees that are to be harvested and yarded, such as by:

(a) species;

(b) Minimum butt diameter;

(c) Reference to a marked area in the case of clear cutting, or cutting a right of way; or

(d) Reference to marked trees in the case of selective cutting.

2. Provide the directions for the preparation of the wood. Preparation of the wood may be by one or more of the following operations:

(a) Topping;

(b) Limbing, including the removal of forked stems;

(c) Butting back;

(d) Bucking; and

(e) Piling.

3. Describe how culled wood will be marked.

B. Hauling specifications. Whenever a person providing services in hauling wood is responsible for deciding which wood is to be hauled, the person requiring the services shall furnish the person providing the services with written hauling specifications which shall:

1. Designate the wood to be hauled, by species, production form, quality standards, type of marking, or otherwise.

2. Describe how culled wood that is not to be hauled will be marked.

3. Specify the hauling destination.

C. Form of cutting and hauling specifications. Cutting and hauling specifications shall be:

1. Be in written or printed form;

2. Identify the person requiring the services; and

3. Be furnished in advance of performance of the services

D. Request by State Sealer. Upon request, the person requiring the services shall provide the State Sealer with a copy of the written specifications.

SECTION 5: GENERAL REQUIREMENTS IN THE SALE OF WOOD

A. Wood Quality Specifications

1. Requirements for wood quality specifications. In a sale transaction, written wood quality specifications are required. The wood quality specifications shall:

(a) Describe the wood which the buyer will purchase, including acceptable species, acceptable dimensions, and quality or grading standards. Any scaling defect or other merchantability factor for which a deduction may be taken shall be included in the wood quality specifications.

(b) Describe how culled wood will be marked.

2. Sales contract terms control. In the sale of wood, all wood that conforms to wood quality specifications which are included in a sales contract shall be measured by the terms of the sales contract and in accordance with the requirements of Chapter 382. Deductions from gross scale measurements are prohibited except for scaling defects or other merchantability factors where designated in the wood quality specifications.

3. Buyer's wood quality specifications. In the absence of a sales contract, the measurement of wood tendered for sale shall be based on the buyer's wood quality specifications, provided the buyer furnishes the seller with the wood quality specifications in advance of either measuring or taking possession of the wood, whichever occurs first. To "furnish" the wood quality specifications includes handing a copy of them to the seller or his delivery agent at the time of his arrival at the delivery location, but does not include instructing the seller or delivery agent that the wood quality specifications are available or posted in some location.

4. Absence of buyer's wood quality specification

In the absence of wood quality specifications contained in a sales contract or furnished in advance by the buyer as required in paragraph (3), or when the wood quality specifications do not include scaling or other merchantability defects for which deductions will be made, all wood shall be measured in full using the measurement procedures for gross scale for the measurement system utilized, as provided in Chapter 382 §6, and no deductions from gross scale shall be taken.

5. Request by State Sealer. Upon request, the buyer or seller shall provide the State Sealer with a copy of the wood quality specifications.

B. Handling of culled wood in a sales transaction

The parties may provide for the handling of culled wood in the sales contract or the wood quality specifications. In the absence of terms in the wood quality specifications providing for how the parties will deal with culled wood:

1. The buyer shall notify the seller that he is holding culled wood (for example, notification may be a notation on the measurement tally sheet of the number of culled pieces).

2 The buyer shall hold the culled wood for 10 days after giving the notice,

3. The seller may deal with the culled wood by taking it back or by reaching another agreement with the buyer with respect to it; and

4. If, after the expiration of 10 days, the seller has not dealt with the culled wood, the buyer may deal with it in any manner without measuring it for purposes of payment.

C. Measurement tally sheet requirements. In the sale of wood, measurement tally sheets shall be provided in accordance with Chapter 383.

SECTION 6: GENERAL REQUIREMENTS FOR A SALE OF STUMPAGE AND PAYMENT FOR SERVICES IN A COMBINED TRANSACTION

Combined transaction. Regardless of when title to the wood passes, whenever a buyer purchases stumpage from a contractor, landowner or other party and, as a part of the same transaction, that same contractor, landowner or other party (the seller) provides the services in harvesting the wood, or provides the services in both harvesting and hauling the wood,

A. Written specifications. The stumpage buyer shall furnish that contractor, landowner or other party with written cutting, or cutting and hauling, specifications in advance of performance of the services, as provided in §4; and

B. Measurement in full. The wood shall be measured in full using the measurement procedure for gross scale for the measurement system utilized, as provided in Chapter 382 §6, and no deductions from gross scale may be taken except as permitted in this chapter, Sections 2 and 3.

Note: Ordinarily the purchase of stumpage is not combined with payment for services and is simply a sale transaction. See Chapter 380 §2(B) for further clarification of the purchase of stumpage or stumpage rights.

SECTION 7. SUSPENSION OF PRIVILEGE TO MEASURE WOOD OUT OF STATE WHERE PAYMENT IS MADE FOR SERVICES

A. In-state measurement required. Under the following circumstances, wood harvested in the state of Maine shall be measured before being taken outside the state:

1. Payment is made for services in harvesting or hauling, or in both harvesting and hauling, and is based on measurement of the wood; and

2. The State Sealer, after investigation, has reason to believe that:

(a) There has been inaccurate measurement of wood; or

(b) The measurement of wood was inaccurately or incompletely represented on the measurement tally sheet; or

(c) A measurement tally sheet was not promptly furnished, as required in §1 or 2, depending on the services provided; and

(d) The occurrence of any of the alleged violations described in (a) through (c) above was not an inadvertent error.

3. For purposes of paragraph (2), the State Sealer has "reason to believe" that one of the alleged violations described in paragraph (2), subparagraphs (a) through (c) has occurred, when, following an investigation in which the person requiring services has an opportunity to present evidence to the contrary, the State Sealer believes that the violation occurred and finds that the evidence to the contrary presented by the person requiring services is insufficient to rebut that belief.

B. Order suspending privilege to measure out of state

1. Where the State Sealer has reason to believe that a violation has occurred and was not the result of inadvertent error, the person requiring services, for a period of one year, is not allowed to remove wood from the state before it is measured. The State Sealer shall issue an order to that effect to the person requiring services which shall be sent by certified mail and shall state:

(a) That the order becomes effective 30 days from the date it is received;

(b) That the order requires measurement before wood leaves the state only where payment is made for services and is based on the measurement of the wood;

(c) That the order remains in effect for a one year period; and

(d) That the order shall not be stayed except by a request for bearing or an order of a court of competent jurisdiction.

2. The State Sealer shall send a copy of the order to any person providing services whom he finds to have been aggrieved by the violation.

C. No order issued. In a matter investigated under this section, if the state Sealer believes that a violation did not occur and he does not issue an order under subsection B, he shall so notify the person or persons, if any, whose allegations led to the investigation. The notice shall be in writing and shall be sent by certified mail.

D. Hearing

1. In a matter investigated under this section, following the State Sealer's decision whether to issue an order, a hearing may be requested:

(a) If the State Sealer issues an order under subsection B, by the person to whom the order is directed; or

(b) If the State Sealer issues a notice under subsection C, by a person to whom the notice is sent.

2. The request for hearing shall be in writing and shall be delivered to the State Sealer or, if mailed, postmarked no later than 15 days after receipt of an order under subsection B or a notice under subsection C.

3. The State Sealer shall hold a hearing within 30 days of receipt of a request, unless a later date is agreed to by the State Sealer and the parties. The hearing shall be an adjudicatory proceeding within the meaning of the Administrative Procedure Act (5 M.R.S.A. Chapter 375).

4. An order issued under subsection B shall be suspended pending the outcome of the hearing.

E. Measurement tally sheet requirements. Where an order suspending the privilege to measure out or state is in effect, measurement tally sheets shall be provided in advance of moving the wood out of state and in accordance with the general requirements for measurement tally sheet contained in Chapter 383.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2361-A et seq.
• EFFECTIVE DATE: April 30, 1985
• AMENDMENT EFFECTIVE: July 30, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 21, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 382 Measurement of Wood and Declaration of Quantity

Code Me. R. 01-001 Ch. 382 Measurement of Wood and Declaration of Quantity {#sec-01-001-ch.-382 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 382}

SUMMARY: This chapter of the Wood Measurement Rules establishes the standards for the measurement of wood and the declaration of quantity, including the handling of culled wood. It also includes the requirements for the construction and accuracy instruments for measuring wood.

SECTION 1: MEASURING INSTRUMENTS AND GENERAL RULES OF MEASUREMENT 1

A. Measuring Instruments - Construction and Accuracy 1

B. Length Measurements 2

C. General Rule for Rounding Off 2

SECTION 2. PROHIBITION AGAINST CONVERSION BETWEEN SYSTEMS OF

MEASUREMENT AND THE DECLARATION OF QUANTITY FOR

PAYMENT OR PRICE 2

A. Declaration of quantity for payment or price. 2

B. Prohibition against conversions between measurement systems. 2

SECTION 3: MIXED LOADS IN PAYMENT FOR SERVICES IN HARVESTING 2

SECTION 4: MULTIPLE PRODUCTION FORMS IN PAYMENT

FOR SERVICES IN HARVESTING 3

SECTION 5: WOOD PRODUCTION FORM AND CORRESPONDING AUTHORIZED SYSTEMS OF MEASUREMENT 3

A. Tree Length Wood 3

B. Log Length Wood (Sawlogs and Individually Measured Boltwood) 3

C. Stacked Wood 5

D. Chipped Wood 5

E. Polewood 4

F. Unstacked Fuelwood-Length Wood 5

G. Semi-Tree Length and Chunkwood 5

SECTION 6: SYSTEMS OF WOOD MEASUREMENT 6

A. Butt Measure 6

B. Count 8

C. Butt Scale 9

D. Stick Cord Scale 12

E. Log Scale 15

F. Linear Measure 20

G. Cubic Foot Measure 21

H. Chip Volume Scale 24

I. Thrown Cord Scale 25

J. Weight Scale 26

K. Sample Scaling 31

SECTION 1. MEASURING INSTRUMENTS AND GENERAL RULES OF MEASUREMENT

A. Measuring instruments - construction

1. Sticks for scaling wood. All sticks for scaling wood shall conform to the following requirements:

(a) The zero end of each stick shall have metal securely attached to it.

(b) Markings indicating graduations and numbers shall be permanent and easily read.

(c) The finish shall be smooth and painted with a durable clear coating.

(d) The allowable error in graduations shall be determined according to the following table:

Nominal Interval Tolerance in Excess or

from Zero Deficiency No Greater

(Feet) than (Inches)

3 or less 0.1

4 0.13

5 0.16

6 0.19

7 0.21

8 0.24

2. Flexible measuring tape Flexible measuring tapes shall conform to the following requirements:

(a) Tapes shall be made of steel, fiberglass, or other material equal in durability to steel or fiberglass.

(b) Markings indicating graduations and numbers shall be permanent and easily read.

(c) The tolerance in excess and deficiency for graduations on flexible measuring tapes shall be for 5 feet or less, 0.1 inches, and for each additional 5 feet, 0.1 inches.

NOTE: Construction and accuracy specifications. Construction and accuracy specifications for all measuring instruments are available upon written request to the State Sealer.

B. Length measurements. Linear, lineal or length measurements consist of determining the length of a line from one point to another. Linear refers to the length of the piece of wood along the vertical growing axis of the tree. Lineal refers to the measurement of the diameter of a cross section of the tree which is assumed to be circular in shape.

C. General rule for rounding off. Where not otherwise provided in these rules, decimals may De rounded off to the nearest whole interval. When the measurement is on the midpoint between two intervals, round down.

SECTION 2. PROHIBITION AGAINST CONVERSION BETWEEN SYSTEMS OF MEASUREMENT AND THE DECLARATION OF QUANTITY FOR PAYMENT OR PRICE

A. Declaration of quantity for payment or price. The quantity of wood and the related payment or price shall in all cases be represented in the standard unit for the measurement system used. The standard unit for each measurement system is provided in the appendix, page A-1.

B. Prohibition against conversions between measurement systems. Conversion between measurement systems is prohibited except under the following circumstances:

1. There is an absolute conversion factor between the two measurement systems and the conversion factor is stated. For example, conversion from cubic volume to metric volume is permitted; or,

2. The quantity is described in a term that corresponds directly to the total quantity measured, and the relationship between the descriptive term and the standard unit of measurement is provided. For example, the price of chips may additionally be expressed per truckload, where one truckload is specified as a particular number of chipcords; or,

3. The conversion is for inventory purposes only unrelated to payment for the wood.

SECTION 3: MIXED LOADS IN PAYMENT FOR SERVICES IN HARVESTING

Where more than one person or crew harvests wood which will not be measured until after it is hauled from the harvesting area, the wood shall be separately measured. This requirement does not apply under the following circumstances:

A. Where the persons providing the services agree in advance how the mixed load is to be allocated among them.

B. In the case of chipped wood, the persons providing the services may agree as to how the volume of the contents of the container is to be allocated among them. In the absence of an agreement, the person requiring services shall keep the piles of wood separate and shall allocate the quantity of chips based on the measurement of the separate piles.

SECTION 4. MULTIPLE PRODUCTION FORMS IN PAYMENT FOR SERVICES IN HARVESTING

Whenever wood is required to be harvested in one production form, such as tree length, but is not measured until the stems are prepared into another production form or forms according to the preparation directions in the cutting specifications, each portion of the prepared stem shall be separately identified and measured according to the requirements for its production form.

NOTE: An example of multiple production forms is stems that are required to be harvested and yarded tree length, and then are required to be bucked into log lengths and the remaining semi-tree length portion piled, or bucked into 4 foot lengths, or chipped, or otherwise prepared.

SECTION 5. WOOD PRODUCTION FORM AND CORRESPONDING AUTHORIZED SYSTEM OF MEASUREMENT

The production form of harvested wood is the form in which it is tendered for measurement. In the absence of a written agreement of the parties, the state standard system of measurement for a given production form shall be used. Where the parties make a written agreement, they may agree to use any authorized system of measurement which is permitted by this section for a given production form.

A. Tree length wood. Tree length wood means harvested trees that may have been topped, limbed, or butted back.

1. State standard - butt measure. Butt Measure is the state standard for the measurement of tree length stems in all transactions involving payment for services, and in all sales of wood where gross scale is the basis for payment. In the sale of wood where net scale is the basis for payment, butt measure is not permitted.

2. Other authorized systems of measurement. Where agreed upon, the parties may use any of the following authorized systems of measurement for tree length wood:

(a) Cubic measure;

(b) Butt scale: In the sale of wood, butt scale is permitted. In the case of payment for services, the use of butt scale is prohibited;

(c) Count; and

(d) Weight scale.

B. Log length wood (sawlogs and individually measured boltwood). Log length wood means stems or pieces of harvested trees that were topped, limbed, and bucked into specified lengths.

1. State standard. The state standard for the measurement of log length wood is log scale, using the International 1/4 Inch Rule.

2. Other authorized systems. Where agreed upon, the parties may also use any of the following authorized systems of measurement for log length wood:

(a) Any of the following log rules: Bangor Rule; Maine Rule (also called the Holland Rule); International 1/8 Inch Rule:

(b) Cubic measure;

(c) Butt measure;

(d) Count scale, and

(e) Weight scale.

C. Stacked wood. Stacked wood means stems of pieces of harvested trees that were topped, limbed, and bucked into uniform length, up to 9 feet long, and that were ranked and well stowed, and which are measured as a stack and not individually.

1. State standard. The state standard for stacked wood is stick cord scale and the quantity is represented in either standard cords or face cords.

2. Other authorized systems. Where agreed upon, the parties may also use weight scale to measure stacked wood.

D. Chipped wood. Chipped wood means any portion of a harvested tree that is processed into chips, shavings, or any other particulate form of wood.

1. State standard. The standard state method for the measurement of chipped wood is chip volume scale. The standard measurement unit is the chipcord, that is, the volume of chipped material contained in 128 cubic feet, measured at the time of the transaction.

2. Weight Scale. Where agreed upon, the parties may use weight scale. Where they agree to use weight scale, they may use oven-dried weight.

E. Polewood. Polewood means long segments of stems that were topped, limbed, and may have been butted back.

1. State standard. The state standard for the measurement of polewood is linear measure.

2. Other authorized systems. Where agreed upon, the parties may use any of the following authorized systems of measurement for polewood:

(a) Count;

(b) Cubic measure;

(c) Butt measure; and

(d) Weight scale.

F. Unstacked fuelwood-length wood. Unstacked fuelwood-length wood means harvested trees that have been topped, limbed, and bucked into uniform lengths averaging 12, 16, or 24 inches, which may have been split, and which are loose and not ranked and well stowed.

1. State standard. The state standard for the measurement of unstacked fuelwood-length wood is thrown cord scale.

2. Other authorized systems. Where agreed upon, the parties may also use either of the following methods of measurement for unstacked fuelwood-length wood:

(a) Count; and

(b) Weight scale.

G. Semi-tree length and chunkwood. Semi-tree length and chunkwood means the remaining portions of harvested trees that were required to be yarded tree-length and, in part, bucked into other production forms. Semi-tree length and chunkwood includes pieces of any length and size but does not include negligible wood. Negligible wood means segments of trees that were not piled for further processing and the disposition of which is disregarded by the person requiring the services.

1. State standard. Butt measure is the state standard for the measurement of semi-tree length wood and chunkwood.

2. Other authorized systems , Where agreed upon, the parties may use either of the following authorized systems of measurement for semi-tree length wood and chunkwood:

(a) Count;

(b) Cubic measure;

(c) Weight scale.

SECTION 6. SYSTEMS OF WOOD MEASUREMENT

There are eleven authorized systems of wood measurement: Butt measure, count, butt scale, stick cord scale, log scale, linear scale, cubic foot measure, chip volume scale, thrown cord scale, and weight scale. Included in the Appendix at page A-2 is a table summarizing the different systems.

A. Butt measure

1. General description. Butt measure is the lineal measurement of the butt-end diameter of a severed stem. In contrast to cubic measure and butt scale, the volume of the stem is not relevant to the measurement.

2. Authorized use

(a) State standard. Butt measure is the state standard system for the measurement of tree length wood and semi-tree length and chunkwood.

(b) Log length wood. Where agreed upon, the parties may also use butt measure in the case of log length wood and polewood.

(c) Prohibited use. Where net scale is the basis for payment, the use of butt measure is prohibited.

3. Measurement procedure for gross scale

(a) Butt measure requires:

(i) Determination of the diameter of the butt end of the stem or piece, expressed in inches or in diameter class, and

(ii) Computation of the measurement unit using either the diameter count method or the cumulative sum method.

(b) Measurement of the butt diameter

(i) The measurement of the butt diameter shall be accomplished by measuring the diameter of the butt end (large end) of the stem or piece. The diameter measurement shall be made:

AA. The short way through the geometric center of the butt end;

BB. From the outside surface of the bark to the opposite outside surface of the bark;

CC. Disregarding crevices and cracks;

DD. Perpendicular to the vertical axis of the tree.

(ii) "Crevices and cracks" means any indentations in the stem regardless of how they are labeled or how they were caused. "Crevices and cracks" are distinguished from rounded depressions. Directions for distinguishing between "crevices and cracks" and "rounded depressions" under various circumstances are provided in the appendix, pages A-8 through A-13.

(iii) The "geometric center of the stem" is the point where a slice of the severed end would balance atop a marking pencil.

(iv) Round off the diameter measurements to the nearest inch. When the measurement falls exactly on the .50 (1/2) inch mark, round down.

(c) Computation of units. Butt diameter units shall be computed using one of the following methods:

(i) Diameter count. Using this method, the quantity is totaled by counting the number of stems for each diameter class. The total is then represented in the numerical count for each diameter class.

(ii) Cumulative sum. Using this method, the quantity is totaled by adding together the inch measurements of all diameters measured without regard to the diameter class. The total is then represented in stem units, where one stem unit equals 100 inches. Under this method, four 5-inch diameter stems have the same value as one 20-inch stem.

4. Net scale - discounting. In all wood transactions in which butt measure is used, taking deductions from gross scale is prohibited.

5. Marking. When butt measure is used, all wood shall be marked as follows:

(a) Mark the measured diameter or diameter class of each piece on the sawn surface, and

(b) Mark culled wood in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where butt measure is used, the standard unit or measurement depends on whether the diameter count or the cumulative sum method was used.

(a) Stems. Where the diameter count method is used to total the measured inches, the quantity is expressed in stems by diameter inch class. Payment or price per stem by diameter class may be furnished in a stem rate table. For example, there might be one stem rate table in one inch class intervals for unlimbed spruce and fir, and another table for limbed spruce and fir.

(b) Stem units. Where the cumulative sum method is used to total the measured inches, the quantity is expressed in stem units, where 100 inches equals one stem unit.

8. Tally. Measurement tally sheet requirements for butt measure are set forth in Chapter 383.

B. Count

1. General description. When trees, stems or pieces are measured by count, the number of trees, stems, or pieces are tallied by species or other groupings.

2. Authorized use. Where agreed upon, count may be used for tree length wood, log length wood, polewood, unstacked fuelwood length wood, and semi-tree length and chunkwood.

3. Measurement or procedure for gross scale. Count the number of stems or pieces by species or other groupings.

4. Net scale - discounting. In all wood transactions where stems or pieces are measured using count, taking deductions from gross scale is prohibited.

5. Marking. Mark culled wood in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where count is used, the quantity is expressed in pieces.

8. Tally. Measurement tally sheet requirements for count are set forth in Chapter 383.

C. Butt scale

1. General description. Butt scale is the lineal measurement of the butt diameter converted to cubic foot volume by formula or otherwise. The volume is expressed in cunits or in standard cord units. The butt diameter measurement is made in the same manner as in butt measure.

2. Authorized use. In the sale of wood, butt scale is authorized for use on tree-length wood where agreed upon by the parties. Butt scale is prohibited in the case of payment for services.

3. Measurement procedure for gross scale

(a) Butt scale requires:

(i) Determination of the diameter of the butt end of the stem expressed in inches; and

(ii) Computation of the cubic foot volume by way of a formula or other procedure designed for that purpose, and representation of the quantity in cunits; or

(iii) Computation of the cubic foot volume and conversion to equivalent standard cord units; and

(iv) Preparation of a table which represents the computed correlation between diameter size and volume, expressed in cunits or equivalent standard cord units.

(b) Measurement of the butt diameter

(i) The measurement of the butt diameter shall be accomplished by measuring the diameter of the butt end (large end) of the stem or piece. The diameter measurement shall be made:

AA. The short way through the geometric center of the butt end;

BB. From the outside surface of the bark to the opposite outside surface of the bark;

CC. Disregarding crevices and cracks; and

DD. Perpendicular to the vertical axis of the tree.

(ii) "Crevices and cracks" means any indentations in the stem regardless of how they are labeled or how they were caused. "Crevices and cracks" are distinguished from rounded depressions. Directions for distinguishing between "crevices and cracks" or "rounded depressions" under various circumstances are provided in the appendix at pages A-8 through A-13.

(iii) The "geometric center of the stem" is the point where a slice of the severed end would balance atop a marking pencil.

(iv) Round off the diameter measurements to the nearest inch. When the measurement falls exactly on the .50 (1/2) inch mark, round down.

(c) Computation of cunits or standard cord units

(i) The volume of wood in a stem of a given diameter size shall be derived from a volume table developed for that purpose where the volume is represented in either cunits or standard cord units.

(ii) Where the volume is represented in standard cords, the parties may designate a reasonable and appropriate factor to be used to convert cubic feet to standard cords. That conversion factor to be set forth in the wood quality specifications. In the absence of a designation of a reasonable and appropriate conversion factor stated in the wood quality specifications, the following factors shall be imputed:

Softwood - 85 cubic feet of wood including bark equals one standard cord, and

Hardwood - 80 cubic feet of wood including bark equals one standard cord.

In the case of measuring mixed species which have different conversion factors, the wood quality specifications shall state the conversion factor for each of the species and the applicable combined conversion factor that will be used for measuring the wood. In all cases the combined conversion factor shall be reasonable.

(iii) Bark in the conversion from cubic feet to standard cords

AA. Inside bark. The conversion factor used to calculate the number of standard cords may be based on inside bark measurements or volumes provided the wood quality specifications state the manner in which the conversion to standard cords is made. in the event that outside bark measurements are taken but the conversion to standard cords is calculated based on inside bark volumes, the method of calculating the amount of bark shall also be stated.

BB. Outside bark. In all other cases, the conversion factor used to determine the number of standard cords, including bark, shall be based on outside bark measurements and volumes.

(d) Construction of the volume table

(i) The volume table shall be set up by one inch diameter classes.

(ii) The volume table shall be labeled to:

AA. Designate the harvesting area, or areas, to which it applies; and

BB. Indicate whether the volume is expressed in cunits, net cunits, standard cord or net standard cord unit.

(iii) Calculation of the cubic volume of wood shall be based on the measurement procedures set forth in this chapter, section 5(G), "Cubic foot measure".

(e) Required furnishing of volume table. The applicable volume table shall be furnished with the wood quality specifications.

4. Net scale - discounting. In the sale of wood, when butt scale is used, reasonable deductions may be made for merchantability factors, provided:

(a) All merchantability factors for which deductions will be taken shall be specified in the wood quality specifications.

(b) In calculating the number of standard cords, bark may not be treated as a merchantability factor.

(c) Deductions for interior defects may be computed using the formula:

(H x W) x L =

144

volume of defect in cubic feet, where the height H and width W of the defective area are expressed in inches, and the length L is expressed in feet and tenths of feet alternatively. Where permitted in subparagraph (v), the parties may use the "Grosenbaugh" method of calculating interior defects.

(d) In the case of deductions, other than for interior defect the standard procedure contained in the National Forest Log Scaling Handbook , Code 82.3 (Cubic Foot Measurement defect deduction) shall be used except as permitted in subparagraph (e), below. The relevant portion of the National Forest Log Scaling Handbook is set forth in the Appendix A-14.

(e) Alternatively, the parties may use the "Grosenbaugh" method of calculating deductions provided the State Sealer is furnished, in advance, with a copy of the corresponding wood quality specifications and measurement procedures.

NOTE: Upon written request an application of the "Grosenbaugh" methodology may be obtained from the State Sealer.

5. Marking. When butt scale is used, mark all wood as follows:

(a) Mark the diameter of each stem on the butt end; and

(b) Mark any culled wood in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where butt scale is used, the standard units of measurement are:

(a) Gross scale Cunits or standard cords

(b) Net scale Net cunits or net standard cords

8. Tally. The measurement tally sheet requirements for butt scale are set forth in Chapter 383.

D. Stick cord scale

1. General description. Stick cord scale is the measurement of a stack of uniform length bolts which measure up to 9 feet in length. The quantity is expressed in standard cords or face cords.

2. Authorized use

(a) State standard. Stick cord scale is the state standard system of measurement for stacked wood where the sticks measure no more than 9 feet in length.

(b) Prohibited use. The use of stick cord scale is prohibited for any wood production form other than stacked wood, or for sticks that exceed 9 feet in length.

3. Measurement procedure for gross scale

(a) Stick cord scale requires:

(i) Determination of the height and length of the pile, where the measurements are expressed in inches or feet and tenths of feet; and

(ii) Calculation of the quantity in standard cords or face cords.

(b) Width of pile (length of bolts)

(i) The width of the pile is the average length of the individual bolts, measured from saw cut to saw cut.

(ii) Unless otherwise specified, the allowance for variance in the length of the bolts shall be + 1/2 inch per foot. Any specified variance shall be expressed in plus or minus the same interval.

(c) Height of the pile

(i) The height of the pile is the measurement from its top surface to its bottom surface.

(ii) The standard interval for measurement is two feet on the ends of the pile, and every four feet along the level height of the pile. When the top surface of the pile is not level, height measurements shall be taken at two foot intervals. When the wood is stacked in a truck, railroad car, or other contained structure a reasonable interval for measurement shall be used to accurately determine the height of the stacked wood.

(iii) When the bolts are piled on an incline, the height measurements shall be taken at right angle to the slope.

(iv) To compute the average height of the pile, add all the height measurements together and divide by the number of measurements taken.

(d) Length of the pile

(i) The length of the pile shall be measured from the outside edge of the pile or tier, except where a pile drops off in height forming a slope; then, the length measurement is taken from the point where half of the first height measurement intersects with the line of the slope.

(ii) When the bolts are stacked on an incline, the length measurements shall be taken parallel to the slope.

(iii) When the lengths measured at the front and the back of the pile are not the same, the lengths shall be added together and then averaged.

(e) Computation of standard cords and face cords

(i) When the specified length of the bolts is 4 feet, the quantity of wood shall be computed in standard cords. When the specified length is other than 4 feet, the quantity of wood may be computed in either standard cords or face cords.

(ii) Standard cord computation. To compute the standard cord volume of a pile of 4 foot long bolts stacked 4 feet high and 8 feet long, or the equivalent, use the formula:

H x L x W =

128

number of standard cords, where H is the height of the pile, L is the length of the pile, and W is the width of the pile (length of bolts), and where the measurements are stated in feet and tenths of feet.

(iii) Face cord computation. To compute the square foot area of the face of the pile, use the following formula:

H x L = number of

32

face cords, where H is the height of the pile, L is the length of the pile, and where all measurements are stated in feet and tenths of feet.

(f) Permitted gross scale reductions. Where stick cord scale is used, reasonable reductions may be made for:

(i) Voids that will accommodate a bolt of the average diameter of the bolts in the pile. Where the bolts vary in diameter, the average diameter bolt shall be calculated as the average diameter of the bolts surrounding the void.

(ii) Bolts that were marked and handled as culled wood.

4. Net scale - discounting

(a) Where payment is made for services, taking deductions from gross scale is prohibited.

(b) in the sale of wood, when stick cord scale is used, reasonable deductions for merchantability factors may be taken on bolts that were not culled, provided:

(i) The merchantability factors were included in the wood quality specifications;

(ii) Bark is not included as a merchantability factor; and

(iii) Unless otherwise provided in the wood quality specifications, deductions for defects shall be computed based on height and width of visible defects on the sawn surface of bolts on the side of the pile being measured. It shall be assumed that any visible defect extends through the full length of the bolt.

5. Marking. When payment is made for services, and in a sale unless otherwise agreed upon by the parties, and where the pile is measured prior to hauling from the harvesting area, the wood shall be marked as follows:

(a) Stakes or a heavy vertical crayon mark shall be used to make a "break" in a pile to separate one measured pile from another.

(b) A notation shall be made on a sizable bolt near the top of the measured pile identifying the pile by number or otherwise, and noting the measurement of the pile in standard cords or by dimensions.

(c) Mark culled wood in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where stick cord scale is used, the standard units of measurement are:

(a) Gross scale Standard cords or face cords

(b) Net scale Net standard cords or net face cords

8. Tally. The measurement tally sheet requirements for stick cord scale are set forth in Chapter 383.

E. Log scale

1. General description. Log scale is the measurement of logs using a log rule. A log rule is a standard table that states in board feet the apparent amount of lumber that can be sawn from logs of different size classes under assumed conditions. The International 1/4 Inch Log rule, for example, assumes a saw kerf of 1/4 inch, taper of 1/2 inch in each 4 foot length, and an average of 1/2 inch of sweep or crook in each 4 foot length. No log rule gives the actual measure of the number of board feet that will be sawn from a given size log. Instead, the log rule is simply a uniform system of measurement. Gross scale is the dimensional measurement of the log without regard to any scaling defects. Net scale is the gross scale less length, diameter, or volume deductions taken to discount for scaling defects in the log. The authorized log rules are included at pages A-4 through A-7 of the Appendix.

2. Authorized use

(a) State standard. Log scale using the International 1/4 Inch Rule (I.R.) is the state standard for the measurement of log length wood.

(b) Where agreed upon by the parties, log scale using any of the following rules is authorized; Bangor Rule (B.R.), Maine (Holland) Rule (M.R.), and the International 1/8 Inch Rule (I.R. 1/8).

(c) The use of log scale is prohibited for production forms other than log length wood.

3. Measurement procedure for gross scale

(a) Log scale requires:

(i) Use of the correct log rule stick for the log rule specified,

(ii) Determination of the top end diameter and the length of the log; and

(iii) Computation of the board foot measurement, using the log rule table printed on the scale stick.

(b) Top diameter measurements

(i) Top diameter measurements shall be taken at the small end from inside the bark, through the geometric center, avoiding abnormal bulges, crevices and cracks and other depressions, and to the extent possible, shall be made as though these conditions do not exist.

(ii) Where the top end is evenly rounded, and not oval or irregularly shaped, only one diameter measurement is required. Where the top end is not rounded in shape, measure the short diameter first, and then take a second measurement at a right angle to the first and average the diameter measurements.

(iii) Make all measurements perpendicular to the vertical axis of the tree.

(iv) All measurements shall be taken to the nearest inch.

AA. Round exact 1/2 inch measurements before averaging. Round up when it is one of a pair to be averaged. When both of a pair to be averaged fall on 1/2 inch marks, round one up and one down.

BB. If the averaged diameter is on a 1/2 inch, then round down for the final scaling diameter.

(c) Length measurement

(i) For stump cuts , measure length from the point at which the scaling cylinder emerges. For other cuts, make length measurements from the short side.

NOTE: An illustration of the proper method of making length measurements, when using the International 1/4 Log Rule is furnished in the Appendix at A-15.

(ii) Trim allowance. In the cutting specifications or the wood quality specifications:

AA. General rule. A trim allowance of up to 6 inches may be specified without affecting the scaling length.

Where trim allowance greater than 6.0 inches is specified, the length measurement shall be rounded up to the next whole foot.

BB. Exception to general rule. Where the written specifications provide for acceptable lengths in multiples of a certain length, a trim allowance of up to 2 inches per multiple is permissible without rounding up to the next whole foot.

(iii) Insufficient trim

AA. Except as otherwise agreed upon by the parties, logs lacking sufficient trim allowance will be reduced in scaling length to the next lower standard log length

BB. Where no trim allowance was specified, no reduction in scaling length may be made for lack of trim.

(iv) Logs longer than 20 feet. Unless otherwise agreed upon in writing, logs longer than 20 feet shall be scaled as two logs of approximately equal length and the scaling diameter of the bottom log shall be assumed to be two inches larger than the measured top end diameter.

(d) End breaks and splits. A reduction for end breaks and splits is prohibited in the case of payment for services, except where the end break or split results from the improper harvesting or hauling methods of the person providing the services. Where permissible, a reduction for end breaks and splits shall be made according to the procedure provided in the National Forest Log Scaling Handbook , Code 33 (Breaks and splits). The relevant provisions or the National Forest Log Scaling Handbook are set forth in the appendix, page A-16.

4. Net scale - discounting

(a) In the case of payment for services, taking deductions from gross scale is prohibited.

(b) in the case of the sale of wood, reasonable diameter, length, and volume deductions may be taken for merchantability factors, provided the merchantability factors were included in the wood quality specifications.

(c) Computations of Deductions

(i) Interior deductions. Deductions for computing interior defects are computed by enclosing the defective area with a measured square or rectangle, and then computing the volume within the square or rectangle area. Tables are available to make this computation. The formula used in constructing the table, when the International 1/4 Inch Rule is used,

is D = (W+1) x (T+1) x L where D

16

is the defect or discount in board feet. W is the width of defect in inches, T is the thickness of defect in inches, and L is the length of defect in feet. When a log shows defect at both ends, then the defect at each end shall be assumed to run at its measured dimensions to the mid-point of the log.

(ii) Deductions for seams and cracks. In making deductions for seams and cracks the pie-cut method shall be used. The deduction shall bear the same relation to the total scale as the sector bears to the circle, i.e. a straight seam or crack running from pith to bark the full length of the log would be deducted at 1/8 of the gross scale; a seam or crack from pith to bark which spirals through from butt to top would be deducted as:

45 degrees = 1/8 of gross scale deduction

90 degrees = 1/4 of gross scale deduction

120 degrees = 1/3 of gross scale deduction

180 degrees = 1/2 of gross scale deduction

(iii) Deductions for end breaks and splits. Deductions for end breaks and splits shall be made according to the procedure provided in the National Forest Log Scaling Handbook , Code 33 (Breaks and Splits), the relevant provisions of which are set forth in the appendix, page A-16.

(iv) Diameter deductions. Diameter deductions may be made for sap rot, catfaces, and knots and similar surface defects.

(v) Length deductions. Length deductions may be made for butt rot, crook or sweep beyond a specified amount, crotch, burls, and voids.

(vi) Deductions for sweep and crook. A reasonable deduction may be made for excessive sweep and crook, provided that when the International 1/4 Inch Log Rule is used no deduction may be made except where the amount of sweep or crook exceeds 1/2 inch for each 4 foot length.

(vii) Computation of permissible deductions. Except as otherwise provided in this subsection, all deductions shall be made according to the applicable standards in the National Forest Log Scaling Handbook, Chapter 20, or alternatively, the parties may use the "Grosenbaugh" method of calculating deductions, provided the State Sealer is furnished in advance with a copy of the corresponding wood quality specifications and measurement procedures.

NOTE: Upon written request a copy of the relevant provisions of Chapter 20 of the National Forest Log Scaling Handbook or application of the "Grosenbaugh" methodology may be obtained from the State Sealer.

5. Marking. All logs shall be marked where payment is made for services; and, unless otherwise agreed upon by the parties in a sale transaction:

(a) mark the gross scale or the small end diameter on each measured log. The measurement shall be marked on the measured top end. Where that mark is not easily visible, the butt end shall also be marked.

(b) Mark any culled logs in an easily visible and distinct manner.

6. Culled Wood. Culled logs shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where log scale is used, the quantity of wood shall be represented as follows:

(a) Gross scale: Board feet, identifying log rule used (for example, bd. ft. I.R.).

(b) Net scale: Net board feet, identifying log rule used (for example, bd. ft. I.R.)

8. Tally. The measurement tally sheet requirements for log scale are set forth in Chapter 383.

F. Linear measure

1. General description. Linear measure involves the measurement of a stem or piece by length only, up to a specified top diameter size. For measurement purposes, the volume of wood is not relevant. Trees harvested for use as pilings, or for power and telephone poles, are often measured using linear measure.

2. Authorized use

(a) State standard. Linear measure is the state standard system of measure for polewood.

(b) Prohibited use. The use of linear measure is prohibited for any production form other than polewood.

3. Measurement procedure for gross scale

(a) Linear measure requires determination of the length of the stem, where the length is expressed in feet and tenths of feet or inches.

(b) The length of the stem is measured from saw cut to saw cut, on the short side.

(i) When the stem is cut above the minimum top diameter, take the length measurement from the point where the specified diameter is reached.

(ii) The length shall be expressed in feet and tenths of feet or inches. Any trim must be included within the minimum length and may not be specified as a separate allowance.

4. Net scale - discounting

(a) Where payment is made for services, taking deductions from gross scale is prohibited.

(b) In the sale of wood, reasonable length deductions for merchantability factors may be taken, provided the merchantability factors were included in the wood quality specifications.

5. Marking. All logs shall be marked where payment is made for services, or unless otherwise agreed by the parties in a sale transaction:

(a) Mark the scaling length of each measured stem or piece on the sawn surface of the butt end.

(b) Mark culled wood in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where linear measure is used, the quantity of wood shall be expressed as follows:

(a) Gross scale Linear feet

(b) Net scale Net linear feet

8. Tally. The measurement tally sheet requirements for linear measure are set forth in Chapter 383.

G. Cubic foot measure

1. General description. Cubic foot measure is the measurement of solid volume expressed in cubic feet, where 100 cubic feet equals one cunit. In contrast to stick cord scale, individual stems or pieces are measured, not a stacked unit. In contrast to log scale, this system does not exclude the measurement of the exterior slabs, edging, and saw kerf.

2. Authorized use. Cubic foot measure may be used to measure tree length wood, log length wood, polewood, and semi-tree length and chunkwood.

3. Measurement procedure for gross scale. Unless otherwise authorized by the State Sealer as provided for below, the cubic content of each measured stem or piece shall be computed by means of the formula:

V = (A + a) L, where V is the volume

2

in cubic feet, A is the area in square feet of the large end of the measured stem, a is the area in square feet of the small end of the stem or piece, and L is the length of the stem or piece in feet and tenths of feet. Use of an alternative formula is permitted only by approval of the State Sealer. The State Sealer may require submission of documentation to support a request for an alternative formula. The approval for the use of the alternative formula shall be based on a determination that the alternative formula is included in the sales contract or applicable wood quality specifications, the formula is reasonable and appropriate for its intended use, and the method of making the measurement is consistent with the measurement procedures set forth below. In all cases length and diameter measurements shall be made as follows:

(a) Length measurement

(i) Measure the length of the stem or piece from saw cut to saw cut, on the short side.

(ii) Where a specific length is required, measure the stem or piece according to the maximum length that conforms to the specifications. Where the specifications provide for a "trim allowance," it shall be included in the measured length.

(iii) Express the length in feet and tenths of feet.

(b) Top and bottom end diameters

(i) Measure the diameter of each end the short way across, through the geometric center of the stem, disregarding crevices and cracks, and perpendicular to the vertical growing axis of the tree.

AA. "Crevices and cracks" means any indentations in the stem regardless of how they are labeled or how they were caused. "Crevices and cracks" are distinguished from rounded depressions.

BB. The "geometric center of the stem" is the point where a slice of the severed end would balance atop a marking pencil.

(ii) Bark. For purposes of calculating the number of cunits:

AA. Inside bark measurements are permitted where specified in the written specifications.

BB. Absent written specification, all measurements shall be made from outside the bark.

(iii) Express the diameter measurements in inches.

4. Net scale - discounting

(a) Where payment is made for services, taking deductions from gross scale is prohibited.

(b) In the sale of wood, reasonable deductions may be made for merchantability factors, provided the merchantability factors were included in the wood quality specifications.

(c) Computation of permissible deductions

(i) Deductions for interior defects are computed using the formula

(H x W) x L =

144

cubic volume of interior defect, where the height H and width W are in inches, and length L is in feet-and tenths of feet;

(ii) Bark may be included as a merchantability factor for which a deduction may be taken in computing net scale.

(iii) The standard procedures contained in the National Forest Log Scaling Handbook, Code 82.3 (Cubic Foot Measurement - Defect Deduction) shall be used to compute defect deductions. Alternatively, the parties may use the "Grosenbaugh" method of calculating deductions, provided the State Sealer is furnished in advance with a copy of the corresponding wood quality specifications and the relevant measurement procedures.

NOTE: The relevant provisions of the National Forest Log Scaling Handbook are set forth in appendix, page A-14. upon written request an application of the "Grosenbaugh" methodology may be obtained from the State Sealer.

5. Marking. When cubic foot measure is used, all stems and pieces shall be marked;

(a) Mark in an easily visible and uniform manner each stem or piece that is measured, showing the length and diameter measurements.

(b) Mark any culled stem or piece in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where cubic measure is used, the standard units of measurement are:

(a) Gross scale Cunits

(b) Net scale Net cunits

8. Tally. The measurement tally sheet requirements for cubic foot measure are set forth in Chapter 383.

H. Chip volume scale

1. General description. Chip volume scale is the volumetric measurement of any portion of a tree that is in the form of chips, shavings, sawdust, or other particulate forms of wood. The quantity of wood is measured in cubic feet and expressed in either one hundred cubic foot units or in chipcords, where one chipcord equals 128 cubic feet of chipped material.

2. Authorized use

(a) State standard. Chip volume scale is the state standard for the measurement of chipped or other particulate form of wood.

(b) Prohibited use. Chip volume scale may not be used where wood is tendered for measurement in other than particulate form.

3. Measurement procedure for gross scale. The measurement of chipped wood using chip volume shall be accomplished by determining the volume in cubic feet of the space occupied by the chipped material. The total cubic volume is then divided by 128 to determine the number of chipcords.

(a) Container unit

(i) A container in which chipped wood is measured shall be marked in an easily visible manner to indicate the total volume capacity. The capacity shall be expressed in cubic feet.

(ii) A container in which chipped wood is measured shall also be marked in an easily visible manner in reasonable intervals. The capacity at each interval shall be expressed in cubic feet.

NOTE: The State Sealer is available to recommend an appropriate manner to mark a container.

(b) Intermediate volume. Where there are insufficient chips to be measured to fill the container and the quantity of chips is between marked intervals, the scaler shall interpolate to determine the quantity.

(c) Time and place of measurement. The volume shall be measured at the time and place possession of the chipped wood is transferred between the parties to the transaction, unless the parties have agreed in writing to an alternative time and place.

(d) Permissible gross scale measurement reductions

(i) In all wood transactions where foreign matter, such as dirt or foreign objects, are separately identified, the volume of chipped wood shall be reduced by the measured volume of the foreign material.

(ii) No portion of a tree, stem, or piece that was designated to be chipped shall be treated as foreign material.

4. Net scale - discounting. In all wood transactions in which chip volume scale is used, taking deductions from gross scale is prohibited.

5. Marking. Culled wood that is not to be chipped shall be separated in advance of chipping and marked in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where chip volume scale is used the quantity of wood measured shall be expressed in chipcords, where one chipcord equals 128 cubic feet of chipped material.

8. Tally. The measurement tally sheet for chip volume scale are set forth in Chapter 383.

I. Thrown cord scale

1. General description. Thrown cord scale is the measurement of round or split fuelwood-length wood measured in a container. Fuelwood-length wood is bolts that average 12, 16, or 24 inches in length. In contrast to stick cord scale, the bolts are tossed loose into a container and are not ranked and well stowed.

2. Authorized use

(a) State standard. Thrown cord scale is the state standard method for the measurement of unstacked fuelwood-length bolts, split or unsplit, which are not ranked and well stowed.

(b) Prohibited use. Thrown cord scale may not be used to measure production forms other than unstacked fuelwood-length wood.

3. Measurement procedures for gross scale. The measurement of fuel-length wood, using thrown cord scale, shall be accomplished by computing the cubic volume of space in the container that is occupied by the thrown wood.

(a) The thrown wood shall be measured in a square or rectangular container, such as an enclosed vehicle bed.

(b) If the top surface of the wood is not level, height measurements shall be taken at regular intervals perpendicular to the bottom of the container.

(c) Container capacity

(i) The container in which the wood will be measured shall be marked in an easily visible manner to indicate total capacity and the marking shall be expressed in cubic feet.

(ii) Where the container will be used to measure partial capacity, the container shall, at minimum, be marked in intervals of one hundred cubic feet.

(d) The computation of volume in thrown cords shall be accomplished as follows:

(i) Determine the cubic volume of the container or, by interpolation, determine the partial volume of the container.

(ii) once the cubic volume of a container space is known, the computation of volume in standard cords shall be based on the following equivalent values:

AA. In the case of bolts that average 12 or 16 inches in length, one standard cord equals the amount of wood, bark and air in a space of 180 cubic feet.

BB. In the case of bolts that average 24 inches in length, one standard cord equals the amount of wood, bark, and air in a space of 195 cubic feet.

4. Net scale - discounting. In all wood transactions in which thrown cord scale is used, the taking of deductions from gross scale is prohibited.

5. Marking. Culled wood shall be separated and marked in an easily visible and distinct manner.

6. Culled wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity. Where thrown cord scale is used, he quantity shall be represented in standard cords.

8. Tally. The measurement tally sheet requirements for thrown cord scale are set forth in Chapter 383, Section 4.

J. Weight scale

1. General description: Weight scale is the measurement of wood in any production form by its weight. The weight may be represented according to actual weight at the time of measurement or according to the calculated dry weight. Dry weight is the weight of wood after subtracting the weight of its moisture content as determined by the oven-dried weight method, the infra-red moisture determination method, or by an alternative method of equal or greater accuracy.

(a) Oven-dried weight means the weight of wood that has been processed to dry until no further moisture loss occurs and a stable weight is reached. The computation of the weight of oven-dried wood may be based on the oven-dried weight of a sample of the wood.

(b) The infra-red moisture determination method is the determination of moisture content in wood using an infra-red analyzer. In this process the load of wood is weighed and then passes a point on a belt conveyer where a light beam is focused to illuminate the sample being measured. The microprocessor averages the numerous individual percent moisture determinations as the load passes the instrument and records the average moisture content for the load.

2. Authorized Use: Where agreed upon by the parties, weight scale may be used to measure wood in any production form. Representation of the weight shall be the actual load weight, except that representation of dry weight is permitted, provided that:

(a) representation of quantity on the measurement tally sheet indicates that the weight represented is the dry weight, and

(b) when any method other than the oven-dried method is used:

(i) Any person proposing to use infra-red moisture analyzing equipment, other moisture analyzing equipment, or any other alternative way of measuring the moisture content of wood shall send a written request to the State Sealer requesting permission to do so, supplying all information necessary for the State Sealer to 1 determine whether to issue the authorization.

(ii) Infra-red moisture analysis or an alternative method of moisture determination may be used only when authorized in writing by the State Sealer after the State Sealer has verified that the equipment in use and the installation result in accurate moisture determinations.

(iii) The State Sealer may attach reasonable conditions to any authorization, including but not limited to, the term of the authorization the type of equipment and the method of use as well as any required studies, record keeping and reporting.

(iv) The equipment must be sealed with a lead and wire security seal by the State Sealer and opened only after his notification and permission.

(v) During that period of time when the chips are partially or completely frozen, grab samples will be taken on each load measured by the Quadra-Beam in the normal manner at the time load is passing on the conveyor. These samples will be taken to the lab and a moisture determination will be made immediately (before the sample has thawed) with the Quadra-Beam analyzer located there. Subsequent to this reading, the sample will be sealed so no moisture gain or loss will take place then allowed to set overnight. The following day (after the sample is completely thawed) the sample will be unsealed, stirred and a second analyzer reading be taken. A ratio of these two readings will then become a factor to be applied to the regular moisture determination taken at the time the chips were being unloaded, thus;

Frozen Chip Quadra-Beam Reading x Load Reading at time

Thawed Chip Quadra-Beam Reading of unloading

Wood Moisture Determination Adjusted

= for Any Variation Caused by

Frozen Chips

2-A The "Green Wood" Rule - Alternative method of measurement available when wood not promptly weighed in case of payment for services in harvesting.

(a) Alternative method available. Under the following conditions, the person providing services in harvesting may require that the wood instead be measured at the harvesting site using the state standard method of measurement for the production form of the wood involved.

(i) Time frame. The person providing the service may require an alternative method in the case of wood which is not or will not be weighed within 15 days of felling.

(ii) Form of notice. The notice requiring the alternative method of measurement must be in writing and identify the wood involved. The notice must be delivered to the person requiring the services or such other person responsible for measuring the wood.

(iii) Compliance with "Green Wood" Rule. Upon receipt of a notice requiring an alternative method of measurement, the person requiring the services shall measure the wood at the harvesting site within 15 days using the state standard method of measurement for the production form of the wood involved.

(b) Delayed weight scale. If the person providing the services does not require an alternative method of measurement, he may agree to delayed weight scale. In the case of delayed weight scale:

(i) the parties shall designate the period within which the wood will be weighed and, shall agree on a reasonable and appropriate factor to account for any resulting loss of moisture (weight).

NOTE: For example the parties might agree as follows: if wood felled between December 30 and April 30 is not weighed within 15 days: add 2% to the actual weight; and, if wood felled between May 1 and September 30 is not weighed within 15 days of felling: add 10% to the actual weight; and if wood felled between October 1 and November 30 is not weighed within 15 days of felling: add 5%.

(ii) The person requiring the service shall furnish the person providing the service with a written record of the wood within 20 days of when the service of harvesting the wood was performed.

NOTE: The information required on the written record is set forth in Chapter 383, section 1(A).

3. Measurement procedures for gross scale. Measurement computations shall be made as follows:

(a) Single and multiple draft methods. In single draft method all axles of a commercial vehicle shall be weighed simultaneously on one or more scales, except that the weight of a coupled combination may be determined by uncoupling the various elements (tractor, semi-trailer, trailer), weighing each unit separately as a single draft, and adding together the results. Multiple draft method is not permitted, except when authorized in writing by the State Sealer.

NOTE: The separate regulations relating to multiple draft weighing are available from the Division of Regulations, Maine Department of Agriculture, Conservation and Forestry.

(b) Load weight. The weight of the load shall be computed as follows:

(i) Determine the loaded vehicle weight by weighing the loaded vehicle.

(ii) Determine the tare weight by weighing the vehicle and any foreign matter and culled wood. Separately indicate the actual or a reasonable estimate of the weight of the culled wood.

(iii) Subtract the tare weight from the loaded vehicle weight. The result is the load weight, which is the gross scale of the wood.

(c) Dry weight based on oven-dried weight

(i) Compute the load weight according to paragraph (b) above.

(ii) Weigh the representative sample.

(iii) Oven dry the sample.

(iv) Weigh the oven-dried sample.

(v) Compute the percent moisture content.

(vi) Subtract the percent moisture content from 100%.

(vii) Apply the resulting percent to the load weight. The result is the oven-dried load weight, which is the gross scale of the wood, dry weight.

(d) Dry weight using the infra-red moisture determination method or an alternative method of moisture analysis

(i) Compute the load weight according to paragraph (b) above.

(ii) Compute the percentage of moisture content using the infra-red moisture determination method, or by an alternative method that has been authorized by the State Sealer.

(iii) Apply the resulting percentage to the load weight. The result is the dry weight of the load.

4. Net scale - discounting

(a) Where payment is made for services, taking .deductions from gross scale is prohibited.

(b) In the sale of wood, when weight scale is used, taking deductions from gross scale is prohibited except under the following conditions:

(i) The parties have submitted to the State Sealer a proposed method of calculating net scale deductions along with documentation that the proposed method accurately determines the amount of the defect and that the proposed method affords traceable measurement standards. The State Sealer may require further information including a demonstration of the proposed method.

(ii) The State Sealer has approved the method of calculating the deductions based on the following criteria;

AA. The method accurately determines the proportional amount of defect;

BB. The method affords traceable measurement standards;

CC. In the wood quality specifications the method of defect deduction is stated for all relevant defects.

(iii) The approval of the State Sealer shall be for a designated period of time, and in no case for longer than one year.

(iv) The approval of the State Sealer may be rescinded at any time the State Sealer finds the required criteria are not being met.

5. Marking. Mark any culled stem or piece in an easily visible and distinct manner.

6. Culled Wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

7. Declaration of quantity

(a) Where the method of measuring is weight scale, the quantity shall be represented in one thousand pound units, Tholbs, or in tons (two thousand pounds).

NOTE: The weight may not be represented in other than one thousand pound units or tons.

(b) A notation shall be added indicating the weight is represented as the dry weight. The abbreviation o.d. may be used when the oven-dried method was used.

8. Tally. The requirements for the measurement tally sheet are set forth in Chapter 383.

K. Sample Scaling

1. General description. Sample scaling is the method of wood measurement where wood is count or weight scaled and a sample of that wood is then measured by another measurement system. The sample is then expanded by the total count or weight to determine the final scale.

Subject to the limitations imposed by Section 3 (b) of this Section, below, application's of sample scaling must incorporate two of the measurement systems described in Sections A through J of this Section 6 and include, but are not limited to the following methods:

(a) counting all stems, then butt measuring a representative sample to determine either diameter count or cumulative sum;

(b) counting all logs, then gross log scaling a representative sample; or

(c) counting or weighing all stems, then butt scaling a representative sample to determine volume.

2. Use of Sample Scaling Method

(a) Approved use. When agreed upon by the parties in a sale transaction, sample scaling may be used to measure wood in any wood form, provided the proposed method has been approved in advance and in writing by the State Sealer.

(b) Prohibited use. Payment for services. The use of sample scaling is prohibited in any payment for services transaction. Likewise calculation of quantity based on sample scaling may not he used as the basis for payment of persons providing services.

3. Measurement procedure for gross scale

(a) The use of sample scaling requires:

(i) counting or weighing all stems,

(ii) randomly selecting a representative sample that meets or exceeds in size the requirements of any statistical sampling formula, method or procedure to which the parties agree,

(iii) determining the average scale for the measurement of wood for the total quantity in question, and

(iv) expanding by the count or weight of the total quantity of wood being sample scaled.

(b) Use of authorized systems of measurement. The use of sample scaling also requires that two of the other ten authorized systems of scaling are used in combination. only authorized systems of measurement for the particular wood production form involved may be used. See this Section 6, subsections A through J, for requirements for the use of other systems and for the proper procedures for the other systems.

4. Advance approval from the State Sealer

(a) Any person proposing to use a Sample Scaling method must send a written request to the State Sealer seeking a permit to do so, and supplying the information necessary for the State Sealer to determine whether to issue the authorization. An applicant must furnish the following information:

(i) the names and addresses of all parties involved in the sale transaction;

(ii) the locations where sample scaling will be carried out; the period during which sample scaling will be used;

(iii) the measurement standards upon which the sample scaling is based along with any supporting data;

(iv) a statement signed by the parties setting forth the agreed upon sample scaling measurement procedures, including the method of selecting a representative sample;

(v) any additional information requested by the State Sealer relevant to the review of the request.

(b) The State Sealer shall approve all requests and issue a permit for sample scaling, provided:

(i) The method of sample scaling is reasonable and is based on a randomly selected representative sample that meets or exceeds in size the requirements of any statistical sampling formula, method or procedure which the parties have agreed in writing to use.

(ii) The proposed use of sample scaling is consistent with the other requirements of this Section, as well as with all other applicable provisions of these rules.

(c) The State Sealer may attach reasonable conditions to any authorization, either at the time of authorization or following any inspection of the use of the sample scaling. The conditions imposed may include, but are not limited to, modifying the measurement procedures, expanding the size of the sample, modifying or adding to the record keeping or reporting systems.

5. Gross scale - deductions. In all wood transactions in which sample scaling is used, taking deductions is prohibited.

6. Marking. Mark all wood according the marking requirements for the particular systems of measurement employed in the sample scaling.

7. Culled wood. Any stem or piece that is culled shall be handled as provided for in Chapter 381.

8. Declaration of quantity. When sample scaling is used the quantity of wood shall be expressed in the appropriate unit for the systems of measurement employed.

9. Tally. The measurement tally sheet requirements for sample scaling are those required for the two other systems of measurement employed. The measurement tally sheet requirements for the other systems of measurement are set forth in Section 2(d) of Chapter 383, at pages 383-5 to 383-6. All cumulative tally sheets shall also include:

(a) the average scale of the applicable representative sample;

(b) the count or weight of the total quantity of wood being sample scaled; and,

(c) for purposes of identification, a reference description of the wood being sample scaled, by location or otherwise.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2362-A et seq.
• EFFECTIVE DATE: April 30, 1985
• AMENDED: July 30, 1986
• AMENDED: July 27, 1987- Section 6
• AMENDED: September 6, 1988 - Section 6
• CORRECTIONS: September 17, 2001 - inserted missing Section 6(J)(2-A), minor formatting
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 383 Measurement and Prompt Furnishing of Measurement Tally Sheets

Code Me. R. 01-001 Ch. 383 Measurement and Prompt Furnishing of Measurement Tally Sheets {#sec-01-001-ch.-383 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 383}

SUMMARY: This chapter of the Wood Measurement Rules establishes the requirements for measurement tally sheets and their distribution, and includes the general requirements for prompt measurement.

SECTION 1: MEASUREMENT AND PROMPT FURNISHING OF MEASUREMENT

TALLY SHEETS REQUIRED 1

SECTION 2: CONTENTS OF MEASUREMENT TALLY SHEETS IN

PAYMENT FOR SERVICES AND SALE TRANSACTIONS 3

SECTION 3: OFF-SITE MEASUREMENT: PRELIMINARY RECORD

REQUIRED WHERE PAYMENT IS MADE FOR SERVICES

HARVESTING WOOD 6

SECTION 4: MEASUREMENT TALLY SHEETS WHERE PRIVILEGE TO

MEASURE WOOD OUT OF STATE HAS BEEN SUSPENDED 7

SECTION 1. MEASUREMENT AND PROMPT FURNISHING OF MEASUREMENT TALLY SHEET REQUIRED

A. Payment for services

NOTE: These Rules shall not be read to undermine or otherwise interfere with the right to prompt payment of wages in the case of employees under the Maine Labor Laws. See 26 M.R.S.A. §621, "Time of payment" (requiring payment within 8 days) and §626 "Cessation of employment".

1. General Rule. The person requiring the services in harvesting or hauling shall measure the wood and promptly furnish to the person providing services a completed measurement tally sheet. In payment for services, to measure wood and "promptly" furnish the completed tally sheet means to measure the wood and furnish the tally sheet within 15 days after the services in harvesting or hauling were rendered.

(a) Weight scale exception for harvesting wo od. Where the wood will not be weighed within 15 days of when services in harvestings were rendered, the person providing the services may require an alternative method of measurement or may agree to delayed weight scale as permitted under the "green wood rule", Chapter 382 §6(J)(2-A).

(b) Delayed weight scale record. When wood is weighed later than 15 days after the services were rendered, the person requiring the services shall prepare a written record of the wood involved. The written record shall be given to the person providing the services in harvesting no later than 20 days from when the services were rendered and shall include the following information:

(i) the date;

(ii) the identity of the person or persons providing services in harvesting the wood by name or crew number;

(iii) a description of the wood in sufficient detail for the person providing services to identify it, as by location and pile number;

(iv) the location where the wood is expected to be measured;

(v) the date by which the wood will be measured; and

(vi) the percentage adjustment that the parties have agreed upon to account for any anticipated moisture (weight) loss.

2. Preparation of measurement tally sheet. The person who measured the wood, or the assisting tally person, shall enter the general information required on the tally sheet at the time the wood is measured. See Section 2(A), below.

3. Immediate availability of tally sheet. From the time the wood is measured until the measurement tally sheet is furnished, the person requiring the services shall make the measurement tally sheet available to the person providing the services at a reasonable location.

B. Sale Transaction

1. General Rule. In the case of sale, the party responsible for measuring the wood shall promptly measure the wood and furnish to the other party a completed measurement tally sheet. In a sale to measure and promptly furnish the measurement tally sheet means to measure the wood and furnish the tally sheet within 15 days of delivery of the wood to the purchaser, unless another time period is provided in the agreement of the parties.

2. Preparation of Measurement Tally Sheets. The person who measures the wood, or the assisting tally person, shall enter the general information required on the tally sheet. See section 2(A), below.

SECTION 2. CONTENTS OF MEASUREMENT TALLY SHEET IN PAYMENT FOR SERVICES AND SALE TRANSACTIONS

NOTE: Sample tally sheets are available upon request from the State Sealer.

A. General Information Required. All measurement tally sheets must include the following information:

1. Parties identified: Identification of the parties.

2. Wood identified: A description of the wood in sufficient detail for the parties to identify it. This may be by species, pile number, load number, location of origin, or otherwise. In the case of delayed weight scale, identify the written record of the wood involved, by date or otherwise.

3. Date: The date the wood was measured.

4. System: The system of measurement used.

5. Marking: Where marking is required, the color of the marker used to mark the measured wood, and haw culled pieces will be marked.

6. Scaler. The handwritten or stamped signature and license number of the scaler who measured the wood, or the signature of any other person who measured the wood and the name and license number of the supervising or authorizing scaler.

7. Scaling measurements. The scaling measurements of the wood measured, as required for the measurement system utilized. Set forth below in subsection C is the specific information for each measurement system.

(a) In the case of payment for services, the scaling measurements must be included on the Measurement Tally Sheet.

(b) In the case of a sale, this requirement to provide the scaling measurements may be omitted by agreement of the parties.

8. Culled wood

(a) The number of culled stems or pieces and the reason for culling.

(b) In the case of payment for services, where the wood is removed from the harvesting site, the actual measurement of the culled wood or a reasonable estimate of the measurement of the culled wood.

9. Gross scale and deductions for each unit measured. The gross scale and the amount of any permissible deductions from the gross scale for each unit measured indicating the reason for the deductions. The reason for the deductions may be provided by way of a code or other system of identification. (Reference should be made to Chapter 381 to determine when deductions from gross scale are permissible.)

B. Supplemental information for off-site measurement. In the case of payment for services harvesting wood where the wood is measured after it is removed from the harvesting area (off-site measurement), the following information shall be added to the measurement tally sheet by the person measuring the wood or the person requiring the services:

1. For mixed loads, the total quantity measured and the allocation among the persons providing services; and

2. Information which enables the person providing services harvesting the wood to relate the measurement tally sheet to the corresponding preliminary record or records for the wood.

C. Cumulative total. If a cumulative total of gross scale, and where appropriate, of net scale, were not included on the individual tally sheets: then

1. The cumulative total or totals shall be provided on a final tally or within 15 days after the wood was measured or hauled, but no later than at the time of payment for the wood.

2. The final tally shall identify all related measurement tally sheets by number or otherwise.

D. Scaling measurements for each measurement system. For each measurement system, the following scaling measurements shall be set forth on the measurement tally sheet:

1. Butt measure

The measured diameter of each piece or the diameter class of each piece.

2. Count

The number of pieces, by species or other groupings.

3. Butt scale

The measured diameter of each stem according to the butt diameter size.

4. Stick cord scale

(a) The width of the stack;

(b) Height and length of the pile; and

(c) The amount of any quantity reductions for voids.

5. Log scale

The measured length or top end diameter of each log.

6. Linear measure

The length of each stem or piece, individually or by length groupings.

7. Cubic foot measure

The top end and butt end diameters and the length of each stem or piece.

8. Chip volume scale

(a) The total volume of chips in cubic feet or chipcords; and

(b) in the case of a mixed load, how the load is allocated between the persons or crews involved.

9. Thrown cord scale

(a) The specified length of the bolts: 12, 16, or 24 inches;

(b) The total cubic footage of the filled containers and any partially filled containers.

10. Weight scale

(a) For wood not weighed as oven-dried:

(i) the loaded vehicle weight;

(ii) the tare weight (weight of vehicle and any foreign matter or culled wood); and

(iii) the load weight.

(b) For wood weighed as oven-dried where a representative sample is used:

(i) the loaded vehicle weight;

(ii) the tare weight (weight of vehicle and any foreign matter or culled wood);

(iii) the load weight;

(iv) the weight of the sample before drying;

(v) the weight of the sample after drying;

(vi) the percentage moisture content; and

(vii) the result of the percentage moisture content applied to the load weight.

11. Sample Scaling. The measurement tally sheet requirements for sample scaling are those required for the two other systems of measurement employed. The measurement tally sheet requirements for the other systems of measurement are set forth above. All cumulative tally sheets shall also include:

(a) the average scale of the applicable representative sample;

(b) the count or weight of the total quantity of wood being Sample scaled; and

(c) for purposes of identification, a reference description ,of the wood being sample scaled, by location or otherwise.

SECTION 3: OFF-SITE MEASUREMENT: PRELIMINARY RECORD WHERE PAYMENT IS MADE FOR SERVICES HARVESTING WOOD

A. Preliminary Record Required. When wood will be measured after it is removed from the harvesting area, persons requiring services harvesting wood shall make a cumulative daily record of all loads of wood removed from the harvesting area, numbering in consecutive order each load removed.

B. Responsibility for Preliminary Record. The person requiring the service is responsible for preparing and making the preliminary record available. This responsibility may be carried out by another person provided that other person is in a position to maintain a daily cumulative record of all loads of wood hauled. Preparation of the preliminary record may not be delegated to persons who are not in a position to maintain a daily cumulative record of all loads of wood hauled.

NOTE: For example, persons who ordinarily prepare the preliminary record are the logging service contractor, or the crane operator who loads the wood.

C. Contents of Preliminary Record. The record must include the following information for each load of wood removed:

1. the date;

2. the load number;

3. the identity of the person or persons providing services in harvesting the wood by name or crew number;

4. a description of wood in each load, in sufficient detail for the person providing services to identify it, as by location and pile number;

5. the location where the wood will be measured.

NOTE: Examples of a preliminary record are a clipboard list by consecutive load numbers or consecutively numbered trucking slips.

D. Availability of preliminary record. The preliminary record must be retained by the person requiring services and must be made available to the person providing services at the harvesting site on the day the wood is removed, and thereafter at a reasonable location designated by the person requiring services, and must remain available to the person providing services until 15 days after the related measurement tally sheet has been delivered to him.

SECTION 4. MEASUREMENT TALLY SHEETS WHERE PRIVILEGE TO MEASURE WOOD OUT OF STATE HAS BEEN SUSPENDED

During the period of time that an order suspending the privilege to measure wood outside of the state (as described in Chapter 381 §7) is in effect, the person requiring services to whom the order is directed must furnish any person providing services with a measurement tally sheet prior to hauling the wood out of state, and in accordance with the general requirements set forth in this chapter.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2361-A et seq.
• EFFECTIVE DATE: April 30, 1985 - filing 85-22
• AMENDED: July 30, 1986 - filing 86-277
• AMENDED: September 6, 1988 - Section 2(D) - filing 88-304
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: January 29, 2003 - formatting and punctuation only
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 384 Wood Measurement Rules - Complaints and Investigations

Code Me. R. 01-001 Ch. 384 Wood Measurement Rules - Complaints and Investigations {#sec-01-001-ch.-384 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 384}

SUMMARY: This chapter of the Wood Measurement Rules establishes procedures for filing complaints relating to violations of the Wood Measurement Law and these Wood Measurement Rules and for the handling of those complaints by the State Sealer, including investigation and check measurement. Also included are provisions dealing with investigations and check measurements on the State Sealer's own initiative.

SECTION 1: FILING OF WOOD MEASUREMENT COMPLAINTS 1

SECTION 2: STATE SEALER'S DETERMINATION OF TYPE OF

COMPLAINT AND OF RESPONDENT 2

SECTION 3: TIME REQUIREMENTS FOR FILING COMPLAINTS 3

SECTION 4: ADDITIONAL PROCEDURES RELATING TO DISPUTED WOOD COMPLAINTS 3

SECTION 5: IMPOUNDMENT OF WOOD 5

SECTION 6: NOTIFICATION TO RESPONDENTS 5

SECTION 7: INVESTIGATION OF DISPUTED WOOD COMPLAINTS 6

SECTION 8: INVESTIGATION OF GENERAL COMPLAINTS 7

SECTION 9: CHECK MEASUREMENT 7

SECTION 10: INVESTIGATIONS AND CHECK MEASUREMENT ON THE

STATE SEALER'S INITIATIVE 9

SECTION 11: PRELIMINARY FINDINGS AND OPPORTUNITY FOR WRITTEN RESPONSE 10

SECTION 12: STATE SEALER'S DETERMINATION AND WRITTEN FINDINGS 11

SECTION 13: INFORMAL RESOLUTION OF DISPUTE 12

SECTION 14: ADDITIONAL CONSEQUENCES OF FAILURE TO FURNISH PROPER

MEASUREMENT TALLY SHEET OR FAILURE TO OBEY AN IMPOUNDMENT

ORDER OR A NOTICE TO HOLD WOOD 13

SECTION 1. FILING OF WOOD MEASUREMENT COMPLAINTS

NOTE: A sample wood measurement complaint is in the appendix, page A-19.

A. Who may file a complaint. Any person who believes that he has been aggrieved by a violation of the Wood Measurement Law or these Wood Measurement Rules may file a complaint with the State Sealer. The address and phone number of the State Sealer are:

State Sealer

Department of Agriculture, Conservation and Forestry

Division of Regulations

28 State House Station

Augusta, ME 04333

(207) 287-3841 (From 7:30 A.M. to 5:00 P.M. weekdays this number will be answered.)

B. Form of complaint. The complaint may be made either orally or in writing. If the complaint is made orally:

1. The State Sealer shall prepare a written complaint.

2. The State Sealer may also require that the complainant submit his complaint in writing, postmarked no later than 5 days after the date of the oral complaint.

C. Contents of complaint

1. Whether oral or written, the complaint shall contain, at minimum, the name, address, and phone number of the complainant and any other person on behalf of whom the complaint is filed and a brief statement of the facts surrounding the alleged violation.

2. If known, the complaint shall also contain the following information, except that if any of the information is not included or is later found to be in error a timely complaint will not be deemed invalid:

(a) The name and address of the other party to the wood transaction;

(b) The name and address of the person who measured the wood;

(c) The name and address of any other person whose conduct is also complained of;

(d) The name, address, and phone number of the owner of the stumpage;

(e) The date the complainant discovered the alleged violation or violations;

(f) If relevant, location and description of the wood in enough detail to identify the wood;

(g) If relevant, whether the person in possession or control of the wood has been notified to hold the wood and, if so, the date that notification was made.

SECTION 2. STATE SEALER'S DETERMINATION OF TYPE OF COMPLAINT AND OF RESPONDENT

Upon receipt of a complaint, the State Sealer shall determine whether the complaint is for disputed wood, or whether it is a general complaint.

A. Disputed wood complaints. Whenever the alleged violation is that specific wood was inaccurately measured, the complaint is for disputed wood.

B. General complaints. Any complaint which alleges any other type of violation is a general complaint. Examples of general complaints are:

1. Conversion from weight scale to another system of measurement for purposes of computing payment or price;

2. Use of an unauthorized system of measurement or improper use of an authorized system;

3. The taking of deductions for scaling defects where payment is made for services;

4. Refusal to measure wood that was designated to be harvested and yarded and was prepared as directed;

5. Failure to promptly furnish a measurement tally sheet, or

6. Non-compliance with licensing requirements.

C. Complaints alleging more than one violation. Whenever a complainant alleges more than one violation, the State Sealer shall separately consider and handle each of the alleged violations.

D. Determination of respondent to the complaint

1. In addition to the other party to the transaction, the State Sealer, based on the nature of the complaint, may name as a respondent any other party or person who may have participated in the alleged violation.

2. Following the investigation, the State Sealer, based on the information obtained during the course of the investigation, may name additional respondents.

SECTION 3. TIME REQUIREMENTS FOR FILING COMPLAINTS

A. Disputed wood complaints. A complaint that specific wood has been inaccurately measured shall be made within 15 days from the date on which the complainant discovered the alleged inaccurate measurement of the wood.

B. General Complaints. A complaint other than a disputed wood complaint shall be made within a reasonable time after the complainant discovers the alleged violation, as determined by the State Sealer.

C. Consequences of filing a disputed wood complaint more than 15 days after discovery of the inaccurate measurement of the wood

1. Whenever the State Sealer receives a complaint that is for the inaccurate measurement of specific wood and the State Sealer determines that the complaint was made more than 15 days from the date of discovery of the alleged violation, the State Sealer shall notify the complainant that no investigation of the complaint will be made, stating:

(a) That the State Sealer has reasonable grounds to believe the complaint was not timely filed and stating the reasons for that belief;

(b) That the private right of action afforded under the Wood Measurement Law (10 M.R.S.A. §2368(2)) is not available to an aggrieved party in the case of an untimely complaint for disputed wood; and

(c) That the unavailability of a remedy under the Wood Measurement Law does not modify any contract rights or other remedies under law that may be available to the aggrieved party.

2. The notice that no investigation of the complaint will be made shall be sent to the complainant by certified mail. The notice will not be sent to any other person, except that if the person in possession or control of the wood was given a notice to hold wood or an impoundment order was issued, then the person in possession or control of the wood and any other party to the wood transaction shall also be notified in writing that the complaint has been dismissed.

SECTION 4. ADDITIONAL PROCEDURES RELATING TO DISPUTED WOOD COMPLAINTS

A. Notice to hold wood

1. Notice by complainant. The complainant may, if he chooses, give notice to the person with possession or control of the wood to which the alleged violation relates that a complaint has been or will be filed and that he wants the wood to be held. The notice is effective if the wood can be separately identified at the time the notice is received. Notice to hold wood may be oral or written.

2. Notice given before complaint filed. If the complainant gives notice to the person with possession or control of the wood before he files the complaint, he must file the complaint on or before the 4th day after the day on which he gives that notice, but in no case later than 15 days from the date of discovery of the alleged violation.

3. Effect of notice. If the complainant gives notice to the person with possession or control of the wood that a complaint has been or will be filed, that person may not thereafter cause or allow the wood, if it can be separately identified, to be removed, cut, or otherwise processed so that it can no longer be separately identified and check measured, until permitted to do so by an order of the State Sealer.

(a) However, if the person with possession or control of the wood does not receive an order impounding the wood from the State Sealer within 12 days after receiving the notice to hold wood from the complainant, he may, after the 12th day, remove, cut, or otherwise process the wood.

(b) The person with possession or control of the wood may move the wood, provided the following requirements are met:

(i) He must maintain the form of the wood and its separate identity.

(ii) He may move it only once and only to a place at which it is no less convenient for the State Sealer to check measure or otherwise investigate the wood.

(iii) At that time the wood is moved, he must inform the complainant and the State Sealer of the location to which the wood will be moved. He may inform them orally or in writing, but if he does so orally the State Sealer may require that he also provide the information in writing.

(iv) The wood may not be moved again unless written prior permission is obtained from the State Sealer.

(c) Upon receipt from a complainant of a notice to bold wood, the person in possession or control of the wood may himself contact the State Sealer. if notification from the person in possession or control of the wood is received before the complaint is filed, the State Sealer may not investigate until the complaint is made.

B. Impoundment of disputed wood. Within 4 days of receipt of a complaint alleging that specific wood was inaccurately measured and stating that a notice to hold wood was given, the State Sealer may issue an order impounding the wood, as provided in subsection 5. However, if the State Sealer issues an impoundment order later than 4 days after receipt of the complaint, the order is still valid, provided the wood can be separately identified.

SECTION 5. IMPOUNDMENT OF WOOD

A. Authority. Whenever the State Sealer believes that a violation of these Wood Measurement Rules may have occurred and that impoundment of wood is reasonably necessary for the furtherance of the investigation, the State Sealer may issue an order impounding wood.

B. Impoundment order. To impound wood, the State Sealer shall issue an order to the person with possession or control of the wood, identifying the wood to be impounded and ordering the person not to remove, cut, or otherwise process the impounded wood until he is permitted to do so by further order of the State Sealer.

1. An impoundment order may be given either orally or in writing.

2. If the impoundment order is given orally, within 4 days of giving the oral order the State Sealer shall send a written order by certified mail to the person with possession or control of the wood.

3. The State Sealer shall send a copy of any written impoundment order to the parties to the wood transaction, if known.

C. Release of impounded wood

1. Upon completion of the check measurement or other examination of the wood, the State Sealer shall issue:

(a) An order releasing any wood impounded in the investigation; or

(b) An order continuing the impoundment, if be determines that further investigation is likely and that continued impoundment is therefore reasonably necessary.

2. At the time the State Sealer issues his determination and findings under section 12, he shall release any wood impounded in the investigation and not yet released. However, if the State Sealer determines that continued impoundment is necessary, he may apply to the court for an order continuing the impoundment and the State Sealer's impoundment order remains in effect until the application to the court is granted or denied.

SECTION 6. NOTIFICATION TO RESPONDENTS

A. Notification required

1. Disputed wood complaint. Following issuance of an impoundment order, and no later than the date of check measurement, the State Sealer shall furnish the respondents to the complaint with a statement of the alleged inaccurate measurement. If no wood is impounded or check measured, the State Sealer shall furnish the respondents with a statement of the alleged inaccurate measurement within 10 days of receipt of the complaint.

2. General complaint. The State Sealer shall furnish the respondents with a statement of the alleged violation within 10 days of receipt of the complaint and in no case later than the date a check measurement is undertaken.

3. Spot checks. Whenever the State Sealer conducts a spot check of the measurement of wood, and regardless whether the spot check is in response to a complaint, the State Sealer is not required to provide notice to the person with possession or control of the wood in advance of the date of the check measurement.

B. Disclosure of complainant

During the investigation of any complaint, the State Sealer shall not reveal the name of the complainant, except where reasonably necessary for the furtherance of the investigation and after obtaining consent from the complainant.

C. Method of notification. The State Sealer shall notify the respondents in writing of the alleged violation, and this notification shall be made by certified mail postmarked no later than the date the State Sealer is required to furnish the notification.

SECTION 7. INVESTIGATION OF DISPUTED WOOD COMPLAINTS

A. Investigation required. Upon timely receipt of a complaint for disputed wood, the State Sealer shall investigate the complaint.

B. Methods of investigation. As part of the investigation the State Sealer may:

1. Subpoena such witnesses and documents as may be necessary for the furtherance of the investigation;

2. Cause the disputed wood to be impounded, in accordance with section 5, if it can be separately identified;

3. Conduct a check measurement of the wood in accordance with section 9;

4. Engage in informal fact-finding meetings and interviews with the complainant, the respondent, and any other person whose statement may provide information or evidence;

5. Use such other methods that are reasonably necessary for the furtherance of the investigation.

SECTION 8. INVESTIGATION OF GENERAL COMPLAINTS

Whenever a general complaint is filed and the State Sealer determines that a violation may have occurred, he shall conduct an investigation of the complaint which may include any of the procedures or methods provided for in section 7, except that if the State Sealer determines that impoundment is reasonably necessary for the furtherance of the investigation, be shall impound only where the wood can be separately identified and he may impound wood no more than 24 hours in advance of examining the wood in question.

SECTION 9. CHECK MEASUREMENT

A. Licensed wood scaler required. Whenever a check measurement is conducted, the State Sealer shall cause the check measurement to be performed by a wood scaler who is licensed to use the system of measurement involved, in accordance with Chapter 384 of these Wood Measurement Rules , and who is either a State employee or a person under contract to the State.

B. Check measurement procedures

1. System of measurement. The State Sealer shall check measure the wood using the same system of measurement that was used or will be used to measure the wood, provided the method is authorized for the wood production form involved.

2. Method of measurement. The State Sealer shall conduct the check measurement according to the procedures set forth in Chapter 382. When a check measurement involves the use of butt scale, the provisions of subparagraph (a) shall also apply. When a check measurement involves a determination of moisture content of stems or pieces, the determination shall be made according to subparagraph (b).

(a) Butt scale check measurement

(i) The State Sealer shall measure the cubic volume of the wood by computing the cubic volume either of each individual stem, or of each individual stem in a representative sample, as the State Sealer determines to be appropriate, and adding together the individual cubic volumes. If the State Sealer chooses to use a representative sample, he shall select the individual stems which shall constitute the sample. When the check measurement is made in the investigation of a disputed wood complaint, the sample shall be representative of the stems the measurement of which is in dispute. In other investigations, the sample shall be representative of the wood involved in the investigation.

(ii) The cubic volume of individual stems shall be conducted as follows:

AA. Diameters shall be measured at the butt end, at two feet from the butt, at four feet from the butt, and at four foot intervals to the top. The length of the top segment, if less than four feet, shall be measured to the nearest one-tenth foot. Diameter measurements shall be taken outside the bark, except that inside bark measurements or volumes may be used where the wood quality specifications state that the factor used to convert cubic feet to standard cords is based on inside bark measurement or on inside bark volumes.

BB. Unless an alternative formula been authorized by the State Sealer, the cubic foot content of each segment will be computed by means of the formula:

V = (A + a)/2 x L

2

where V is the volume, in cubic feet, of the stem segment, A is the area in square feet of the large end, a is the area in square feet of the small end of the stems segment, and L is the length of the segment measured. The total cubic foot content of the separate segments shall be added together to compute the cubic foot content of the stem.

CC. Where the volume is represented in standard cords, the following conversion factors shall be used:

softwood - 85 cubic feet of wood including bark equals one standard cord,

hardwood - 80 cubic feet of wood including bark equals one standard cord,

except that where the parties have agreed to an alternative reasonable and appropriate conversion factor and that conversion factor is set forth in the wood quality specifications, then, this alternative factor shall be used to calculate the number of standard cords.

(b) Moisture content determination. Whenever a determination of the moisture content of stems or pieces is required, the check measurement shall be conducted as follows:

(i) The State Sealer shall make his selection of sample points on a random basis, first selecting a minimum of ten stems or pieces and then selecting a specific sampling point on each stem. In cases where the removal of a sample disc would ruin a stem or piece for processing purposes, the sample point will be moved to the nearest end of the shortest standard length specified for the production form involved.

(ii) The samples will immediately be placed in a Moisture proof bag. The bag shall be sealed after excluding excess air and a tag shall be attached giving the following information: Sample number, date sample taken, species of wood in the load, gross weight, tare weight, name of seller and buyer or name of person requiring services and person providing services, point of delivery, and name of person selecting and taking the sample discs. Samples will be stored in a cool, dark place until they are tested.

(iii) The State Sealer will determine the weight of the sample prior to drying and its oven-dry weight. He will then compute the percent moisture content using the formula:

C. Tolerance for error

1. Acceptable tolerances. Whenever a check measurement is conducted, the measurement of wood shall not be deemed to be inaccurate where the quantity computed on check measurement is within + 4% of that computed in the measurement of the wood.

2. Error within acceptable tolerance. Where the deviation is within the acceptable range of tolerance, the State Sealer may in any event require that any measuring equipment, volume tables, or methods of measurement be adjusted to have a value or give a performance closer to zero error.

SECTION 10. INVESTIGATIONS AND CHECK MEASUREMENT ON THE STATE SEALER'S INITIATIVE

The State Sealer may, on his own initiative and without any complaint, conduct such investigations and check measurements as he deems necessary to verify and ensure compliance with the requirements of the Wood Measurement Law and these Wood Measurement Rules .

A. Notice not required. The State Sealer is not required to give notice to any person before undertaking an investigation or check measurement on his own initiative.

B. Check measurement procedures. Check measurements conducted under this section shall be performed in accordance with section 9.

C. State Sealer's powers. At any time during or after an investigation or check measurement under this section, the State Sealer may:

1. Notify any person whose interests may be affected by the matter investigated or the check measurement;

2. Invite persons whose interests may be affected to meet to discuss the matter investigated or the check measurement.

D. Violations. Whenever, as a result of such an investigation or check measurement, the State Sealer has reason to believe that a violation of the Wood Measurement Rules has occurred, the State Sealer may issue preliminary findings and a determination and written findings as set forth in sections 11 and 12.

SECTION 11. PRELIMINARY FINDINGS AND OPPORTUNITY FOR WRITTEN RESPONSE

A. Preliminary findings. Within 20 days of the filing of the complaint the State Sealer shall send a copy of his preliminary factual findings to the complainant and respondents by certified mail, except that if the State Sealer cannot issue the findings within 20 days, he shall so advise the complainant and respondent in writing and shall state the date by which he expects to be able to issue them.

B. Opportunity for written response. Upon receipt of the preliminary findings the complainant and respondents shall have an opportunity to file a written response with the State Sealer, setting forth specific items of disagreement and grounds for the disagreement.

1. The written response must be received by the State Sealer no later than 10 days after receipt of the preliminary findings. Any extension shall be permitted only where agreed upon by both the complainant and the respondents.

2. The State Sealer shall only consider items of disagreement that are submitted in writing and which address:

(a) Relevant factual errors;

(b) Relevant omissions of facts, or

(c) Relevant issues and questions concerning interpretations of law.

3. The State Sealer shall mail a copy of any response received to the other parties to the complaint.

4. The State Sealer is not required to permit the other parties to a complaint the opportunity to rebut any written response, except where, as a result of the response, the State Sealer amends or reverses his preliminary findings.

C. Amended or reversed Preliminary findings. if, as a result of a written response, the State Sealer amends or reverses his preliminary findings, the revised preliminary findings are again subject to the requirements of subsection A and B relating to the opportunity for written responses.

SECTION 12. STATE SEALER'S DETERMINATION AND WRITTEN FINDINGS

A. Determination and written findings required. After considering the results of the investigation and any written response to preliminary findings, the State Sealer shall make and issue a determination whether there are reasonable grounds to believe a violation has occurred. The determination shall be accompanied by a written statement of findings.

B. Contents of determination and findings. The determination and findings of the State Sealer shall include:

1. A brief description of the alleged violation;

2. The results of the investigation and a summary of the evidence relied upon; and

3. Determinations reached on the allegations in the complaint.

C. Mailing of determination and findings. The State Sealer shall send a copy of the determination and findings by certified mail to:

1. The complainant;

2. The other parties to the wood transaction;

3. The person who measured the wood;

4. Any other person whose conduct was complained of;

5. If known, the owner of the stumpage of the wood to which the complaint relates, if other than one of the above named persons.

D. Accompanying notice required. The State Sealer shall send, with the written findings, a notice which shall indicate what further action will be taken, if any, and which shall state that:

1. A determination that a violation of the Wood Measurement Law or these Wood Measurement Rules occurred is not binding upon the parties except by order of a court of law. Regardless of the determination, the State Sealer has no power to order adjustments in payment to be made.

2. The State Sealer is authorized to apply to any court of competent jurisdiction for a temporary or permanent injunction restraining any person from violating any provision of the Wood Measurement Law or these Wood Measurement Rules .

3. A violation of the Wood Measurement Law or these Wood Measurement Rules is punishable by the civil penalties of a fine not to exceed $1,000 for the first offense and $2,000 for each subsequent offense and that these civil penalties may be recovered by the State Sealer on behalf of the State in a civil action.

4. The complainant has a right to bring a civil action for damages against any person who has violated any provision of the Wood Measurement Law or of these Wood Measurement Rules and that the civil action for damages may be brought by either the aggrieved party or, at the request of the State Sealer, by the Attorney General.

5. A judgment in favor of a complainant in an action brought to recover damages may include, in addition to the actual damages adjudged to be due, a reasonable rate of interest, an additional amount as liquidated damages equal to twice the amount of actual damages, and costs of suit including a reasonable attorney's fee.

6. Both the District Court and the Superior Court have jurisdiction of cases under the Wood Measurement Law and these Wood Measurement Rules , depending on the nature of the case and the remedy sought.

E. Time requirements for determination and findings

1. No written responses submitted. Where no written responses were filed under subsection B, the State Sealer shall issue the determination and findings within 15 days of issuance of the preliminary findings, except that if the State Sealer cannot issue the determination and findings within 15 days, he shall so advise the complainant and respondent in writing and shall state the date by which he expects to be able to issue them.

2. Written response submitted. Where a written response was filed under subsection B, the State Sealer shall issue the determination and findings, or the amended or reversed preliminary findings, as the case may be, within 20 days of receipt of the written response, except that if the State Sealer cannot issue the determination and findings of the amended or reversed preliminary findings within 20 days, he shall so advise the complainant and respondent in writing and shall state the date by which be expects to be able to issue them.

SECTION 13. INFORMAL RESOLUTION OF DISPUTE

Throughout the complaint procedures, the State Sealer may assist the parties in reaching a voluntary resolution of the wood measurement dispute, including settlement of any payment alleged due.

SECTION 14. ADDITIONAL CONSEQUENCES OF FAILURE TO FURNISH PROPER MEASUREMENT TALLY SHEET OR FAILURE TO OBEY AN IMPOUNDMENT ORDER OR A NOTICE TO HOLD WOOD

A. Separate Violation. A person with possession or control of wood who received an impoundment order or a notice to hold wood, regardless of whether he is one of the persons whose conduct is complained of, is in violation of these Wood Measurement Rules if be causes or allows the wood to be removed, cut or otherwise processed such that it can no longer be separately identified.

B. Presumption of Violations

1. Underscaling. Where a person whose conduct is complained of for underscaling has not furnished a completed measurement tally sheet as required in Chapter 383, he shall be presumed by the State Sealer to have committed the violation of underscaling. The person whose conduct is complained of may offer evidence to rebut the presumption.

2. Presumption of alleged violation. Where in conjunction with an investigation of an alleged violation, a person has failed to obey an impoundment order or a notice to hold wood, the State Sealer shall presume that the person has committed the alleged violation. The person whose conduct is complained of may offer evidence to rebut the presumption.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2361-App et seq.
• EFFECTIVE DATE: April 30, 1985
• AMENDMENT EFFECTIVE: July 30, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 21, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 385 Wood Measurement Rules - Licensing of Wood Scalers

Code Me. R. 01-001 Ch. 385 Licensing of Wood Scalers {#sec-01-001-ch.-385 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 385}

SUMMARY: This chapter of the Wood Measurement Rules establishes requirements and procedures for the licensing of wood scalers and apprentice wood scalers; provides for temporary authorization for a substitute to scale when a licensed wood scaler is unavailable; and establishes authority and procedures for investigations to ensure compliance with licensing requirements.

SECTION 1: GENERAL PROVISIONS 1

SECTION 2: LICENSE ELIGIBILITY AND APPLICATIONS 1

SECTION 3: WOOD SCALER LICENSE 2

SECTION 4: APPRENTICE WOOD SCALER LICENSE 4

SECTION 5: AUTHORIZATION FOR A TEMPORARY SUBSTITUTE TO

SCALE WHEN LICENSED WOOD SCALER UNAVAILABLE 6

SECTION 6: INVESTIGATIONS TO ENSURE COMPLIANCE WITH

LICENSING REQUIREMENTS 7

SECTION 1. GENERAL PROVISIONS

A. License required. No person may measure wood in a wood transaction covered by these Wood Measurement Rules in which his measurement will form the basis for payment, unless that person is licensed to do so in accordance with this chapter, except that:

1. No license is required for the measurement of wood by weight when that measurement involves only the reading or recording of the number on the scale; and

2. No license is required for the measurement of firewood in consumer transactions on the retail market.

B. Enforcement actions and license penalties. A licensed wood scaler or apprentice wood scaler who violates the Wood Measurement Law or these Wood Measurement Rules is subject to the enforcement action and license denial, revocation and suspension provisions set forth in Chapter 380 §4, sub-§§ A and B.

SECTION 2. LICENSE ELIGIBILITY AND APPLICATIONS

A. Eligibility to apply for licenses. Any individual 18 years of age or older is eligible to apply for a wood scaler license or an apprentice wood scaler license.

B. Applications for licenses and renewal. An application for a wood scaler license or an apprentice wood scaler license shall be made on forms obtained by the applicant from the State Sealer. An application to renew a wood scaler license shall be made on a form to be sent to licensees by the State Sealer.

NOTE: Application forms may be obtained from:

State Sealer - Wood Scaler Licensing

Department of Agriculture, Conservation and Forestry

Division of Regulations

28 State House Station

Augusta, ME 04333

Tele: (207) 287-3841

C. Filing requirements for applications. No individual may measure wood in a wood transactions covered by these Wood Measurement Rules until he has applied for and been issued a license by the State Sealer.

SECTION 3. WOOD SCALER LICENSE

A. Qualifications. To qualify for a wood scaler license, an individual must satisfy the State Sealer that he is competent to measure wood using one or more authorized systems of measurement and successfully complete an examination as established by the State Sealer. The level of qualification that is required will, in part, depend on which system(s) of measurement the applicant seeks to be licensed for. Among the ways to demonstrate competence are the following:

1. A total of 5 years experience as a wood scaler, whether continuous or non-continuous, within the past 10 years.

2. Two years continuous experience as a wood scaler immediately prior to the filing of the application,

3. Certification as a Registered Professional Forester in Maine or similar certification in another state of the United States or a province of Canada which is determined by the State Sealer to be at least the equivalent of certification as a Registered Professional Forester and evidence of experience scaling wood which demonstrates competence using one or more authorized systems of measurement;

4. Satisfactory completion of a training program in wood scaling plus six months experience as a licensed apprentice wood scaler working under the direct supervision of a licensed wood scaler. The applicant must provide information which demonstrates to the satisfaction of the State Sealer the merit of the training program; or

5. Two years experience as a licensed apprentice wood scaler working under the direct supervision of a licensed wood scaler.

6. Evidence of other training, experience scaling wood, or other relevant experience or knowledge, which demonstrates to the satisfaction of the State Sealer that the applicant is competent in one or more authorized system of measurement.

B. Information required. The applicant for a wood scaler license shall include in the application:

1. Information sufficient to demonstrate that he qualifies for a license under sub-§A; and

2. Information indicating what authorized system(s) of measurement he is competent to perform.

C. Issuance. On the basis of the information supplied by the applicant in the application and successful completion of the examination, and following receipt of the required fee, the State Sealer shall issue a wood scaler license to an applicant whom he determines to be qualified.

The license shall indicate the authorized system(s) of measurement the licensee is licensed to use. The State Sealer shall rely on the representations of the applicant in determining whether to issue a license. If the applicant misrepresents his qualifications on the application, it is a basis for denial, suspension, revocation of the license.

D. Conditions. The following conditions apply to wood scaler licenses:

1. A licensed wood scaler may use only the authorized system or systems of measurement for which he is licensed.

2. A licensed wood scaler shall keep the original or a copy of his license on his person at all times that he is engaged in the measurement of wood.

3. A licensed wood scaler shall sign or stamp all measurement tally sheets with his name and his license number.

4. A licensed wood scaler whose license has been revoked or suspended shall immediately return the revoked or suspended license to the State Sealer and shall immediately discontinue the measurement of wood in transactions in which this measurement will form the basis for payment.

5. A licensed wood scaler shall be responsible for the accuracy of his measurements and for compliance with these Wood Measurement Rules .

6. A licensed wood scaler who is assisted in the measurement of wood by any other individual, including an apprentice wood scaler, shall be responsible for the accuracy of the assistant's measurements and for the assistant's compliance with the Wood Measurement Law and these Wood Measurement Rules . if the assistant of a licensed wood scaler does not comply with applicable laws and rules, the licensed wood scaler will be subject to the sanctions of the Wood Measurement Law .

7. A licensed wood scaler shall be familiar with the Wood Measurement Law and these Wood Measurement Rules at the time he is licensed and shall remain familiar and comply with these laws and rules, including amendments, throughout his period of licensure.

E. Term and Fees

1. One Year License. The term of a one year wood scalers license is one year from the date of issuance or the date of renewal. The annual fee for a wood scaler license is $25.

2. Two year License. Upon request a wood scaler license may be issued for a two year period from the date of issuance or the date of renewal. The fee for a two year license is $50.

F. Renewal. A wood scaler license will be automatically renewed upon payment of the required fee and upon furnishing any information requested by the State Sealer, except that a wood scaler license will not be automatically renewed if:

1. The license has been suspended or revoked; or

2. The licensee is under investigation for an alleged violation of the Wood Measurement Law or these Wood Measurement Rules .

SECTION 4. APPRENTICE WOOD SCALER LICENSE

A. Types and term of licenses. There are two types of apprentice wood scaler licenses: a six-month license and a two-year license.

1. The six-month license allows the licensee, for a six-month period, to measure wood only under the direct supervision of a licensed wood scaler.

2. The two-year license allows the licensee, for a two year period, to measure wood only under the direct supervision of a licensed wood scaler.

B. Qualifications. The qualifications for an apprentice wood scaler license are as follows:

1. Any individual 18 years of age or older who has successfully completed a training program in wood scaling qualifies for a six-month apprentice wood scaler WMR‑385-5 license. The applicant must provide information which demonstrates to the satisfaction of the State Sealer the merit of the training program.

2. Any individual 18 years of age or older qualifies for a two-year apprentice wood scaler license.

3. An individual who is a licensed wood scaler in any system of measurement is qualified for a six month apprentice license in any other system of measurement.

C Issuance. On the basis of the information supplied by the applicant in the application, and following receipt of the required fee, the State Sealer shall issue an apprentice wood scaler license to an applicant whom he determines to be qualified. The license shall indicate whether the license is a six-month or two-year license.

D. Conditions. The following conditions apply to apprentice wood scaler licenses:

1. A licensed apprentice wood scaler may use only the authorized system or systems of measurement for which the licensed wood scaler who is his supervisor is licensed.

2. A licensed apprentice wood scaler shall keep the original or a copy of his license on his person at all times that he is engaged in the measurement of wood.

3. A licensed apprentice wood scaler shall sign or stamp all measurement tally sheets with his name, his license number, and the supervising scaler's name and license number. The supervising scaler's name and license number must be given even if the apprentice is temporarily measuring wood without supervision.

4. A licensed apprentice wood scaler whose license has been revoked or suspended shall immediately return the revoked or suspended license to the State Sealer and shall immediately discontinue the measurement of wood in transactions in which his measurement will form the basis of payment.

5. A licensed apprentice wood scaler shall be responsible, together with the licensed wood scaler who is his supervisor, for the accuracy of his measurements and for compliance with the Wood Measurement Law and these Wood Measurement Rules . If the licensed apprentice wood scaler does not comply with applicable laws and rules, both the licensed apprentice wood scaler and the licensed wood scaler who is his supervisor will be subject to the sanctions of the Wood Measurement Law .

6. A licensed apprentice wood scaler shall be familiar with the Wood Measurement Law and these Wood Measurement Rules at the time he is licensed and shall remain familiar and comply with these laws and rules, including amendments, throughout his period of licensure.

E. Term. The term of the apprentice license is two years. The holder of a six month apprentice license may apply for a wood scaler's license or for renewal of his apprentice license after six months of apprenticeship experience.

F. Renewal. An apprentice license will be automatically renewed upon payment of the required fee and upon furnishing any information requested by the State Sealer, except that an apprentice license will not be automatically renewed if:

1. The license has been suspended or revoked; or

2. The licensee is under investigation for an alleged violation of the Wood Measurement Law or these Wood Measurement Rules .

G. Fee. The fee for an apprentice wood scaler license is $15, except that a holder of a six-month license who, immediately following the six-month apprenticeship, successfully applies for a wood scaler license will receive a $15 credit toward the wood scaler license fee. An individual who is a licensed wood scaler for any measurement system qualifies for an apprentice license in any other system, and is not required to pay an additional fee for the apprentice license.

SECTION 5. AUTHORIZATION FOR A TEMPORARY SUBSTITUTE TO SCALE WHEN LICENSED WOOD SCALER UNAVAILABLE

A. Authorized temporary substitute. If due to circumstances beyond his control, a person is temporarily unable to obtain the services of a licensed wood scaler, or a licensed wood scaler is temporarily unable to perform his work, the State Sealer may authorize a licensed apprentice wood scaler or an unlicensed individual to measure wood in those particular circumstances, provided that:

1. The State Sealer must determine in advance that the substitute individual so authorized is competent to measure wood; and

2. The State Sealer shall set a definite time period, not to exceed two weeks, during which the authorized substitute may measure wood and shall specify the authorized system or systems of measurement which the substitute may use and the circumstances in which the substitute is authorized to measure wood.

B. Emergency substitute. If due to circumstances beyond his control, a licensed scaler is temporarily unable to perform his work, and neither he nor the person in need of the services of the scaler is able to reach the State Sealer to obtain authorization for a temporary substitute, the scaler may permit an unauthorized person to measure wood in his place, provided:

1. The licensed scaler and the person who measures the wood are both responsible for all measurements made and for compliance with the Wood Measurement Law and these Wood Measurement Rules ;

2. Within two days, the licensed wood scaler, or the person in need of the services of the scaler, shall obtain temporary authorization from the State Sealer as provided in sub-§A;

3. The substitute individual must sign his name on all measurement tally sheets reflecting measurements made by him; and

4. The substitute individual must record the date he was authorized and the name and license number of the licensed wood scaler who authorized him on all measurement tally sheets reflecting measurements made by him.

C. Licensed apprentice wood scaler

1. A licensed apprentice wood scaler with a six-month license who has measured wood under the direct supervision of a licensed wood scaler for at least two months may measure wood without supervision for a period not to exceed two weeks if his supervisor dies or is incapacitated by illness or injury and another licensed wood scaler is unavailable.

2. A licensed apprentice wood scaler with a two-year license who has measured wood under the direct supervision of a licensed wood scaler for at least six months may measure wood without supervision for a period not to exceed two weeks if his supervisor dies or is incapacitated by illness or injury and another licensed wood scaler is unavailable.

D. Avoidance of licensing requirements. Any temporary authorization to measure wood under sub-§§ A through C is a violation of these Wood Measurement Rules if the purpose of obtaining or giving the temporary authorization is to avoid getting a license or to avoid using a licensed scaler.

SECTION 6. INVESTIGATIONS TO ENSURE COMPLIANCE WITH LICENSING REQUIREMENTS

A. Compliance investigations. The State Sealer may conduct such investigations as he deems necessary to verify and ensure compliance with the licensing requirements of the Wood Measurement Law and these Wood Measurement Rules . If the investigation involves check measurement, the check measurement shall be conducted by a wood scaler who is licensed under this chapter and who is either a state employee or a person under contract to the State.

B. .Whenever the State Sealer has reason to believe a violation of the Wood Measurement Law or these Wood Measurement Rules has occurred, the State Sealer may issue preliminary findings and a determination and written findings as set forth in Chapter 384, §§ 11 and 12.

NOTE: The penalties for violation of the Wood Measurement Law and these Rules, including fines, damages, and denial, suspension, or revocation of a Wood Scaler's license or apprentice license are set forth in Chapter 380 §4.

History

• STATUTORY AUTHORITY: 10 M.R.S.A. §2361-A et seq.
• EFFECTIVE DATE: April 30, 1985
• AMENDMENT EFFECTIVE: July 30, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 27, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 10, 2025

Chapter 400 Administrative Cost Grants

Code Me. R. 01-001 Ch. 400 Administrative Cost Grants {#sec-01-001-ch.-400 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 400}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include the provision of short-term assistance to a person whose commercial farm is found to be contaminated by PFAS. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for administrative cost grants to compensate commercial farmers for time spent reacting to the initial discovery of PFAS contamination.

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§ 1. OVERVIEW

Commercial farms that have Department of Agriculture, Conservation and Forestry (DACF) confirmed elevated levels of perfluoroalkyl and polyfluoroalkyl substances (PFAS) may apply to DACF for a one-time administrative grant. This grant is intended to partially compensate commercial farms for time expended on activities that are common to most farms upon the initial discovery of PFAS contamination, such as time spent with DACF field staff, time spent strategizing how to respond, and time spent communicating with customers.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

“Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

§ 4 FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

Eligibility for a one-time administrative cost grant from the PFAS Fund is limited to commercial farms operating in Maine (see 7 M.R.S.A. § 320-K(4)(G)). A commercial farm is eligible for a one-time administrative grant if:

The commercial farm has DACF-confirmed unsafe elevated levels of PFAS contamination, defined as

1. one or more samples of farm products showing PFAS exceeding current Action Levels or deemed of concern by the Maine CDC, and/or
2. groundwater test results exceeding Maine’s enforceable interim drinking water standard for PFAS until superseded by either Maine’s Maximum Contaminant Level (MCL) for PFAS or a federal MCL for PFAS, whichever is lowest, for wells servicing the farm or fields; and/or
3. soil test results exceeding any current Maine CDC crop-specific screening level; and

The commercial farm has partnered with DACF to investigate the scope of contamination at the farm and has granted ongoing access such that DACF staff are able to develop an understanding of the farm, its PFAS contamination, and potentially a strategy for recovery.

3. Applications are due within 12 months of the first DACF-confirmed test results documenting elevated levels of PFAS contamination or within 12 months of a lower MCL taking effect, whichever is earlier. Notwithstanding the previous sentence, the application deadline for producers found to have elevated levels of PFAS before March 17, 2024, is March 16, 2026. Untimely applications may be denied.

§ 6. REQUIRED DOCUMENTATION

Applicants to the PFAS Fund for a one-time administrative cost grant must submit the following documentation:

A completed DACF application form, as may be amended from time to time.

Any additional supporting documentation requested by DACF that DACF determines is necessary to review the request for assistance.

A completed State of Maine Vendor Authorization Form.

§ 7. APPLICATION REVIEW

When a commercial farm requests a one-time administrative cost grant, DACF will rely on all available information it has compiled on the farm to assess the request.

Applications will be reviewed by DACF’s PFAS Fund director. The PFAS Fund director may request staff input based on the staff’s knowledge of PFAS contamination at the applicant’s commercial farm. Decision-making authority rests with the PFAS Fund director.

DACF reserves the right to limit the amount of funding for all requests based on available resources.

§ 8. PAYMENTS

DACF will make a one-time payment equivalent to 80 hours of a farm manager’s time multiplied by the 2022 average hourly wage for a farm manager in Maine according to U.S. Bureau of Labor Statistics data presented in O*Net Online. The average hourly rate for a farm manager published by the U.S. Bureau of Labor Statistics as of January of any given year will be the rate used to calculate all administrative cost grants processed within that same calendar year.

§ 9. RIGHT TO APPEAL

If an application is denied, DACF will send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 10. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – 2024-052
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-017

Chapter 401 Income Replacement

Code Me. R. 01-001 Ch. 401 Income Replacement Grants {#sec-01-001-ch.-401 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 401}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include the provision of income replacement payments to persons whose commercial farm is found to be contaminated by PFAS. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for disbursing income replacement payments.

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§ 1. OVERVIEW

Commercial farms that have stopped selling some or all products due to perfluoroalkyl and polyfluoroalkyl substances (PFAS) contamination may apply to the Department of Agriculture, Conservation and Forestry (DACF) for a grant for up to twenty-four months of lost income, adjusted for inflation.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

"Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Dairy Indemnity Payment Program (DIPP)” means the program administered by the United States Department of Agriculture (USDA) that provides payments to dairy producers when a public regulatory agency directs them to remove their raw milk from the commercial market because it has been contaminated by pesticides, nuclear radiation or fallout, or toxic substances and harmful chemical residues thereof.

“Depopulated” means farm animals have been humanely euthanized.

“Farm product” means those plants and animals useful to humans and includes, but is not limited to, forages and sod crops, grains and food crops, dairy products, poultry and poultry products, bees, livestock and livestock products, and fruits, berries, vegetables, flowers, seeds, grasses, Christmas trees, and other similar products.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

“Primary product” means the main farm product a commercial farm produces (e.g., the primary product of a dairy farm is milk).

“Relevant time period” means the period of time for which a commercial farm is seeking an income replacement grant, defined by specific start and end dates.

78. “Residuals” as that term is defined in DEP Rule Chapter 400(1)(Ss) means solid wastes generated from municipal, commercial or industrial facilities that may be suitable for agronomic utilization. These materials may include: food, fiber, vegetable and fish processing wastes; dredge materials; sludges; dewatered septage; and ash from wood or sludge fired boilers.

79. “Revenue” means the money generated from normal business operations, calculated as the average sales price times the number of units sold.

80. “Service provider” means the following entities, including but not limited to: individuals, private organizations, public organizations, and agencies of the State; marketing consultants; accounting firms; business support organizations; farm support organizations; engineering firms; law firms; and other organizations that DACF determines may provide valuable services, such as analyzing markets, developing financial forecasts, and recommending production alternatives for the owner or operator of a commercial farm.

§ 4. FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

Eligibility for an income replacement grant from the PFAS Fund is limited to commercial farms operating in Maine (see 7 M.R.S.A. § 320-K(4)(G)). A commercial farm is eligible for an income replacement grant if:

The commercial farm has DACF-confirmed elevated levels of PFAS contamination, defined as

1. one or more samples of farm products showing PFAS exceeding current Action Levels or deemed of concern by the Maine CDC, and/or
2. groundwater test results exceeding Maine’s enforceable interim drinking water standard for PFAS until superseded by either Maine’s Maximum Contaminant Level (MCL) for PFAS or a federal MCL for PFAS, whichever is lowest, for wells servicing the farm or fields; and/or
3. soil test results exceeding any current Maine CDC crop-specific screening level; or

The commercial farm has a history of land application of residuals or other reasonable expectation that their farm product(s) contain unsafe levels of PFAS and it has pulled its products from the market while test results are pending; and

The commercial farm has a demonstrated loss of income due to stopping or reducing sales of farm products at the order, written recommendation, or with the consent of DACF because of PFAS contamination; and

The commercial farm has collaborated with DACF to investigate the scope of contamination at the farm and has granted ongoing access such that DACF staff are able to develop an understanding of the farm, its PFAS contamination, and potentially a strategy for recovery.

§ 6. REQUIRED DOCUMENTATION

Applicants to the PFAS Fund for an income replacement grant must submit the following documentation:

A completed DACF application form, as may be amended from time to time.

Supporting financial documentation, including:

1. Complete copy of the applicant's federal income tax return(s) for the year(s) associated with the calculation of gross income as described in Section 8;
2. Profit and loss statements by month for all relevant time periods;
3. Copy of application(s) for USDA DIPP payments or other federal assistance programs, if applicable; and
4. Other relevant documentation demonstrating loss of sales and current financial situation.

Documentation of all financial payments received by month from state, federal, or non-profit entities specifically related to PFAS assistance.

A completed State of Maine Vendor Authorization Form.

DACF reserves the right to waive the requirement for certain documents for good cause.

§ 7. APPLICATION REVIEW

The PFAS Fund director will establish an application review panel comprised of DACF staff and at least one external member familiar with agricultural accounting and tax filings.

The role of the application review panel is to review applications, verify baseline income calculations, advise DACF on the sufficiency of the supporting documentation, and recommend the schedule of payments for each farm.

DACF reserves the right to consult with external persons with relevant expertise as part of the process.

DACF reserves the right to limit the amount of funding for all requests based on available resources.

§ 8. METHOD OF CALCULATING INCOME REPLACEMENT PAYMENTS

DACF shall calculate income replacement payments using the following method:

Gross farm income.

1. Gross farm income means either: 1. the gross income of the year PFAS was discovered, as documented on a filed federal income tax return; 2. the gross income of the year immediately preceding the year PFAS was discovered, as documented on a filed federal income tax return; 3. the average of the top three grossing years out of the five years that include the year PFAS was discovered and the four years immediately preceding the year PFAS was discovered, as documented on filed federal income tax returns; or 4. the average of the top three grossing years out of the five years immediately preceding the year PFAS was discovered, as documented on filed federal income tax returns.
2. Commercial farms may choose the option under Section 8.1.a that is most advantageous to them.
3. DACF will rely primarily on Internal Revenue Service (IRS) Schedule F (Profit or Loss from Farming), Schedule C (Profit or Loss from Business), and/or Schedule E (Supplemental Income and Loss) to determine gross farm income.
4. Gross farm income typically does not include long-term capital gains such as those reported on IRS Form 8949.
5. Gross farm income may include sales of business property reported on IRS Form 4797 when the sale is part of routine farm operations (e.g., sales of dry dairy cows).

Baseline income. DACF will calculate baseline income by subtracting an amount equal to any non-revenue payments received by the farm from the farm’s gross income. For instance, DACF will subtract any “irregular” (or one-time) payments, such as prior state or federal grant awards reported in the farm’s tax filing(s), from the farm’s gross income.

3. Current income. Current income means income generated by the farm during the relevant time period through the sale of products or services not impacted by PFAS and other income received in the relevant time period, including but not limited to DIPP payments, gifts and donations above the federal gift tax exclusion, and income replacement payments made by another entity. Current income excludes any “irregular” (or one-time) payments, such as prior state or federal grant awards.

4. Inflationary Factor. DACF will account for inflation by referencing the Consumer Price Index (CPI-U, CUUR0000SA0) as published by the U.S. Bureau of Labor Statistics. In January of each year, DACF will calculate the average annual CPI-U percentage increase of the prior five most recent years. This average will be the inflationary factor for all income replacement applications processed within that calendar year.

5. Payment formula. Payments will be calculated using the following formulas:

Baseline Income – Current Income = Lost Income

Lost Income + (Lost Income x Inflationary Factor) = Income Replacement Payment Amount

6. Maximum payments. Payments are limited to actual losses adjusted for inflation as calculated above. An applicant may apply for up to 24 months of income replacement payments. The 24 months do not need to be consecutive. The initial baseline income will be used for any subsequent applications.

7. Overpayments. If income replacement payments exceed a commercial farm’s documented losses, the commercial farm shall reimburse DACF an amount equal to the overpayment.

§ 9. CESSATION OF OPERATIONS

A commercial farm will be deemed to have ceased operations when the farm confirms in writing that it no longer produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income presently or in the future.

If a commercial farm produces one primary product (e.g., milk or beef) and that farm

1. depopulates the herd that produced its primary product because of PFAS contamination, or
2. depurates and sells the herd that produced its primary product because of PFAS contamination,

and has not initiated a plan that is satisfactory to DACF to transition to a new form or type of production within 180 days of depopulation or sale, the commercial farm will be deemed to have ceased operations on the date the majority of the herd was depopulated or sold. When determining whether a plan is satisfactory, DACF will consider factors such as whether the farm is working with a business planner or other service provider and the degree of cooperation exhibited under Section 5.4.

DACF reserves the right to determine that a farm has ceased operations when analysis conducted by DACF in conjunction with a service provider with a degree or professional experience in business planning indicates that continued operation is not economically viable.

DACF reserves the right to consult with external persons with relevant expertise and to consider extenuating circumstances when determining the date that a farm ceased operations.

§ 10. LIMITATIONS

A commercial farm that permanently ceases operation within 12 months of the discovery of PFAS is eligible for the receipt of one year’s lost income.

A commercial farm that permanently ceases operation more than 12 months but less than 24 months after the discovery of PFAS is limited to receipt of lost income corresponding to the timeframe during which it remained in operation.

No farm is eligible for more than 24 months of income replacement payments as calculated according to Section 8 herein.

§ 11. ADMINISTRATION

While a commercial farm continues to produce any farm product with the intent that the farm product be sold or otherwise disposed of to generate income, it can select from one of the following options:

1. DACF will issue an initial payment of 30 percent of the established baseline income plus the inflationary factor. DACF will issue subsequent payments based on documentation of actual losses; or
2. DACF will not make an upfront payment. Instead, the commercial farm will submit documentation of actual losses and DACF will make corresponding payments.

Where a third-party entity has made income replacement payments to a commercial farm because of PFAS contamination and DACF has an existing reimbursement agreement with that third-party entity, DACF is authorized to reimburse the third-party entity according to the same terms as if the payment was made directly to the commercial farm. The amount of the payment to the third-party entity will be counted toward the commercial farm’s maximum payment.

§ 12. RIGHT TO APPEAL

If an application is denied in whole or in part, DACF will send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 13. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-053
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-018

Chapter 402 Support for No-Cost Technical Assistance

Code Me. R. 01-001 Ch. 402 Technical Assistance Grants {#sec-01-001-ch.-402 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 402}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include providing short-term assistance to persons whose commercial farm is found to be contaminated by PFAS to develop 1) enterprise budgets for alternative cropping systems, 2) remediation strategies, 3) technological adaptations, and 4) plans to transition to alternative revenue streams. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for providing commercial farmers with no-cost technical assistance.

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§ 1. OVERVIEW

Commercial farms that have Department of Agriculture, Conservation and Forestry (DACF) confirmed elevated levels of perfluoroalkyl and polyfluoroalkyl substances (PFAS) may apply to DACF for a grant to pay for technical assistance to help guide their response to the discovery of PFAS or to implement mitigation strategies. Eligible producers may consult, contract, or work with service providers to obtain expert advice, estimates, drawings, plans, research, and technical or professional assistance related to modifying their operations in response to PFAS contamination.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

“Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

“Service provider” means the following entities, including but not limited to: individuals, private organizations, public organizations, and agencies of the State; marketing consultants; accounting firms; business support organizations; farm support organizations; engineering firms; law firms; and other organizations that DACF determines may provide valuable services, such as analyzing markets, developing financial forecasts, and recommending production alternatives for the owner or operator of a commercial farm.

§ 4. FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

Eligibility for a no-cost technical assistance grant from the PFAS Fund is limited to commercial farms operating in Maine (see 7 M.R.S.A. §§ 320-K(4)(F-G)). A commercial farm is eligible for a technical assistance grant if:

The commercial farm has DACF-confirmed elevated levels of PFAS contamination, defined as

1. one or more samples of farm products showing PFAS exceeding current Action Levels or deemed of concern by the Maine CDC, and/or
2. groundwater test results exceeding Maine’s enforceable interim drinking water standard for PFAS until superseded by either Maine’s Maximum Contaminant Level (MCL) for PFAS or a federal MCL for PFAS, whichever is lowest, for wells servicing the farm or fields; and/or
3. soil test results exceeding any current Maine CDC crop-specific screening level; and

The commercial farm has partnered with DACF to investigate the scope of contamination at the farm and has granted ongoing access such that DACF staff are able to develop an understanding of the farm, its PFAS contamination, and potentially a strategy for recovery.

§ 6. REQUIRED DOCUMENTATION

Applicants to the PFAS Fund for no-cost technical assistance grants must submit the following documentation:

Acompleted DACF application form, as may be amended from time to time.

An estimate, invoice, or receipt from a service provider describing the scope of work and the total cost.

Any additional supporting documentation requested by DACF that DACF determines is necessary to review the request for assistance.

A completed State of Maine Vendor Authorization Form.

§ 7. APPLICATION REVIEW

When a commercial farm requests a technical assistance grant, DACF will rely on all available information it has compiled on the farm to assess the request. Evaluation criteria may include but not be limited to the degree to which the farm has been negatively impacted by PFAS, likelihood of success, return on investment, total cost, timing, alternative options, level of risk, producer’s demonstrated lack of available financial capacity, number of other requests for DACF support by the applicant and by other producers, and the farm’s capacity and commitment to continue farming on the impacted property.

Evaluation criteria will also include an assessment by DACF of whether a given service provider is appropriately qualified to provide the particular type of technical assistance being sought.

Applications will be reviewed by DACF’s PFAS Fund director. The PFAS Fund director may request staff input based on their knowledge of the applicant’s operations. Decision-making authority rests with the PFAS Fund director.

DACF reserves the right to limit the amount of funding for all requests based on available resources and the evaluation criteria listed above.

§ 8. PAYMENT RESTRICTIONS, OPTIONS, AND OBLIGATIONS

Technical assistance grants are restricted to costs directly related to a commercial farm’s response to PFAS contamination.

DACF will not award technical assistance grants for a commercial farm’s costs that are associated with routine operations that are unrelated to PFAS response.

DACF may issue a grant payment, in full or in installments, to the commercial farm or compensate a service provider directly. Alternatively, the commercial farm may pay the service provider with its own assets and seek reimbursement from DACF.

Where a third-party entity has paid for technical assistance on behalf of a PFAS-impacted farm and DACF has an existing reimbursement agreement with that third-party entity, DACF is authorized to reimburse the third-party entity according to the same terms as if the payment was made directly to the commercial farm or the service provider.

5. If DACF has advanced payment to a grant recipient, the grant recipient must provide DACF with proof of payment to service providers within 60 days of payment. Any unexpended grant funds must be reimbursed to the DACF PFAS Fund. Failure to provide proof of payment and reimbursement, if applicable, will render the grant recipient ineligible for future assistance from DACF.

§ 9. RIGHT TO APPEAL

If an application is denied in whole or in part, DACF will send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 10. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-054
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-019

Chapter 403 Infrastructure Investment Grants

Code Me. R. 01-001 Ch. 403 Equipment and Infrastructure Grants {#sec-01-001-ch.-403 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 403}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include investments in equipment, facilities, and infrastructure to ensure that a commercial farm with land found to be contaminated by PFAS maintains profitability while the commercial farm transitions to an alternative cropping system or implements other modifications to its operations in response to PFAS contamination. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for equipment and infrastructure investment grants.

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§ 1. OVERVIEW

Commercial farms that have Department of Agriculture, Conservation and Forestry (DACF) confirmed elevated levels of perfluoroalkyl and polyfluoroalkyl substances (PFAS) may apply to DACF for grant funding for equipment and infrastructure projects that will help the commercial farm modify production methods or transition to the production of new farm products in order to minimize the risk of PFAS contamination.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

“Business plan” means a document that identifies changes in farm management practices and investments in equipment and property that would increase the profitability and net worth of the farm (vitality). A typical plan identifies ways to increase on-farm income through such methods as improved management practices, direct marketing, and value-added initiatives; and describes current operations and future plans for the business, including but not limited to sections on mission/vision, legal organization, management team, product descriptions, market research, market promotion, customer profiles, financial statements, financial analysis of planned changes in the business, and long-term goals for the business.

“Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Equipment” means any tangible and durable property and assets such as machinery, parts, and/or components, that are useful to the operation of a commercial farm (e.g., for planting, cultivating, or harvesting).

4. “Farm product” means those plants and animals useful to humans and includes, but is not limited to, forages and sod crops, grains and food crops, dairy products, poultry and poultry products, bees, livestock and livestock products, and fruits, berries, vegetables, flowers, seeds, grasses, Christmas trees, and other similar products.

5. “Grantee” means the recipient of grant funding for an infrastructure project.

6. “Infrastructure” means physical assets and structures that are generally considered permanent (e.g., a greenhouse or barn).

7. “Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

8. “Service provider” means the following entities, including but not limited to: individuals, private organizations, public organizations, and agencies of the State; marketing consultants; accounting firms; business support organizations; farm support organizations; engineering firms; law firms; and other organizations that DACF determines may provide valuable services, such as analyzing markets, developing financial forecasts, and recommending production alternatives for the owner or operator of a commercial farm.

§ 4. FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

Eligibility for equipment and infrastructure grants from the PFAS Fund is limited to commercial farms operating in Maine (see 7 M.R.S.A. § 320-K(4)(E)). A commercial farm is eligible for an infrastructure grant if:

The commercial farm has DACF-confirmed elevated levels of PFAS contamination, defined as

1. one or more samples of farm products showing PFAS exceeding current Action Levels or deemed of concern by the Maine CDC, and/or
2. groundwater test results exceeding Maine’s enforceable interim drinking water standard for PFAS until superseded by either Maine’s Maximum Contaminant Level (MCL) for PFAS or a federal MCL for PFAS, whichever is lowest, for wells servicing the farm or fields; and/or
3. soil test results exceeding any current Maine CDC crop-specific screening level; and

The commercial farm has partnered with DACF to investigate the scope of contamination at the farm and has granted ongoing access such that DACF staff are able to develop an understanding of the farm, its PFAS contamination, and potentially a strategy for recovery.

§ 6. REQUIRED DOCUMENTATION

Applicants for an equipment or infrastructure grant must submit the following documentation:

A completed DACF application form, as may be amended from time to time.

Supporting documentation, such as:

1. A mandatory business plan that illustrates how the requested equipment or infrastructure will contribute to the farm’s long-term viability;
2. Building plans and/or engineering drawings; and
3. Cost estimates from at least two separate vendors.

Any additional supporting documentation requested by DACF that DACF determines is necessary to review the request for assistance.

A completed State of Maine Vendor Authorization Form.

§ 7. APPLICATION REVIEW

1. Applications will be reviewed by an ad-hoc application review panel that will be established by the DACF Commissioner and, at a minimum, will be composed of DACF PFAS Response staff, and a case-specific expert based on the scope or type of project. (e.g., dairy, water, finance).

2. The role of the application review panel is to advise DACF on the merits of proposals.

3. Decision-making authority rests with the PFAS Fund director.

4. When a commercial farm requests an equipment or infrastructure grant, DACF will rely on all available information it has compiled on the farm to assess the request. Evaluation criteria, may include but not be limited to the degree to which the farm has been negatively impacted by PFAS, likelihood of success, return on investment, total cost, timing, alternative options, level of risk, producer’s demonstrated lack of available financial capacity, number of other requests for DACF support by the applicant and by other producers, and the farm’s capacity and commitment to continue farming on the impacted property.

5. DACF reserves the right to limit the amount of funding for all requests based on available resources and the evaluation criteria listed above.

§ 8. PAYMENT OPTIONS AND RESTRICTIONS

The PFAS Fund will not consider equipment or infrastructure grant requests valued at or below $100,000.

2. DACF may pay for equipment or infrastructure costs directly related to a commercial farm’s response to PFAS contamination.

3. DACF will not pay for a commercial farm’s equipment or infrastructure costs associated with routine operations unrelated to PFAS response.

4. DACF may reimburse a commercial farm for approved expenses or compensate a service provider directly.

5. Where a third-party entity has paid for equipment or infrastructure on behalf of a PFAS-impacted farm and DACF has an existing reimbursement agreement with that third-party entity, DACF is authorized to reimburse the third-party entity according to the same terms as if the payment was made directly to the commercial farm or the service provider.

§ 9. TERMS AND CONDITIONS

By applying for an equipment or infrastructure grant, the applicant agrees to the following conditions:

The grantee will continue to ensure that the equipment or infrastructure purchased is maintained in a safe condition and in good repair.

DACF has the sole discretion to determine if expenditures are reasonable and prudent, and whether the grantee has complied with these terms and conditions and all applicable laws, rules, and regulations.

The State shall have no responsibility for the use, maintenance, or fitness of the equipment or infrastructure.

The grantee agrees not to assign, transfer, lease or encumber its rights or obligations under the agreement without DACF’s prior written consent. The grantee shall indemnify, defend, save and hold the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages, or other obligations of any nature in any way arising out of the use, operation, maintenance, or repair of the equipment or infrastructure.

The grantee must retain ownership and use the equipment or infrastructure for a period consistent with the relevant recovery period for standard farming assets as depicted in Internal Revenue Service (IRS) Publication 225 (Farmer’s Tax Guide), Table 7-1, Farm Property Recovery Periods; or the grantee must notify DACF in writing within 30 days of any sale, trade, destruction, or abandonment of equipment or infrastructure purchased under the equipment or infrastructure grant program if such sale, trade, destruction, or abandonment occurs within the relevant recovery period for standard farming assets as depicted in IRS Publication 225 (Farmer’s Tax Guide), Table 7-1, Farm Property Recovery Periods.

If the equipment or infrastructure is sold, traded, abandoned, or destroyed within the relevant recovery period noted in Section 9.5, DACF may seek reimbursement from the grantee for the remaining value of the equipment or infrastructure as calculated using generally accepted accounting principles. In deciding whether to seek reimbursement, DACF will consider whether the events leading to the sale, trade, abandonment, or destruction were within the grantee’s control and will not penalize grantees for forces beyond their control. Failure to provide reimbursement, if demanded, will render the grant recipient ineligible for future assistance from DACF.

The State may inspect any equipment, facilities or infrastructure funded through an equipment or infrastructure grant at any time within the relevant recovery period noted in Section 9.5.

All grantees will purchase and maintain insurance to cover the value of the equipment or infrastructure from loss during the relevant recovery period noted in Section 9.5.

§ 10. RIGHT TO APPEAL

If an application is denied in whole or in part, DACF must send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 11. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-055
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-020

Chapter 404 Assistance Obtaining New Loans

Code Me. R. 01-001 Ch. 404 Grants to Provide Assistance Obtaining New Loans {#sec-01-001-ch.-404 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 404}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include the provision of short-term assistance to a person whose commercial farm is found to be contaminated by PFAS, including but not limited to mortgage payments. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for assistance to commercial farms to offset the costs of obtaining new loans to support commercial farm businesses.

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§ 1. OVERVIEW

Commercial farms that have Department of Agriculture, Conservation and Forestry (DACF) confirmed elevated levels of perfluoroalkyl and polyfluoroalkyl substances (PFAS) may apply to DACF for a grant to assist with the cost of obtaining a guaranteed loan, commercial loan insurance, or environmental site assessments when a lending institution requires one or more of these products because of PFAS contamination.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

“Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Cost of obtaining commercial loan insurance” means the fees charged by the Finance Authority of Maine (FAME) or their commercial partners to provide loan guarantees to lenders willing to lend to PFAS-impacted commercial farms (e.g., an initial commitment fee and an annual fee, as well as a deposit in a reserve fund).

“Cost of obtaining a guaranteed loan” means the one-time fee charged by the United States Department of Agriculture’s Farm Service Agency to guarantee up to 95 percent of the value of a farm loan through a commercial lender against the risk of potential loss of principal and interest.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

“Phase I Environmental Site Assessment” means a report that identifies potential or existing environmental contamination.

“Phase II Environmental Site Assessment” means a report that analyzes samples of soil, groundwater, or building materials for quantitative values of various contaminants.

§ 4. FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

Eligibility for a grant from the PFAS Fund for costs associated with new loans is limited to commercial farms operating in Maine (see 7 M.R.S.A. § 320-K(4)(G)). A commercial farm is eligible for assistance obtaining a new loan if:

The commercial farm has DACF-confirmed elevated levels of PFAS contamination, defined as

1. one or more samples of farm products showing PFAS exceeding current Action Levels or deemed of concern by the Maine CDC, and/or
2. groundwater test results exceeding Maine’s enforceable interim drinking water standard for PFAS until superseded by either Maine’s Maximum Contaminant Level (MCL) for PFAS or a federal MCL for PFAS, whichever is lowest, for wells servicing the farm or fields; and/or
3. soil test results exceeding any current Maine CDC crop-specific screening level; and

The commercial farm has partnered with DACF to investigate the scope of contamination at the farm and has granted ongoing access such that DACF staff are able to develop an understanding of the farm, its PFAS contamination, and potentially a strategy for recovery.

§ 6. REQUIRED DOCUMENTATION

Applicants to the PFAS Fund for assistance obtaining new loans must submit the following documentation:

A completed DACF application form, as may be amended from time to time.

Supporting financial documentation, such as:

1. A completed loan application;
2. A statement from a lender identifying fees; and/or
3. A statement from a commercial lender advising the applicant that a Phase I and/or Phase II environmental site assessment (ESA) is required before the lender will act on the applicant’s loan application.

Any additional supporting documentation requested by DACF that DACF determines is necessary to review the request for assistance.

A completed State of Maine Vendor Authorization Form.

§ 7. APPLICATION REVIEW

When a farm requests assistance obtaining a new loan, DACF will rely on all available information it has compiled on the farm to assess the request. Evaluation criteria may include but not be limited to the degree to which the farm has been negatively impacted by PFAS, likelihood of success, return on investment, total cost, timing, alternative options, level of risk, producer’s demonstrated lack of available financial capacity, number of other requests for DACF support by the applicant and by other producers, and the farm’s capacity and commitment to continue farming on the impacted property.

Applications will be reviewed by DACF’s PFAS Fund director. The PFAS Fund director may request staff input based on the staff’s knowledge of the applicant’s operations. Decision-making authority rests with the PFAS Fund director.

DACF reserves the right to limit the amount of funding for all requests based on available resources and the evaluation criteria listed above.

§ 8. PAYMENT RESTRICTIONS

DACF payments to a lender or insurance company shall be in accordance with that entity’s published fees.

DACF may pay for the cost of a Phase I Environmental Site Assessment when a lender needs the study to make a lending decision.

DACF may pay for a Phase II Environmental Site Assessment when the Phase I Environmental Site Assessment identifies the need for further PFAS investigation.

DACF shall not make any payments under this Chapter for costs associated with the investigation of contaminants other than PFAS.

DACF shall not make any payments under this Chapter to pay interest or reduce the principal on a commercial farm’s loan.

6. DACF shall not make any payments under this Chapter associated with a commercial farm’s acquisition of a new property.

7. Where a third-party entity has paid an expense associated with the acquisition of a new loan on behalf of a PFAS-impacted farm and DACF has an existing reimbursement agreement with that third-party entity, DACF is authorized to reimburse the third-party entity according to the same terms described herein.

§ 9. RIGHT TO APPEAL

If an application is denied in whole or in part, DACF must send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 10. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-056
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-021

Chapter 405 Real Estate Purchases

Code Me. R. 01-001 Ch. 405 Real Estate Purchases and Disposition {#sec-01-001-ch.-405 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 405}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include buying and selling agricultural land found to be contaminated by PFAS. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility and prioritization criteria and administrative procedures for DACF to purchase contaminated agricultural land from commercial farms that choose to sell their property.

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§ 1. OVERVIEW

The Department of Agriculture, Conservation and Forestry (DACF) may purchase agricultural land contaminated by perfluoroalkyl and polyfluoroalkyl substances (PFAS) from commercial farms, along with appurtenant buildings, structures, and fixtures. DACF may purchase all or some of an eligible landowner’s real estate. DACF will steward properties acquired under this rule in a manner consistent with its mission. DACF may lease or sell properties acquired under this rule.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

"Agricultural land" means any land in Maine which is used or capable of use without substantial modification for production of agriculturally related products including, but not limited to, crops, livestock, poultry, dairy products and sod.

“Building” means any structure having a roof, or partial roof, supported by columns or walls, that is used or intended to be used for the shelter or enclosure of persons, animals or objects regardless of the materials of which it is constructed.

“Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Fixture” means any object permanently attached to a property by way of bolts, screws, nails, glue, cement, or other means.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

“Structure” means anything constructed or erected with a fixed location or in the ground, or attached to something having a fixed location on or in the ground, including, but not limited to, retaining walls, billboards, signs, piers, and floats.

§ 4. FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

The PFAS Fund is restricted to purchasing properties that meet the statutory definition of a commercial farm or agricultural land (see 7 M.R.S.A. §§ 320-K(4)(C-D)). DACF may purchase real estate from a commercial farm operating in Maine if:

The commercial farm has DACF-confirmed elevated levels of PFAS contamination, defined as

1. groundwater test results exceeding Maine’s enforceable interim drinking water standard for PFAS until superseded by either Maine’s Maximum Contaminant Level (MCL) for PFAS or a federal MCL for PFAS, whichever is lowest, for wells servicing the farm or fields; and/or
2. soil test results exceeding any current Maine CDC crop-specific screening level; and

The commercial farm has partnered with DACF to investigate the scope of contamination at the farm and has granted ongoing access such that DACF staff are able to develop an understanding of the farm, its PFAS contamination, and potentially a strategy for recovery; and

The subject real estate was owned by the current landowner(s) prior to the discovery of PFAS contamination on the commercial farm, with two exceptions:

1. The current owner acquired the subject real estate as the beneficiary of an estate of a landowner who owned the subject real estate prior to the discovery of PFAS contamination; or
2. The subject property was purchased by a Maine-based nonprofit with knowledge of the PFAS contamination on site and with the intention of providing emergency aid to a commercial farm.

If either exception applies, DACF may purchase the subject property using the same criteria described in Sections 6-8.

§ 6. APPRAISALS

The purchase price for any given property will be based on an appraisal of the highest and best use of the property as if there was no PFAS contamination.

Appraisals must be conducted by a Maine-licensed certified general real property appraiser with agricultural experience, selected by DACF.

All appraisals must be in the form of an appraisal report that complies with the most recent edition of the Uniform Standards of Professional Appraisal Practice (USPAP).

§ 7. ALLOCATION OF RESPONSIBILITIES AND COSTS

DACF will develop and publicize a process for soliciting and evaluating offers by eligible farms to sell eligible property to DACF.

DACF will be responsible for due diligence (i.e., ordering and paying for one appraisal per property, as well as title searches, boundary surveys, and environmental site assessments, as needed).

DACF will coordinate with Maine DEP’s Voluntary Response Action Program (VRAP) to characterize each property and draft a restrictive covenant to be recorded in the registry of deeds in the county where the real estate is located.

DACF will pay the agreed upon purchase price, due diligence costs, VRAP fees if applicable, and recording fees.

Sellers will pay to cure any title defects, liens on the property, and taxes. A seller who wants a second appraisal may order one from an appraiser approved by DACF at the seller’s expense.

Once DACF holds title to real estate, DACF may pay in lieu of tax (PILOT) fees as grants to municipalities where the subject real estate is located.

§ 8. DISPOSAL OF PROPERTY INTERESTS

1. DACF may grant leases, licenses or other interests in property acquired under this Chapter for commercial agricultural production, research related to PFAS in agriculture, conservation, passive recreation, and other uses consistent with DACF’s mission.

2. DACF may sell property acquired under this Chapter in a manner consistent with the terms of DACF Administrative and Financial Policies and Procedures, Chapter 1, Finance, Section 13.00, Disposition of Real Property.

§ 9. ADVISORY PANEL

The Commissioner of DACF will establish a land acquisition and management advisory panel. The advisory panel will consist of:

1. The Commissioner or the Commissioner’s designee;
2. The Commissioner of Environmental Protection or the Commissioner’s designee;
3. The Commissioner of Inland Fisheries and Wildlife or the Commissioner’s designee;
4. Two members of the public representing the agricultural sector, at least one of whom is an active commercial farmer;
5. One member of the public representing expertise in land use transactions (e.g., lawyer or realtor); and
6. One member of the public with expertise in land use planning.

The Commissioner will make a good faith attempt to fill one of the public seats with a person representing Indigenous communities in Maine.

The members of the public appointed by the Commissioner serve on the land acquisition and management advisory panel for terms of 3 years.Notwithstanding the previous sentence, the Commissioner shall appoint initial public members to the land acquisition and management advisory panel as follows: 1 member of the public for a 2-year term, 2 members of the public for 3-year terms, and 1 member of the public for a 4-year term.

Public members of the land acquisition and management advisory panel will be entitled to reimbursement of expenses in accordance with 5 M.R.S.A. § 12002-D when funding is available and prior approval is received from the PFAS Fund director.

The role of the advisory panel is to help prioritize which properties to purchase, recommend management strategies for properties acquired by DACF, and advise on property sales. Final decision-making authority rests with the Commissioner.

Prioritization criteria for land purchases may include but are not limited to:

1. Degree and extent of PFAS contamination of soil and/or groundwater (highest priority will be given to commercial farms with greater PFAS contamination);
2. Percentage of soils classified by the United States Department of Agriculture (USDA) (and confirmed with onsite soil-testing) as prime farmland, unique farmland, farmland of statewide importance, and farmland of local importance (highest priority will be given to commercial farms with more soils classified by the USDA as prime farmland, unique farmland, farmland of statewide importance, and farmland of local importance);
3. Magnitude of financial loss resulting from PFAS contamination (higher priority will be given to commercial farms that have experienced greater financial loss);
4. Economic viability of the working farmland property in terms of current and potential future commercial agricultural activities in local, regional and statewide markets (higher priority will be given to commercial farms with greater potential for future commercial agricultural activities);
5. Natural resources values associated with the farmland property, including open space land, forested land, wetlands, riparian buffers, and wildlife habitat (higher priority will be given to commercial farms with higher natural resource values); and
6. Costs associated with maintaining the property (higher priority will be given to commercial farms with lower maintenance costs).

DACF reserves the right to cap the amount of funding for all requests based on available resources.

§ 10. RIGHT TO APPEAL

If an offer to sell land to DACF is rejected, DACF must send the landowner a written notice of its decision. Such notice must include an explanation of why the offer was rejected.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 11. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-057
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-022

Chapter 406 Competitive Research Grants

Code Me. R. 01-001 Ch. 406 Competitive Research Grants {#sec-01-001-ch.-406 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 406}

SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include support for research that informs short-term farm management decisions and assesses future options for viable uses of agricultural land that has been contaminated with PFAS. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the procedures for a competitive research grant program, including the role of the proposal review panel, criteria for granting awards consistent with the purpose of the legislation, appeals, and other administrative procedures not specified in legislation.

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§ 1. OVERVIEW

The Department of Agriculture, Conservation and Forestry (DACF) hereby establishes the rules for a competitive grant program to fund research that will help commercial farmers make informed decisions about how to utilize agricultural property that has been impacted by perfluoroalkyl and polyfluoroalkyl substances (PFAS).

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

1. “Awardee” means an individual or entity that has been awarded a competitive research grant by DACF according to the terms of this Chapter.

2. “Equipment” means tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost which equals or exceeds $5,000.

3. “Fringe benefits” include but are not limited to the costs of leave (e.g., vacation, family-related, sick or military), employee insurance, pensions, and unemployment benefit plans for individuals who will be working directly on the funded research project.

4. “Indirect costs” mean any costs that are incurred for common or joint objectives that cannot be readily identified with an individual project, program, or organizational activity. They generally include facilities operation and maintenance costs, depreciation, and administrative expenses.

5. “Open file format” means a file format for storing digital data, defined by a published specification usually maintained by a standards organization, and which can be used and implemented by anyone with access to a computer.

6. “Open-access journal” means an academic journal that provides free online access to peer-reviewed articles.

7. “Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

8. “Publication fees” mean fees charged by publishers to authors for making their research articles open access. Publication fees are also known as article processing charges.

9. “Rental fees” mean monetary payments made for the temporary use of tangible or real property including but not limited to agricultural land.

10. “Salary” means fixed compensation paid regularly for services performed by individuals who will be working directly on the funded research project.

11. “Services” mean an action or activity performed for the grant recipient, often intangible and providing value by fulfilling a need or achieving a desired outcome. It can be a transaction, an activity, or a function provided by a person, company, or organization. Services include but are not limited to laboratory analysis, professional services, consulting, field support (e.g., operating farm equipment, managing crops, animal husbandry), and postage and shipping services.

12. “Subaward” means the portion of an awardee’s DACF-funded research grant that an awardee provides to a separate entity to carry out a component of the awardee’s research project. It does not include payments to a service provider. A subaward may be provided through any form of legal agreement, including an agreement that the awardee considers a contract.

13. “Supplies” means all tangible personal property other than those defined as equipment.

14. “Travel costs” include but are not limited to costs associated with transportation, parking, lodging, meals, and conference registration fees.

15. “Tuition remission” means the monetary value of instruction costs waived by an academic institution, typically in support of graduate students. Tuition remission does not include the value of scholarships or fellowships paid to students.

§ 4. FUNDING

The Fund to Address PFAS Contamination (PFAS Fund) is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. RESEARCH ADVISORY PANEL

Responsibilities. A research advisory panel will be established by the Commissioner of DACF to:

1. recommend research priorities for each round of grant funding;
2. based on those priorities, identify desired areas of expertise for peer reviewers;
3. propose peer review strategies that assure an absence of conflicts of interest; and
4. help identify qualified peer reviewers.

The research advisory panel will consist of:

1. The Commissioner or the Commissioner’s designee;
2. The Commissioner of the Department of Environmental Protection or the Commissioner’s designee;
3. The Commissioner of the Department of Health and Human Services or the Commissioner’s designee;
4. The President of the University of Maine or the President’s designee,
5. One member of the public with expertise in agriculturally-related PFAS science, appointed by the Commissioner; and
6. Two members of the public representing the agricultural sector, appointed by the Commissioner.

Terms. The members of the public appointed by the Commissioner serve on the research advisory panel for terms of 3 years.Notwithstanding the previous sentence, the Commissioner shall appoint initial public members to the proposal review panel as follows: 1 member of the public for a 2-year term, and 1 member of the public for a 3-year term.

Recusal. Members of the research advisory panel must disclose any real or perceived conflicts of interest and recuse themselves from voting on any matters in which they have a real or perceived conflict of interest.

Compensation. Public members of the research advisory panel will be entitled to reimbursement of expenses in accordance with 5 M.R.S.A. § 12002-D when funding is available and prior approval is received from the PFAS Fund director.

§ 6. ELIGIBILITY AND LIMITATIONS

1. The following entities are eligible to apply for research grants unless more specifically limited in a grant solicitation at issue:

a. public and private institutions of higher education or individual employees thereof;

b. public and private nonprofit institutions/organizations or individual employees thereof;

c. state and local governments;

d. Tribal governments; and

e. Private for-profit entities.

2. Public and private entities must be based in the United States and managed and controlled by United States entities.

3. Allowable costs. The budget categories listed below are an exclusive list of allowable budget categories.

a. Salary;

b. Fringe benefits;

c. Supplies;

d. Publication fees;

e. Travel costs;

f. Services;

g. Subawards;

h. Rental fees;

i. Equipment;

j. Tuition remission; and

k. Indirect costs as limited in Section 6.4.

4. Indirect

a. The indirect rate is 10 percent unless:

i. a Federal funding source requires reliance on an approved federal Negotiated Indirect Cost Rate Agreement (NICRA), or

ii. the applicant is a Maine-based institution with an existing policy that defines the indirect rate for agreements with the State of Maine as a percentage of that institution’s federally negotiated indirect cost rate, in which case the indirect rate is no more than one-half of that institution’s federally negotiated indirect cost rate.

b. When calculating indirect costs:

i. the total cost of salary, fringe benefits, supplies, publication fees, and travel costs can be included;

ii. the first $25,000 of each service or subaward can be included; and

iii. the cost of rentals, equipment, and tuition remission cannot be included.

§ 7. SOLICITATION AND AWARD PROCEDURES

While funds remain available, DACF may solicit proposals at any time during the fiscal year but shall solicit proposals at least once per year through fiscal year 2026.

DACF will issue a Request for Applications (RFA) to solicit grant applications. DACF will identify research priorities in the RFA. All research proposals must be submitted in the form and in accordance with the terms directed by DACF in the RFA.

The peer reviewers identified through the process described in Section 5 shall evaluate and score proposals, based on evaluation criteria contained in Section 8. Peer reviewers shall document each proposal’s score and substantive information that supports the score.

Final decision-making authority for awarding grants rests with the Commissioner, based upon the internal non-technical review and evaluation criteria set forth in Section 8, and the recommendations of the peer reviewers. If there is a tie among the highest-ranked proposals, the Commissioner may also consider:

1. The degree to which results of the proposed research have broad application to, or affect large segments of, the PFAS-impacted agricultural community;
2. The degree to which the research is designed to produce data and methods that can immediately or with little to no translation be utilized by producers to better assess or manage PFAS in agricultural systems; and
3. Whether a proposal presents a duplication of effort.

DACF will send a written notification of a grant award to a selected applicant.

If an applicant is not selected, DACF will send the applicant a written notice of its decision. Such notice will include documentation of the review panel’s scores for the applicant. Appeals will be decided by DACF in accordance with the procedures outlined in Section 10 below.

DACF reserves the right to cap the amount of funding for all requests based on available resources.

§ 8. EVALUATION CRITERIA

Internal non-technical review: All research proposals seeking funding from the PFAS Fund will be reviewed by DACF for completeness and conformity with the terms of the RFA. Submission of incomplete or late proposals may result in a reduced score or disqualification according to the criteria contained within the subject RFA.

2. Technical review: All research proposals seeking funding from the PFAS Fund will be evaluated according to the following criteria.

a. Research priority. If a research priority area has been designated by the Commissioner and the proposal relates directly, the project will score higher. 10 points.

b. Identification of Need, Opportunity, Justification. Projects must have potential importance and benefits, including economic, for the Maine agricultural community. 20 points.

c. Deliverables. Project deliverables should be clearly stated. A plan to distribute research results must be specified. Proposals that include an intention to publish results in an open access journal will score higher. 15 points.

d. Project Methodology and Schedule. The methodology must be clear and scientifically valid, and the project timetable realistic. 25 points.

e. Project Management. Proposals must be consistent with the qualifications and abilities of the persons involved. Proposals that include collaborations with multiple institutions, farmers, and/or agricultural service providers will score higher. Proposals for projects conducted within the State of Maine or by Maine-based institutions will score higher. 20 points.

f. Budget. Proposals must be able to show clear and realistic descriptions of how the funds will be allocated. Permissible budget items include compensation to farmers for plot rental and plot maintenance, as well as publication fees for open-access journals. 10 points.

§ 9. AWARDEE OBLIGATIONS

As a condition of accepting grant funding, applicants must agree to:

Provide their raw data and metadata to DACF in an open file format or publish the raw data and metadata to an open academic data repository, and

Provide copies of any publications resulting from the research grant to DACF.

§ 10. MATCH

1. Authority. While funds remain available in the PFAS Fund, DACF may commit money from the PFAS Fund to grant matching funds for research proposals submitted in response to solicitations issued by external grantmaking entities. DACF may commit matching funds at its discretion and is under no obligation to commit matching funds within any specific timeframe.

2. Identification of Solicitations Eligible for Matching funds from the PFAS Fund. When determining whether to commit the PFAS Fund to award matching funds for research proposals submitted in response to solicitations issued by an external grantmaking entity, DACF will consider whether the external grantmaking entity:

3. requires cost-sharing as part of its grant requirements;

4. recognizes State funds as an allowable form of match; and

5. uses a competitive selection process that includes external peer reviewers and evaluation criteria that are comparable to the criteria described within this Chapter, as determined by the PFAS Fund director in consultation with the Research Advisory Panel. 1. The analysis will include a comparison of the processes and evaluation criteria identified in this Chapter and in the subject request for proposals issued by the external grantmaking entity. 2. The results of the inquiry will be memorialized in a memorandum to file and communicated to external grantmaking entities and potential applicants as appropriate under the circumstances.

6. Establish a Cap on Matching Funds. The PFAS Fund director will establish a limit on the amount of match funding available for each external grant solicitation approved under Section 10(2).

7. Consideration of Requests for Matching Funds.

a. DACF may commit money from the PFAS Fund as matching funds only for proposals that are consistent with DACF’s goal to fund research that will help commercial farmers make informed decisions about how to utilize agricultural property that has been impacted by PFAS and that advance a research priority designated by the Commissioner.

b. The use of matching funds is subject to the eligibility and limitation requirements included in Section 6.

c. Requests for matching funds that satisfy subsections (a) and (b) of this Section 10(4) will be approved on a rolling basis until the cap established under Section 10(3) is met.

d. DACF’s offer to provide matching funds for a proposal submitted in response to a solicitation approved under Section 10(2) is contingent on the proposal being funded by the external grantmaking entity.

§ 11 RIGHT TO APPEAL

If an application is denied, DACF must send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 12. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-058
• APAO ACCESSIBILITY CHECK: January 21, 2026 (no issues detected)
• AMENDED: January 25, 2026 – filing 2026-023

Chapter 407 Financial Support for PFAS Blood Serum Testing

Code Me. R. 01-001 Ch. 407 Financial Support for Pfas Blood Serum Testing {#sec-01-001-ch.-407 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 407}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include monitoring the health of a person, and members of that person's household, whose agricultural land is found to be contaminated by PFAS. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for obtaining financial support from the PFAS Fund for PFAS blood serum testing costs not otherwise covered by insurance.

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§ 1. OVERVIEW

The Fund to Address PFAS Contamination (PFAS Fund) may pay for costs not otherwise covered by health insurance for perfluoroalkyl and polyfluoroalkyl substances (PFAS) blood serum testing for persons who were exposed to PFAS through the land application of residuals in Maine.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

"Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Commercial farmer” means a person who operates a commercial farm.

“DACF” means the Maine Department of Agriculture, Conservation and Forestry.

“DEP” means the Maine Department of Environmental Protection.

“Farm worker” means a person who performs physical labor on a commercial.

“Impacted property” means real estate with DACF- or DEP-verified PFAS contamination of soil and/or groundwater.

“Land application” means the application of sludge, sludge-derived products, or septage to land, and where such application or material was licensed by the DEP under Chapters 419 or 420.

“Maine CDC” means the Maine Center for Disease Control and Prevention.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

“Residuals” means sludge, sludge-derived products, and septage for purposes of this rule.

“Septage” shall have the same definition as contained in Maine DEP rule Chapter 400, Maine Solid Waste Management Rules, C.M.R. 06-096 Ch. 400 § 1(Aaa-1): waste, refuse, effluent, sludge and any other materials from septic tanks, cesspools or any other similar facilities. Septage is further defined as a mixture of liquids and solids derived from residential sanitary wastewater, and includes sanitary wastewater from tanks connected to commercial and institutional establishments which have inputs similar to residential wastewater. Septage also includes wastes derived from portable toilets.

"Sludge” shall have the same definition as contained in Maine DEP rule Chapter 400, Maine Solid Waste Management Rules, C.M.R. 06-096 Ch. 400 § 1(Ggg): non-hazardous solid, semi-solid or liquid waste generated from a municipal, commercial or industrial wastewater treatment plant, water supply treatment plant, or wet process air pollution control facility or any other such waste having similar characteristics and effect. The term does not include industrial discharges that are point sources subject to permits under section 402 of the Federal Water Pollution Control Act, as amended.

“Sludge-derived products” may include material that meets the Class A pathogen requirements found at 40 C.F.R. § 503.32.

§ 4. FUNDING

The Fund to Address PFAS Contamination is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

PFAS blood serum testing supported by the PFAS Fund is limited to (1) eligible persons who lived or worked (2) on PFAS-contaminated property (3) for any portion of the ten-year period preceding the request for a blood test, (4) when the PFAS contamination is reasonably determined to be the result of the land application of residuals, as explained more fully below (see 7 M.R.S.A. §§ 320-K(4)(A-B)).

Eligible persons are,

1. Commercial farmers and their household members,
2. Farm workers,
3. Residential inhabitants served by private wells, and
4. Children carried in utero by, or provided human milk from, any of the above.

PFAS-contaminated property is defined as agricultural or residential property having,

1. groundwater test results exceeding 20 nanogram per liter (ng/L) for the sum of perfluorooctane sulfonic acid (PFOS), perfluorooctanoic acid (PFOA), perfluorohexanesulfonic acid (PFHxS, perfluoroheptanoic acid (PFHpA), perfluorononanoic acid (PFNA), and perfluorodecanoic acid (PFDA) for a well servicing the residence, farm, and/or fields; and/or
2. soil test results exceeding 170 ng/g perfluorooctane sulfonic acid (PFOS).

Eligible persons must have:

a. lived or worked on a property with DACF-verified PFAS test results exceeding an applicable standard described in Section 5(2) within the ten years immediately preceding the request for a blood test or

b. been carried in utero by, or provided human milk from, a person meeting the criteria in Section 5(3)(a) within the ten years immediately preceding the request for a blood test.

The land application of residuals will be reasonably determined to be the source of PFAS contamination when,

1. DEP records and other information available to DEP indicate that PFAS impacts to soil and/or groundwater at an impacted property were primarily caused by land application, or

2. DEP records and other information available to DEP indicate that PFAS impacts to soil or groundwater at an impacted property were primarily caused by land application on a property that is adjacent to, abuts, or is upgradient of an impacted property, or

3. DEP records and other information available to DEP indicate that PFAS impacts to soil or groundwater at an impacted property were primarily caused by land application on a property with hydrogeological attributes that DEP advises has the potential to be the source.

4. DACF reserves the right to determine that other persons are eligible for PFAS blood serum testing supported by the PFAS Fund when:

a. a person has been exposed to PFAS, and such exposure is reasonably determined to be the result of the land application of residuals using the criteria in Section 5(4); and

b. Maine CDC makes a written determination that an elevated and actionable PFAS blood level is at least as likely as not. Elevated and actionable PFAS blood level means blood serum test results that indicate the need for enhanced medical monitoring consistent with guidance from the National Academies of Sciences, Engineering, and Medicine or another authoritative institution relied upon by Maine CDC and/or DACF.

§ 6. REQUIRED DOCUMENTATION

Applicants for financial support from the PFAS Fund for blood testing must provide the following documentation:

A completed DACF application, as may be updated from time to time; and

Documentation of validated groundwater and/or soil test results exceeding an applicable threshold identified in Section 5(2). The results of groundwater or soil samples collected and validated by DACF or DEP are sufficient to document PFAS contamination of soil and/or groundwater. Likewise, a letter from Maine DEP or Maine CDC notifying the applicant that groundwater and/or soil test results exceed screening thresholds is acceptable documentation; and

Documentation from Maine DEP indicating that the land application of residuals has been reasonably determined to be the primary source of PFAS contamination of an impacted property; and

Proof of residency at an impacted property, such as a sworn statement, deed, lease, or utility bill in the applicant’s name or evidence of employment by an impacted commercial farm, such as a sworn statement, W-2 form, signed federal tax return, or paystub; and

Any additional supporting documentation, including insurance information, requested by DACF that DACF determines is necessary to review or process the request for assistance.

§ 7. LIMITATIONS

DACF is limited to paying costs of PFAS blood serum testing that are not covered by an eligible person’s health insurance.

DACF will pay for testing no more frequently than annually.

3. DACF will not pay for at-home finger-prick PFAS testing.

4. Blood may be drawn for testing in a healthcare provider’s office or by a laboratory approved by the Maine Department of Health and Human Services.

5. Blood samples drawn by a health care provider or laboratory to test for blood levels of PFAS must be analyzed by a facility approved by the Maine Department of Health and Human Services.

6. Applications for PFAS blood serum testing will be reviewed by DACF PFAS Fund staff, including the PFAS Fund director. PFAS Fund staff may consult with the Maine CDC and Maine DEP to verify PFAS exposure. Decision-making authority rests with the PFAS Fund director.

7. DACF reserves the right to assess each application on a case-by-case basis and to prioritize persons who have not previously had their blood serum tested for PFAS and those exposed to PFAS for durations exceeding twelve cumulative months.

8. DACF reserves the right to limit the amount of funding for all requests based on available resources.

§ 8. RIGHT TO APPEAL

If an application is denied in whole or in part, DACF must send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 9. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-059
• APAO ACCESSIBILITY CHECK (Word): May 14, 2026
• AMENDED: May 19, 2026 – filing 2026-116

Chapter 408 ) Financial Support for Mental Health Care

Code Me. R. 01-001 Ch. 408 Financial Support for Mental Health Care {#sec-01-001-ch.-408 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 408}

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SUMMARY: The 130th Legislature authorized a Fund to Address PFAS Contamination (7 M.R.S.A., Chapter 10-D). Permissible uses include providing medical care to a person found to have health effects associated with exposure to PFAS. Consistent with the legislatively mandated PFAS Fund Implementation Plan, these rules establish the eligibility criteria and administrative procedures for obtaining support for mental health care from the PFAS Fund.

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§ 1. OVERVIEW

The Fund to Address PFAS Contamination (PFAS Fund) may pay for costs not otherwise covered by health insurance for mental health care for persons who were exposed to PFAS through the land application of residuals in Maine. Alternatively, the PFAS Fund may contract with mental health professionals to provide services to eligible individuals at no or low cost.

§ 2. CONSISTENT WITH STATUTE

All terms used in this Chapter shall be defined as indicated in Title 7 M.R.S.A, Chapter 10-B unless specifically provided herein.

§ 3. DEFINITIONS

"Commercial farm" means a farm that produces any farm product with the intent that the farm product be sold or otherwise disposed of to generate income.

“Commercial farmer” means a person who operates a commercial farm.

“DACF” means the Maine Department of Agriculture, Conservation and Forestry.

“DEP” means the Maine Department of Environmental Protection.

“Farm worker” means a person who performs physical labor on a commercial farm.

“Impacted property” means real estate with DACF- or DEP-verified PFAS contamination of soil and/or groundwater.

“Land application” means the application of sludge, sludge-derived products, or septage to land, and where such application or material was licensed by the DEP under Chapters 419 or 420.

“Maine CDC” means the Maine Center for Disease Control and Prevention.

“Perfluoroalkyl and polyfluoroalkyl substances” or “PFAS” has the same meaning as in Title 32, section 1732, subsection 5-A.

“Mental health care” supports emotional, psychological, and social well-being and includes but is not limited to counseling and peer support.

“Residuals” means sludge, sludge-derived products, and septage for purposes of this rule.

“Septage” shall have the same definition as contained in Maine DEP rule Chapter 400, Maine Solid Waste Management Rules, C.M.R. 06-096 Ch. 400 § 1(Aaa-1): waste, refuse, effluent, sludge and any other materials from septic tanks, cesspools or any other similar facilities. Septage is further defined as a mixture of liquids and solids derived from residential sanitary wastewater, and includes sanitary wastewater from tanks connected to commercial and institutional establishments which have inputs similar to residential wastewater. Septage also includes wastes derived from portable toilets.

"Sludge” shall have the same definition as contained in Maine DEP rule Chapter 400, Maine Solid Waste Management Rules, C.M.R. 06-096 Ch. 400 § 1(Ggg): non-hazardous solid, semi-solid or liquid waste generated from a municipal, commercial or industrial wastewater treatment plant, water supply treatment plant, or wet process air pollution control facility or any other such waste having similar characteristics and effect. The term does not include industrial discharges that are point sources subject to permits under section 402 of the Federal Water Pollution Control Act, as amended.

“Sludge-derived products” may include material that meets the Class A pathogen requirements found at 40 C.F.R. § 503.23.

§ 4. FUNDING

The Fund to Address PFAS Contamination is funded by an appropriation from State general funds as provided by Maine Public Laws, 2021, Chapter 635, and any subsequent appropriations, and, whenever possible, any additional funding that may be available from other sources.

§ 5. ELIGIBILITY

Mental health care supported by the PFAS Fund is limited to (1) eligible persons who lived or worked (2) on PFAS-contaminated property (3) for any portion of the ten-year period preceding the date of the request for services, (4) when the PFAS contamination is reasonably determined to be the result of the land application of residuals, as explained more fully below (see 7 M.R.S.A. §§ 320-K(4)(A-B)).

Eligible persons are,

1. Commercial farmers and their household members,

2. Farm workers, and

3. Residential inhabitants served by private wells.

4. PFAS-contaminated property

a. For commercial farmers and their household members and farm workers, PFAS-contaminated property is defined as agricultural or residential property having,

i. groundwater test results exceeding Maine’s Maximum Contaminant Level (MCL) for PFAS in drinking water as defined in the State of Maine Drinking Water Rule, 10-144 C.M.R. ch. 231 (2025)^[1]; and/or

iii. the commercial farm’s agricultural products are or were subject to a DACF order or recommendation to stop sales.

b. For individuals not associated with a commercial farm, PFAS-contaminated property is defined as residential property having,

i. groundwater test results exceeding Maine’s Maximum Contaminant Level (MCL) for PFAS in drinking water as defined in the State of Maine Drinking Water Rule, 10-144 C.M.R. ch. 231 (2025)^[2] for wells servicing the residence; and/or

ii. soil test results exceeding 170 ng/g perfluorooctane sulfonic acid (PFOS).

3. Eligible persons must have lived or worked on a property with DACF-verified PFAS test results exceeding an applicable standard described in Section 5(2) within the ten years immediately preceding the date of the request for services.

4. The land application of residuals will be reasonably determined to be the source of PFAS contamination when,

a. DEP records and other information available to DEP indicate that PFAS impacts to soil and/or groundwater at an impacted property were primarily caused by land application, or

b. DEP records and other information available to DEP indicate that PFAS impacts to soil or groundwater at an impacted property were primarily caused by land application on a property that is adjacent to, abuts, or is upgradient of an impacted property, or

c. DEP records and other information available to DEP indicate that PFAS impacts to soil or groundwater at an impacted property were primarily caused by land application on a property with hydrogeological attributes that DEP advises has the potential to be the source.

5. In addition to persons meeting the above criteria, persons who are eligible for PFAS blood serum testing according to the terms of 01-001 C.M.R. ch. 407 § 5(5) are eligible for mental health care supported by the PFAS Fund.

§ 6. REQUIRED DOCUMENTATION

Applicants for financial support from the PFAS Fund for mental health care must provide the following documentation, as applicable:

A completed DACF application, as may be updated from time to time.

Documentation of validated groundwater, soil, and/or agricultural product test results exceeding an applicable threshold identified in Section 5. The results of samples collected and validated by DACF or DEP are sufficient to document PFAS contamination of groundwater, soil, and/or agricultural products. Likewise, a letter from DEP or Maine CDC notifying the applicant that groundwater, soil, and/or agricultural product test results exceed screening thresholds is acceptable documentation; and

Documentation from Maine DEP indicating that the land application of residuals has been reasonably determined to be the primary source of PFAS contamination of an impacted property; and

Proof of residency at an impacted property, such as a sworn statement, deed, lease, or utility bill in the applicant’s name or evidence of employment by an impacted commercial farm, such as a sworn statement, W-2 form, signed federal tax return, or paystub; and

Any additional supporting documentation, including insurance information, requested by DACF that DACF determines is necessary to review or process the request for assistance.

§ 7. LIMITATIONS AND ADMINISTRATION

Applications for mental health care supported by the PFAS Fund will be reviewed by DACF PFAS Fund staff, including the PFAS Fund director. PFAS Fund staff may consult with the Maine CDC and Maine DEP to verify PFAS exposure. Decision-making authority rests with the PFAS Fund director.

DACF reserves the right to assess each application on a case-by-case basis and to prioritize persons who have not previously received support to address the emotional toll of PFAS contamination and those exposed to PFAS for durations exceeding twelve cumulative months.

DACF reserves the right to limit the amount of funding for all requests based on available resources.

§ 8. RIGHT TO APPEAL

If an application is denied in whole or in part, DACF must send the applicant a written notice of its decision. Such notice must include an explanation of why the application was denied.

An aggrieved person may appeal a grant award decision by requesting an appeal hearing according to the procedures defined in 01-001 C.M.R. Chapter 8, §§ 4-6, Rules for Departmental Grant Awards and Appeals.

§ 10. WAIVER

Upon the request of any person subject to this Chapter or upon its own motion, the PFAS Fund may, for good cause, request waiver of any requirement of this Chapter that is not required by statute. The waiver may not be inconsistent with the purposes of this Chapter or Title 7, Chapter 10-D. The Commissioner of DACF may grant the waiver in extenuating circumstances.

History

• STATUTORY AUTHORITY: 7 MRS Ch. 10-D §320-K - §320-L and PL 2021, ch. 635, sec. XX-3
• EFFECTIVE DATE: March 17, 2024 – filing 2024-060
• APAO ACCESSIBILITY CHECK (Word): May 14, 2026
• AMENDED: May 19, 2026 – filing 2026-117
• AMENDED: The State of Maine Drinking Water Rule, 10-144 C.M.R. ch. 231 (2025) is available online at https://www.maine.gov/sos/rulemaking/agency-rules/department-health-and-human-services-rules#144 or by contacting the Maine Department of Health and Human Services at 109 Capitol Street, Augusta, ME 04333, phone (207) 287-3707, fax (207) 287-3005. ↑ Ibid. ↑

Chapter 502 Regulations for Treatment of Animals in Schools

Code Me. R. 01-001 Ch. 502 Regulations for the Treatment of Animals in Schools {#sec-01-001-ch.-502 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 502}

SUMMARY: These regulations are drafted for the purpose of establishing guidelines for the treatment of animals used for educational instruction in elementary and secondary schools in Maine. These regulations also contain specific references to animal experimentation prohibited by sub-section 1 of 17 MRSA §1055.

1. Respect for Life

Respect for life shall be accorded to all animals, creatures and organisms that are kept for educational purposes. In biological procedures involving living organisms, plants or invertebrate animals should be used whenever possible.

2. Sustenance - Shelter - Protection from Weather

All animals used in the school-sponsored activities shall be provided with proper food, drink, shelter, protection from the weather (specifically temperature extremes), and humanely clean conditions.

3. Prohibited Uses

The prohibited uses according to sub-section I of Title 17 §1055, are those lessons or experiments which employ microorganisms which can cause disease in man or animal, ionizing radiation, cancer producing agents, chemicals at toxic levels, drugs producing pain or deformity, extremes of temperatures, electric or other shock, excessive noise, noxious fumes, exercise to exhaustion, overcrowding or other distressing stimuli, in general, procedures which cause pain, suffering, or interfere with normal health.

4. Surgery Prohibited

No surgery shall be performed on any living vertebrate animal in kindergarten thru grade 8 and no surgery shall be performed on any live mammal, bird or chelonian (except bird eggs) in grades 9 thru 12.

5 Applicable to State and Federal Statutes

The use of animals must conform to all existing laws, State and Federal.

Sick and/or injured animals shall not be introduced to the classroom for medication. This is prohibited by the Veterinary Practice Act.

6. Authorization and Supervision

The use of animals must be generally authorized by the principal or headmaster of the school and must be directly supervised by a competent teacher. This teacher shall oversee all experimental procedures and shall personally inspect experimental animals during the course of the study to ensure that their health and comfort is properly sustained. Animal studies shall be conducted only in locations where proper supervision is available. No vertebrate animal studies, other than observation of normal behavior of pet animals, shall be conducted at home.

7. Bird Eggs

Bird eggs subjected to experimental manipulations or medications that lead to expectations of abnormalities shall not be allowed to hatch. Such embryos shall be destroyed at least two days prior to hatching. For normal embryos allowed to hatch, satisfactory arrangements must be made prior to hatching for the care of these animals.

8. Killing of Animals

Pupils shall not be exposed unnecessarily to killing of animals. When the killing of animals shall be deemed necessary, it shall be performed in an approved humane manner by a qualified adult.

9. Restrictions - Vertebrate Animals

Projects involving vertebrate animals in elementary schools and involving mammals, birds (except bird eggs), and chelonians in secondary schools, shall be restricted to measuring and studying normal physiological functions such as normal growth, activity cycles, metabolism, blood circulation, learning processes (with reward reinforcement only), normal behavior, reproduction or communication.

10. Access to Animals

Access to animals shall be supervised in order that harassment shall be minimal.

History

• STATUTORY AUTHORITY: 17 MRSA §1055
• EFFECTIVE DATE: October 25, 1975
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 502 page 3

Chapter 551 Rules for Conduct of Agricultural Viability Program

Code Me. R. 01-001 Ch. 551 Rules for Conduct of the Assessment Phase of the Agricultural Viability Program {#sec-01-001-ch.-551 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 551}

I. INTRODUCTION

The 112th Legislature enacted the Maine Agricultural Viability Act of 1985 . (Chapter 482 Public Laws, 7 M.R.S.A. §§ 311 et seq .) The 113th Legislature, in an Act to continue the Agriculture Viability Program, Ch. 424, Public Laws, removed the pilot stratus and authorized the Commissioner to set up selected new Ag-Viability regions.

The act envisions a coordinated, orderly process with prescribed responsibilities for the Commissioner, the State Department of Agriculture and the local lead agencies (LLA) designated by the Commissioner to conduct the program, described in these rules, on the local level.

A. Purpose of the Agricultural Viability Program

The purpose of the program is to establish a process by which:

a) farmers/farm organizations/agencies in a defined region can evaluate the agricultural resources, problems and needs in general and the potential of specific agricultural commodities of their choice in that region.

b) farmers/farm organizations/agencies on the local level can seek to redirect state programs to meet regional needs as identified in the regional assessment.

c) farmers/farm organizations/agencies at their own initiative can affect changes to maximize opportunities which enhance the viability of agriculture.

B. Description of the Program

The Agricultural Viability Program consists of the following elements:

1. a coordinated assessment of agricultural opportunities on the state and sub-state level.

2. guidance and direction to the Commissioner in redirecting the programs and services of the Department.

3. implementation through delivery of the programs and services in accordance with the local assessments.

4. assurance that the agricultural community and the public be given ample opportunity to participate in the process.

5. a state level Advisory Committee composed of a representative named by each of the following organizations: Maine Farm Bureau, Maine State Grange, National Farm Organization, Maine Small Farm Association, Maine Organic Farmers and Gardeners Association and Maine Association of Conservation Districts. The chairman of the Soil & Water Conservation Commission shall serve ex-officio. The Committee shall advise the Commissioner in the development, conduct and implementation of the program.

II. THE PROCESS

This action will present the allocation of responsibilities between the State, the Department of Agriculture (henceforth State) and the Local Lead Agency (henceforth L.L.A.) and the sequence of activities in which those responsibilities are carried out.

A. Upon adoption of these rules, the Commissioner shall send application information to all Soil and Water Conservation Districts. A notice seeking applications from any other public or non-profit organization shall be published in three newspapers of statewide circulation at least 30 days prior to the deadline for applications.

B. Organizations seeking designation as a local lead agency shall submit applications (Section III-D) by the date announced by the Commissioner.

C. The Commissioner shall select a local lead agency and designate the region using the criteria in these rules (Section III, A and B).

D. The State and the LLA shall enter into a contract or memorandum of agreement, whichever is appropriate, specifying responsibilities, work criteria, payment terms and schedules.

E. The State shall provide the LLA with a framework for the local assessments so that the assessments provide a basis for decision making. The state does this by:

1. Identifying, defining and describing the factors which need to be considered in evaluating potential and opportunities.

2. Evaluating the potential of specified commodities at the state level using the factors identified in (1) above.

F. The Local Lead Agency shall complete the regional assessment according to its contract or agreement with the State., A "Regional Assessment" is an analysis of agricultural resources, problems and needs in the designated region using the factors identified by the State.

The assessment shall include but not be limited to:

1. The land base currently used or suitable for agricultural production, its nature and extent, use and ownership;

2. The market, supply and service infrastructure serving the area;

3. The availability and cost of production inputs in the area;

4. The local demand for agricultural goods produced In the area; and

5. The needs of the agricultural sector in the area perceived to be critical to maintaining or enhancing its economic strength.

G. The State shall prepare an analysis of each regional assessments, in the context of the State, New England and the Northeast, identifying commodity/commodities with good economic potential, constraints that limit the realization of that potential, means of overcoming those constraints and the costs of such programs and services.

H. The LLA will analyze the State's response, hold public hearings and prepare its final report to be submitted to the Commissioner. The report shall include a list of needs and services In order of priority, the attendees at all the meetings and other information pertinent to the Commissioner in developing programs. The final report shall be approved by the Board of Directors, or its equivalent, of the LLA. To be considered completed, the report shall demonstrate that the LLA has met its obligation under the contract.

I. Within one year of completion of all regional assessments, the Commissioner shall initiate implementation of appropriate state programs to respond to regional needs.

III. CRITERIA FOR DESIGNATION AND SELECTION

A. Criteria for Designation of an Agricultural Region. The agricultural region shall be defined in the process of application and selection of the local lead agency. A potential local lead agency shall, in its application, propose an agricultural region for designation. The Commissioner shall select a region which can demonstrate to his satisfaction that it is a reasonably cohesive agricultural region. The area which the selected local lead agency and the Commissioner agree on shall be considered the LLA's agricultural region for the duration of the program unless changed by amendment pursuant to Section VI. The agricultural region shall be a geographically contiguous area. In the designation of an agricultural region, the Commissioner shall consider the following factors:

1. Orientation toward a shared marketing, supply and service center.

2. Shared constraints to and opportunities for agricultural viability.

3. Similar characteristics of land and water resources.

4. Size and geographic proximity which encourages citizen participation.

5. Orientation toward existing political boundaries. County, Soil and Water Conservation Districts and state designated planning districts are examples of such boundaries.

B. Criteria for Selecting a Local Lead Agency

While the Act indicates a preference for local soil and water conservation districts, the Act does not preclude other agencies or combinations of agencies from forming an organization for the purpose of conducting a regional agricultural viability program. Joint applications or combinations of soil and water conservation districts and other public or non-profit agricultural service or planning agencies are encouraged.

In selecting a local lead agency the Commissioner shall consider:

1. Understanding of the region's resources, problems and opportunities demonstrated by the comprehensiveness of the application.

2. Documented timeliness or urgency to undertake the program in the proposed region.

3. The likelihood of significant and recognizable implementation.

4. The impact of the projects mentioned in the application or their implementation on,

a. the local agricultural economy.

b .the general local economy.

c. the agricultural economy statewide.

d. the general economy statewide.

5. Demonstration of Community Support for, and participation In the program.

6. Demonstrated ability to administer funds, hire and supervise personnel or manage a contract.

7. Capability to undertake data gathering and analysis; successfully completed projects by the agency or subcontracting for such services shall be considered demonstration of such experience.

8. The experience and credibility of the agency in facilitating public participation, accurately hearing and effectively reflecting the concerns and ideas of local people.

9. Efficient use and coordination of existing staff, volunteers and resources of other agencies and organizations.

10. Clearly identified and accessible headquarters.

C. Application

Soil and Water Conservation Districts and other public and non-profit farmer organization will be notified of the opportunity to submit applications pursuant to section II, B, above. An acceptable application must Include information addressing the criteria as listed in A and B of this section. The application should include at the minimum:

1. Identification of the geographic boundaries of the proposed region.

2. A general description of the region's natural resources.

3. A review of current agricultural activities in the region.

4. A report on the preliminary perception of needs and opportunities.

5. A work plan indicating approach, designating responsibilities and schedules, consistent with. the legislation.

6. A plan to Involve farmers and citizens in the area.

7. Budget, Including contributions and in kind services.

8. Administrative structure Including Board of Directors$ or Its equivalent, and a description of staff capability.

9. Record of accomplishments of the agency or participating organizations.

10. Information which address the criteria (Section ,CB) for selection as a pilot program.

11. Any other Information the applicant considers supportive of its selection as a Local Lead Agency.

D. Selection Process

Using the criteria in Section A and B, the Commissioner upon consultation with the Advisory Committee shall select one or more proposals) which in his judgment best meet(s) the criteria.

E. Negotiation

Upon selection of the application(s) the Commissioner considers most qualified, he shall negotiate with each applicants) to:

1. Define the exact geographic boundary of the region. The Commissioner may work with the designated agency to modify region boundaries to be more consistent with the criteria in Section III-A. In cases where there are applications for overlapping or contiguous geographic regions, the Commissioner may suggest expanding the area in the proposed region or combining agencies.

2. Agree on funding level. Within the limits of available funds and based on the submitted budget the Commissioner and the potential agency will negotiate the allocation of the funds available. The Commissioner shall coordinate the most efficient use of existing resources, other funds and volunteer contributions.

IV. CONTRACT OR MEMORANDUM OF AGREEMENT

A contract or memorandum of agreement, whichever is appropriate, to be signed by the Commissioner and the Chief Executive Officer or Chairman of the selected local lead agency (ies) shall specify at least the following:

A. The delineated geographic region designated by the Commissioner.

B. The agency or agencies to conduct the program in that designated region.

C. Work to be performed including the products expected.

D. A plan for citizen involvement.

E. Funding and a schedule of payments.

V. COMPLETION

A Regional Assessment is completed when the LLA fulfills its contractual requirements and completion of Step H in Section II.

VI. AMENDMENTS

A. These Rules can be amended with the advice of the Advisory Committee either by the Commissioner's own initiative or in response to a petition as provided in the Administrative Procedure Act, 5 MRSA subsection 8055.

B. Changes in the boundaries of an agricultural region, or in the structure or responsibilities of a designated local lead agency may be considered amendments to the contract between the LLA and the Department and may be negotiated by the signatories.

C. New designations of regions and LLA's will be handled as provided in Section III of these rules.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §311
• EFFECTIVE DATE: March 31, 1986
• AMENDED: December 14, 1987
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: May 20, 2008
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 552 Rules for Conducting the Continuation Phase of the Agricultural Viability Program

Code Me. R. 01-001 Ch. 552 Rules for Conducting the Continuation Phase of the Agricultural Viability Program {#sec-01-001-ch.-552 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 552}

1. Introduction

By Chapter 424 of the Public Laws of 1987, the 113th Legislature authorized the establishment of selected new Agricultural Viability Regions and the continuation of already established Agriculture Viability Regions.

Chapter 551 of the Department's Rules spells out the rules under which the assessment phase of the Agricultural Viability Program is to be conducted. Chapter 552 sets out the rules to guide the continuation of the process for those Regions which have completed the assessment phase as prescribed in Chapter 551.

A Purpose of the Continuing Phase of the Agricultural Viability Program

The purpose of the Continuing Phase of the Agricultural Viability Program is to establish a system by which:

1. farmers/farm organizations/agencies, at their own initiative, can effect changes to maximize opportunities which enhance the viability of agriculture, both in their region and across the state; and

2. farmers/farm organizations/agencies can build strong cases for altering State programs and policies which they have concluded, based on their regional assessments, need alteration and can work to accomplish those alterations.

II. Funding

Each biennium, the Commissioner shall announce the amount of monies available for continuation funding of the Agricultural Viability Program and request applications from local lead agencies in those regions previously designated which have completed phase I.

A. Qualification for Funding

Before being considered eligible to apply for continuation funding, a local lead agency in a region must have satisfactorily completed the assessment phase and presented its assessment report to the Department.

B. Application for Funding

To qualify for continuation of funding, a local lead agency in a region shall submit to the Department an application which will include the following:

1. An action plan containing:

a) The goals and objectives the local lead agency intends to try to accomplish;

b) How these relate to their assessment; and

c) Action steps to achieve their objectives.

2. An anticipated budget for the biennium.

3. The duties and responsibilities of the Board of Directors or Steering Committee and any staff members.

4. The names and addresses of the Board or Steering Committee and staff members.

5. Matching support, both in cash and in kind, from other agencies, organizations and Individuals.

6.A discussion of any proposed changes in the geographic boundary of the region.

7. Proposed action on the part of the local lead agency which is Intended to ensure that the agricultural community and public in general have the opportunity to participate in any redirection of programs or local initiatives.

8. An indication of the extent of the total need in the region, even though that amount is not available from the State.

C. Awarding of Funds

Funds shall be awarded based on their availability and the demonstrated need as presented in the application. In awarding funds, the Commissioner or his designee, shall be guided by the Agricultural Viability Advisory Committee and shall consider the following:

1. The extent to which the project will serve as a model for other regions.

2. The likelihood of significant and recognizable implementation.

3. The impact of the project:

a. On the local agricultural economy.

b. On the general local economy.

c. On the agricultural economy statewide.

d. On the general economy statewide.

4. The likelihood that the agricultural community and the public in general will have the opportunity to, and will be encouraged to, participate in any proposed redirection of programs.

5. The extent to which there is indication of local commitment of funds or in-kind support for conducting the projects.

D. Negotiation

1. In situations where a conflict may arise, the Commissioner and the Local Lead Agency shall resolve the issue in a manner mutually agreeable to both parties by negotiation in good faith.

2. In cases where regional boundary changes are proposed, criteria set forth in Chapter 551 (Rules for Conducting the Assessment Phase of the Agricultural Viability Program) Section III-A shall apply.

III. Contract or Memorandum of Agreement

When negotiations are complete, a Legal Contract or Memorandum of Agreement, whichever is appropriate, to be signed by the Chief Executive Officer of the Local Lead Agency and a representative of the Department, will specify the terms of agreement including:

1. The objectives of the region.

2. The steps for achieving the objectives.

3. The Schedule of reports requested.

4. The Schedule of Payments.

IV. Report

At the end of each fiscal year, the Local Lead Agency will submit a report of the year's activities, stating what they set out to accomplish and what actually was accomplished.

Accompanying this report will be an accounting of how the Lead Agency's funds were spent, comparing the actual expenditures to the expenditures proposed in the budget.

At the end of the first fiscal year of each biennium, the report will also include an application update, informing the Department of any intended departures from the previous application.

V. AMENDMENTS

A. These Rules can be amended with the advice of the Advisory Committee either by the Commissioner's own initiative or in response to a petition as provided in the Administrative Procedure Act, 5 MRSA subsection 8055.

B. The Contract or Memorandum of Agreement can be modified in the course of the year with the mutual consent of the Department and the Board or Steering Committee of the Local Lead Agency if, for example, an objective or the agreed upon steps to achieve it turns out to be unproductive.

C. Changes in the boundaries of an agricultural region, or in the structure or responsibilities of a designated local lead agency may be considered amendments to the contract or memorandum of agreement between the Local Lead Agency and the Department and may be negotiated by the signatories.

EFFECTIVE DATE:

December 14, 1987

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 20, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

01-001 Chapter 552 page 4

Chapter 560 Standards for Compost Products

Code Me. R. 01-001 Ch. 560 Standards for Compost Products {#sec-01-001-ch.-560 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 560}

Developed by

The Maine Department of Agriculture,

Conservation and Forestry

In Conjunction With

The Maine Department of Transportation,

The Maine Department of Environmental Protection,

and

The Soil and Water Conservation Commission

January 16, 1991

Section

1. AUTHORIZATION 1

2. PURPOSE 1

3. USE OF SPECIFICATIONS REQUIRED 1

4. DEFINITIONS 1

5. COMPOST QUALITY INFORMATION 5

A. Compost Stability Levels 5

B. Measuring Stability 6

1. Reheating Test 6

2. Reduction of Organic Matter 6

C. pH and CaCo3 Equivalency 7

D. Contaminants 7

E. Foreign Matter 8

F. Reporting Nutrient Content 9

6. COMPOST PRODUCT SPECIFICATIONS 12

A. Compost Product - Topsoil/topsoil 9

Substitute Class A

1. Characteristics to Consider 10

2. Measurements to Consider 10

3. Mixing with Mineral Soil 11

B. Compost Product - Topsoil/topsoil 12

Substitute Class B

1. Characteristics to Consider 12

2. Measurements to Consider 12

3. Mixing with Mineral Soil 13

C. Compost Product - Topsoil/topsoil

Substitute Class C

1. Characteristics to Consider 14

2. Measurements to Consider 14

3. Mixing with Mineral Soil 15

D. Compost Product - Wetland Substrate 15

1. Characteristics to Consider 15

2. Measurements to Consider 16

3. Mixing with Naturally Occurring Soil 17

E. Compost Product - Mulch Class A 17

1. Characteristics to Consider 18

2. Measurements to Consider 18

F. Compost Product - Mulch Class B 19

1. Characteristics to Consider 19

2. Measurements to Consider 20

APPENDIX A: MIX RATIOS FOR CREATING ARTIFICIAL TOPSOIL USING COMPOST 24

APPENDIX B: MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

FERTILIZER NUTRIENT REQUIREMENTS 25

STANDARDS FOR COMPOST PRODUCTS

The Maine Department of Agriculture,

Conservation and Forestry

1. AUTHORIZATION

The Department of Agriculture, Conservation and Forestry was given the responsibility for developing compost standards in Public Law 1989. Ch. 585 subsection 1812-C (5 MRSA subsection 1812-C).

2. PURPOSE

These compost standards are intended to be used by state agencies in purchasing compost products made from organic waste Products or for writing specifications for licenses, permits and contracts that may call for the use of such products. These standards have been developed and adopted by the Department of Agriculture, Conservation and Forestry as mandated. They may be voluntarily used or adopted by other agencies for their own programs.

3. USE OF SPECIFICATIONS REQUIRED

All projects supported by funding from the Maine Department of Agriculture, Conservation and Forestry shall use the compost Product specifications outlined in Section 6 of these rules, when purchasing compost products in volumes greater than 10 cubic yards.

4. DEFINITIONS

Compost - Organic materials which have undergone biological decomposition, and have been disinfected using composting or similar technologies, and have been stabilized to a degree which is potentially beneficial to plant growth.

Compost Grades - Classifications of compost materials based on nutrient content.

Some suggested grades are:

Nutrient grade compost - A compost applied to soil as a nutrient source. Nutrient levels are measurable and meet state's minimum levels to qualify for fertilizer status ( see Appendix). Conductivity is greater than 4 mmhos/cm. It may contain appreciable lime equivalent.

Topsoil grade compost - Compost or compost soil mixture with organic content 4 - 40%, conductivity less than 2 mmhos/cm Used as a soil replacement. Density is normally 1000-1600 lbs. per cubic yard.

Horticultural grade - A compost with organic matter greater than 25%. Conductivity is less than 1 mmhos/CM or mixed with other materials to achieve this level. Density is normally less than 1000 lbs. per cubic yard.

Composting - The process by which biological decomposition of organic materials is carried out under controlled aerobic conditions, and which stabilizes the organic fraction into a material which can easily and safely be stored, handled and used in an environmentally acceptable manner. (The presence of anaerobic zones within the composting material will not cause the process to be classified as something other than composting.) Simple exposure of solid waste under uncontrolled conditions resulting in natural decay is not composting.

Conductivity - A measure of the soluble salts in the soil. This is used as an overall indicator of the level of macro and micro nutrients in the soil. Conductivity is measured in units of milli mhos per centimeter (mmhos/cm).

D.E.P. - The Department of Environmental Protection including the Board of Environmental Protection and the Commissioner.

Foreign Matter - Sticks, stones, clods, roots, glass, plastic, metal or other unwanted non-compostable materials that may be present in compost.

Heavy Metals - Those elements that are regulated because of their potential for human, plant or animal toxicity including but not limited to cadmium (Cd), copper (Cu), chromium (Cr), mercury (Hg), nickel (Ni), lead (Pb) and zinc (Zn).

Loam. Soil textural class that consists of a mixture of sand (52% ), silt (28-50%), and clay (7-27%) measured on a weight basis.

Mesophilic Stage - The stage of the composting process in which the rate of biological activity is high enough to maintain an average pile temperature of at least 90 degrees F( 32 c). This stage follows the thermophilic stage. It is in this stage that continued decomposition and stabilization occurs.

Mulch - A protective covering of various substances, especially organic, placed around plants to prevent erosion, compaction, evaporation of moisture, and freezing of roots and to control weeds.

On-site mixing - The practice of creating a soil mixture by spreading compost on the surface of the site to be prepared and tilling it into the top 3 to 6 inches of the existing soil. This practice would be used primarily for establishing grass cover (or other crop) on large open areas.

Pathogen - An organism, chiefly a microorganism, including viruses, bacteria, fungi, and all forms of animal parasites and protozoa, capable of producing an infection or disease in a susceptible plant or animal host.

PCB's - Polychlorinated Biphenyls; A class of chlorinated aromatic hydrocarbons representing a mixture of specific biphenyl hydrocarbons which are thermally and chemically very stable.

PFRP - A Process to Further Reduce Pathogens. The D.E.P. considers the following compost processes to qualify as a PFRP.

Method Minimum Minimum

Temperature Time

Static Aerated Pile 55c 3 days*

Within Vessel 55c 3 days*

Windrow 55c 15 days*

Using the windrow composting method, there will be a minimum of five turnings of the windrow during the high temperature period.

• Aerated static piles must remain in the pile for at least 21 days. All three approaches are required to retain compost in a curing pile for at least 21 days following the active composting period.

Attaining a PFRP is essential for composts containing sludge or septage if the compost is to be distributed to the public.

PSRP - A Process to Significantly Reduce Pathogens. The D.E.P. considers the following composting processes to qualify as a PSRP.

Method Minimum Minimum

Temperature Time

Static Aerated Pile 40c 5 days

Within Vessel 40c 5 days

Windrow 40c 5 days

For four hours during this period the temperature exceeds 55 degrees C.

Compost attaining a PSRP may be spread only on restricted sites.

Putrefactive - As result of the partial decay of organic matter.

Saturated Paste Extract Method - An approach for analyzing compost materials in which water is added to the compost until it just reaches saturation. This mixture is then allowed to sit for about 1 1/2 hours prior to performing tests. Conductivity, soluble nutrients and pH are often tested using this approach.

Stabilized - Means that the compost has at least passed through the thermophilic stage, and that biological decomposition of the organic materials has occurred to a sufficient degree that will allow beneficial use. See Section 5.A. for a description of stability levels and the methods for distinguishing them.

Static Aerated Pile Method - A method of composting in which materials are piled over perforated pipes or air ducts so that the piles may be aerated using blowers to either force air up through or draw air down through the compost mass.

Thermophilic Stage - The stage of the composting process in which the rate of biological activity is high enough to maintain an average pile temperature of at least 130 degrees F(55C). This stage favors decomposition by thermophilic (heat loving) bacteria. It is in this stage that the most rapid destruction of pathogenic organisms occurs.

Topsoil - Soil that consists of various mixtures of sand, silt, clay and organic matter. Normally considered to be the nutrient rich top layer of soil that supports plant growth.

Windrow Method - A method of composting in which materials are placed in long narrow piles (windrows) and aerated by physically turning the materials.

Within-vessel Method - A method of composting in which compostable materials are placed in an enclosed drum, bin or other vessel. Aeration is accomplished through rotation of the drum or through forced aeration.

5. COMPOST QUALITY INFORMATION

Several quality measures are suggested in the sections describing materials for particular purposes. Some of these quality measures are described here for the convenience of anyone using these standards.

5.A. Compost Stability Levels

Three compost stability levels are recognized. These are:

Mature - Highly stabilized, generally will not reheat to 20 degrees C above ambient, reduction of organic matter greater than 60 percent by weight.

Semimature - In the mesophilic stage (has passed through thermophilic stage but has not completed the mesophilic stage). Generally will reheat to 20 degrees C above ambient temperature. Reduction of organic matter by 40-60 percent by weight.

Fresh - Through thermophilic stage but still in the early part of the mesophilic stage, partial decomposition. Material will easily reheat to 20 degrees C above ambient level. Reduction of organic matter by 20-40 percent by weight.

5.B. Measuring Stability

Stability may be determined by checking for reheating and measuring the reduction in organic matter content. An alternative approach that may be used is to have a laboratory perform an oxidation/reduction test or other test that would measure the level of respiration that is taking place.

5.B.1. Reheating Test

To determine if the material will reheat to 20 degrees C above the ambient temperature, follow the following procedure:

Re-pile compost into a pile at least six feet in diameter and four feet high. Provide aeration to this pile. Moisture content of the material in this pile must be between 35 and 60% in order for this test to be valid. Three days after the pile has been formed, the temperature of the compost should be measured at a point about two feet into the pile. This temperature should be compared to the ambient temperature.

5.B.2. Reduction of Organic Matter

The percent reduction of organic matter is a measure of the loss of decomposable material in comparison to the amount present prior to composting. To make this comparison, use the following procedure:

Prior to composting and again following composting, have material tested for the percent organic matter on a dry weight basis. Use these before and after figures to calculate the percent reduction in organic matter using the following formula:

percentage reduction = % A (100-% B)

^{[1- ] x 100}

% B (100-% A)

Where A is organic matter percentage after composting and % B is organic matter percentage before composting. E.g. using this formula we have calculated the percent of organic matter in the final product necessary to meet various levels of reduction if we started out with 65 percent organic matter.

% organic matter % reduction % organic matter in

in original mix in final product

(before composting) organic matter (after composting)

65% 20% 59.8%

65% 40% 52.7%

65% 60% 42.6

5.C. pH and CaCO3 Equivalency

For most applications, a pH near neutral is desirable so it is important to know the acidity or basicity of the amendment being used. In cases where the pH of the compost material is not close to neutral, ( <6.1 or >7.8 ) the supplier should provide data on either its Liming value or the amount of lime needed to neutralize the product both on a calcium carbonate equivalency basis. For example, if the pH of the material was 5.5, the supplier would be required to indicate how many pounds (CaCO3 equivalents) of liming materials would be needed to bring 100 lbs. of this product to a pH of 7.0. If. on the other hand, the pH was reported to be 8.5, the supplier should indicate how many pounds of CaCO3 equivalents would be provided by 100 pounds of the product.

Measurement of pH. When measuring the pH on compost products, it to test them on an "as is" basis rather than drying them first, since this may affect the results. Given the sample "as is", the pH should be tested by the saturated paste extract method.

5.D. Contaminants

The contaminants that must be measured are those regulated by D.E.P. These are listed in the table below. Acceptable levels of other contaminants will be determined by the use for the product and are discussed in the sections covering specific uses.

D.E.P. ALLOWABLE CONCENTRATIONS OF HEAVY METALS AND

ORGANIC CHEMICAL POLLUTANTS

Maximum Permissible Concentrations (mg/kg dry weight)

Cadmium (Cd) 10

Chromium (Cr) 1,000

Copper (Cu) 1,000

Lead (Pb) 700

Mercury (Hg) 10

Nickel (Ni) 200

Zinc (Zn) 2,000

Maximum Permissible Concentrations of

Organic Chemical Pollutants

Polychlorinated Biphenyls (PCB's) 10 ppm

Dioxin Equivalent

Food Chain Crops 27 ppt

Non-Food Chain 27 - 250 ppt

• See DEP Landspreading Rules (Chapter 567) for restrictions on the use of land on which this material has been spread.

5.E. Foreign Matter

In many cases, the acceptability of compost based on its foreign matter content can be determined by visually inspecting representative samples of the product. In cases where a more precise approach is needed to determine foreign matter content, the following method, developed by the Florida Department of Environmental Regulations, may be used:

Foreign matter content may be determined by passing a dried, weighed sample of the compost product through a one-quarter inch or six millimeter screen. The material remaining on the screen is visually inspected, and the foreign matter that can be clearly identified is separated and weighed. The weight of the separated foreign matter divided by the weight of the total sample multiplied by 100 is the percentage dry weight of the foreign matter content.

5.F. Reporting Nutrient Content

Section 6 of these rules includes requirements that suppliers provide information on nutrient content of their compost product. Maine fertilizer law, however, requires that products labeled with a nutrient analysis or advertised based on nutrient content must be registered as a fertilizer. This registration requires both the provision of guarantees for the nutrient analysis and the payment of a tonnage tax. It is not the intent of these rules to force compost suppliers to register their product as a fertilizer if, in fact, they are selling it as a soil amendment.

The following standard will be used to determine if a product must be registered as a fertilizer:

1. If the nutrient analysis appears on the product label or any promotional material used to advertise the product, it will be considered to be sold for its nutrient content and so will be required to register as a fertilizer.

2. If the nutrients appear on a fact sheet or laboratory analysis sheet provided to a buyer upon a buyer's request so that the buyer may know how to properly mix or apply the material, this will not be considered to constitute making claims based on nutrient content and will not require the material to be registered as a fertilizer.

6. COMPOST PRODUCT SPECIFICATIONS

6.A. Compost Product - Topsoil/topsoil Substitute Class A

Nutrient grade or topsoil grade compost may be mixed with mineral soil to create topsoil. By the appropriate blending, a topsoil of the desired characteristics may be created. The mixture of the compost with mineral soil to create topsoil will depend on nutrients, soluble salt levels and organic matter content. See APPENDIX A for suggested mix ratios.

Use for Materials - Any use for topsoil where public is likely to be in direct contact with the material, e.g. seedbed for slope stabilization, roadside revegetation, backfill for tree and shrub planting, turf establishment on ballfields and playgrounds and other landscaping applications.

6.A.1. Characteristics to Consider

A good compost material for this purpose will be mature, loose and friable, dark brown or black in color and low enough moisture content to handle easily. Odors should be minimal. It will have virtually no human pathogens. (For composts that contain municipal sludge, septage, or animal manures, this can be achieved by meeting DEP's PFRP requirements. For areas such as playgrounds and ballfields where children may frequently be in close contact with the soil, extra precautions may be warranted. This could include actions such as requiring suppliers to provide additional testing of the material for Shigella sp. and/or E. coli if compost containing sludge or septage is used.) It will also have few or no weeds, viable seeds, roots, or rhizomes. Water holding capacity will normally be quite high in these products. (Vote: Some seeds such as tomato seeds are very resistant and may survive even though PFRP requirements have been met. Most weed seeds, however, will be killed in the composting process.)

Suppliers should be required to provide a list of all the ingredients in the original compost mix in the order of their relative proportions on a weight basis. (i.e. all bulking agents, nitrogen sources, and other additives, such as ash or stabilizers should be listed.)

In addition, suppliers of these materials should be asked to provide assurances that they meet DEP heavy metal, PCB and dioxin limits and do not contain levels of any chemicals that are harmful to plants or humans.

6.A.2. Measurements to Consider

Suppliers of compost products should be expected to provide data based on laboratory analyses for each of the following measurements:

pH - Most composts fall into the 6.1 to 7.8 range. Some plantings require a pH outside this range. See the Horticultural Recommendations for the type of plantings in question.

CaCO3 equivalency - In cases where the pH of the compost material is not close to neutral, ( <6.1 or >7.8 ) the supplier should provide data on either its liming value or the amount of lime needed to neutralize the product on a calcium carbonate equivalency basis. Some composts with a higher pH have very little or no liming ability while others may have a substantial liming effect. The desirability of having a liming capacity will depend on the pH of the native soil and the requirements of the vegetation to be established.

Coarseness - Virtually all particles should pass through a 3/8 inch sieve.

Nutrients - The NPK levels for the compost material should be provided by the supplier.

Soluble Salt Concentrations - < 2 mmho/cm. in the final mix (See Appendix A.)

Density/Weight per Cu Yd - Compost would normally be 1,000-1,300 lbs/cu yd at moisture content of 40 to 60%.

Moisture Content - If the compost has a moisture content between 40 and 60%, handling characteristics should be acceptable.

Foreign Matter - less than 2 percent foreign matter on a dry weight basis.

6.A.3. Mixing with Mineral Soil

Organic Matter Content - When mixed with mineral soil, organic matter should be at least 3 percent of final mix.

Premixed vs. On-site mixing - For many applications such as establishing planting beds for ornamentals or backfill for tree planting, artificial topsoil should be premixed. On-site mixing will be practical when relatively small quantities of compost will be used on large relatively flat areas as is done with turf establishment. See Appendix A for suggested mix ratios.

6.B. Compost Product - Topsoil/Topsoil Substitute Class B

Nutrient grade or topsoil grade compost may be mixed with mineral soil to create topsoil. By the appropriate blending, a topsoil of the desired characteristics may be created. The mixture of the compost with mineral soil to create topsoil will depend on nutrients, soluble salt levels and organic matter content. See APPENDIX A for suggested mix ratios.

Use for Material - Any use for topsoil where public contact is minimal, e.g. seedbed for slope stabilization, roadside revegetation, tree and shrub planting, gravel pit reclamation, reseeding logging landings, final landfill cover.

6.B.1. Characteristics to Consider

A good compost material for this purpose will be mature or semimature, loose and friable, brown or black in color and low enough in moisture content to handle easily. It may have an odor as long as it is not foul or putrefactive. It will have few, if any, human pathogens. (For composts that contain municipal sludge, septage, or animal manures, this can be achieved by meeting DEP's PFRP requirements.) It will also have few or no weeds, viable seeds, roots, or rhizomes. Water holding capacity will normally be quite high in these products. (Note: Some seeds such as tomato seeds are very resistant and may survive even though PFRP requirements have been met. Most weed seeds, however, will be killed in the composting process.)

Suppliers should be required to provide a list of all the ingredients in the original compost mix in the order of their relative proportions on a weight basis. (i.e. all bulking agents, nitrogen sources, and other additives, such as ash or stabilizers should be listed.)

In addition, suppliers of these materials should be asked to provide assurances that they meet DEP heavy metal, PCB and dioxin limits and do not contain levels of any chemicals that are harmful to plants.

6.B.2. Measurements to Consider

Suppliers of compost products should be expected to provide data based on laboratory analyses for each of the following measurements:

pH - Most composts fall into the 6.1 to 7.8 range. Some plantings require a pH outside this range. See the Horticultural Recommendations for the type of plantings in question.

CaCO3 equivalency - In cases where the pH of the compost material is not close to neutral, ( <6.1 or >7.8 ) the supplier should provide data on either its liming value or the amount of lime needed to neutralize the product on a calcium carbonate equivalency basis. Some composts with a higher pH have very little or no liming ability while others may have a substantial liming effect. The desirability of having a liming capacity will depend on the pH of the native soil and the requirements of the vegetation to be established.

Coarseness - All particles should pass through a one inch sieve and 90% should pass through a half inch sieve..

Nutrients - The NPK levels for the compost material should be provided by the supplier.

Soluble Salt Concentrations - < 2 mmho/cm. in the final mix (See Table 1.)

Density/Weight per Cu Yd - Compost would normally be 1,000-1,300 lbs/cu yd at moisture content of 40 to 60%.

Moisture Content - If the compost has a moisture content between 40 and 60%, handling characteristics should be acceptable.

Foreign Matter - less than 4 percent foreign matter on a dry weight basis.

6.B.3 Mixing with Mineral Soil

Organic Matter Content - When mixed with mineral soil, organic matter should be at least 3 percent of final mix.

Premixed vs. On-site mixing - For many applications such as establishing planting beds for ornamentals or backfill for tree planting, artificial topsoil should be premixed. On-site mixing will be practical when relatively small quantities of compost will be used on large relatively flat areas as is done with turf establishment. See Appendix A for suggested mix ratios.

6.C. Compost Product - Topsoil/Topsoil Substitute Class C

Use for Material - Daily landfill cover

Compost may be mixed with mineral soil to create topsoil or may be used as produced. The mixture of the compost with mineral soil to create topsoil will depend on nutrients and soluble salt levels. See APPENDIX A for suggested mix ratios.

Landfill operators considering the use of materials other than soil for daily cover are required by D.E.P. Solid Waste Management Regulations to obtain D.E.P. approval before use.

6.C.1. Characteristics to Consider

A good compost material for this purpose may be mature or semimature. (Operators should consult with the D.E.P. Bureau of Solid Waste Management if they wish to use fresh compost.) It should also be loose and friable, and low enough in moisture content to handle easily. It may have an odor as long as it is not foul or Putrefactive. For composts that contain municipal sludge, or septage, DEP's PSRP requirements must be met.

Suppliers should be required to provide a list of all the ingredients in the original compost mix in the order of their relative proportions on a weight basis. (i.e. all bulking agents, nitrogen sources, and other additives, such as ash or stabilizers should be listed.)

In addition, suppliers of these materials should be asked to provide assurances that they exceed DEP heavy metal limits by no more than 200 percent, and that they meet the D.E.P. limits for dioxin and PCB's. Should materials exceed these levels, the D.E.P. Bureau of Solid Waste Management should be consulted prior to use.

6.C.2 Measurements to Consider

Suppliers of compost products should be expected to provide data based on laboratory analyses for each of the following measurements:

pH - Composts falling anywhere in the 5.5 to 8.5 range should be acceptable.

Coarseness - All particles should be less than 12 inches in largest dimension. At least 80 percent should pass through a one-inch sieve.

Soluble Salt Concentrations - < 10 mmho/cm. in the final mix (See Table 1.)

Moisture Content - If the compost has a moisture content under 60%, handling characteristics should be acceptable.

Foreign Matter - less than 50 percent foreign matter on a dry weight basis.

6.C.3. Mixing with Mineral Soil

Premixed vs. on-site mixing For daily landfill cover, artificial topsoil should be premixed. See Appendix A for suggested mix ratios.

6.D. Compost Product - Wetland Substrate

Use for Material - Reclamation of wetland areas.

Compost may be used as is, or mixed with naturally occurring soil to create a wetland substrate. By the appropriate blending, a soil of the desired characteristics may be created. The mixture to create the soil will depend on nutrients, soluble salt levels and organic matter content. Requirements for species to be established should be checked prior to determining the desired mixture.

6.D.1. Characteristics to Consider

A good compost material for this purpose will be mature or semimature, loose and friable, brown or black in color and low enough in moisture to handle easily. It may have an odor as long as it is not foul or putrefactive. It will have few, if any, human pathogens. (For composts that contain municipal sludge, septage, or animal manures, this can be achieved by meeting DEP's PFRP requirements.) It will also have few or no weeds, viable seeds, roots, or rhizomes. Water holding capacity will normally be quite high in these products. (Note: Some seeds such as tomato seeds are very resistant and may survive even though PFRP requirements have been met. Most weed seeds, however, will be killed in the composting process.)

Suppliers should be required to provide a list of all the ingredients in the original compost mix in the order of their relative proportions on a weight basis. (i.e. all bulking agents, nitrogen sources, and other additives, such as ash or stabilizers should be listed.)

In addition, suppliers of these materials should be asked to provide assurances that they meet DEP heavy metal, PCB and dioxin limits and do not contain levels of any chemicals that are harmful to plants. If composts proposed for use in wetlands has been made from materials thought to contain dioxin, the D.E.P. Bureau of Solid Waste Management should be contacted for guidance prior to use.

6.D.2. Measurements to Consider

Suppliers of compost products should be expected to provide data based on laboratory analyses for each of the following measurements:

pH - Most composts fall into the 6.1 to 7.8 range. Wetland soils normally have a pH of 3.6 to 4.4. To duplicate these soils, most composts would require pH adjustment. The pH of similar naturally occurring soils should be tested and substitute material should be adjusted to achieve the same pH level.

CaCO3 equivalency - For all composts being considered for use in wetland reclamation, the supplier should provide the CaCO3 equivalency. Some composts have very little or no liming ability while others may have a substantial liming effect. For this purpose, composts having little or no liming effect are preferred.

Coarseness - 85 - 95% should be less than 3 inches. Of the fraction less than 3 inches, the normal proportions passing different sieve sizes are as follows:

Sieve Size Percent

4 (0.25 in) 75 - 100

10 (0.10 in) 60 - 100

40 (0.025 in) 30 - 80

200 (0.005 in) 0 - 30

A similar size distribution should be acceptable in most cases.

Nutrients - The total and soluble NPK levels for the compost material should be provided by the supplier.

Soluble Salt Concentrations - < 1 mmho/cm. in the final mix.

Density/Weight per Cu Yd - Organic soils would normally be between 635 and 1590 lbs/cu yd when moist.

Moisture Content - If the compost has a moisture content between 40 and 60%, handling characteristics should be acceptable.

Foreign Matter - less than 2 percent foreign matter on a dry weight basis.

6.D.3. Mixing with Naturally Occurring Soil

Organic Matter Content - When mixed with naturally occurring soil, organic matter should be 40 percent or more of final mix (if an organic substrate is required).

Premixed vs. on-site mixing - For most applications, artificial organic soil should be premixed. The practicality of on-site mixing may be limited by the ability of the site to support machinery and the depth of the organic layer to be established.

6.E. Compost Product – Mulch Class A

Use for Material - Soil stabilization on slopes.

6.E.1. Characteristics to Consider

A good compost material for this purpose will be mature, loose and friable, dark brown or black in color and low enough in moisture to handle easily. Unlike composts for other uses, mulch for slope stabilization should be fairly coarse and contain a high proportion of durable materials, such as wood chips. If used in areas where public contact is likely, odors should be minimal and there should be virtually no human pathogens. (For composts that contain municipal sludge, septage, or animal manures, this can be achieved by meeting DEP's PFRP requirements. For areas such as playgrounds where children may frequently be in close contact with the soil, extra precautions may be warranted. This could include actions such as requiring suppliers to provide additional testing of the material for Shigella sp. and/or E. coli if compost containing sludge or septage is used.) It will also have few or no weeds, viable seeds, roots, or rhizomes. (Note: Some seeds such as tomato seeds are very resistant and may survive even though PFRP requirements have been met. Most weed seeds, however, will be killed in the composting process.)

Suppliers should be required to provide a list of all the ingredients in the original compost mix in the order of their relative proportions on a weight basis. (i.e. all bulking agents, nitrogen sources, and other additives, such as ash or stabilizers should be listed.)

In addition, suppliers of these materials should be asked to provide assurances that they meet DEP heavy metal, PCB and dioxin limits and do not contain levels of any chemicals that are harmful to plants or humans.

6.E.2. Measurements to Consider

Suppliers of compost products should be expected to provide data based on laboratory analyses for each of the following measurements:

pH - Most composts fall into the 6.1 to 7.8 range. Some applications require a pH outside this range.

CaCO3 equivalency - For all composts being considered for use as mulch, the supplier should provide the CaCO3 equivalency. Some composts have very little or no liming ability while others may have a substantial liming effect. For this purpose, composts having little or no liming effect are preferred.

Coarseness - Virtually all particles/pieces should pass through a 6 inch sieve but more than 50 percent should be retained by a 1 inch (#1) sieve and more than 75 percent should be retained by a 1/4 inch (#4) sieve.

Nutrients - The NPK levels for the compost material should be provided by the supplier. Lower nutrient content is desirable.

Soluble Salt Concentrations - < 1 mmho/cm. in the final mix.

Density/Weight per Cu Yd - Coarse compost would normally be 8001,300 lbs/cu yd at moisture content of 35 to 65%.

Moisture Content - If the compost has a moisture content between 35 and 65%, handling characteristics should be acceptable.

Foreign Matter - less than 2 percent foreign matter other than pieces of wood on a dry weight basis.

6.F. Compost Product - Mulch Class B

Use for Material - To conserve moisture; prevent surface compaction or crusting; reduce runoff; control weeds; and help establish plant cover.

6.F.1. Characteristics to Consider

A good compost material for this purpose will be mature, loose and friable, dark brown or black in color and low enough in moisture to handle easily. Compost based mulch for these purposes should contain a high proportion of durable materials, such as wood chips. If used in areas where public contact is likely, odors should be minimal and there should be virtually no human pathogens. (For composts that contain municipal sludge, septage, or animal manures, this can be achieved by meeting DEP's PFRP requirements. For areas such as playgrounds where children may frequently be in close contact with the soil, extra precautions may be warranted. This could include actions such as requiring suppliers to provide additional testing of the material for Shigella sp. and/or E. coli if compost containing sludge or septage is used.) It will also have few or no weeds, viable seeds, roots, or rhizomes. (Note: Some seeds such as tomato seeds are very resistant and may survive even though PFRP requirements have been met. Most weed seeds, however, will be killed in the composting process.)

Suppliers should be required to provide a list of all the ingredients in the original compost mix in the order of their relative proportions on a weight basis. (i.e. all bulking agents, nitrogen sources, and other additives, such as ash or stabilizers should be listed.)

In addition, suppliers of these materials should be asked to provide assurances that they meet DEP heavy metal, PCB and dioxin limits and do not contain levels of any chemicals that are harmful to plants or humans.

6.F.2. Measurements to Consider

Suppliers of compost products should be expected to provide data based on laboratory analyses for each of the following measurements:

pH - Most composts fall into the 6.1 to 7.8 range. Some applications require a pH outside this range.

CaCO3 equivalency - For all composts being considered for use as mulch, the supplier should provide the CaCO3 equivalency. Some composts have very little or no liming ability while others may have a substantial liming effect. For this purpose, composts having little or no liming effect are preferred.

Coarseness - Virtually all particles/pieces should pass through a 6 inch sieve but more than 75 percent should be retained by a 1/4 inch (# 4) sieve.

Nutrients - The NPK levels for the compost material should be provided by the supplier. A low nutrient horticultural grade compost is desirable.

Soluble Salt Concentrations - conductivity < 1 mmho/cm. in the final mix.

Density/Weight per Cu Yd - Coarse compost would normally be 8001,300 lbs/cu yd at moisture content of 35 to 65%.

Moisture Content - If the compost has a moisture content between 35 and 65%, handling characteristics should be acceptable.

Foreign Matter - less than 2 percent foreign matter, other than pieces of wood on a dry weight basis.

TABLE 3. SUMMARY OF COMPOST ATTRIBUTES FOR DIFFERENT PURPOSES

TOPSOIL TOPSOIL TOPSOIL WETLAND MULCH MULCH

ATTRIBUTE CLASS A CLASS B CLASS C SUBSTRATE CLASS A CLASS B

Purpose High Low Landfill Wetland Stabilize General

contact contact daily restoration slopes Mulching

areas areas cover needs

Stability Mature Mature or Mature, Mature or Mature Mature

semi-mature semi-mature semi-mature

or fresh

Odor A B B B A,B A,B

Pathogens C,D C,D E C C,D C,D

Heavy metals F F G F F F

PCB's, dioxin

pH 6.1-7.8 H 6.1-7.8 H 5.5-8.5 H 3.6-4.4 H 6.1-7.8 H 6.1-7.8 H

Texture Sieve %Pass Sieve %Pass Sieve %Pass Sieve %Pass Sieve %Pass Sieve %Pass*

3/8" 100 1.0" 100 12" 100 3" 85-90 6" 100 6" 100

0.5" 90 1" 80 #4 75-100 1" 0-50 #4 0-25

#10 60-100 #4 0-25

#40 30-80

#200 0-30

Soluble Salt 2 2 10 1 1 1

content (mmhos/cm)

Moisture(%) 40-60 40-60 65 40-60 35-65 35-65

Foreign 2 4 50 2 2 2

matter (%)

Organic Y3 I Y3 I J Y40 K J,L J,L

matter(%)

• Note: Sieve numbers correspond to the following size openings:

Sieve # Opening Size

4 0.25 inch

10 0.10 inch

40 0.025 inch

200 0.005 inch

CODES:

A Minimal odor in areas of high public contact.

B - Odors are allowed in areas of low public contact, but must not be foul or putrefactive.

C - Materials containing municipal sludge or septage must meet DEP's PFRP requirements.

D - Extra cautions may be desired where people will be in direct contact with material containing municipal sludge or septage (e.g. on playgrounds).

E - Materials containing municipal sludge or septage must meet DEP's PSRP requirements.

F - Meets DEP's requirements for heavy metals, PCB's, and dioxins as established in the Rules for Land Application of Sludge and Residuals, Chapter 567.

G - Exceeds the DEP limits for heavy metals by no more than 200% and meets the requirements for PCB's and dioxins as established in the Rules for Land Application of Sludge arid Residual s, Chapter 567.

H - Specific purposes nay require a pH outside this range. See horticultural recommendations for the specific use.

I - After mixing with mineral soil, the final topsoil mix should have at least 3% organic matter.

J - Organic matter % will be acceptable if other characteristics are net.

K - Acceptable organic matter levels will depend on the needs of the types of vegetation to be re-established.

L - High proportion of wood or other resistant material Is desirable.

EFFECTIVE DATE:

January 16, 1991

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

CONVERTED TO MS WORD:

May 21, 2008

CORRECTIONS:

February, 2014 – agency names, formatting

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

APPENDIX A

MIX RATIOS FOR CREATING ARTIFICIAL TOPSOIL USING COMPOST

Compost Ratio of Mineral Soil to Compost

Conductivity

mmhos/cm Class A or B Class C

.5 or less * *

1 * *

2 * *

3 0.5:1 to 0.75:1 *

4 1.0:1 to 1.25:1*

5 1.5:1 to 1.75:1 0.25:1 to 0.50:1

6 2.0:1 to 2.25:1 0.50:1 to 0.75:1

7 2.5:1 to 2.75:1 0.75:1 to 1.00:1

8 3.0:1 to 3.25:1 1.00:1 to 1.25:1

9 3.5:1 to 3.75:1 1.25:1 to 1.50:1

10 4.0:1 to 4.25:1 1.50:1 to 1.75:1

• Mixture with mineral soil is not essential at these lower salt concentrations.

APPENDIX B

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

FERTILIZER NUTRIENT REQUIREMENTS

To qualify as a fertilizer, a material must:

(1.) have at least 1 (one) percent of one of the three plant macronutrients, nitrogen, phosphoric acid or potash measured on a dry weight basis

or

(2.) have a minimum percentage of one or more micronutrient as follows:

Element %

Calcium 1.00

Magnesium 0.50

Sulfur 1.00

Boron 0.02

Chlorine 0.10

Cobalt 0.0005

Copper 0.05

Iron 0.10

Manganese 0.05

Molybdenum 0.0005

Sodium 0.10

Zinc 0.05

Chapter 565 Nutrient Management Rules

Code Me. R. 01-001 Ch. 565 Nutrient Management Rules {#sec-01-001-ch.-565 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 565}

Chapter 565

Nutrient Management Rules

§1. Background and Purpose of the Rules 1

§2. Authority 1

§3. Definitions 1

§4. Farms Required to Have a Nutrient Management Plan 4

§5 Winter Manure Spreading Ban 5

§6. Nutrient Management Plans 6

1. Standards 6

A. Contents and Requirements 6

B. Additional Provisions That Apply to Nutrients Other than 8

Regulated Residuals

C. Provisions That Apply to Regulated Residuals 11

D. Record Keeping 11

E. Update Freqency 11

F. Notification 11

2. Variances 12

A. Variance Requests 12

B. Decision 12

§7. Certified Nutrient Management Planning Specialist Requirement 12

1. Certification Categories 12

2. Education and Training Requirements 13

3. Submission Requirements 13

4. Certified Persons Requirements 13

5. Certification Revocation 14

A. Basis 14

B. Notice 14

C. Hearing 14

D. Decision 15

E. Hearing Waiver 15

6. Recertification 15

§8. Compost Management Plans 17

1. Standards 17

A. Components 17

B. Certification Requirements 18

C. Development of Recipes for Materials to be Composted 18

2. Sampling and Ingredient Testing Parameters 18

A. Parameters for Sampling and Testing Ingredients for 18

Any New Bulking Materials Used in the Compost Recipe

B. Parameters for Testing Ingredients for Compost to be 18

Applied on the Farm Owner’s Fields

C. Parameters for Compost Products that May be 19

Distributed to the Public

D. Time and Temperature Standard 19

3. Requirements for Persons Writing Compost Management Plans 19

A. Qualifications of Persons Developing Compost Management 19

Plans

B. Training Required 19

4. Record Keeping 19

A. Feedstocks Composted Records 19

B. Compost Volume Sold or Removed from Site 19

C. Testing Results 19

D. Temperature Charts 19

E. Records Provided to the Department 20

5. Term of Certification for Compost Management Plans 20

A. Length of Term 20

B. Frequency of Recertification 20

C. Term for Existing Compost Management Plans 20

6. Site Inspections by the Department 20

A. Compliance Evaluation 20

B. Inspection Prior to Certification 20

7. Revocation of Compost Management Plan Certification 20

A. Basis 20

B. Notice 20

C. Hearing 21

D. Decision 21

E. Waiver of Hearing 21

§9. Livestock Operations Permits 21

1. Operations Requiring a Permit 21

2. Submission Requirements 22

3. Inspection Requirements 22

A. Existing Farms Inspection 22

B. New Operations Inspection 23

C. Inspection Items 23

4. Application Review and Approval Process 23

A. Requirements for Review and Approval Process 23

B. CAFO Designation 25

C. MEPDES Requirements for CAFOs 25

5. Issuance of a Livestock Operations Permit 25

A. Permit Content 25

B. Term of Permit 25

C. Permit Application Fee 25

D. Effective Date 25

6. Permit Revocation 26

A. Basis 26

B. Notice 26

C. Hearing 26

D. Decision 27

E. Hearing Waivers 27

7. Provisional Livestock Operations Permit 27

A. Limitations of the Provisional 27

B. Provisional Content 27

C. Term 27

D. Revocation 27

§10. Farms Ceasing Operation – Closure of Manure Storage Structures 28

§11. Appeals to the Nutrient Management Review Board 28

ATTACHMENT A N&P Priority Matrix A-1

ATTACHMENT B Construction and Maintenance of Vegetative Treatment Areas B-1

and Filter Strips

ATTACHMENT C NRCS Code 313 C-1

ATTACHMENT D Lakes Most at Risk from Development D-1

ATTACHMENT E EPA Definition of a Concentrated Animal Feeding Operation E-1

(CAFO)

ATTACHMENT F Best Management Practices for Animal Carcass Composting F-1

§1. Background and Purpose of the Rules

These Rules establish the standards for nutrient management plans required under 7 M.R.S. §4204 for Maine farms, the process for certifying persons to write and approve nutrient management plans, the requirements for obtaining a livestock operations permit and the procedures for implementing the requirements of the Nutrient Management Act . Nothing in these Rules is intended to supersede or affect rules, license conditions or other legal requirements of the Department of Environmental Protection (DEP) or other federal, state or local regulatory authorities.

§2. Authority

These rules are adopted pursuant to 7 M.R.S. Chapter 747, Nutrient Management Act .

§3. Definitions

Unless the context otherwise requires, the following terms have the following meanings as used in these rules:

1. Agricultural Composting Operation - Composting that takes place on a farm, which includes, but is not limited to, plant and animal matter, animal manure, animal carcasses and offal, food and fish waste, clam, mussel, crab, lobster, and shrimp shells and parts, wood chips and shavings, sawdust, and apple pomace. Agricultural Composting Operation does not include an operation that composts regulated residuals.

2. Animal Feeding Operation - A lot or facility where animals are stabled or confined and fed or maintained for a total of at least 45 days in any 12 month period, and crops, vegetation, forage growth, or post harvest residues are not sustained in the normal growing season over any portion of the lot or facility. “Animal feeding operation” does not include an aquatic animal production facility.

3. Animal Unit (AU) - 1000 pounds of live animal body weight.

4. Best Management Practices (BMP) - Those agricultural practices that are determined by the Commissioner to be environmentally acceptable based upon best reasonably available and economically feasible methods and technologies.

5. Certified Nutrient Management Planning Specialist - A person who has been certified by the Commissioner to prepare and/or approve a nutrient management plan.

6. Commissioner - The Commissioner for the Department of Agriculture, Conservation and Forestry.

7. Compost – The stabilized soil-like material that results from the natural biological decomposition of organic matter under aerobic conditions.

8. Composting - The natural biological decomposition and stabilization of plant and animal matter under controlled, mostly aerobic conditions of high temperature (120 degrees F. or higher), that results in a soil-like product which has its nutrients in a much more stable form than uncomposted wastes, and which makes it beneficial to plant growth and suitable for agronomic use.

9. Compost Management Plan (CMP) - A written document, approved by the Department, that outlines how farm-generated or imported organic materials are composted by agricultural composting operations for which the plan is written.

10. Concentrated Animal Feeding Operation (CAFO) - An animal feeding operation that meets the EPA definition of a Concentrated Animal Feeding Operation as provided by the U. S. Environmental Protection Agency in 40 CFR Parts 9, 122 and 412 - Revised National Pollutant Discharge Elimination System Permit Regulation and Effluent Limitations Guidelines for Concentrated Animal Feeding Operations in Response to the Waterkeeper Decision; Final Rule dated December 22, 2008. (Attachment E).

11. Concentrated Feeding Area - Barnyards, feedlots, loafing areas, heavy use areas, exercise lots or other animal containment areas that do not have a growing crop sufficient to utilize the nutrients in manure deposited in that location. The term excludes pasture access ways, except in areas where there is a direct flow of nutrients to surface water or groundwater.

12. Confine/Confinement - Animals are considered to be confined if they are housed or kept in a concentrated feeding area for at least 45 days in any twelve month period.

13. Crop Farm - A farm or farming operation involved in crop production and having fewer than 50 animal units of livestock or poultry.

14. Department - The Department of Agriculture, Conservation and Forestry.

15. EPA - The United States Environmental Protection Agency.

16. Farm or Farming Operation - The aggregate of all agricultural land, equipment and all related facilities, crops and animals, regardless of their location or ownership, that form part of an integrated agricultural business or enterprise.

17. Farm Nutrient - A substance or recognized plant nutrient, element or compound that is used or sold for its plant nutritive content or its claimed nutritive value for use in growing crops. The term includes, but is not limited to, livestock and poultry manures, compost, commercially manufactured chemical fertilizers, sewage sludge, residuals or combinations of these.

18. FSA HEL compliance plan - A Food Security Act, Highly Erodible Land Plan used by farmers to control soil erosion on highly erodible land and maintain their eligibility for USDA programs.

19. Livestock Farm - A farm or farming operation that raises livestock or poultry and does not meet the definition of a crop farm.

20. Nutrient Management Plan (NMP) - A written document that outlines how farm nutrients are stored, managed, and utilized on the farm for which the plan is written.

21. Nutrient Management Review Board - The board established pursuant to 7 M.R.S. §4203.

22. Off-Farm Nutrients - Nutrients not generated by the farm.

23. Regulated Residuals - A residual whose application to land is regulated by the DEP pursuant to Title 38, Chapter 13, and that is primarily used for its nitrogen and phosphorus value as determined by the Department. Wood ash, and compost applied to land at an annual rate of less than 100 tons, are not considered to be regulated residuals under these Rules. Algefiber, a by-product of extracting carrageenan from red seaweed, and containing organic matter and perlite, is not considered a regulated residual under these Rules, and does not require the development of an NMP; however, if an NMP otherwise is required to be developed for a farm or farming operation, then the nitrogen and phosphorus contribution of the Algefiber must be part of the calculation that determines the amount of those nutrients that will be available from all sources for crop production.

24. Residual - Any material generated as a byproduct of a nonagricultural production or treatment process that has value as a source of crop nutrients or soil amendments.

25. Right to Farm Law – The Maine Agriculture Protection Act - 7 M.R.S. Chapter 6.

26. SWCD - A Soil and Water Conservation District.

27. Undue Hardship - An exceptional financial or operational burden that, in the judgment of the Commissioner, requires a departure from strict compliance with a requirement of these Rules, provided that the hardship is based upon unusual circumstances of a particular farming operation that have not been caused by the action or neglect of the owner or operator.

28. UMCE - University of Maine Cooperative Extension

29. USDA/NRCS - United States Department of Agriculture/Natural Resources Conservation Service.

30. Verified Complaint of Improper Manure Handling - A complaint of improper manure handling investigated in accordance with Title 17, §2701-B or the 01-001 Chapter 10, “Rules for the Agricultural Compliance Program”, and resulting in a determination by the Commissioner that the manure has been stored or handled in a manner that does not conform with best management practices.

31. Waters of the State - Waters of the State means any and all surface and subsurface waters that are contained within, flow through, or under or border upon this State or any portion of the State, including the marginal and high seas, except such waters as are confined and retained completely upon the property of one person and do not drain into or connect with any other waters of the State, but not excluding waters susceptible to use in interstate or foreign commerce, or whose use, degradation or destruction would affect interstate or foreign commerce.

32. Waterway - Avegetated natural or constructed drainage way in a field that carries water during and after rainfall or snow melt.

§4. Farms Required to Have an NMP

1. An NMP is required for farms that meet one or more of the following criteria:

A. The farm confines and feeds 50 or more animal units at any one time;^[1]

B. The farm stores or utilizes more than 100 tons of solid manure or 25,000 gallons of liquid cow manure, per year, not generated on that farm;

C. The farm is the subject of a verified complaint of improper manure handling^[2];

D. The farm stores or utilizes regulated residuals.

2. A person who owns or operates a farm shall implement an approved NMP for that farm, unless exempted by statute or §4.4 of these Rules.

3. The NMP must be prepared and signed by a certified NMP specialist or approved and signed by a certified NMP specialist, pursuant to the provisions of §7 of these Rules.

4. Farms/operations that are not required to develop an NMP:

A. Crop farms storing and/or utilizing commercially manufactured chemical fertilizers are not required to develop and implement an NMP unless the farm is storing and/or utilizing manure or regulated residuals.

B. For crop farms, only the land on which manure, or regulated residual are applied must be covered by the NMP.

C. Small on-farm poultry or livestock/dairy product processing or vegetable processing operations generating and disposing of small volumes of process waste water annually from these activities, and which are not required to develop and implement a nutrient management plan under §4 of these Rules, may implement BMPs, approved by the Department, in lieu of developing and implementing an NMP.

D. An entity to which manure is transferred, which is not a farm or farming operation as defined by these Rules, e.g., a commercial composting operation that is regulated by the DEP, is not required to develop and implement an NMP.

§5. Winter Manure Spreading Ban

In accordance with 7 M.R.S. §4207, a person may not spread manure on agricultural fields from December 1 of a calendar year through March 15 of the following calendar year.

1. Variance. The Commissioner may grant a variance on the Winter Manure Spreading Ban.

A. Variance Request Criteria. A person requesting a variance shall submit a written request to the Commissioner thatt includes:

(1) The operation location;

(2) The reason(s); and

(3) Any relevant information supporting the request.

B. Emergency. An emergency request may be made verbally to the Commissioner (or designee), followed by a written request application to the Commissioner within 10 days of the verbal request.

C. Farms or farming operations that do not have a current, certified NMP, and which are granted a variance, shall conduct spreading operations in conformance with current BMPs as determined by the Department. Farms or farming operations that are granted a variance under this paragraph for two or more consecutive calendar years shall develop and implement an NMP, consistent with §6 of these Rules, within eight consecutive months of the second approved variance date.

D. Decision. Upon receipt of a variance request, the Commissioner shall make a decision^[3] and shall notify the person requesting the variance in writing, within 7 days. In time sensitive situations, the Commissioner (or designee) may verbally inform the person making the request of the decision, followed by a decision in writing as indicated.

E. Variance Denial. When the Commissioner denies a variance, the applicant must receive notice that includes:

(1) The name and address of the person whose request for a variance has been denied;

(2) A statement or list of reason(s) why the variance is denied; and

(3) A reminder of the Winter Spreading Manure Ban effective dates.

F. Variance Duration. All variances issued by the Commissioner for a specific calendar year shall be valid for the dates specified by the Commissioner, and as requested for each calendar year.

§6. Nutrient Management Plans

1. Standards

A. Contents and Requirements

(1) The NMP must include and address all nutrients produced on or brought onto the farm and contain the following at a minimum:

(a) Livestock Farms. storage and utilization of manure and off-farm nutrients on all land including leased and/or rented land;

(b) Crop Farms. storage and utilization of manure and off-farm nutrients on land to which regulated residuals or more than 100 tons of manure or compost in any one calendar year are applied;

(c) Calculation of crop nutrient needs. The calculation of nutrients to be applied must be based on soil tests, manure tests, crop to be grown, and realistic yield goals. A realistic yield goal must be no more than 130% of the state average for the crop in question as determined by the Commissioner, unless the producer can demonstrate that in at least 2 out of 5 years yields have been greater than 130% of the state average, in which case nutrients may be recalculated to meet the higher yields actually experienced. Each field must have its own calculation. The calculation of nutrient needs must take into account the mineralization of organic nitrogen in the soil and in the nutrient material to be applied as well as inorganic nitrogen, following procedures approved by the Commissioner.^[4] New farms and farming operations that are developing an initial NMP, which do not have a crop or livestock production history, may estimate crop nutrient requirements and the nutrient values to be derived from manure by utilizing data from current editions of the “New England Vegetable Management Guide” or the publication “Nutrient Recommendations for Field Crops in Vermont”;

(d) Each field must show the calculation of nutrients required to grow a crop in accordance with procedures approved by the Commissioner. The NMP must include a Field Spreading Summary Sheet indicating the rate of material to be applied on each field;

(e) The number of each type of animal and an estimate of the number of corresponding animal units on the farm at the time the NMP is prepared;

(f) A soil erosion control plan for land used for growing annual crops. This plan must have been designed or approved by a certified professional in erosion and sediment control, a qualified certified crop advisor, qualified personnel of an SWCD, a qualified NRCS employee, or be a privately developed plan utilizing one or more erosion control BMPs, that are in conformance with Department standards, to minimize erosion and phosphorus transport to the maximum extent feasible;

(g) Soil tests for each field where manure or other crop nutrients will be applied. Soil testing must be repeated for each field at least every 5 years. More frequent testing is recommended for fields with soil phosphorus levels above 40 lb./ac. Soil tests must be conducted by an appropriately accredited laboratory;

(h) Identification of the limiting nutrient for determining nutrient application rates that are environmentally sound, using the decision matrix included in Attachment A, “N and P Manure Priority Matrix”, or a current phosphorus index approved for Maine;

(i) Where constructed Vegetated Treatment Areas and/or Filter Strips are included as part of the plan, the specifications outlined in the corresponding NRCS practice standards (635 and 393 - see Attachment B) must be followed unless otherwise approved by the Commissioner. Vegetated treatment areas and filter strips must be inspected and repaired each year. Phosphorus must not be added within these areas except as necessary to maintain adequate plant growth.

(j) Site-specific dates recommended for the spreading of manure and other farm nutrients, and spraying or irrigation of liquid manure. Recommended spreading must comply with §5 of these Rules;

(k) A site-specific animal carcass disposal plan, which is consistent with the requirements specified in the Department’s Chapter 211 “Rules for the Disposal of Animal Carcasses,” or as determined by the Commissioner.

(l) A plan detailing how livestock will be excluded from “Waters of the State”, as defined in the DEP Chapter 520 “Definitions for the Waste Discharge Permitting Program” Rule.

(m) A timetable for implementing the plan. New farms and farms coming under new ownership must develop the NMP before the farm becomes operational;^[5] and

(n) Any proposed increase in an operation’s animal units that conforms with the requirements in §6.1(E) of these Rules must be evaluated by a certified nutrient management planning specialist to determine if an update to the NMP is required. The evaluation also must determine if the operation requires expansion of its manure storage facilities, and/or expansion of its land base for spreading, and if the operation requires the development of a Livestock Operations Permit (LOP).

B. Additional NMP Provisions That Apply to Nutrients Other than Regulated Residuals. The NMP must contain the following provisions that apply to manure storage, management and use:

(1) Manure testing at least every 5 years or when a significant management change will affect manure nutrient values (for example, changing from a solid manure handling system to a liquid manure handling system, or changing the type of bedding used from sawdust to shredded paper, or changing the source of manure that is used).

(a) The Department may, when appropriate, require more frequent manure testing than every 5 years in certain cases. Manure must, at a minimum, be analyzed for total nitrogen, ammonium nitrogen, total phosphorus, total potassium, and moisture content according to the national methods manual “Recommended Methods of Manure Analysis, 2003”, University of Wisconsin Publication A3769, http://learningstore.uwex.edu/assets/pdfs/A3769.pdf.

(b) The Commissioner may waive the manure testing requirement in site-specific situations involving operations that have small numbers of livestock, and the operation is not subject to developing and implementing an NMP under §4 of these Rules, or if the manure is exported to another entity having small numbers of livestock.

(2) Site-specific setbacks and siting standards for spreading manure, and for long-term and temporary storage of manure in the farm production area and on field stacking facilities, that will minimize nuisance complaints and threats to surface and ground water;

Site-specific setbacks must be prescribed by a qualified professional. Qualified professionals include qualified NRCS, SWCD, or Department employees, Maine certified nutrient management planning specialists, or Maine certified professional soil scientists, who have expertise for making these determinations.

Justification for the site specific setbacks utilized must be provided if the setback recommendations are less stringent than those recommended in the Department’s “Manure Utilization Guidelines”.9

Temporary manure storage sites where manure is stacked on the natural soil surface for less than two weeks must meet setbacks in the Department’s “Manure Utilization Guidelines” and separation distances in the table “Minimum Separation Distances from Ground Features for Manure Stacking Sites”.^[6]

Setbacks for manure application sites, storages and stacking sites to drinking water wells must be a minimum of 100 feet;

(3) 180 day minimum manure storage, beginning December 1^st of each year, using containment structure(s) and/or stacking site(s) approved by a qualifiedNRCS, SWCD or Department employee. Manure storage/ containment structures must be in conformance with NRCS conservation practice standard 313, Waste Storage Facilities (refer to Attachment C or to the NRCS website for the current version of the standard);

(4) Effective odor and insect control associated with manure storage, management and utilization at the facility and at landspreading sites.^[7]

(5) Manure Transfer and Ownership.

Manure that is produced by a farm or farming operation that is transferred to another farm or farming operation by the entity that produced the manure is the responsibility and ownership of the recipient upon unloading of the manure.

Manure that is produced by a farm or farming operation that is transferred to another farm or farming operation by a third party, e. g., a contractor hired by the entity that produced the manure, is the responsibility of the contractor until delivered and unloaded to the recipient, unless an alternative, written agreement has been established between the contractor and the recipient. Any recipient self-hauling manure from the farm of origin assumes responsibility and ownership for that manure after the manure has been loaded on the recipient’s vehicle or trailer.

Manure that is produced by a farm or farming operation that is transferred to a temporary storage site that is not owned by the entity that produced the manure, and the ultimate utilization of the manure will accrue to the producer of the manure, is the responsibility of the entity that produced the manure while the manure is in temporary storage.

(6) Carcass Management and Disposal

All NMPs must include a plan for routine carcass disposal.^[8]

Carcass management and disposal must be consistent with the Department’s Chapter 211 “Rules for the Disposal of Animal Carcasses”.

NMPs covering 300 or more animal units must include a written catastrophic carcass disposal plan that is consistent with the Department’s Chapter 211 “Rules for the Disposal of Animal Carcasses”, and which has been approved by a Maine certified nutrient management planning specialist. Soil evaluations related to catastrophic carcass disposal sites must have been conducted by a Maine licensed professonal soil scientist or an NRCS soil scientist.

A person who develops a catastrophic carcass disposal/ management plan must provide the Department with a copy of the plan, and send a signed notification to the Department certifying that the plan meets the requirements of these Rules. The notification must be on a form provided by the Department for that purpose and must include the name and address of the owner or operator of the farm or farming operation, the location and address of the composting site for which the plan was prepared or approved, the species and number of animal units associated with the operation, the types and sources of feedstocks to be used for composting, and any other information required by the Commissioner.

C. Nutrient Management Plan Provisions That Apply to Regulated Residuals. In addition to compliance with §6.1(A) of these Rules, if the NMP contemplates the use of regulated residuals, the plans for setbacks, stacking sites, storage facilities, limitations on use based on constituents in the regulated residual and other provisions in the plan that apply to regulated residuals, must comply with rules adopted by the DEP concerning the agronomic utilization of residuals and other legal requirements.

D. Record Keeping. Record keeping, as provided in the NMP must, at a minimum, address the amount of manure applied to each field, dates of application, amount of other nutrient sources applied to each field, results of soil and manure tests and yields at end of each harvest season. The farm or farming operation must maintain records that account for all manure transferred to other farms or to non-farm entities, which include the date, amount of manure transferred, the name of the recipient and the address to which the manure was transferred. These records must be maintained for at least three years from the date of application or transfer, and must be provided to the Department on request.

E. Update Frequency Requirement. The NMP must be:

(1) Updated at least once each year;

(2) Approved by a certified NMP specialist at least every 5 years; and

(3) Updated and approved sooner if:

There is an increase of 15 % or more in the number of animal units shown in the current plan;

There is a change greater than 15% in the acreage upon which nutrients are to be spread;or

There is any other significant change in the operation that renders the existing NMP no longer relevant.

(4) The farm owner or operator may request that a certified nutrient management planning specialist update or revise the plan anytime conditions on the farm warrant a change.

F. The Department must be notified by means of a standard form developed by the Department anytime an update is done for the above reasons, which includes the effective date of the plan. The notification must be provided to the Department within 30 days of the effective date of the plan.

2. Variances. The Commissioner may grant a variance from the dates for the preparation and/or the implementation of NMPs under the Nutrient Management Law , (7 M.R.S. §4204 subsection 4 to 7) when the Commissioner finds undue hardship.

A. Variance Request. A variance request must be submitted, in writing, to the Commissioner, and must include:

(1) The operation for which the variance is sought;

(2) The reason(s) for the variance request; and

(3) Any relevant information supporting the request.

The Commissioner may, as part of the decision-making process, ask for additional information or request a site visit from Department staff.

B. Decision. The Commissioner shall make a decision whether undue hardship exists such as to justify a variance, and shall notify the person making the request in writing within 30 days of the decision. The Commissioner’s decision shall include, but not be limited to, consideration of such factors as protection of groundwater and surface water, cost of implementing the plan, availability of financial assistance, financial hardship or the variance applicant’s proposal when provided, and any public comments received. In determining the length of time for which a variance should be granted, the Commissioner may consult with the farm owner and/or the farm’s certified nutrient management planning specialist.The written notice must include:

(1) The name and address of the person whose variance has been granted or denied;

(2) A statement of why the variance is granted or denied;

(3) The effective date of implementation; and

(4) The right to appeal the Commissioner’s decision to the Nutrient Management Review Board in accordance with §11 of these Rules.

§7. Certified Nutrient Management Planning Specialist Requirement

All NMPs must be prepared and approved or reviewed and approved by a person who has been certified by the Commissioner (7 M.R.S. §4204). Certification of persons is for a five year period starting from the date when the certification is awarded.

1. Categories for Certification. Persons may become certified in one of two certification categories. These are:

A. Commercial/Public NMP specialist - A person who may develop and approve NMPs for another and may approve NMPs prepared by another.

B. Private NMP specialist - A person who may develop and approve an NMP only for his or her own operation.

2. Education and Training Requirements. Persons seeking to become Certified Nutrient Management Planning Specialists must meet the education and training requirements outlined in either A or B below:

A. Persons seeking certification as Nutrient Management Planning Specialists shall provide proof of certification by a national certifying program for nutrient management planning approved by the Commissioner, such as:

(1) The National Alliance of Independent Crop Consultants; or

(2) The American Society of Agronomy.

B. Persons seeking certification may become certified through a Maine state training and certification program approved by the Commissioner. All persons seeking certification through a Maine state program must pass the appropriate Nutrient Management Planning Certification Test, and have either:

(1) Successfully completed a pre-certification training workshop offered by the Department, UMCE or other agency approved by the Commissioner and passed the test approved by the Commissioner for this purpose; or

(2) Demonstrated a good understanding of agricultural subjects including soil health and fertility, crop management and manure management from past education, training and/or experience, and pertinent Maine nutrient management-related statutes and rules, by passing a test approved by the Commissioner for this purpose.

3. Submission Requirements. Applicants meeting the above requirements shall submit an application for certification on a form approved by the Commissioner, proof that the above requirements have been met and a $35 certification fee, if applicable, to the Department.

4. Certified Persons Requirements

A. A certified person must comply with the standards and requirements provided in these Rules and in the enabling statute when preparing NMPs required under these Rules.

B. A certified person must send a signed notification to the Department of all NMPs prepared or reviewed and approved by that person as meeting the requirements of these Rules. The notification must include the name and address of the owner and, if different, the operator of the farm, the location and address of the farm for which the plan was prepared or approved, the number of animal units on the farm and the acreage of the farm for which the NMP has been developed, the name and address of the certified NMP specialist, a signed statement that the plan is in conformity with these Rules, and any other information requested on the notification form.

C. Persons certified under §7.2(A) of these Rules must maintain certification through the appropriate national certifying programs.

(1) If a person’s certification by a national certifying program lapses, that person’s Maine certification will remain in effect until the expiration date of the current five-year Maine certification, unless the certification by the national certifying program was revoked, or unless the requirements of §7.4(A) of these Rules have not been met.

(2) In order to maintain the Maine certification, a person must have met conditions under §7.6 of these Rules prior to the expiration date of the Maine certification.

5. Certification Revocation

A. Basis for revoking certification. The Commissioner may revoke certification to prepare and approve NMPs if the certificate holder:

(1) Is no longer qualified;

(2) Fails to comply with these Rules;

(3) Fails to notify the Department after a plan is developed or approved; or

(4) Fails to use appropriate BMPs to minimize contamination of ground and surface water.

B. Notice. When the Commissioner decides to revoke a certification, the certificate holder must receive a written notice of the certification revocation immediately following the decision. The notice must be sent by certified mail, return receipt requested, and must include:

(1) The name and address of the person whose certification is revoked;

(2) The certification number being revoked;

(3) The effective date of certification revocation;

(4) A statement or list of reason(s) why certification is being revoked; and

(5) Notice of the right to request a hearing in accordance with Section 7.5(C) of these Rules.

C. Certification Revocation Hearing

(1) The Commissioner shall hold a hearing on a certification revocation when:

(a) A person receiving a notice of revocation requests a hearing in writing to the Commissioner; and

(b) The request for a hearing is made no later than 30 days after receipt of the revocation notice required under §7.5 (B) of these Rules.

(2) The Commissioner shall notify the person requesting a hearing in writing of the date, time and location of the hearing.

(3) The hearing shall be held in accordance with the requirements of 5 M.R.S. Chapter 375, subchapter IV ( Administrative Procedure Act ). Evidence may be presented at the hearing that might justify reinstatement of the certification.

D. Decision. If the Commissioner finds the certificate holder has complied with §7.4 of these Rules, the certification shall be reinstated. The Commissioner shall notify the certificate holder of the decision, in writing, within 30 days of the decision. The written notice must be sent by certified mail, return receipt requested, and must contain notice of the right to appeal the Commissioner’s decision to the Nutrient Management Review Board in accordance with §11 of these Rules.

E. Waiver of Hearing. A certificate holder aggrieved by the decision of the Commissioner to revoke a certification may waive the hearing before the Commissioner and may appeal the decision directly to the Nutrient Management Review Board in accordance with §11 of these Rules. A waiver of the hearing before the Commissioner must be in writing and must be signed by the certificate holder.

6. Recertification

A. Unless certification has been revoked in accordance with these Rules, recertification will be granted upon appropriate application every five years based on the applicant’s obtaining the necessary requisites for recertification and submittal of the $35 recertification fee, if applicable. In order to obtain the necessary requisites for recertification, the applicant must either:

(1) Retake the certification exam;

(2) Earn credits at workshops, courses or seminars designated for this purpose by the Commissioner. The number of credits needed are:

(a) Commercial/ Public NMP Specialist - 10 credits per 5 year recertification interval;

(b) Private NMP Specialist - 6 credits per 5 year recertification interval; or

(3) Maintain their certification through the appropriate national certifying program in the case of persons certified in accordance with §7.2(A) of these Rules.

B. Recertification Credits

(1) Recertification credits will be available only through the documentation of attendance at Nutrient Management workshops, webcasts, courses or seminars pre-approved by the Commissioner. The workshop, course or seminar must include the presentation of Nutrient Management topics.

(2) Nutrient Management topics include, but are not limited to:

(a) Nutrient Management

(b) Applicable laws and regulations

(c) Water quality

(d) Soil health and management

(e) Erosion control

(f) Agricultural best management practices

(g) Composting of farm material or regulated residuals

(3) Approval. To qualify for Commissioner approval of recertification credits, the following minimum requirements must be met:

(a) A syllabus or outline of the seminar, course, webcast or workshop must be provided to the Department in advance and must, at a minimum, identify the length of the program, the nutrient management topics to be discussed and the presenter(s);

(b) "Recertification Attendance and Credit Form(s)", available from the Department’s Nutrient Management Program Office, must be obtained for distribution at the seminar, course, webcast or workshop. The attendees should be told before the seminar, course, webcast or workshop that credits are being offered toward recertification. The forms should be distributed at the end of the seminar, course, webcast or workshop; and

(c) The organizer of a qualified seminar, course, webcast or workshop must provide an attendance report to the Department.

(d) The Department will review the seminar, course, webcast or workshop agenda/curriculum and, if it qualifies, will assign a credit value. The Department may send a copy of the submitted form to the person requesting the credits, with information such as qualification of the event and the number of credits awarded.

(4) Attendee Qualifications. To qualify for Departmental approval of recertification credits awarded at a qualifying seminar, course, webcast, or workshop, attendees must:

(a) Complete a "Recertification Attendance and Credit Form(s)" provided at the seminar, course, webcast or workshop. If the seminar, course, webcast or workshop is given over several days, the attendee must fill out one form for each day he/she has attended, unless daily submissions are waived by the Commissioner or designee;

(b) Attach a certificate of successful completion or any other valid proof of successful completion to the form, if none was submitted under §7.6(B) 3(c); and

(c) Submit the completed form and proof of successful completion to the Department’s Nutrient Management Program Office.

(5) An individual who conducts or presents at a seminar, course, webcast or workshop for which the Department assigns credits may be eligible for extra credits for each hour-long presentation on appropriate topics.

(6) A person who fails to accumulate the necessary credits shall re-apply to take the exam required for the initial or previous certification.

§8. Compost Management Plans

Certain Agricultural Composting Operations may be exempt from licensing pursuant to the Maine DEP Chapter 410 “Composting Facilities” Rule, provided that the Agricultural Composting Operation develops and implements a Compost Management Plan (CMP). CMPs utilized by Agricultural Composting Operations must be developed and implemented in accordance with the provisions in §8 of these Rules:

Compost Management Plan Standards

A. Basic Components

(1) The CMP must include:

a. owner(s) name, address and contact information;

b. access control measures and hours of operation;

c. description of the operation, including site layout, and a diagram showing windrow or pile arrangement, and orientation with respect to site topography;

d. listing of the materials handling equipment available;

e. description of the compost pile construction techniques, including general size and shape;

f. pile management techniques, including turning or aeration frequency, moisture control techniques, and temperature monitoring;

g. sources of ingredients, the method of receiving; ingredients, and a description of any pre-mixing to be done;

h. ingredient-specific recipes for materials to be composted, estimates of initial volumes of materials and final product volumes;

i. stormwater/leachate control provisions;

j. odor, vector and dust control techniques;

k. provisions for maintaining site cleanliness;

l. biosecurity provisions for preventing contamination of the final product by the raw ingredients; and

m. a plan for sampling and testing original ingredients and final products.

B. CMP Certification Requirements

(1) CMPs must address and include all materials that are produced on or brought onto the farm that are intended to be composted.

(2) All new or updated CMPs must be reviewed and approved in writing by the Department. The certification process must determine that the requirements in 8.1(A) (1) have been evaluated and incorporated in the CMP.

(3) Agricultural Composting Operations must comply with the Department’s Chapter 211 “Rules for the Disposal of Animal Carcasses”, and “Best Management Practices for Animal Carcass Composting” (Attachment F)when composting offal or animal carcasses.

C. Development of Recipes for Materials to be Composted

(1) Specific blends of compostable materials must be developed by determining the moisture content, bulk density, pH, volatile solids, and carbon:nitrogen ratio of the materials to be composted.

(2) The blend of materials must facilitate thermophilic microbial activity during the composting process.

2. Sampling and Testing Ingredients Parameters

A. Parameters to be used for sampling and testing ingredients for any new bulking materials used in the compost recipe:

(1) Total nitrogen

(2) Total carbon

(3) Volatile solids (%)

(4) Bulk density

(5) Moisture content

(6) Acidity or alkalinity (pH)

B. Parameters to be used for testing ingredients for compost to be applied on the farm owner’s fields:

(1) Total nitrogen

(2) Organic nitrogen

(3) Total phosphorus

(4) Total potassium

(5) Total calcium

(6) Moisture content

(7) Acidity or alkalinity (pH)

C. Parameters to be used for compost products that may be distributed to the public, which must be used for making recommendations to purchasers for utilizing the compost(s). At least once annually, a representative sample of the compost must be sampled and analyzed for:

(1) Total nitrogen

(2) Ammonium

(3) Total carbon

(4) Volatile solids (%)

(5) Bulk density

(6) Moisture content

(7) Total phosphorus

(8) Total potassium

(9) Total calcium

(10) Conductivity

(11) Maturity (Solvita or Dewar tests)

D. Composting Time and Temperature Standard to be used for compost products that may be distributed to the public

Compost must attain 131 degrees F. for at least 3 consecutive days as measured at the piles core or three feet from the surface, whichever is less, for pathogen reduction for compost products that do not contain animal carcasses.

(2) Compost that contains animal carcasses must be produced consistent with the operational requirements for compost systems described in the Department’s Chapter 211 “Rules for the Disposal of Animal Carcasses”.

3. Requirements for Persons Writing Compost Management Plans

A. CMPs may be developed or updated by the owner or operator of an Agricultural Composting Operation, a Maine certified nutrient management planning specialist, or other qualified individual as determined by the Commissioner.

B. Training in a recognized CMP development program may be accepted as a means to becoming a qualified individual.

4. Record Keeping

A. A record must be kept by the owner or operator of the Agricultural Composting Operation of all feedstocks that are produced on or brought onto the farm that are intended to be composted, which includes the source, type and volume of the material, for at least one year.

B. A record must be kept by the owner or operator of the Agricultural Composting Operation of the volume of each compost product sold or removed from the site. The record shall be kept for at least one year.

C. Testing results, as required under §8.2 shall be maintained by the composter for at least one year after the product has been distributed.

D. Temperature charts for each windrow or pile shall be maintained by the composter for at least one year after the product has been distributed.

E. Records shall be provided to the Department on request.

5. Term of Certification for Compost Management Plans

A. The CMP certification authorizes the named Agricultural Composting Operation to operate at the location designated in the CMP for a term of 5 years from the issue date under the conditions set forth in the CMP, with which the certification holder must comply.

B. The CMP must be updated and re-certified by the Department every five years, or sooner, if there is any significant change in the operation that renders the existing CMP no longer relevant. Significant changes include, but are not limited to:

An increase or decrease in the volume of materials to be composted by 15% or more;

A change in the types of materials to be composted which would require an alteration of the ingredient-specific composting recipes;

A change in the basic type of composting system used, e.g., changing from a turned windrow system to an aerated static pile system;

A change in the location of the composting operation; or

(5) Any other changes or aspects of the operation determined by the Department to be significant.

C. CMPs held by Agricultural Composting Operations that were developed prior to January 1, 2012 will expire one year after the effective date of this Rule update unless re-certified in accordance with the provisions of these Rules.

6. Site Inspections by the Department

A. The owner or operator of an active Agricultural Composting Operation shall, upon reasonable notice, submit to inspections by the Department during normal business hours to ensure that the CMP holder’s operation is in compliance with the provisions of the CMP.

B. The Department must conduct a site inspection of the proposed composting site prior to the certification of any CMP.

7. Revocation of Compost Management Plan Certification

A. Basis of certification revocation. The Commissioner may revoke certification of a CMP if the owner or operator of the Agricultural Composting Operation fails to comply with any of the requirements of these Rules.

B. Notice. When the Commissioner decides to revoke a certification, he/she shall provide the certificate holder a written notice of the certification revocation immediately following the decision. The notice shall be sent by certified mail, return receipt requested, and must include:

The name and address of the owner/operator whose certification is being revoked;

The effective date of certification revocation;

A statement or list of reason(s) why certification is being revoked; and

(4) Notice of the right to request a hearing in accordance with §8.7(C) of these Rules.

C. Hearing on Compost Management Plan Certification Revocation

(1) The Commissioner shall hold a hearing on a CMP certification revocation when:

(a) A person receiving a notice of revocation requests a hearing in writing to the Commissioner; and

(b) The request for a hearing is made no later than 30 days after receipt of the revocation notice required under §8.7 (B) of these Rules.

(2) The Commissioner shall notify the person requesting a hearing in writing of the date, time and location of the hearing.

(3) The hearing shall be held in accordance with the requirements of 5 M.R.S. Chapter 375, subchapter IV ( Administrative Procedure Act ). Evidence may be presented at the hearing that might justify reinstatement of the certification.

D. Decision. If the Commissioner finds that the certificate holder has complied with these Rules, the certification shall be reinstated. The Commissioner shall notify the certificate holder of the decision, in writing, within 30 days of the decision. The written notice shall be sent by certified mail, return receipt requested, and shall contain notice of the right to appeal the Commissioner’s decision to the Nutrient Management Review Board in accordance with §11 of these Rules.

E. Waiver of Hearing. A certificate holder aggrieved by the decision of the Commissioner to revoke a certification may waive the hearing before the Commissioner and may appeal the decision directly to the Nutrient Management Review Board in accordance with §11 of these Rules. A waiver of the hearing before the Commissioner must be in writing and must be signed by the certificate holder.

§9. Livestock Operations Permits

1. Operations Requiring a Permit

A. The owner or operator of a Concentrated Animal Feeding Operation (CAFO) shall obtain a Livestock Operations Permit (LOP) or a provisional LOP from the Commissioner.

B. The owner or operator of any animal feeding operation, who confines and feeds 300 or more animal units at any time during a year, shall obtain an LOP or a provisional LOP from the Commissioner, within 90 days of having reached the 300 or more animal unit threshold, unless that operation confined and fed that same number of animal units prior to April 15, 1998.^[9]

C. The owner or operator of any animal feeding operation shall obtain an LOP or a Provisional LOP if, based on an inspection of the operation by the Commissioner (or designee) and/or other relevent information, it is determined that there are water quality or nutient management deficiencies. The Permit must be obtained within 90 days of the date on which the Commissioner determines that a water quality or nutrient management issue exists. The owner or operator shall maintain an LOP or a provisional LOP until the Commissioner determines that the matter(s) have been resolved. The Commissioner may require that the operation maintain an LOP indefinitely according to the requirements established in §9.5 of these Rules.

2. Submission Requirements - The owner or operator of an animal feeding operation seeking an LOP shall submit the following to the Commissioner:

A. A copy of an approved NMP or CNMP for the operation for which a permit is being sought. The NMP or CNMP must meet the requirements established in §6.1 of these Rules;

B. Application Form. A completed and signed copy of the LOP Application Form as prescribed by the Commissioner. The Commissioner may request that additional information be submitted with the application form; and

C. Other Information. After the NMP, application form, and any other required information have been reviewed, the Commissioner may notify the applicant if additional information is necessary to make a determination on issuing the permit.

3. Inspection Requirements

A. Inspection of Existing Farms. Prior to issuing an LOP or a provisional LOP to an existing operation, the Commissioner (or designee) shall inspect the livestock operation to determine that it has an adequate NMP or CNMP and is following that plan, and to insure that adequate provisions have otherwise been made for the storage, handling and spreading of all nutrients generated or used on the farm. The inspection may also determine if there are or may be impacts on the environment or other uses in the area associated with manure and other nutrient management on the farm.

B. Inspection of New Operations. Prior to issuing an LOP or a provisional LOP to a proposed new livestock operation, the Commissioner (or designee) shall make a site visit to the proposed location for the livestock operation to determine that the plans for the proposed operation will adequately deal with impacts on the environment and other uses in the area. After the facility has been constructed and has been in operation for at least six months, the Commissioner (or designee) shall inspect the operation to determine that it is being managed in accordance with the NMP or CNMP submitted to the Department and to determine that adequate provisions have been made for the storage, handling and spreading of all nutrients generated or used on the farm. The inspection may also determine if there are or may be impacts on the environment or other uses in the area associated with manure and other nutrient management on the farm.

C. Inspection Items. The inspector shall, at a minimum, examine:

(1) The NMP or CNMP to determine if it is consistent with existing conditions on the farm at the time of inspection;

(2) Records (or projections for new operations) of the amount of manure produced or brought on to the farm;

(3) Records (or projections for new operations) of the amount of other nutrients produced or brought on to the farm;

(4) Storage facilities;

(5) Manure handling procedures and equipment;

(6) Spreading sites, including buffers and setbacks;

(7) Field stacking sites, if applicable;

(8) Routine and catastrophic carcass disposal plans and sites; and

(9) Location of neighbors, water bodies, wetlands, wells and any other sensitive resources or activities.

4. Application Review and Approval Process

A. Requirements for Review and Approval Process. Upon receipt of an application, NMP or CNMP, and other required information, the Department shall:

(1) Review the application, NMP or CNMP and other pertinent information as soon as practicable;

(2) Notify the applicant in writing if the application is incomplete and additional information is required;

(3) Upon completion of the review, schedule a site review or facility inspection to be conducted within 30 days of the determination of completeness, weather and site conditions permitting. Note: Inspections may not be possible during the winter, thus delaying the scheduling of the site review or inspection;

(4) Conduct the site review or facility inspection based on the inspection requirements in these Rules; and

(5) Make a determination within 30 days of site review or facility inspection, on whether to issue an LOP and what conditions will be included in the permit. The Commissioner shall issue a permit if he finds that:

(a) The NMP or CNMP is complete, correctly prepared and approved by a certified nutrient management planning specialist;

(b) The operation has adequate storage capacity for the manure that will be generated or used on the farm during the permit period;

(c) The manure storage structure(s) and stacking sites conform to the requirements of these Rules;

(d) The operation has adequate land base for the manure that will be generated or used on the farm during the permit period or that alternate uses have been identified for any surplus manure;

(e) The handling, storage and utilization of manure, feed, other nutrients, and milk room wastes will not cause an undue impact on the environment or existing uses in the area;

(f) The operation has an adequate carcass disposal plan for handling routine and catastrophic mortalities; and

(g) The new site proposed is suitable for an animal feeding operation based on soils, slopes, location and other factors affecting sensitive resources and existing uses.

(6) Notify the applicant within 10 working days of the Commissioner’s decision to issue or deny the permit.

(7) In the event that one or more of the requirements stated in §9.4 (A)(5) are not met or are incomplete, the Commissioner (or designee) may issue a provisional LOP, as specified in §9.7 of these Rules.

B. CAFO Designation. The Department may consult with the DEP for designating an operation as a CAFO in situations where there are unresolved matters of water quality or nutrient management. This designation will be based on an inspection of the operation by the Commissioner (or designee) and DEP staff, and on other relevant information available to the Department. An operation designated as a CAFO under this section must apply for an LOP following the procedure outlined in §9.2 of these Rules.

C. MEPDES Requirements for CAFOs. When an operation has been defined or designated as a CAFO, the Department and DEP will jointly determine its eligibility for a MEPDES permit.

5. Issuance of an LOP

A. Permit Content. The LOP authorizes the named livestock operation to operate at the location designated in the permit for a period of 5 years from the issue date and under the conditions set forth in the permit, with which the permittee must comply. Without limitation, the permit will contain the following conditions unless the Commissioner otherwise determines:

(1) A condition that the operation must operate in accordance with the approved NMP or CNMP as submitted to the Department, unless the Commissioner otherwise prescribes, and otherwise must comply with all applicable legal requirements;

(2) A condition that the operation must prepare and submit to the Department periodic updates of the NMP or CNMP as required by these Rules;

(3) A condition that the operation must not degrade the quality of ground or surface waters through failure to properly use and maintain best management practices; and

(4) Specific conditions established by the Commissioner in order to protect the environment and other uses in the area.

B. Term of Permit. LOPs are valid for 5 years from the issue date so long as their conditions are met . Any livestock operation that is required to have a permit under these rRules must obtain a new LOP before the expiration date of the previous permit.

C. Permit Application Fee. The owner or operator of a livestock operation having fewer than 1000 animal units shall pay a permit fee of $50 at the time of submission of the application. The owner or operator of a livestock operation with 1000 or more animal units shall pay a permit fee of $200at the time of submission of the application. Payment of these fees is applicable to any initial or renewal permit applications.

D. Effective Date. Any livestock operation requiring a permit under these Rules must have a permit and an approved NMPn or CNMP in compliance with these Rules prior to commencement of the operation whether it is a new farm or farming operation, or a new owner or operator is acquiring an existing farming operation.

6. Revocation of a Permit

A. Basis of Permit Revocation. An LOP may be revoked if:

(1) The livestock operation fails to comply with any of the conditions of the permit orwith any of the relevant requirements of the Nutrient Management Act , 7 MRS §4201 et seq., or the Chapter 565 Nutrient Management Rules .

(2) Any of the information upon which the permit is based is false, misleading or inaccurate.

B. Permit Revocation Notice. The Commissioner shall give the Permittee a written notice of the permit revocation immediately following a decision to revoke. The notice shall be sent by certified mail, return receipt requested, and must include:

(1) The name and address of operation whose permit is revoked;

(2) The permit number being revoked;

(3) The effective date of permit revocation;

(4) A statement or list of the reason(s) why the permit is being revoked; and

(5) A notice of the right to request a hearing in accordance with Section 9.6(C) of these Rules.

C. Hearing on Permit Revocation

(1) The Commissioner shall hold a hearing on a permit revocation when:

(a) An operation receiving a notice of revocation requests a hearing, in writing, to the Commissioner and;

(b) The request for a hearing is made no later than 30 days after receipt of the revocation notice required under §9.6(B) of these Rules.

(2) The Commissioner shall notify the operation requesting a hearing, in writing, of the date, time and location of the hearing.

(3) The hearing shall be held in accordance with the requirements of 5 M.R.S. Chapter 375 subchapter IV ( Administrative Procedure Act ). Evidence may be presented at the hearing that might justify reinstatement of the permit.

D. Decision. If the Commissioner finds the permit holder has complied with the requirements in §9.4. the permit shall be reinstated. The Commissioner shall notify the operation of the decision, in writing, within 30 days of the decision. The written notice shall be sent by certified mail, return receipt requested, and shall contain notice of the right to appeal the Commissioner’s decision to the Nutrient Management Review Board in accordance with Section 11 of these Rules.

E. Waiver of Hearing. A permit holder aggrieved by the decision of the Commissioner to revoke an LOP may waive the hearing before the Commissioner and may appeal the decision directly to the Nutrient Management Review Board in accordance with §11 of these Rules. A waiver of the hearing before the Commissioner must be in writing and must be signed by the permit holder.

7. Provisional Livestock Operations Permit. The Commissioner may issue a provisional LOP if one or more of the submission requirements stated in §6 of these Rules is incomplete, not submitted or does not conform to the approved NMP or CNMP for the named operation. In issuing a provisional LOP, the Commissioner shall consider existing nutrient management practices on the farm, the protection of groundwater and surface water, the cost of implementing the plan and the availability of financial assistance to implement the plan.

A. Limitations of the Provisional Livestock Operations Permit. A provisional LOP does not replace an LOP nor does it guarantee that an LOP will be obtained if the submission requirements for the latter are not met when the provisional LOP expires.

B. Provisional Livestock Operations Permit Content. The provisional LOP authorizes the named livestock operation to operate at the location designated in the permit for a maximum period of one year or until all the requirements to obtain an LOP are met, whichever comes first.

C. Term of Provisional Permit. Provisional LOPs are valid for a maximum of one year from the issuance date as long as their conditions are met and actions are taken to fulfill the LOP requirements. Provisional LOPs can be renewed one time provided the extension is solely to complete and conform to submission requirements stated in §9 of these Rules. Critreria for issuance of a second provisional LOP must be consistent with §9.7 of these Rules. Any livestock operation that is required to have a permit under these Rules must obtain a provisional LOP or a new LOP before the expiration date of the previous permit.

D. Revocation of a Provisional Livestock Operation Permit.

(1) Basis for revoking provisional LOP. A provisional LOP may be revoked if:

(a) The livestock operation fails to comply with any of the conditions stated in the provisional LOP.

(b) Any of the information upon which the permit is based is false, misleading or inaccurate.

(2) The Commissioner shall follow the same procedures in revoking a provisional LOP as outlined in Section 9.6 above.

(3) The notice of revocation, hearing provisions and appeal process for a provisional LOP revocation shall follow the same procedure for an LOPt, as described in §9.6 (B) to (E) of these Rules.

§10. Farms Ceasing Operation – Closure of Manure Storage Structures

Manure storage structures, which includes storage pits, reception pits, lagoons, or pads, must be emptied of manure within twelve months after the date on which the active use of the structure ceased. The structures shall be managed and maintained at all times such that there is no discharge of manure to Waters of the State. The manure must be handled and disposed of in accordance with the farm’s NMP or CNMP or as otherwise authorized by the Department.

§11. Appeals to the Nutrient Management Review Board

1. The decision of the Commissioner to deny a variance, to revoke a certification to prepare and approve NMPs, or to revoke a full or provisional LOP or a CMP, may be appealed to the Nutrient Management Review Board by filing a notice of appeal with the Board.

2. The notice of appeal must be in writing and must be received by the Board no later than thirty (30) days of receipt from the Commissioner of notice of the decision being appealed. The appeal notice must contain:

A. Reference to the decision that is being appealed;

B. The basis for making the appeal; and

C. Information that shows why the decision should be changed.

3. Public Hearing. Unless the right is waived by all parties to the appeal, a public hearing on the appeal shall be conducted by the Nutrient Management Review Board.

4. Public Hearing Process. The public hearing must be conducted in accordance with 5 M.R.S. Chapter 375, subchapter IV ( Administrative Procedure Act ).

5. Process for Making the Determination. The Nutrient Management Review Board shall make a determination on the appeal as expeditiously as possible and shall notify the person filing the appeal of the outcome in writing. In doing so, the Board shall consider whether the requirements of these Rules and the Nutrient Management Act have been met, may request such additional information as it deems necessary for the determination of the issue(s), and may affirm, overturn or alter the Commissioner’s decision. The Board’s decision shall be a final agency action.

(APA Office Note: the attachments are in a separate file.)

History

• STATUTORY AUTHORITY: These rules are adopted under the statutory authority contained in 7 M.R.S.A Chapter 747, Nutrient Management Act.
• EFFECTIVE DATE: December 14, 1998 - (APA Office Note: §3(6), §8, §9, and Attachment E, were major substantive parts of this chapter and required legislative review.)
• NON-SUBSTANTIVE CORRECTIONS: January 20, 1999 - minor spelling and formatting; attachments split into a separate file.
• AMENDED: February 17, 2001
• AMENDED: May 7, 2002 - Section 7
• NON-SUBSTANTIVE CORRECTIONS: January 24, 2007
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: July 3, 2018 – filing 2018-117
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: Note: This means that the farm confines and feeds any combination of animals totaling 50,000 lb. live animal weight. Without limitation, some examples are :24 dairy cows (plus an equivalent number of young cattle) (1400 lb/mature animal)35 dairy cows with no young cattle(1400 lb/animal)50 beef cows (1000 lb/animal)125 sows or finishing pigs (400 lb/animal)1000 feeder pigs (50 lb/animal)50 horses (1000 lb/animal)500 sheep (100 lb/animal)2800 turkeys (18 lb/animal)10,000 laying hens/broilers (5 lb/animal). ↑Note: Complaints are usually handled under the ‘”Maine Agriculture Protection Act”, 7 M.R.S. Chapter 6. ↑The Commissioner’s decision shall include, but not be limited to, consideration of such factors as a farm inspection, protection of groundwater and surface water, minimization of soil erosion, presence of actively-growing cover crops on tilled ground, availability of financial assistance, financial hardship or the variance applicant’s proposal when provided. ↑Notes: The method outlined in USDA/NRCS Code 590 ‘Nutrient Management’, current edition, is an approved method. Other approved methods will be presented as part of the training and certification process for nutrient management planning specialists. A pre-side dress nitrate test for field corn and other crops for which the test is calibrated is recommended to determine adequate levels of available nitrogen. ↑The recommended timetable for the plan implementation must be in accordance with the time frame included in the Nutrient Management Law, 7 M.R.S. §4204 subsection 4 to 7. ↑ Minimum Separation Distances from Ground Features for Manure Stacking Sites: Paved Unpaved(Depth below working surface in inches)Seasonal water Table 12 15Bedrock 12 18Upper Limits of sand/gravel horizons 12 18These separation distances may be achieved by the use of engineering techniques such as placing fill, installing curtain drains or diversion ditches. ↑Examples of provisions that might appear in a NMP would be:Immediate incorporation of manure spread on tilled land.Timing applications to avoid creating nuisances. Maintenance program for waterers to keep manure dry in poultry houses.A spray program for insect control during warm months. ↑ Routine carcass disposal refers to mortalities that are expected on a daily or weekly basis in a population of animals. ↑Note: An operation is considered to have 300 animal units if it confines and feeds any combination of animals totaling 300,000 lb. live animal weight. Without limitation, some examples are: 145 dairy cows (plus an equivalent number of young cattle) (1400 lb/ mature animal)215 dairy cows with no young cattle (1400 lb/animal)300 beef cows (1000 lb/animal)750 sows or finishing pigs (400 lb/animal)6000 feeder pigs (50 lb/animal)300 horses (1000 lb/ animal)3,000 sheep (100 lb/animal)16,500 turkeys (18 lb/animal)60,000 laying hens/broilers (5 lb/animal) ↑

Chapter 575 Permitting of Solar Energy Developments on High-Value Agricultural Land

Code Me. R. 01-001 Ch. 575 Permitting Solar Energy Developments on High Value-Agricultural Land {#sec-01-001-ch.-575 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 575}

SUMMARY: “An Act Regarding Compensation Fees and Related Conservation Efforts to Protect Soils and Wildlife and Fisheries Habitat from Solar and Wind Energy Development and High-impact Electric Transmission Lines Under the Site Location of Development Laws” was enacted by the first regular session of the 131^st legislature (P.L. 2023, Ch. 448). The P.L. establishes roles in the permitting and compensation processes for the Department of Agriculture, Conservation, and Forestry (DACF) and for the Department of Environmental Protection (DEP), as well as delegated roles for the Land Use Planning Commission (LUPC) and municipalities. The rules within this chapter establish the procedures for administering P.L. 2023, Ch. 448, including:

Defining “high-value agricultural land” (HVAL);

Establishing tiers of HVAL with variable compensation amounts for each tier;

Defining “dual-use agricultural and solar production;”

Implementing a permitting program for solar energy development on HVAL, including provisions for delegating permitting authority to the Land Use Planning Commission (LUPC) and municipalities; and

Implementing other administrative procedures not specified in the legislation, including enforcement.

Chapter 575: PERMITTING SOLAR ENERGY DEVELOPMENTS ON HIGH-VALUE AGRICULTURAL LAND

SECTION 1. PREAMBLE

The benefits of farms and farmland to our state and its people are numerous, spanning economic, cultural, environmental, and educational benefits, as well as providing a foundation for local and regional food security. However, farmland is under immense development pressure in Maine. Productive agricultural soils are a finite resource that, once developed or disturbed, may take decades to restore, and in some cases, restoration may not even be possible. They are key to Maine’s current and future agricultural productivity, biodiversity, climate resiliency, and food security. At the same time, renewable energy is central to achieving the State’s climate goals and farmers may wish to enhance the economic viability of their operations with thoughtful siting of renewable energy infrastructure.

The purpose of this rule is to regulate the permitting of solar energy developments that occupy five (5) acres or more and are at least partially sited on high-value agricultural land (HVAL) as set forth in 38 M.R.S. §§ 3201-02, “Protection of Agricultural Soils from Solar Energy Developments.” When a solar energy development is between five (5) and twenty (20) acres, the applicant can proceed with applying for a permit by rule (PBR) in an expedited process. When a community-scale or utility-scale^[1] solar operation is twenty (20) acres or more, applicants must apply for an individual permit, and a compensation fee or farmland conservation project may be required of the solar energy developer. Compensation fees will be calculated by and paid to the Department of Environmental Protection (DEP), which will deposit the funds into an account for the Department of Agriculture, Conservation, and Forestry (DACF) to be used for farmland conservation or solar mitigation projects.

The rules allow solar energy development while also protecting HVAL to the extent practicable. They also provide opportunities to reduce the compensation fee if mitigation strategies are employed at the site.

SECTION 2. DEFINITIONS

As used in this chapter, unless the context otherwise indicates, the following terms have the following meanings:

AGGRIEVED PERSON. A person who has suffered or may suffer an actual or imminent injury resulting from the permitting by DACF of a solar energy development. For the purposes of this definition, "injury" means a decision by DACF that adversely and directly affects or will adversely and directly affect an aggrieved person's property, pecuniary, or personal rights. The aggrieved person may also be referred to as a “petitioner” in this rule chapter.

AGRICULTURAL PRODUCTIVITY. The successful production or cultivation of agricultural products.

AGRICULTURAL PRODUCTS. Plants, animals, and their products that are useful to humans and include, but are not limited to:

forages and sod crops;

grains and feed crops;

dairy and dairy products;

poultry and poultry products;

bees and bees’ products;

livestock and livestock products;

manure and compost;

fruits, berries, vegetables, flowers, seeds, grasses, and other similar products;

ornamental trees and Christmas trees;

annual and perennial ornamental plants; or

any other plants or animals, or plant or animal products, that supply humans with food, feed, fiber, or fur.

The term “agricultural products” does not include trees grown and harvested for forest products.

ALTERNATIVES ANALYSIS. A one (1) to three (3) page report that analyzes whether a less damaging practicable alternative to the proposed impact to HVAL exists that still meets the solar energy development project (the project) purpose. Attaching figures to the alternatives analysis is encouraged and does not count towards the page limit. The alternatives analysis should also evaluate if, to the extent practicable, the project is located on the least agriculturally productive portions of the parcel (s). A less damaging practicable alternative may include:

Utilizing, managing, or expanding one or more other portions of the property for the project that would avoid or reduce the impact to HVAL;

Reducing the size, scope, or configuration of the project, thereby avoiding or reducing the impact to HVAL; and

Developing alternative project designs that avoid or reduce the impact to HVAL.

APPLICANT. An individual, firm, association, organization, partnership, trust, company, limited liability company, corporation, state agency, or other legal entity applying for a permit to construct a solar energy development on HVAL.

BLUEBERRY BARREN (BB). A blueberry barren (BB) is land that has been in commercial production of wild blueberries for one (1) of the two (2) or three (3) of the five (5) calendar years preceding the date of permit application. BB must amount to at least one (1) contiguous acre.

COMMISSIONER. The Commissioner of the Department of Agriculture, Conservation, and Forestry.

CONTAMINATED LAND. Land that is unfit for agricultural purposes due to environmental contamination. Factors making land unfit for agricultural purposes include, but are not limited to:

Federal and/or state restrictions on the use of land as a result of the presence of hazardous substances; and

Records of soil sampling, groundwater sampling, or Phase II Environmental Site Assessments that identify the presence of hazardous substances in the soil or groundwater

“Contaminated land” does not include “PFAS-impacted HVAL,” which is defined separately in § 2(30).

CONVERSION PRESSURE. “Conversion pressure” is the strain on counties caused by the prevalence of development that reduces the amount of natural and working land available. It is determined by calculating the percent acreage of terrestrial land use categories within a county that have been developed into impervious surfaces as determined by DACF. DACF will post a list on its website of the top six (6) counties in Maine facing the highest conversion pressure, not to be updated more frequently than once every three (3) years. DACF will calculate conversion pressure using the most recent publicly available land cover data set from a federal or State of Maine agency, such as the National Oceanic and Atmospheric Administration, the U.S. Geological Society, the Maine Office of GIS, or another similar agency.

CROP PRODUCTION. The cultivation and harvesting of plants for the production of food, fiber, or animal feed.

DACF. Department of Agriculture, Conservation, and Forestry.

DUAL-USE AGRICULTURAL AND SOLAR PRODUCTION (DUAL-USE). Dual-use agricultural/agriculture and solar production (dual-use) means the co-location of agricultural activities with a solar energy development, the combination of which:

Result in the production of agricultural products to retain the land’s agricultural productivity; and

Are conducted according to a management plan, which is updated annually.

To be considered dual-use, agricultural activities must occur under, between, or around solar panels within the fenced-in area of a solar energy development.

DUAL-USE LAND AREA. All land that meets the definition of “land area” that could be utilized for dual-use agriculture. The “dual-use land area” does not include the following:

Access roads;

Impervious surfaces such as concrete footings or concrete pads;

Equipment and buildings such as operations and maintenance buildings, transformers, or battery energy storage; and

Land that meets the definition of “contaminated land” or “PFAS-impacted HVAL.”

FARM OPERATION. All land that meets the definition of “active farmland” that is owned by a single landowner and is used to produce agricultural products for a single farm business.

ACTIVE FARMLAND. Any tract or tracts of land on which farming or agricultural activities have contributed to a gross annual farming income of at least $2,000 per year from the sales value of agricultural products in one (1) of the two (2), or three (3) of the five (5), calendar years preceding the date of permit application. The income derived from the agricultural activity may be achieved by either the owner or a lessee of the land. Gross income, as used in this subsection, includes the value of commodities produced for consumption by the farm household.

FARMLAND OF STATEWIDE IMPORTANCE. Soils defined by the U.S. Department of Agriculture Natural Resources Conservation Services as “farmland of statewide importance” (7 CFR 657.5(c))^[2] and as verified by a field-based survey conducted by a licensed soil scientist in accordance with the most recently updated version of the DACF guidance document “Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine.” ^[3]

FIELD-BASED SURVEY. An on-site survey of the solar energy development land area that includes the following components:

A high-level assessment of current or past site uses, such as residential, commercial, industrial, agricultural, or undeveloped.

A high-level inventory of on-site structures and impervious surfaces. This may include, but is not limited to, farm-related infrastructure, energy generation structures, and transmission structures.

An inventory conducted by a licensed soil scientist of soil resources that is based on a systematic field examination, description, and classification of soils in accordance with the most recently updated version of the DACF guidance documents “ Identifying High-Value Agricultural Land ” and “ Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine .” ^[4]

Only subsection (C) above must be conducted by a licensed soil scientist. Subsections (A) and (B) above may be conducted by an environmental scientist, engineer, consultant, site evaluator, or an individual who is qualified to fulfill the requirements of these subsections.

If any one of subsections (A) through (C) above disqualifies the land area from being considered HVAL, then the survey components of the other two subsections are not required to be completed (e.g., if a licensed soil scientist finds that the land area surveyed does not meet the qualifications to be categorized as HVAL, then an additional survey of site uses and an inventory of on-site structures is not required).

FORESTLAND. Land that is primarily for the growth of trees, which is suitable for producing a forest product, or for harvesting trees for commercial use even if it is not currently being harvested for forest products or trees.

FOREST PRODUCTS. Logs, pulpwood, veneer, bolt wood, wood chips, stud wood, poles, pilings, biomass fuel wood, fuel wood, bark, or other products commonly known as forest products. “Forest products” do not include Christmas trees, orchard products, nursery products used for ornamental purposes, wreaths, bough material, cones, or other seed crops.

HAZARDOUS SUBSTANCE. The meaning of “hazardous substance” within this chapter is the same as that defined by the Maine DEP in 38 M.R.S.A. § 1362(1).

HEARING OFFICER. An individual appointed by the Commissioner who must not have a direct or indirect personal, professional, or financial conflict of interest in the appeal and cannot be an employee of the bureau or division overseeing the permitting program.

HIGH-VALUE AGRICULTURAL LAND (HVAL). High-value agricultural land (HVAL) is land that has physical properties that indicate high suitability for agriculture:

HVAL includes land that amounts to one (1) or more contiguous acres and meets the definition of:

“Prime farmland,” “farmland of statewide importance,” or a combination of the two, as verified by a field-based survey conducted by a licensed soil scientist in accordance with the most recently updated version of the DACF guidance document “ Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine ;” ^[5]

“Blueberry barren;” or

“PFAS-impacted HVAL.”

To be considered HVAL, a field-based survey is required to confirm that the land:

Is not occupied by residential, commercial, or industrial uses that substantially reduce agricultural potential; and

Has no structures except for i) farm-related infrastructure or ii) energy generation and transmission structures that accommodate co-located agricultural activities.

The definition of HVAL does not include the following:

Land that meets the definition of “contaminated land” or “forestland.”

Land with existing conditions such as impervious surfaces, gravel roads, asphalt roads, land that has been stripped of the topsoil, land that has soil exposure due to surface mining activities, and/or other alterations that make it unfit for agricultural purposes. For the purposes of this subsection, “existing” means at the time of permit application submittal to DACF and prior to the “start of construction.”

LAND AREA. All land necessary for the operation and maintenance of the solar energy development, including, but not limited to:

Areas within the perimeter fence, including the solar energy generation system components (e.g., panels, inverters, battery energy storage, and perimeter fence).

Areas occupied by new construction or installation of collector lines, a generator lead line, above-ground utility poles, or buried utilities and the associated rights of way.

Areas occupied by new construction of a collector substation, operations and maintenance building, access road, parking area, or other associated facilities.

Any areas of vegetation clearing, including shade management areas.

Wildlife corridors that are included in the project plans or are required as a permit condition;

Any new disturbance that results in soil exposure at any time during site preparation for or construction of a solar energy development. For the purposes of this subsection, “disturbance” includes, but is not limited to, stripping, grading, grubbing, bulldozing, or removing or displacing soil, sand, vegetation, or other materials.

Temporarily impacted areas, including but not limited to equipment staging areas, laydown areas, or temporary access roads.

The “land area” does not include land with existing conditions such as impervious surfaces, gravel roads, asphalt roads, land that has been stripped of the topsoil, land that has soil exposure due to surface mining activities, and/or other alterations that make it unfit for agricultural purposes. For the purposes of this subsection, “existing” means at the time of permit application submittal to DACF and prior to the “start of construction.”

LICENSED SOIL SCIENTIST. A person with a current/active license from the Maine State Board of Licensure for Geologists and Soil Scientists to practice soil science in the State of Maine. A license is required to practice soil science in the state of Maine per 32 M.R.S. § 4903.

LIVESTOCK GRAZING. Allowing domestic livestock (e.g., cattle, sheep, goats, swine, equines, poultry, domesticated cervids, ratites, members of the genera lama, or bison, and other animals raised for food or fiber) to forage on grasses, legumes, and/or forbs for the purpose of creating products such as meat, milk, wool, and other livestock products.

MANAGEMENT PLAN. A plan that describes how dual-use agriculture and solar production will be conducted to ensure the continued agricultural productivity of the land in dual-use throughout the operational life of the solar energy development. The plan should include, but not be limited to, the following dual-use data:

For dual-use crop production: type(s) of crop(s) to be grown, including grazing crops, total gross acres of land to be in crop production, and type(s) of agricultural product(s) to be produced. If planting more than one crop, provide the total gross acres of land to be in crop production per crop type.

For dual-use livestock grazing: type(s) of animal(s) to be grazed, stocking rate, paddock size, name(s) of seed mix(es) or forage plants to be planted (including percentages of each species in the mix), type(s) of agricultural product(s) to be produced, and, if applicable, rotational grazing plans.

For dual-use pollinator habitat: type(s) of agricultural product(s) to be produced and name(s) of seed mix(es) of pollinator plants to be planted (including percentages of each species in the mix). If housing beehives, include the number of hives/colonies and type(s) of bee(s) product(s) produced.

Projected volume, weight, or other standardized unit of measure of agricultural products to be produced.

MINOR CHANGE. An action to modify a permit previously issued by DACF where the revision is a result of:

Correcting clerical errors;

Clarifying DACF’s decision, in which clarification is consistent with the intent of DACF’s decision and does not materially change any findings of fact or conclusions of law;

Correcting the dimensions of structures, approving minor variations to the dimensions of structures previously approved, or approving changes affecting less than ten (10) percent of a structure or solar energy development project; or

Renewing a permit to extend the deadline for the “start of construction” or “substantial completion” by up to two (2) years.

PERMIT. An HVAL permit issued by DACF will hereto be referred to as a “permit” unless the context indicates otherwise.

PFAS. Per- and polyfluoroalkyl substances.

PFAS-IMPACTED HVAL. “PFAS-impacted HVAL” is land that:

Meets the definition of “high-value agricultural land” except for § 2(22)(A)(3); and

Contains the presence of per- and polyfluoroalkyl substances (PFAS) in concentrations that currently make it unsuitable for agricultural purposes as determined by DACF’s “ Policy for the Determination of PFAS Contaminated Land Pursuant to 35-A MRSA § 3210-J” and in accordance with applicable state and federal food safety standards.

POLLINATOR HABITAT. An area of land with a variety of flowering trees, shrubs, grasses, and/or wildflowers at a suitable density to provide food, water, shelter, and/or breeding habitat for native pollinators, including but not limited to butterflies, beetles, bees, moths, and flower flies. Pollinator habitat is only considered dual-use agriculture and solar production if it produces agricultural products such as bees and bees' products, flowers, ornamental plants, etc.

PRACTICABLE. Available and feasible considering cost, existing technology, and logistics based on the solar energy development’s overall purpose.

PRIME FARMLAND. Soils defined by the U.S. Department of Agriculture Natural Resources Conservation Services as “prime farmland” (7 CFR 657.5(a))^[6] and as verified by a field-based survey conducted by a licensed soil scientist. in accordance with the most recently updated version of the DACF guidance document “ Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine .” ^[7]

SOLAR ENERGY DEVELOPMENT. As defined in 38 M.R.S. § 3201, “solar energy development” means a development that:

Uses ground-mounted solar arrays and installations to convert solar energy to electrical energy;

Occupies 5 acres or more; and

Is wholly or partially located on HVAL.

START OF CONSTRUCTION. Any site modification activities such as tree or vegetation clearing, grading, excavation, or equipment installation (e.g., security fence, pile foundation, concrete foundation, etc.) constitute the start of construction. Additionally, for the purposes of this rule, “start of construction” also includes securing site control on or before September 1, 2024. For the purposes of this rule, “site control” means:

Ownership of, a leasehold interest in, or a right to develop a site or portion of a site for the purpose of constructing a solar energy development;

An option to purchase or acquire an easement, a license, or a leasehold interest in the site or a portion of the site for the purpose of constructing a solar energy development as long as any required DEP applications are filed and deemed complete for processing no later than September 1, 2026;

An exclusivity or other business relationship between the solar energy developer and the entity having the right to sell, lease, or grant the solar energy developer the right to possess or occupy a site or a portion of the site for the purpose of constructing the solar energy development; or

Filed applications for required permits to site the solar energy development on federal or state property.

Site control shall not include letters of intent or, with the exception of (D) above, other arrangements that are not binding on the entity having the right to sell, lease, or grant the solar energy developer the right to possess or occupy a site or portion of a site for the purpose of constructing the solar energy development.

SUBSTANTIAL COMPLETION. “Substantial completion” includes solar energy development projects (the project) where:

Approved construction has been completed to the point where normal functioning or use of the solar energy development can occur without concern for the general health, safety, and welfare of the general public; and

The project has completed and fulfilled compliance with all permit conditions, except those requiring ongoing compliance during the life of the project, such as dual-use activities and submittal of a management plan update.

SECTION 3. APPLICABILITY

Except as otherwise provided herein or by other applicable provisions of law, these rules are applicable to solar energy developments that meet all the following conditions:

MEETS THE DEFINITION OF “SOLAR ENERGY DEVELOPMENT” as defined in § 2(34) and 38 M.R.S. § 3201.

START OF CONSTRUCTION DATE. Per P.L. 2023, Ch. 448, a permit is required for a solar energy development whose construction begins after September 1, 2024. However, this rule does not apply to any solar energy developments whose construction began prior to the effective date of this rule.

SECTION 4. PERMIT STANDARDS

The following standards apply to all applicable solar energy development projects as described in § 3

APPROVAL IS NOT CONTINGENT UPON OTHER APPROVALS. Under this chapter, approval of an application and thus issuing a permit is not contingent upon the applicant having obtained, prior to filing, all other appropriate approvals, licenses, permits, certifications, or other such similar approvals that are required by other state agencies, federal agencies, or municipalities.

PROVISIONAL PERMIT. Notwithstanding § 4(1)(A), a permit issued under this chapter is considered provisional until the applicant:

Obtain all other appropriate approvals, licenses, permits, certifications, or other such similar approvals that are required by other state agencies, federal agencies, or municipalities prior to starting construction; and

If applicable, fulfill any compensation requirements. DEP administers compensation requirements per 38 M.R.S. § 484-C. Compensation fees must be paid, or a farmland conservation project must be fulfilled prior to starting construction.

SECTION 5. PERMIT PROCESS

PERMIT TYPES. If a developer proposes to build a solar energy development and meets the applicability requirements described in § 3, they must apply for a permit to DACF. Applicants may seek a permit by rule (PBR) if they meet the conditions described in § 5(3)(A) or seek an individual permit if they do not meet the conditions described in § 5(3)(A). PBR permittees are not subject to fulfilling compensation requirements as described in § 7, only individual permit permittees.

APPLICATION REQUIREMENTS. Regardless of whether an applicant is applying for a PBR or an individual permit, the applicant must submit the following to DACF as part of their application:

The results from a field-based survey of all land that does not meet the definition of “contaminated land” or “forestland” within the solar energy development land area.

Documentation, if applicable, to prove that any portion of the land area in question meets the definition of “contaminated land,” “PFAS-impacted HVAL,” “forestland,” or “blueberry barren.”

All applicable permit application forms that are listed on DACF's website.

Solar energy development design drawings, including the mounting system type (fixed or tracking), panel tilt, panel row spacing, and panel mounting height.

A signed agreement that the applicant plans to meet the BMPs described in the most recently updated version of the DACF guidance document titled “ Best Management Practices for Solar Energy Development on Farmland .” If any of the best management practices (BMPs) described in the guidance document do not apply to the solar energy development, then the applicant must provide a list of said BMPs and a short explanation of why they are not applicable.

If the applicant of an individual permit opts to pay a compensation fee for the entire solar energy development land area in accordance with § 7(8), then the application materials described in subsections A and B above are not required as a part of the permit application.

PERMIT BY RULE (PBR)

APPLICABILITY. An applicant may qualify for a PBR if either:

The solar energy development contains fewer than twenty (20) acres; or

The only HVAL the solar energy development land area occupies is land that meets the definition of “PFAS-impacted HVAL.”

PBR-SPECIFIC APPLICATION REQUIREMENTS. In addition to the application requirements described in § 5(2), an applicant applying for a PBR must submit the following to DACF as part of their application:

A statement describing how impacts to HVAL have been avoided or minimized to the extent practicable with the current siting and design. A statement describing how the solar energy development is proposed to be constructed on the least agriculturally productive portions of the parcel(s) to the extent practicable with the current siting and design (statements are not to exceed two (2) pages).

PROCEDURES. The applicant submits their application materials to DACF. DACF will either make a written determination approving or denying the application, will request additional information before issuing a determination, or will not respond to the permit application submittal.

APPROVED. If the application is approved, the applicant may proceed to carry out the activity once they have obtained all other appropriate approvals, licenses, permits, certifications, or other such similar approvals that are required by other state agencies, federal agencies, or municipalities.

NO RESPONSE. If DACF does not communicate with the applicant regarding the PBR application through any means, including verbal, written, or electronic communications within thirty (30) calendar days after DACF receives the PBR application, the application is automatically granted. Once the applicant has obtained all other appropriate approvals, licenses, permits, certifications, or other such similar approvals that are required by other state agencies, federal agencies, or municipalities, the applicant may proceed to carry out the activity as if the application has been approved.

REQUEST FOR INFORMATION. If DACF requests more information, DACF must act on an application within thirty (30) calendar days after receiving the requested information; otherwise, the application is automatically granted. For the purposes of this subsection, “to act on” means to approve or deny the permit application or make an additional request for information.

DENIED. If DACF denies a PBR application, the applicant may apply for an individual permit.

CONDITIONS FOR PBR APPROVAL. A PBR application will be approved if it meets all of the following conditions:

All of the required application materials are provided with the application.

If DACF requests more information that it deems necessary for it to make findings required by applicable review criteria and DACF determines that the applicant has sufficiently provided the additional information requested.

DACF determines, based on the summary described in § 5(3)(B)(1), that impacts to HVAL have been avoided or minimized to the extent practicable, and the solar energy development is proposed to be constructed on the least agriculturally productive portions of the parcel(s) to the extent practicable with the current siting and design.

CONDITIONS FOR PBR DENIAL. A PBR application will be denied if it meets any of the following conditions:

Any of the required application materials are absent from the application.

DACF requests more information that it deems necessary for it to make findings required by applicable review criteria and the applicant fails to provide the additional information requested.

DACF determines based on the summary described in § 5(3)(B)(1) that impacts to HVAL have not been avoided or minimized to the extent practicable, or the solar energy development is not proposed to be constructed on the least agriculturally productive portions of the parcel(s) to the extent practicable with the current siting and design.

INDIVIDUAL PERMIT

APPLICABILITY. An applicant who meets the criteria of applicability as described in § 3 and does not qualify for a PBR may apply for an individual permit.

INDIVIDUAL PERMIT-SPECIFIC APPLICATION REQUIREMENTS. In addition to the application requirements described in § 5(2), an applicant applying for an individual permit must submit an “alternatives analysis” as described in § 2(4) and § 5(4)(C) to DACF as part of their application. If the applicant of an individual permit opts to pay a compensation fee for the entire solar energy development land area in accordance with § 7(8), then the “alternatives analysis” is not required as a part of the permit application.

AVOIDANCE AND MINIMIZATION. Construction and operation of the solar energy development will be considered to result in a severe adverse impact if it will cause a loss in the agricultural productivity of HVAL and there is a practicable alternative that would be less damaging to HVAL. The applicant for an individual permit shall provide an “alternatives analysis” to determine if a practicable alternative exists and if, to the extent practicable, the solar energy development is located on the least agriculturally productive portions of the parcel(s).

PROCEDURES. The applicant submits their application materials to DACF. DACF will notify the applicant to confirm receipt of the application and deem it complete for processing. If the application is deemed incomplete, DACF will notify the applicant of any deficiency within a reasonable time after it becomes aware of the deficiency. DACF may request additional information before issuing a determination or may approve, approve with conditions, or deny the permit application.

APPROVED. If the application is approved, DEP will calculate the compensation fee, if applicable. Once the applicant fulfills the compensation requirements (whether a compensation fee or conservation option as described in 38 M.R.S. §484-C(4)), has obtained DACF approval, and has obtained all other appropriate approvals, licenses, permits, certifications, or other such similar approvals that are required by other state agencies, federal agencies, or municipalities, the applicant may then proceed to carry out the activity.

APPROVED WITH CONDITIONS. If the application is approved with conditions, the conditions must be met for the permit to be valid. If applicable, DEP will calculate the compensation fee. Once the applicant fulfills the compensation requirements (whether a compensation fee or conservation option as described in 38 M.R.S. §484-C(4)), has obtained DACF approval, and has obtained all other appropriate approvals, licenses, permits, certifications, or other such similar approvals that are required by other state agencies, federal agencies, or municipalities, the applicant may then proceed to carry out the activity. If DACF finds the conditions have not been met, DACF may seek revocation of the permit in accordance with the Maine Administrative Procedure Act.

DENIED. If the application is denied, DACF will promptly notify the applicant of the reasons for the rejection. The applicant may appeal the decision as described in § 12.

CONDITIONS FOR INDIVIDUAL PERMIT APPROVAL. An individual permit application will be approved if:

The applicant i) opts to pay the compensation fee for the entire solar energy development land area in accordance with § 7(8) in lieu of submitting the results of a field-based survey, an alternatives analysis, and documentation detailing that land meets the definition of “blueberry barren,” “PFAS-impacted HVAL,” “active farmland,” “contaminated land,” and/or “forestland” and ii) all of the application materials described in § 5(2)(C) through § 5(2)(E) are provided with the application; or

It meets all of the following conditions:

All of the required application materials are provided with the application as described in § 5(2) and § 5(4)(B).

If DACF requests more information that it deems necessary for it to make findings required by applicable review criteria and DACF determines that the applicant has sufficiently provided the additional information requested.

DACF determines, based on the alternatives analysis, that impacts to HVAL have been avoided or minimized to the extent practicable, and the solar energy development is proposed to be constructed on the least agriculturally productive portions of the parcel(s) to the extent practicable with the current project siting and design.

CONDITIONS FOR INDIVIDUAL PERMIT DENIAL. An individual permit application will be denied if it meets any of the following conditions:

Any of the required application materials are absent from the application.

DACF requests more information that it deems necessary for it to make findings required by applicable review criteria and the applicant fails to provide the additional information requested.

DACF determines, based on the alternatives analysis, that impacts to HVAL have not been avoided or minimized to the extent practicable or the solar energy development is not proposed to be constructed on the least agriculturally productive portions of the parcel(s) to the extent practicable with the current siting and design.

INCREASED COMPENSATION IN LIEU OF PERMIT DENIAL. In lieu of permit denial for subsection 5(4)(F)(3) above, DACF may approve the permit application and determine if an applicant should owe an increased compensation fee of up to 110% of their original calculated compensation fee for failing to avoid or minimize impacts to HVAL to the extent practicable and/or failing to propose construction of the solar energy development on the least agriculturally productive portions of the parcel(s) to the extent practicable with the current siting and design. This option provides an avenue for solar energy developments to proceed with construction at DACF's discretion despite not meeting all of the conditions for individual permit approval.

PROCESSING TIME. DACF will establish and post reasonable, estimated permit application processing times on its website. The processing time DACF estimates will be required to make a determination on an application shall not begin until DACF determines that the application is complete. If DACF requests additional information, the application will only be considered complete once DACF receives it and determines that the applicant has sufficiently provided the additional information requested.

SECTION 6. DUAL-USE AGRICULTURE AND SOLAR PRODUCTION

APPLICABILITY. Except as otherwise provided herein or by other applicable provisions of law, these rules apply to solar energy developments that plan to engage in dual-use activities. The project must meet the definitions of “solar energy development” and “dual-use agricultural and solar development.”

MANAGEMENT PLAN. Dual-use projects must be conducted according to a management plan that ensures the continued agricultural viability and productivity of the farmland in dual-use.

DRAFT MANAGEMENT PLAN. Applicants who plan to engage in dual-use activities must submit a draft management plan to DACF for review with their permit application.

The draft management plan must be agreed to by all participating parties, including the solar developer, the farmer, and the landowner (if the landowner is different from either the solar developer or the farmer).

DACF will review the plan as part of the permit application and, if applicable, provide the applicant with a summary of revisions required for the final management plan to be approved.

FINAL MANAGEMENT PLAN. If the permit application is approved, the permittee must submit a final management plan to DACF for review prior to beginning construction. The permittee must not start construction without DACF's approval of the final management plan.

The final management plan must be agreed to by all participating parties, including the solar developer, the farmer, and the landowner (if different from either the solar developer or the farmer).

DACF will review the plan and respond to the applicant with a determination of approval, approval with conditions, or denial. If the final management plan is denied, DACF will either provide the applicant with a summary of revisions required for the final management plan to be approved or will provide the applicant with an explanation of why it was denied.

If the final management plan is denied, the solar energy development may not start construction until either a revised management plan is submitted and approved, or the permit is amended to remove references to dual-use. If the permit is amended to remove references to dual-use, additional compensation may be owed

If a final management plan is approved with conditions, DACF may withdraw management plan approval if DACF finds that the conditions are not being met.

ANNUAL UPDATE REQUIREMENTS.

SUBMITTAL TIME FRAME. After the solar energy development becomes operational, the management plan must be updated and submitted to DACF annually on the anniversary of the date the solar energy development became operational. If DACF does not receive the annual management plan update by this date, it will notify the permittee that management plan approval may be withdrawn.

REQUIRED CONTENTS. The annual management plan update shall include, at a minimum, the following:

Data on, and descriptions of, the successes or shortcomings of the dual-use project.

If applicable, an explanation of decreased yields due to unforeseen circumstances, such as but not limited to weather events, pests, disease, or change in crop.

Revised methods, if needed, to improve agricultural productivity.

Volume, weight, or other standardized unit of measure of agricultural products produced, if applicable.

WITHDRAWAL OF MANAGEMENT PLAN APPROVAL. DACF may withdraw management plan approval for any of the circumstances in subsections (a) through (d) below. DACF will notify the permittee that management plan approval may be withdrawn, after which the permittee has thirty (30) calendar days to submit the annual management plan update or request an extension. If management plan approval is withdrawn, the permittee may submit a revised annual management plan update to DACF for review if they plan to continue agricultural activities. If the permittee no longer plans to pursue agricultural activities, the permit must be amended to remove references to dual-use.

DACF does not receive the annual management plan update or a request for an extension within thirty (30) calendar days after DACF notified the permittee that management plan approval may be withdrawn.

The annual management plan update does not contain all of the applicable required contents.

DACF determines that the permittee is not making a good-faith effort to incorporate the farmer on decisions that directly or indirectly affect the success of a dual-use project.

Dual-use activities are being conducted on a smaller percentage of the dual-use land area than what was proposed in the initial application without a reasonable explanation for the reduction of dual-use activities.

If the permittee submits a revised management plan update for review to DACF as a result of sub-sections (b) through (d) above, but DACF determines the plan does not adequately address the concerns DACF raised during the notification to withdraw management plan approval, then management plan approval will be withdrawn.

ADDITIONAL COMPENSATION OWED. The permittee may owe additional compensation if a change in dual-use agricultural activities results in the solar energy development being moved to a higher compensation tier. This may occur due to either of the following circumstances:

The permittee notifies DACF that they no longer plan to continue agricultural activities.

DACF withdraws management plan approval.

Additional compensation would be pro-rated based on the number of years that dual-use activities were conducted and is calculated using the following formulas:

Formula 1: Pro-rated Multiplier Formula

Formula 2: Pro-rated Additional Compensation Fee Formula

Original tier comp. fee: The original tier compensation fee is the compensation fee that was calculated to incorporate dual-use activities and paid as part of the original permit application.

Revised tier comp. fee: The revised tier compensation fee is the compensation fee that is calculated without incorporating dual-use activities.

Pro-rated additional compensation fee: The additional compensation fee that would be owed to DEP under the conditions described in this subsection.

SECTION 7. COMPENSATION REQUIREMENTS

APPLICABILITY. Except as otherwise provided herein or by other applicable provisions of law, applicants who are granted an individual permit are subject to compensation requirements, either in the form of a compensation fee, perpetual conservation easement, or fee ownership, pursuant to 38 M.R.S. § 484-C.

PURPOSE. Pursuant to P.L. 2023, Ch. 448, this section establishes:

Variable compensation tiers based on the value of the HVAL affected and the degree of adverse effect caused by the development; and

Mitigation strategies that may reduce or otherwise alter any compensation fee.

This section does not apply to application fees. Compensation in the form of perpetual conservation easements and/or fee ownership is processed by DEP.

LAND SUBJECT TO COMPENSATION. Only the acreage of HVAL within the solar energy development land area is subject to compensation unless an applicant opts to pay the compensation fee for the entire solar energy development land area in accordance with § 7(8). Compensation fees are calculated using the acreage of all new or expanded development within the land area. Existing development is not counted in the fee calculation. For the purposes of this subsection, “existing” means at the time of permit application submittal to DACF and prior to “start of construction.” For new or expanded development, only the additional acreage of new or expanded development that triggers permit review is subject to compensation fees and application fees.

STANDARD COMPENSATION TIERS

TIER 0: Land areas that meet one of the following criteria are subject to $0 of compensation:

PFAS-IMPACTED HVAL. The HVAL within the land area meets the definition of “PFAS-impacted HVAL.”

DUAL-USE. The solar energy development project engages in dual-use activities in the form of:

Only crop production on 50% or more of the dual-use land area;

A combination of crop production and livestock grazing on 60% or more of the dual-use land area in which at least 30% of the dual-use land area is utilized for crop production;

Only livestock grazing on 75% or more of the dual-use land area; or

A combination of livestock grazing and pollinator habitat on 85% or more of the dual-use land area in which either 1) at least 45% of the dual-use land area is utilized for livestock grazing or 2) both livestock grazing and pollinator habitat are co-existing on at least 85% of the dual-use land area.

CALCULATING TIERS 1 THROUGH 3: Land areas that do not meet the criteria for Tier 0 or Tier 4 fall into one of the compensation tiers from 1 to 3, which are determined by the total number of points earned from four categories divided by twenty (20): Soil Designation, Active Farming History, Dual-Use and Farm Viability (Table 1). Only one point value can be chosen from each of the four categories. Determine the number of points assigned for each category in Table 1 and divide the total number of points by twenty (20). The final score is used to determine the tier level and compensation fee below:

TIER 1: Solar energy developments with a score <0.5 will owe a compensation ratio of 0.5 to 1.0 per acre of HVAL impacted.

TIER 2: Solar energy developments with a score ≥0.5 and <1.0 will owe a compensation ratio of 1.0 to 1.0 per acre of HVAL impacted.

TIER 3: Solar energy developments with a score ≥1.0 will owe a compensation ratio of 2.0 to 1.0 per acre of HVAL impacted.

TIER 4: Land areas that meet all of the following criteria will owe a compensation ratio of 8.0 to 1.0 per acre of HVAL impacted:

The HVAL within the land area meets the definition of “prime farmland” or “farmland of statewide importance.”

The HVAL within the land area that meets the definition of “prime farmland” or “farmland of statewide importance” is located in one of the top six (6) counties facing high conversion pressure in Maine.

The HVAL within the land area that meets the definition of “prime farmland” or “farmland of statewide importance” must also meet the definition of “active farmland.”

The permittee is either:

Not engaging in any dual-use activities, or

Engaging in dual-use activities in the form of:

Crop production, livestock grazing, or a combination thereof on less than 25% of the dual-use land area; or

Only pollinator habitat on less than 75% of the dual-use land area.

The total land area occupies more than 20% of farm operation land in which the HVAL exists or does not occupy land that meets the definition of “farm operation.”

LAND AREA THAT ENCOMPASSES MULTIPLE “SUB-AREAS”. Different portions of the land area may contain HVAL “sub-areas” with substantially different characteristics (i.e., “prime farmland” vs. “farmland of statewide importance”) that would result in assigning different point values. Different portions of the land area may also fall into different compensation tiers (i.e., 10 acres of Tier 1, 5 acres of Tier 5, and 5 acres of Tier 7) in which different compensation amounts may be owed. In these situations, the compensation for each “sub-area” shall be calculated separately. The total compensation would then be the sum of the compensation due for each “sub-area.”

DUAL-USE COMPENSATION DISCOUNT.

The dual-use compensation discount applies only to the first 150 megawatts DC of solar energy development, after which DACF will decide whether to continue the dual-use compensation discount for future applicants. DACF will periodically post on their website, at a minimum annually, how many megawatts DC of solar energy development have claimed the dual-use compensation discount. For the purposes of this subsection, “dual-use compensation discount” means any of the following:

Using point subtractors under Category 3 of Table 1.

Using point adders under Category 1 of Table 2.

Claiming Tier 0 per § 7(4)(A)(2).

Avoiding Tier 4 per § 7(4)(C)(4)(b) or § 7(8)(C)(2)(b).

To be considered dual-use, agricultural activities must i) meet the definition of “dual-use agricultural and solar production” and ii) adhere to the requirements described in § 6.

FARM VIABILITY COMPENSATION DISCOUNT. Applicants who seek the farm viability compensation discount must submit a summary to DACF, no less than one (1) page in length, of how the solar energy development is helping the farm stay viable. DACF will review the summary as a part of the application and will notify DEP if the applicant will or will not receive the farm viability discount. For the purposes of this subsection, “farm viability compensation discount” means either of the following:

Using point subtractors under Category 4 of Table 1.

Using point adders under Category 2 of Table 2.

Table 1: Categories and Points for Calculating Compensation Tiers 1 through 10

Choose One Line Per Category

Points

Category 1:

Soil Designation

HVAL that meets the definition of “prime farmland”

20

HVAL that meets the definition of “farmland of statewide importance”

18

HVAL that meets the definition of “blueberry barren”

16

Category 2:

Active Farming History

HVAL that meets the definition of “active farmland”

20

HVAL that does not meet the definition of “active farmland”

0

Category 3:

Dual-Use

Little-to-no dual-use (0% to 24.9% of dual-use land area).

0

Dual-use crop production on 25% to 49.9% of dual-use land area.

-8

Dual-use crop production on 50% or more of dual-use land area.

Tier 0*

Dual-use livestock grazing on 25% to 74.9% of dual-use land area.

-4

Dual-use livestock grazing on 75% or more of dual-use land area.

Tier 0*

Dual-use pollinator habitat on 25% to 74.9% of dual-use land area.

-1

Dual-use pollinator habitat on 75% or more of dual-use land area.

-3

Category 4:

Farm Viability

Solar energy development land area occupies 20% or less of the farm operation land in which the HVAL exists.

-7

Solar energy development land area occupies more than 20% of farm operation land in which the HVAL exists or does not occupy land that meets the definition of “farm operation.”

0

*Solar energy developments that engage in dual-use livestock grazing on 75% or more of the dual-use land area or crop production on 50% or more of the dual-use land area are eligible to meet Tier 0. See § 7(4)(A) for a full description of Tier 0.

**Only one point deduction can be chosen from Category 3. If more than one type of dual-use activity is occurring, choose the subtractor associated with whichever dual-use activity the applicant is conducting that provides the largest point deduction.

HIGHER COMPENSATION FEE PAYMENT IN LIEU OF FIELD-BASED SURVEY AND OTHER DOCUMENTATION. An applicant is exempt from submitting i) the results of a field-based survey, ii) an alternatives analysis, and iii) documentation detailing that land meets the definition of “blueberry barren,” “PFAS-impacted HVAL,” “active farmland,” “contaminated land,” and/or “forestland” as part of their application if they opt to pay the compensation fee for the entire solar energy development land area. Subsections (4) and (5), as well as Table 1 above, do not apply to this subsection.

APPLICABILITY. This option is not available to applicants seeking zero compensation through Tier 0. The solar energy development is only eligible to meet one tier level that applies to the entire land area. This option is only for applicants seeking to pay their compensation via compensation fees and is not eligible for the conservation option described in 38 M.R.S.A. §484-C(4).

CALCULATING TIERS 1 THROUGH 3: Solar energy developments that do not meet the criteria for Tier 4 fall into one of the compensation tiers from 1 to 3, which are determined by the total number of points earned from two categories divided by 20: Dual-Use and Farm Viability (Table 2). Only one point value can be chosen from each of the two categories. Dual-use values are calculated consistent with the definition of “dual-use agricultural and solar production.” Determine the number of points assigned for the two categories in Table 2 and divide the total number of points by 20. The final score is used to determine the Tier level and compensation fee below:

TIER 1: Solar energy developments with a score ≥0.7 will owe a compensation ratio of 0.5 to 1.0 per acre of land area impacted.

TIER 2: Solar energy developments with a score ≥0.3 and <0.7 will owe a compensation ratio of 1.0 to 1.0 per acre of land area impacted.

TIER 3: Solar energy developments with a score <0.3 will owe a compensation ratio of 2.0 to 1.0 per acre of land area impacted.

TIER 4: Solar energy developments that meet all of the following criteria will owe a compensation ratio of 8.0 to 1.0 per acre of land area impacted.

The total solar energy development land is located in one of the top six (6) counties facing high conversion pressure in Maine.

The permittee is either:

Not engaging in any dual-use activities, or

Engaging in dual-use activities in the form of:

Crop production, livestock grazing, or a combination thereof on less than 25% of the dual-use land area; or

Only pollinator habitat on less than 75% of the dual-use land area.

The total solar energy development land area occupies more than 20% of farm operation land in which the HVAL exists or does not occupy land that meets the definition of “farm operation.”

Table 2: Categories and points for calculating compensation Tiers 1 through 3 for applicants seeking a higher compensation fee payment in lieu of field-based survey and/or other documentation.

Choose One Line Per Category

Points

Category 1:

Dual-Use**

Little-to-no dual-use (0% to 24.9% of dual-use land area).

0

Dual-use crop production on 25% to 49.9% of dual-use land area.

8

Dual-use crop production on 50% or more of dual-use land area.

10

Dual-use livestock grazing on 25% to 74.9% of dual-use land area.

4

Dual-use livestock grazing on 75% or more of dual-use land area.

6

Dual-use pollinator habitat on 25% to 74.9% of dual-use land area.

2

Dual-use pollinator habitat on 75% or more of dual-use land area.

4

Category 2:

Farm Viability

Solar energy development land area occupies 20% or less of the farm operation land in which the HVAL exists.

10

Solar energy development land area occupies more than 20% of farm operation land in which the HVAL exists or does not occupy land that meets the definition of “farm operation.”

0

**Only one point value can be chosen from Category 1. If more than one type of dual-use activity is occurring, choose the point value associated with whichever dual-use activity the applicant is conducting that has the highest point value.

SECTION 8. PRE-APPLICATION AND PRE-SUBMISSION MEETINGS

PRE-APPLICATION MEETINGS. Pre-application meetings between the prospective applicant and DACF staff are an early opportunity to discuss a proposed project or activity. These meetings aim to identify the statutory and regulatory requirements, expected processing times, applicable fees, potential concerns, and the type of information and documentation necessary for DACF to assess the project properly. DACF staff will determine what information the applicant must provide before or during a pre-application meeting.

PRE-SUBMISSION MEETINGS. A pre-submission meeting between the prospective applicant and DACF staff occurs after the prospective applicant has finished preparing an application for submission but before formally filing the application. The meeting is an opportunity to review the assembled application at a high level to ensure that key information has been included prior to filing the application with DACF.

SCHEDULING AND ATTENDANCE. Prospective applicants or DACF staff may request a pre-application or pre-submission meeting. In either case, DACF staff will make a date available for the meeting in a timely manner. The prospective applicant or an authorized agent must attend the pre-application and pre-submission meetings. The prospective applicant may choose to have consultants and/or contractors also attend. Pre-application and pre-submission meetings are held for the prospective applicant's benefit and are, therefore, optional for applicants to schedule.

Pre-application and pre-submission meetings do not bind staff or DACF to matters discussed therein nor limit the ability of staff or DACF to raise further issues during the application review process.

SECTION 9. ADMINISTRATIVE PROVISIONS

COMPUTATION OF TIME. In computing any period of time prescribed by statute or regulations of DACF, the day of the act or event, after which the designated period of time begins to run, is not to be included.

BURDEN OF PROOF. Unless otherwise provided herein or by other applicable provisions of law, the burden of proof is upon the applicant. An applicant must demonstrate by substantial evidence that the criteria of all applicable rules, statutes, and regulations have been met.

APPLICATIONS FOR PERMIT, PERMIT RENEWAL, AND TRANSFER REQUESTS

DEPARTMENT FORMS. Applications must be submitted using DACF’s forms, which may be changed from time to time by DACF. DACF’s application forms will require information deemed necessary or desirable by DACF to evaluate the application. A person requesting DACF approval must use the appropriate form but need not complete any portions of a form determined by DACF to be unnecessary for a specific application.

WHO MAY APPLY. An applicant may designate an agent to complete the application and represent the applicant’s interests before DACF.

SIGNATURES.

Applications for a PBR, individual permit, or transfer request submitted to DACF must include the signature of the applicant or the duly authorized officer or agent. If a form is signed by an agent, it must include evidence of the agency signed by the applicant.

DACF will accept, may require, and may utilize digital signatures regarding digital submissions and other official matters. However, at its discretion, DACF may require that a digital signature be supplemented shortly thereafter by a manual signature.

WITHDRAWAL OF APPLICATIONS. Unless otherwise provided herein or by other applicable provisions of law, applicants may withdraw their applications at any time prior to a staff-issued decision. If the applicant chooses to withdraw their application, the application fee will be handled in accordance with § 10(2)(B).

ACCEPTANCE OF APPLICATIONS.

COMPLETE FOR PROCESSING. Upon receipt of an application, DACF must determine whether to accept the application as complete for processing based on whether it:

Is properly signed;

Is accompanied by the proper fee; and

Answers all applicable questions in the application, contains all applicable exhibits, and sufficient information for DACF to begin its review.

INCOMPLETE APPLICATION. DACF will notify the applicant of any deficiency in the application within a reasonable time after it becomes aware of the deficiency.

ADDITIONAL INFORMATION MAY BE REQUIRED. In addition to the threshold information required by § 9(3)(E)(1) above, DACF may request additional information that it deems necessary to evaluate applicable review criteria. Even if an application is accepted as complete for processing, DACF may deny the application if the applicant fails to provide additional information that DACF deems necessary for it to make findings required by applicable review criteria.

MODIFICATION OF APPLICATION. If DACF determines in its sole discretion that an applicant (i) materially modifies their application such that the modified application requires new or supplemental review by DACF or (ii) submits additional information necessary to enable DACF to make findings under applicable review criteria and the additional information requires new or supplemental review by DACF, then DACF may, with the agreement of the applicant, accept the additional information as a modified application. In this case, the time limits for PBR (as described in § 5(3)(C)) or estimated processing times for individual permits (as described in § 5(4)(H)) restart on the date that DACF determines there is sufficient new information for DACF to begin its review of the modified application.

SITE VISITS AND EVALUATION.

The filing of (i) a permit application for the construction of a solar energy development on HVAL or (ii) a management plan for dual-use activities at a solar energy development on HVAL constitutes the granting of permission by the applicant to allow authorized DACF application reviewers access to the site of the proposed development for a site evaluation to verify the information presented to it. DACF may conduct site visits for informational purposes, (i) as part of, or in preparation for, its review of an application, or (ii) as ongoing compliance monitoring.

As applicable and appropriate, DACF will make reasonable efforts to contact applicants or property owners before conducting a site evaluation, including access to any lands and structures subject to DACF’s statutes and rules. The lack of a site evaluation may result in the denial of a permit application.

Withdrawal of a permit application by the applicant rescinds DACF’s right to access the site of the proposed development for a site evaluation.

NOTICES. DACF will periodically generate a list of all applications received, including but not limited to the following information: the applicant's name, the location, and the nature of the proposed activity. This list will be made available to the public on the Department’s website or upon request.

NOTICE OF APPEAL RIGHTS. Each permit denial must be accompanied by a plain statement of the appropriate rights of administrative and judicial review and the time within which those rights must be exercised.

SECTION 10. APPLICATION FEE SCHEDULE

PURPOSE. This section establishes a fee schedule for applications processed by DACF and prescribes fees for general administrative services, including the reproduction of documents. This section does not apply to compensation fees.

GENERAL PROVISIONS.

The application must be accompanied by the proper fee(s). Except as otherwise provided by law, all required application fees must be paid at the time of filing the application. Failure to pay all required application fees will result in the application not being accepted as complete for processing.

If the applicant chooses to withdraw their application, the application fee will not be refunded. However, the application fee may be applied to a future application, at DACF’s discretion, if the applicant chooses to reapply in the next two years after withdrawal of the application. If the applicant does not reapply within two years of the withdrawal date, the application fee is considered forfeited to DACF.

FEE SCHEDULE. The following fees are required from the applicant for DACF to process applications. Unless otherwise indicated, the fees listed below will be assessed only for solar energy developments that require approval from DACF.

BASE FEES.

(1) Application fee for PBR $200

Application fee for Individual Permit $300

Application fee for Permit Transfer $100

AFTER-THE-FACT FEES. Notwithstanding other provisions of this chapter, base fees are two times the otherwise applicable fee as established by this section for developments that require a permit under this chapter and have already started construction before receiving permit approval.

SPECIAL SERVICE FEES. Fees will not be assessed to view or download materials available on DACF’s website or other web-based transfers. The following fees will be assessed to recover expenses incurred by DACF in providing the services listed:

FOR REPRODUCTION OF DOCUMENTS, TRANSCRIPTS, OR OTHER RECORDS: $1.00 for the first page and $0.25 per page thereafter, except as provided below.

FOR PUBLICATIONS OR RULES: No fee will be assessed for the first copy of any publication or rule. Charges will be made for additional copies as follows:

Rules and standards $5.00 or actual costs, whichever are greater;

All other publications $3.00 or actual costs, whichever are greater.

FOR PHOTOGRAPHS, OVERSIZED DOCUMENTS, OR OTHER ITEMS REQUIRING SPECIAL HANDLING: Actual cost of reproduction, handling, and applicable postage.

If DACF records documents at a county registry of deeds on behalf of the permittee or owner, DACF may assess only the actual cost charged by the applicable county registry of deeds for recording and for any applicable copy required for DACF’s records.

EXCEPTIONS.

No fee is assessed for:

Minor changes; and/or

Notifications that may be required by law or DACF’s rules.

The Commissioner, at the Commissioner’s discretion, may reduce or waive fees when the applicant is a governmental agency.

SECTION 11. FINAL ACTION

STAFF DECISIONS. Unless otherwise indicated as a condition of the permit or certification, a final action issued by DACF staff is effective on the date the signed decision document is provided to the applicant.

CORRECTIONS

Within thirty (30) calendar days following the effective date of a permit, any person aggrieved by the decision of DACF may petition to seek the correction of any misstatement of fact or clerical error contained in the final decision or to challenge any material fact of which DACF took official notice. DACF will determine whether to dismiss the petition as without merit, to correct the error, or to take such other steps as it deems appropriate. Failure to invoke the provisions of this section will not affect an aggrieved party's right of appeal to a court of law.

DACF will review requests for correction within sixty (60) calendar days of receipt of such request.

At any time, DACF may issue a corrected permit in accordance with this section.

The filing of a request for, or the issuance of, a correction under this section does not serve to stay the deadlines for any appeal of a DACF decision, and the effective date of any corrected decision must be the same as the original decision.

AMENDMENTS. An application for amendment or request for minor change must be submitted to DACF before undertaking any modification not exempted from permitting requirements by statute or rule to solar energy development that is the subject of DACF authorization. Written approval for the modification must be received before the modification is undertaken.

EXPIRATION. Except as provided in § 11(6) or as otherwise authorized by DACF in the permit conditions of approval, the permittee must start construction within two (2) years of the effective date of the permit and be substantially completed within five (5) years of the effective date of the permit or the permit will expire.

MULTI-PHASED PROJECTS. For multi-phased projects or project expansions that are permitted separately, final DACF approval of each phase or expansion will be treated as a separate permit for the purposes of determining “start of construction” and “substantial completion” for each phase or expansion.

RENEWALS. An application to renew a permit must be submitted prior to the expiration of the permit.

1. If the renewal application is not timely submitted prior to the expiration of the permit or is timely submitted but not accepted as complete for processing in accordance with § 9(3)(E)(1), the permit lapses.
2. If the renewal application is submitted in a timely manner prior to the expiration of the permit and accepted as complete for processing, the terms and conditions of the existing permit remain in effect until the final DACF decision on the renewal application.
3. DACF may renew a permit and extend it by up to two (2) years for either or both of the deadlines for the “start of construction” and/or “substantial completion.”
4. Renewal applications to extend the expiration date for solar energy developments that have not started construction are subject to the procedural and substantive requirements in effect at the time the renewal application is accepted.
5. DACF may, at DACF’s discretion, accept renewal applications if they are submitted no more than thirty (30) calendar days after the expiration date of the permit. The terms and conditions of the existing permit should be considered expired until the final DACF decision on the renewal application.

TRANSFER. The transfer of DACF permits is required for all solar energy developments where, at the time of the change in ownership, the solar energy development has not yet initiated decommissioning activities, and the permit has not yet expired. A transfer application must be submitted to DACF no later than thirty (30) calendar days prior to the transfer of ownership of a solar energy development subject to certain DACF permits Except as may be required by the Constitution of Maine or statute, all other permits are carried forward with the land and, therefore, any change in ownership thereof.

If the transfer application is not timely submitted at least thirty (30) calendar days prior to the transfer of ownership of a solar energy development subject to DACF permits or is timely submitted but not accepted as complete for processing in accordance with § 9(3)(E)(1), the permit lapses on the date of the transfer of ownership.

If the transfer application is timely submitted and accepted as complete for processing, pending determination on the transfer application, the transferee must abide by all of the terms and conditions of the permit and is jointly or severally liable with the original permittee for any violation of the terms and conditions thereof. The terms and conditions of the existing permit remain in effect until the final DACF decision on the transfer application.

In the transfer application, the transferee must demonstrate to DACF's satisfaction sufficient technical ability, sufficient financial capacity, and the intent and ability to:

Comply with all terms and conditions of the applicable permits; and

Satisfy all applicable statutory and regulatory criteria.

SUSPENSION. Any permittee may propose to suspend activities for a period specified as part of a permit transfer, permit application, or other appropriate situations. The proposal must be made in writing and contain sufficient detail for DACF to understand the purpose and effect of the suspension. If a proposed suspension is approved, then:

DACF must confirm such suspension, and any subsequent release from suspension, in writing; and

The suspension does not pause, extend, or otherwise affect requirements regarding the start of construction or substantial completion.

SURRENDER. Any permittee may request to surrender their permit if the permittee demonstrates to DACF’s satisfaction that they have never used the permit for its intended purpose nor begun any of the activities approved under the permit and does not intend to do so in the future. The request must also provide that the permittee waives notice and opportunity for hearing.

DACF may require written and photographic documentation or certified statements, in addition to any other relevant information, to demonstrate that the activities described in the permit have not been undertaken. For any approved permit recorded in a registry of deeds that is later surrendered, DACF will require that evidence of the surrender be filed by the permittee or DACF at the permittee’s expense with the same registry of deeds.

When DACF approves the surrender, the permit is deemed null and void as of the date the surrender is approved.

SECTION 12. APPEALS

APPEAL REQUEST

An aggrieved person (hereinafter the “petitioner”) may request an appeal hearing of any of DACF’s actions detailed below in (1) through (5) by submitting a request for appeal to the Commissioner, in writing, no later than (30) calendar days from the date of DACF’s action. The written request for appeal must describe the specific nature of the grievance, including the Appeal Criteria as defined in § 12(2)(A).

Denial of a permit application, PBR request, suspension request, transfer request, draft management plan, or final management plan;

Conditional approval of a permit, draft management plan, or final management plan if the applicant finds the conditions unduly burdensome;

Withdrawal of management plan approval;

Compensation tier calculation; or

Any other circumstance where DACF’s action or inaction operates prejudicially and directly upon the person’s property, pecuniary or personal rights, and is distinct from any injury experienced by the public at large.

The Commissioner shall grant an appeal hearing unless it is determined that:

The petitioner is not an aggrieved person; or

The written request for appeal was submitted more than thirty (30) calendar days after the date of DACF’s action or more than thirty (30) days from the expiration of the time within which the action should reasonably have occurred for alleged inaction for which the aggrieved person is appealing.

APPEAL HEARINGS.

APPEAL CRITERIA. The burden of proof within the hearing of appeal lies with the petitioner. The evidence presented must specifically address one or more of the following:

Error of law;

Irregularities creating fundamental unfairness; or

Arbitrary or capricious action by DACF.

Evidence of any type that cannot be related to these criteria may be ruled inadmissible by the Hearing Officer.

HEARING OFFICER. The Hearing Officer shall preside over the hearing and control all aspects of the hearing, rule on points of order, rule on all objections, and may question witnesses.

COMBINED APPEAL. In the event multiple appeal hearing requests are granted on a single departmental action, the Commissioner may assign the Hearing Officer to hear all petitioners within the same hearing as a combined appeal. Notwithstanding a combined appeal process, the Hearing Officer may still decide appeals on an individual basis.

NOTIFICATION. Notice of the appeal hearing shall follow the requirements of 5 M.R.S § 9051-A(2) and may be provided to those entities as determined applicable by the Commissioner. The notification must include the date, time, and location of the hearing and the name of the Hearing Officer.

APPEAL HEARING FORMAT. Appeal proceedings may be held in person, virtually, or in a hybrid format at the discretion of the Hearing Officer.

REQUIREMENT TO APPEAR. Failure of the petitioner(s) or their representative to appear for a scheduled hearing may be grounds for default.

PARTICIPANTS. The petitioner may participate alone or be represented by an attorney. DACF may be represented by staff and/or its attorney. Other parties of interest may petition to intervene. Such petition shall be presented in writing to the Hearing Officer, who shall determine and allow or disallow participation in writing within seven (7) calendar days of receipt of the request to intervene. Copies of this notification shall be sent to the petitioner and DACF.

RECORD. A recording of the hearing shall be made by audio tape or other media. All evidence received or considered shall be part of the record. Evidence shall be admitted if it is the kind of evidence upon which reasonable persons are accustomed to rely in the conduct of serious affairs. The Hearing Officer may exclude irrelevant or unduly repetitious evidence. No sworn written evidence shall be admitted unless the author is available for cross-examination or subject to subpoena, except for good cause shown.

PRESENTATION OF EVIDENCE. The petitioner must present evidence to substantiate the specific grievances stated in the appeal. The evidence shall be confined to the record upon which DACF’s decision was based. The burden is on the petitioner to prove one or more of the appeal criteria under § 12(2)(A) by clear and convincing evidence. Brief opening statements may be made by the petitioner, DACF, and any intervenors in that order. All testimony shall be under oath.

The petitioner shall present evidence first, using exhibits and witnesses who may be cross-examined by DACF and the intervenors. Re-direct questioning related to issues raised during cross-examination may only be done by the petitioner, followed by re-cross-examination by DACF and intervenors.

Witnesses may be called who can present factual information related directly to the appeal. All witnesses shall be sworn. The testimony of any witness[es] may be pre-filed in written form. If used, pre-filed testimony must be made available to DACF, the Hearing Officer, and all intervenors a minimum of two (2) business days prior to the hearing. Every such witness must be present at the hearing and shall be subject to cross-examination.

EXHIBITS. Exhibits relating to any issue of fact in the proceeding may be presented. Documentary evidence may be incorporated into the record by reference when the materials so incorporated are made available for examination by the parties before being received in evidence.

COPIES. A petitioner must furnish copies of all documentary evidence to the Hearing Officer, DACF, and all intervenors, in all cases, no less than two (2) business days prior to the hearing. Any costs associated with this subparagraph are the petitioner's responsibility and shall not be recovered by any judgment of the Commissioner.

DEPARTMENT/INTERVENOR EVIDENCE. DACF and all intervenors shall have the opportunity to submit evidence relevant to the hearing through witnesses and exhibits. The procedures for presenting this evidence are the same as those for the petitioner.

The order of examination and cross-examination when DACF presents evidence is as follows: DACF, all intervenors, and the petitioner.

The order of the examination and cross-examination when an intervenor presents evidence shall be as follows: remaining intervenors (if any), DACF, and the petitioner.

APPEAL DECISION. The Hearing Officer shall make the final decision after consideration of the evidence in the record. The Hearing Officer shall seek clear and convincing evidence that one or more of the standards set forth in § 12(2)(A) has been proven by the petitioner.

NOTIFICATION OF FINAL AGENCY ACTION. The Hearing Officer must issue a timely written decision and the reasons that support the decision. Such notification shall include the decision, an explanation of the reasons for the decision, and an explanation of the petitioner’s right to judicial review of final agency action. This notification is considered final agency action.

SECTION 13. VIOLATIONS AND ENFORCEMENT

INITIATE ENFORCEMENT ACTION. Whenever it appears to the Commissioner, after investigation, that there is or has been a violation of this chapter or the terms or conditions of a permit issued by DACF, the Commissioner may initiate an enforcement action by taking one or more of the following steps:

REVOCATION. The Commissioner may seek revocation of permits granted by DACF in accordance with applicable provisions of the Maine Administrative Procedure Act if the Commissioner finds that:

The permittee has violated any condition of the permit;

The permittee has obtained a permit by misrepresenting or failing to disclose fully all relevant facts;

The permit fails to include any standard or limitation legally required on the date of issuance;

There has been a change in any condition or circumstance that requires a corrective action or revocation of a permit;

There has been a change in any condition or circumstance that requires a temporary or permanent modification of the terms of the permit; or

The permittee has violated any law administered by DACF.

NOTICE OF VIOLATION. Before initiating an enforcement action under this section, the Commissioner shall issue a notice of violation to the person or persons the Commissioner considers likely to be responsible for the alleged violation(s). The notice of violation must:

Describe the alleged violation(s), to the extent then known by the Commissioner;

Cite the applicable law, rule, and term or condition of the permit alleged to have been violated; and

Provide time periods for the alleged violator to take necessary corrective action and respond to the notice.

For violations the Commissioner finds to be minor, the notice may state that further enforcement action will not be pursued if compliance is achieved within the time period specified in the notice or under other appropriate circumstances.

STARTING CONSTRUCTION WITHOUT A PERMIT. Any person who begins construction of a solar energy development after the adoption of this rule chapter without obtaining a permit from DACF is in violation of 38 M.R.S. § 3202 and this rule chapter. Any violation of these rules is subject to the enforcement authority located in Title 38.

SECTION 14. DELEGATION OF AUTHORITY

PURPOSE. Pursuant to 38 M.R.S. § 3202, this section establishes the standards and conditions for the delegation of authority to a municipality or the Maine Land Use Planning Commission to issue permits for solar energy development.

DELEGATION OF PERMIT-GRANTING AUTHORITY TO MAINE LAND USE PLANNING COMMISSION. The Maine Land Use Planning Commission (LUPC) may apply to DACF for authority to issue permits, process permit exemptions, or process permit transfer applications under this chapter involving activities within LUPC’s jurisdiction. DACF shall grant such authority if it finds that LUPC has:

Made provision by ordinance or rule for:

Prompt notice to DACF of all applications received;

Prompt notice to the public upon issuance of a permit;

Written notification to the applicant and DACF of the issuance or denial of a permit stating the reasons for issuance or denial; and

Adopting an application form and rules that are substantially the same as those provided by DACF.

If permitting authority is delegated to LUPC, then the applicable application base fees would be paid to LUPC. However, compensation fees, if owed, would still be calculated by and paid to DEP.

DELEGATION OF PERMIT-GRANTING AUTHORITY TO MUNICIPALITIES. A municipality may apply to DACF for authority to issue permits, process permit exemptions, or process permit transfer applications under this chapter involving activities within the municipality’s jurisdiction. DACF shall grant such authority if it finds that the municipality has:

Established a planning board and a board of appeals;

The financial, technical, and legal resources to adequately review and analyze permit applications and oversee and enforce permit requirements;

Made provision by ordinance or rule for:

Prompt notice to DACF of all applications received;

Prompt notice to the public upon issuance of a permit; and

Written notification to the applicant and DACF of the issuance or denial of a permit stating the reasons for issuance or denial.

Adopted an application form and rules that are substantially the same as those provided by DACF; and

Appointed a code enforcement officer, certified pursuant to 30-A M.R.S. § 4451.

If permitting authority is delegated to the municipality, then the applicable application base fees would be paid to the municipality. However, compensation fees, if owed, would still be calculated by and paid to DEP.

DEFERRAL OF PERMITTING AUTHORITY TO DACF. Municipalities and LUPC may also choose to defer permitting authority to DACF regarding any solar energy developments proposed to be constructed on HVAL.

History

• STATUTORY AUTHORITY: P.L. 2023, Ch. 448
• EFFECTIVE DATE (NEW): April 20, 2025 – filing 2025-088
• NONSUBSTANTIVE CORRECTION: April 29, 2025 (to deactivate some hyperlinks embedded in the rule that were not functioning correctly)
• ACCESSIBILITY CHECK: July 11, 2025
• ACCESSIBILITY CHECK: The Maine Governor’s Energy Office defines solar energy development project sizes based on kilowatt (kW) AC capacity: less than 25 kW produced = residential-scale, 25 to 499 kW produced = commercial-scale, 500 to 4,999 kW produced = community-scale, and greater than 4,999 kW = utility-scale. ↑ See Code of Federal Regulations Title 7 (Agriculture), Part 657 (Prime and Unique Farmlands), Subpart A (Important Farmlands Inventory), § 657.5 (Identification of important farmlands). 7 CFR Ch. VI (1–1–24 Edition). 43 FR 4031, Jan. 31, 1978, as amended at 65 FR 57538, Sept. 25, 2000. Available at https://www.govinfo.gov/content/pkg/CFR-2024-title7-vol6/pdf/CFR-2024-title7-vol6-part657.pdf ↑ The DACF guidance document titled “Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine” may be periodically updated by the State Soil Scientist and DACF Environmental Licensing Supervisor in accordance with the Maine Association of Professional Soil Scientists guidelines. ↑ The DACF guidance documents titled “Identifying High-Value Agricultural Land” and “Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine” may be periodically updated by the State Soil Scientist and DACF Environmental Licensing Supervisor in accordance with the Maine Association of Professional Soil Scientists guidelines. ↑ The DACF guidance document titled “Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine” may be periodically updated by the State Soil Scientist and DACF Environmental Licensing Supervisor in accordance with the Maine Association of Professional Soil Scientists guidelines. ↑ See Code of Federal Regulations Title 7 (Agriculture), Part 657 (Prime and Unique Farmlands), Subpart A (Important Farmlands Inventory), § 657.5 (Identification of important farmlands). 7 CFR Ch. VI (1–1–24 Edition). 43 FR 4031, Jan. 31, 1978, as amended at 65 FR 57538, Sept. 25, 2000. Available at https://www.govinfo.gov/content/pkg/CFR-2024-title7-vol6/pdf/CFR-2024-title7-vol6-part657.pdf ↑ The DACF guidance document titled “Determining Prime Farmland Soils and Soils of Statewide Importance for Siting Solar Projects in Maine” may be periodically updated by the State Soil Scientist and DACF Environmental Licensing Supervisor in accordance with the Maine Association of Professional Soil Scientists guidelines. ↑

Chapter 600 Rules Regarding the Disposal of Cull Potatoes

Code Me. R. 01-001 Ch. 600 Rules Regarding Disposal of Cull Potato Piles {#sec-01-001-ch.-600 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 600}

1. Cull Potato Piles Prohibited - Cull potato piles are not allowed between the dates of June 10 and October 1 of any year.

2. Disposal Methods - Cull potatoes must be disposed of prior to June 10 of each year using one of the Best Management Practices (BMP's) in the document, "Cull Potato Disposal Best Management Practices" which is attached and incorporated herein. Between the dates of June 10 and October 1, cull potatoes being removed from storage shall be disposed of immediately using one of the approved Best Management Practices with the exception of the Winter Spreading BMP.

3. Department Action - The Commissioner or his/her designee may enter private property to effectuate the disposal of cull potatoes and to inspect disposal methods to determine if proper disposal has taken place.

If cull potatoes are found which have not been properly disposed of, the Commissioner may dispose of them at the owners expense, to prevent the spread of disease.

4. Penalty - A person who fails to properly dispose of cull potatoes as required by this rule commits a civil violation for which a forfeiture not to exceed $1000.00 may be assessed for each violation. In addition, a forfeiture not to exceed $200.00 may be assessed for each succeeding day that a violation continues.

History

• STATUTORY AUTHORITY: 7 MRSA §1007-A
• EFFECTIVE DATE: June 7, 1997 (EMERGENCY - expires September 5, 1997)
• EFFECTIVE DATE: April 7, 1998
• NON-SUBSTANTIVE CORRECTIONS: May 1, 1998 - minor spelling and punctuation
• NON-SUBSTANTIVE CORRECTIONS: May 19, 2008 – bolding
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: CULL POTATO DISPOSAL BEST MANAGEMENT PRACTICES
• CORRECTIONS: Developed By The Cull Potato Disposal BMP Committee
• CORRECTIONS: May 22, 1997
• CORRECTIONS: These Best Management Practices (BMP's) were developed in response to L.D. 1540, "An Act Concerning Potato Blight Eradication and the Disposal of Cull Potatoes" which prohibits uncontrolled cull potato piles between June 10 and October 1 of any year. These BMP's are designed to provide guidance for acceptable cull potato disposal methods which address both pathogen and water quality concerns.
• CORRECTIONS: 1. CULL POTATO WINTER SPREADING BMP: This BMP provides acceptable procedures for disposal of cull potatoes by spreading them in fields when temperatures will be low enough to freeze the potatoes and effectively kill pathogens. In addition, frozen potatoes should desiccate so that nutrient-laden runoff from fields where cull potatoes are spread is minimized.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Criteria (prior to being spread): Any temporary storage of cull potatoes between the dates of October 1 and the following March 1, must be in accordance with the Cold Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Criteria (prior to being spread): Any temporary storage of cull potatoes, between the dates of March 1 and October 1 of the same year, must be in accordance with the Warm Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Field Spreading Rate For Cull Potatoes:
• CORRECTIONS: Soil CriteriaSpreading RateWell drained and deep to bedrock (> 40" to seasonal high water table and bedrock)Up to 400 Barrels/ AcreModerately well drained (16" to 40" to Seasonal high Water Table) and moderately deep (20 to 40" to bedrock) or somewhat excessively drainedUp to 300 Barrels/ AcreVery poorly drained, poorly drained, somewhat poorly drained, excessively drained or very shallow to bedrock.Not allowed.
• CORRECTIONS: Appropriate Dates for Field Spreading Cull Potatoes:
• CORRECTIONS: South of the Southerly Boundary of the Southern Aroostook SWCDNorth of the Southerly Boundary of the Southern Aroostook SWCDOctober 1 to March 15October 1 to March 30
• CORRECTIONS: Setbacks for Field Spreading of Cull Potatoes: Field spread cull potatoes shall be set back a minimum of 100 feet from wells, springs, ponds, streams, and lakes. No spreading shall occur in depressions and swales.
• CORRECTIONS: Slopes for Field Spreading Cull Potatoes: Cull potatoes shall not be field spread on sustained slopes of greater than 15 percent.
• CORRECTIONS: 2. CULL POTATO BURIAL BMP: Cull Potatoes may be disposed of by burial only if the criteria for the site, setbacks, slope, cover, stabilization, inspection and maintenance as set forth in the Maine Department of Environmental Protection Permit-By-Rule for Cull Potato Disposal by Burial are followed.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Criteria (prior to being buried): Any temporary storage of cull potatoes, between the dates of October 1 and the following March 1, must be in accordance with the Cold Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Criteria (prior to being buried): Any temporary storage of cull potatoes, between the dates of March 1 and October 1 of the same year, must be in accordance with the Warm Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: 3. COLD WEATHER TEMPORARY CULL POTATO STORAGE BMP: This BMP provides acceptable procedures for temporary storage of cull potatoes between the dates of October 1 and the following March 1, when tuber breakdown and leachate generation will not occur due to cold temperatures. Cull potatoes placed in Cold Weather Temporary Cull Potato Storages must be removed by March 1 and either utilized (such as a feed source), disposed of in accordance with another Cull Potato Disposal BMP, or placed in a Warm Weather Temporary Cull Potato Storage.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Site Criteria: Cold Weather Temporary Cull Potato storages cannot be located on wetlands or within the 100 year floodplain.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Cover Criteria: No cover material is required for Cold Weather Temporary Cull Potato Storages as there is no threat of disease transfer to a growing potato crop.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Site Setback Criteria: Cold Weather Temporary Cull Potato Storages must be setback a minimum of 50 feet from wells, springs, ponds, streams and lakes and they must not be placed within drainage swales or depressions. It is also recommended for public relation and perception purposes, that Cold Weather Temporary Cull Potato Storages be located some distance from neighboring dwellings.
• CORRECTIONS: 4. WARM WEATHER TEMPORARY CULL POTATO STORAGE BMP: This BMP provides acceptable procedures for the storage of cull potatoes between the dates of March 1 and October 1 of the same year, when tuber breakdown will or is likely to occur. Cull potatoes placed in Warm Weather Temporary Cull Potato Storages should be disposed of each fall, in accordance with another cull potato disposal BMP (such as field spreading). Warm Weather Temporary Cull Potato Storages must however, be emptied by March 1 of any year following a year in which it was used between the dates of March 1 and October 1, with the cull potatoes being utilized (feed, starch source, etc.) or disposed of in accordance with another cull potato disposal BMP. Cull potatoes can be transferred from a Cold Weather Temporary Cull Potato Storage to a Warm Weather Temporary Cull Potato Storage but not vise versa.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Site Criteria
• CORRECTIONS: a. Warm Weather Temporary Cull Potato Storages that are not completely self contained (constructed in such a way that if any leachate is generated it will be captured and will not be discharged to the soil) must be sited upon well drained, deep (40 inches or more to the seasonal water table and bedrock), non-sandy soils. This criteria can be met by natural conditions or by site modification such as lowering the water table or adding fill.
• CORRECTIONS: b. Warm Weather Temporary Cull Potato Storages that are self contained (where leachate will be generated but will not be discharged to the soil) have no minimum soil conditions for siting.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Covering Criteria: No cover material for Warm Weather Temporary Cull Potato Storage is required from March 1 to June 10 (or from October 1 to March 1, if used between those dates). From June 10 to October 1, all Warm Weather Temporary Cull Storage piles shall immediately be covered (including the unbermed side) in a manner so as to prevent potatoes from sprouting and potentially spreading disease. Acceptable covering methods include, but are not limited to a minimum of 6 inches of sawdust, 12 inches of soil, or 6 mill black plastic polyethylene, all of which must completely cover the pile and, be secured and remain in place.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Setback Criteria: Warm Weather Cull Potato Storages must be set back a minimum of 100 feet from neighboring dwellings, property lines, wells, springs, water bodies, streams, gullies, swales, ravines and downslope diversions (those not associated with construction of the storage site).
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Site Construction Criteria
• CORRECTIONS: a. Warm Weather Temporary Cull Potato Storages which are not self contained (discharge to the soil) must be constructed in accordance with "Tuber Stockpile Compound" , Maine Agricultural Experiment Station Miscellaneous Report 318. In addition, the stockpile must be surrounded on three sides by an earthen, sawdust, haybale or similar berm at least two feet in thickness and the downslope leachate trap (ditch) must be constructed with a level lip spreader which outlets to a vegetated buffer. When it is desirable to utilize nutrients in the leachate as a soil amendment, or the storage site has soil and/or site limitations, culls should be placed on a sawdust, or similar absorptive pad, 12 to 18 inches thick. Sawdust can also be mixed with the culls as they are placed on the storage site to further act as a leachate absorbent. When the culls are to be used as a soil amendment they, along with the leachate saturated bulking agent, shall be applied on the land in accordance with the Cull Potato Winter Spreading BMP. This is because there may be tubers which have not broken down and therefore pose a disease threat.
• CORRECTIONS: (NOTE: To maximize the soil amendment benefits of the culls and bulking agent, they should be land applied in the fall and incorporated into the soil).
• CORRECTIONS: b. Warm Weather Temporary Cull Potato Storages which are self contained ( non discharge) have no minimum Site Construction criteria.
• CORRECTIONS: 5. FRESH CULL POTATO USAGE AS A FARM ANIMAL FEED BMP: This BMP provides acceptable procedures for farmers to use when fresh cull potatoes are part of their animal feed program.
• CORRECTIONS: (NOTE: Free range feeding of fresh cull potatoes is considered a cull spreading practice and must be conducted in accordance with the Cull Potato Winter Spreading BMP.)
• CORRECTIONS: Cold Weather Temporary Fresh Cull Potato Storage Criteria: Any temporary storage of fresh cull potatoes, between the dates of October 1 and the following March 1, must be in accordance with the Cold Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Warm Weather Temporary Fresh Cull Potato Storage Criteria: Any temporary storage of fresh cull potatoes, between the dates of March 1 and October 1 of the same year, must be in accordance with the Warm Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Fresh Cull Potato Farm Animal Feed Quantity Criteria: Animals should be fed, on a daily basis, only the volume of culls which can reasonably be expected to be consumed as animal feed. As a general rule, reasonable maximum daily feed volumes are considered to be 100 lbs. of potatoes per 1000 lbs. of animal weight, for animals being fed culls as their primary feed source.
• CORRECTIONS: Fresh Cull Potato Farm Animal Feed Area Criteria: In order to prevent cull potatoes from being pushed into the soil, where they can then sprout and grow, posing a potential threat for disease spread, a prepared feed area is necessary. A prepared feed area can be achieved by a number of methods including, but not limited to a feed bunk or a concrete, paved or gravel pad.
• CORRECTIONS: 6. CULL POTATO COMPOSTING BMP: This BMP provides acceptable procedures for utilizing cull potatoes for composting purposes.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Criteria (prior to being composted): Any temporary storage of cull potatoes, between the dates of October 1 and the following March 1, must be in accordance with the Cold Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Criteria (prior to being composted): Any temporary storage of cull potatoes, between the dates of March 1 and October 1 of the same year, must be in accordance with the Warm Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Cull Potato Composting Site, Setback and Slope Criteria: Follow the Maine Department of Environmental Protection, Rules for composting of Type I Residuals found in Rules for Land Application of Sludges and Residuals.
• CORRECTIONS: Cull Potato Composting Mix and Procedure Criteria: Use the process and mix recipe outlined in "Composting Potato Culls and Potato Processing Wastes", Woods End Research Laboratory and Maine Department of Agriculture, Conservation and Forestry, 1990.
• CORRECTIONS: 7. CULL POTATO ENSILING BMP: This BMP provides acceptable procedures for utilizing cull potatoes as part of an ensiling mix, for animal feed.
• CORRECTIONS: Cold Weather Temporary Cull Potato Storage Criteria (prior to being ensiled): Any temporary storage of cull potatoes, between the dates of October 1 and the following March 1, must be in accordance with the Cold Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Warm Weather Temporary Cull Potato Storage Criteria (prior to being ensiled): Any temporary storage of cull potatoes, between the dates of March 1 and October 1 of the same year, must be in accordance with the Warm Weather Temporary Cull Potato Storage BMP.
• CORRECTIONS: Cull Potato Ensiling Site Criteria:
• CORRECTIONS: a. Cull Potato Ensiling Operations that are not self contained (where leachate will be generated and discharged to the soil) must be sited upon well drained, deep (40 inches or more to the seasonal water table and bedrock), non-sandy soils. This criteria can be met by the natural soil conditions or by modifying the site such as lowering the water table or adding fill.
• CORRECTIONS: b. Cull Potato Ensiling Operations that are self contained (where leachate will be generated but will not be discharged to the soil) have no minimum soil conditions for siting.
• CORRECTIONS: Cull Potato Ensiling Site Setback Criteria: Cull potato ensiling sites must be set back a minimum of 100 feet from neighboring dwellings, property lines, wells, springs, water bodies, streams, gullies, swales, ravines and downslope diversions (those not associated with construction of the ensiling site).
• CORRECTIONS: Cull Potato Ensiling Site Slope Criteria: Cull potato ensiling sites shall be constructed on finished slopes which do not exceed 6 percent.
• CORRECTIONS: Cull Potato Ensiling Site Covering Criteria: All cull potatoes which are in the process of being ensiled must immediately be covered in a manner so as to prevent potato sprouting and the potential for spreading of disease, as well as to facilitate the ensiling process. Acceptable covering methods include, but are not limited to; a minimum of 6 inches of sawdust, 12 inches of soil, or 6 mill black plastic polyethylene, all of which must completely cover the potatoes being ensiled and must be secured and remain in place.
• CORRECTIONS: Cull Potato Ensiling Mix and Procedure Criteria: In order to create ensilage to be used as an animal feed, a bulking agent must be mixed with the cull potatoes. Refer to the University of Maine Cooperative Extension, fact sheet " Feeding Potatoes to Livestock" for bulking agents.
• CORRECTIONS: Cull Potato Ensiling Site Construction Criteria:
• CORRECTIONS: a. Cull Potato Ensiling sites which are not self contained shall be constructed in accordance with the Site Construction Criteria of the Controlled Long Term Cull Potato Storage BMP.
• CORRECTIONS: b. Cull Potato Ensiling Sites which are self contained (non discharge) have no minimum site construction criteria.
• CORRECTIONS: 8. CULL POTATO TRANSPORT BMP: This BMP provides acceptable procedures for the transport of cull potatoes.
• CORRECTIONS: Cull Potato Transport Covering Criteria: Cull Potatoes which are transported by truck from one site to another shall be covered by a tarp, plastic sheet or similar method so that cull potatoes will not inadvertently fall off and become a potential spore source and so that the spread of spores from the cull potatoes will not occur while they are in transport.
• CORRECTIONS: Cull Potato Leachate Control Criteria While in Transport: If cull potatoes are to be transported while breakdown is or has occurred, provisions shall be made to prevent escape of the leachate while the culls are in transport. Acceptable measures include, but are not limited to, using a secure trucking body, a water tight container, or mixing the culls with soil or a bulking agent.
• CORRECTIONS: VARIANCES
• CORRECTIONS: Due to site and/or soil conditions, a potato farmer may find that he/she can not comply with certain provisions of one of these BMP's when it is not practical or possible to use any of the other BMP's to dispose of cull potatoes. In such instances, a variance to these BMP's may be approved by the Commissioner of the Department of Agriculture, Conservation and Forestry, provided that no reasonable alternative exists and that proper engineering techniques are utilized to offset reduced setbacks and/or soil limitations. All variances to these BMP's must be submitted in writing to the Commissioner for his/her approval along with provisions for overcoming limitations. Variances will be reviewed and acted upon on a site specific basis. Activities authorized by variance must comply with all of the conditions of the variance.
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 701 Rules Governing Animal Welfare

Code Me. R. 01-001 Ch. 701 Rules Governing Animal Welfare {#sec-01-001-ch.-701 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 701}

PURPOSE: To ensure that only healthy animals, including birds, are offered for sale and that all animals, within the scope of the Commissioner's authority, receive proper care, housing facilities, and disease control, and that records of sales and purchases, euthanasia records and licenses will be monitored by Animal Welfare Program.

SECTION I – GENERAL

DEFINITIONS

BEDDING MATERIAL - The term "bedding material" means those dry materials with low conductivity and not detrimental to the animal.

BOARDING KENNEL “Boarding kennel” means any place, building, tract of land or abode in or on which 3 or more privately owned companion animals are kept at any one time for their owners in return for a fee or compensation and includes a facility where 3 or more companion animals are kept for training purposes for compensation.

CAGE/PEN - The terms "cage" and "pen" are synonymous and refer to a portable enclosure or a fixed permanent enclosure located within a primary structure, designed for securing animals. This enclosure is used primarily as the animals' sleeping area and is a separate structure from exercise areas, dog runs or other enclosures used in the keeping of animals. The cage/pen consists of side walls, a top and bottom and a latched gate or door consisting of wire mesh or rods, all constructed of materials harmless to the well-being of the animal.

CAPACITY FOR CARE “Capacity for care” is the level at which each licensed animal facility in Maine can maintain the ability to meet the needs of every animal in the care of that facility, regardless of purpose, age, health status and personality, and by functioning within this level, are able to ensure the health and wellness of animals in their care.

CRATE - The term "crate" refers to a portable enclosure designed for securing animals on a temporary basis for purposes of transport, exhibition, or medical treatment.

EXERCISE AREA - The term "exercise area" refers to an enclosed space which is secured, either in or out of doors, that is designed exclusively for the exercise of animals appropriate of the type and species of animal. It is an area separate and distinct from the animals' sleeping area. It must be constructed of materials that are not harmful to animals and that are suitable for efficient removal of animal waste and for effective sanitation and disinfection.

FACILITY - The term "facility" refers to pet shops, shelters, kennels, and boarding kennels.

HOUSING FACILITY – The term ‘housing facility” means any premises, shed, barn, building, trailer, or other structure or area housing or intended to house animals, including foster homes.

IMMEDIATE FAMILY - The term "immediate family" refers to one of the following family relationships: father, mother, brother, sister, son, spouse or daughter.

IMPERVIOUS SURFACE – The term “impervious surface” means a surface that does not permit the absorption of fluids. Such surfaces are those that can be thoroughly and repeatedly cleaned and disinfected, will not retain odors, and from which fluids bead up and run off or can be removed without being absorbed into the surface material.

KENNEL - "Kennel" means 5 or more dogs kept in a single location under one ownership for breeding, hunting, show, training, field trials, sledding, competition, or exhibition purposes. The sale or exchange of one litter of less than 16 puppies within a 12-month period alone does not constitute the operation of a kennel.

PERSON - The term "person" refers to an individual, corporation, partnership, association, or any other legal entity.

PET SHOP - "Pet shop" means a place, or vehicle in or on which any dogs, cats, rodents, reptiles, fish, pet birds, exotic birds or exotic animals not born and raised on those premises are kept for the purposes of sale to the public.

PRIMARY STRUCTURE - The term "primary structure" means the main building used for housing or displaying animals.

SHELTER - "Animal shelter" means a:

1. Facility that houses domesticated animals and operates or the purpose of providing stray, abandoned, abused or owner-surrendered animals with sanctuary or finding the animals temporary or permanent adoptive homes; or
2. Rescue group. An organization or individual that receives domesticated animals that have been abandoned, surrendered or removed from an animal facility or that takes in homeless dogs or cats and sells, gives or otherwise places the animals in private homes.

VETERINARIAN OF REFERENCE – The term “Veterinarian of Reference” means the veterinarian employed, contracted, or that volunteers with the shelter, rescue group, pet store, or kennel to ensure the health of the animals in its care and ensure proper disease control.

B. LICENSES

A license is required for each pet shop, shelter, kennel and boarding kennel.

Licenses must be posted in a conspicuous place on the premises of each pet shop, shelter, kennel and boarding kennel.

License numbers must be posted in any advertisements and on any websites.

C. RECORDS

Each pet shop, shelter, kennel and boarding kennel, must make and maintain for at least two (2) years the following records of its activities:

Official Certificates of Veterinary Inspection (CVI) as required by State of Maine statute and rule.

The name and address of the person(s) from whom the animal was received.

The name and address of the person(s) receiving or buying the animal, excluding fish and rodents and lagomorphs.

Records of vaccinations, medical treatments, and wellness exams for all animals including wellness exams of all animals that are not for sale or adoption that have been on the property for more than 6 months.

Mortality records and causes of mortality.

Records of veterinary services.

Records of euthanasia must be kept for positive identification of every animal euthanized.

Animal fostering agreements with a list of animals fostered, names and locations of foster homes.

Records of maintenance, storage and distribution of pharmaceuticals and controlled substances in accordance with the US Department of Justice Drug Enforcement Administration regulations and the Maine Veterinary Practice Act, 32 MRS §§ 4851 et seq.

Records, including Certificates of Veterinary Inspection, can be stored electronically.

D. PRIMARY STRUCTURES

All pet shops, shelters, kennels and boarding kennels must be comprised of a primary structure that is in good repair and structurally sound. All primary structures must have available running water, heat, and electricity.

E. TEMPERATURE CONTROL

The inside minimum temperature must be kept at a level to maintain good general health and condition for animals housed in the facilities.

Outside facilities must provide shade exclusive of the housing structure by either natural or manufactured devices for all animals kept out of doors.

F. SANITATION

Waste facilities must be cleaned in such a manner as to minimize vermin, insect infestation, disease, and odor.

Cages/pens, food and water dishes and other utensils must be disinfected as needed to be kept in a sanitary condition.

Animals must be removed from cages/pens during cleaning. Cages/pens must be clean and dry before animals are replaced.

G. FOOD

Food supplies must be protected against contamination and deterioration, and refrigeration must be provided for perishable food and supplies.

Animals must be fed at least twice a day or as directed by owner/keeper in the case of a boarded animal(s), with a wholesome and nutritionally complete food and of sufficient quantity to meet the requirements for their age, size, breed, and condition. Animals that have been determined by a veterinarian to be malnourished or which have prominent hip or rib bones showing which is not normal to the breed, must be fed more frequently.

Lactating females must be fed daily in sufficient quantity and quality to maintain their body weight while providing sufficient nutrition for the production of milk.

Puppies and kittens must be fed at least three times daily once they are able to ingest and metabolize solid food.

Clean water must be available at all times and must be in a tip resistant container that is low enough to allow the animals free access.

Birds must have food and water available at all times.

These requirements must be attended to daily including weekends and holidays.

H. DISEASE CONTROL & ANIMAL WELLNESS

Animals with clinical evidence of infectious, contagious, parasitic, or communicable disease must be separated from others in order to minimize the spread of disease.

Effective programs for the control of disease, insects, external parasites, and other pests must be established and maintained with the Veterinarian of Reference.

All animals owned and kept by the facility that are not for sale or adoption must receive regular annual examinations and recommended treatment as determined by the Veterinarian of Reference to ensure the health of all animals within that facility.

I. NOISE

All noise must be kept at a minimum to prevent auditory discomfort and restlessness.

J. VENTILATION

All areas in which animals are kept must be ventilated in such a manner that a movement of fresh air is present to prevent noxious fumes, chemical odors, heat buildup, smoke or odors of excrement and urine from being detectable.

K. LIGHTING

All animals must have exposure to artificial or natural daylight a minimum of eight (8) hours per day.

L. SPECIAL INSTRUCTIONS

The seller/provider of any animal must furnish written instructions as to the proper feeding, care, health information, and any special needs associated with the animal sold or provided.

M. HEALTH OF ANIMALS AT THE TIME OF RELEASE

The following conditions make an animal unfit for sale or release:

Obvious clinical sign of infectious, contagious, parasitic or communicable disease or abnormality.

Obvious signs of starvation or malnutrition.

Congenital abnormalities, except with disclosure and acceptance by the person adopting or potential owner.

Blindness, except with disclosure and acceptance by the person adopting or potential owner.

Animals determined to be unfit for sale or release as described above, must be isolated and treated by/or at the direction of a licensed veterinarian or euthanized in a humane manner. If the treatment for any of the above conditions brings about recovery to a good, normal state of health, as determined by acceptable veterinary practice, the animal can then be considered for release or sale. (The new owner must be apprised of the condition treated and the treatment provided the animal.)

Animals with aggression that pose a risk to public safety that cannot be safely managed by behavioral program shall not be adopted or sold to the public.

N. CAPACITY FOR CARE

1. All facilities licensed under these rules shall demonstrate proper capacity to care for the number of animals under their care upon request from and to the satisfaction of the department. In determining the adequacy of a facilities’ demonstration of capacity for care, the department will take into account, among other relevant factors: the type and numbers of animals in the care of the facility; the specific needs of the animals in the care of the facility and whether they require special care; the type of operation; experience of the facility operators and staff; and the size and capacity of the facility; and the occurrence of any emergency or disaster situations.

2. A facility must not exceed its capacity for care by, including but not limited to, housing more animals for which it has demonstrated a capacity to care for or housing and caring for animals that have special needs that the facility operator and/or staff are unqualified or otherwise unable to provide.

O. PERSON MAINTAINING

All facilities licensed under these rules shall provide the department the name and contact information of the person responsible for maintaining the license and operation of the facility. This person must be a current resident of the State of Maine and not be disqualified from facility licensure under 7 M.R.S.A. §3935 (License Prohibited).

P. UNLAWFUL SALE OF PUPPIES AND KITTENS

It is unlawful for any person to sell, adopt, or give away any dog (puppy) or cat (kitten) until eighth (8) week of life.

Q. QUARANTINE NOTIFICATION

When a licensed veterinarian, not employed by the State, quarantines a pet shop, shelter, kennel or boarding kennel, then both the veterinarian and the holder of the license must immediately notify the Animal Welfare Program. Immediate notification may be oral, but a written confirmation of such oral notification must be sent to the Animal Welfare Program within twenty-four (24) hours.

R. VIOLATIONS

The Animal Welfare Program will, upon written complaint by any person alleging violation of these Rules, or upon its own motion if it has reason to believe such a violation exists, cause an investigation to be made. If a violation is found to exist, the Animal Welfare Program or the Attorney General may seek enforcement remedies including but not limited to revocation or suspension of the license.

S. AUTHORIZED AGENTS (Access to Facilities)

Authorized agents of the Animal Welfare Program must at all reasonable times be allowed access to the physical premises and the records maintained by any pet shop, shelter, kennel and boarding kennel.

SECTION II - SPECIFIC RULES BY CATEGORY OF ACTIVITY

In addition to the general regulations listed in Section I, the following specific regulations apply to each of the following categories:

A. PET SHOPS

The housing facilities must be structurally sound and maintained in good repair to protect the animal from injury and to contain the animal.

Dogs must be removed from the cage a minimum of twice every twenty-four hour period.

There must be a separate and suitable exercise area provided that is properly controlled for the safety of the animals.

Cages/Pens for birds - Birds must be provided space to allow full expansion of their wings. Birds must be housed only with other compatible species unless housed singularly.

Cages/Pens for cats - Confinement areas must allow a minimum of four (4) square feet per cat inclusive of the area occupied by the litter boxes which offers enough room to comfortably stand. Cats must have litter boxes with ample clean litter available at all times. When multiple cats are kept in a common area there must be at least one 1 1/2 square foot litter box or equivalent for every three cats.

Animals or birds must not be placed in cages/pens over other animals or birds unless the enclosure is properly constructed to prevent excreta from entering the lower enclosure.

Males and females capable of reproduction must not be housed together.

Dogs and Cats must not be placed in the same cage/pen nor dogs or cats be housed in the same cage/pen with other species of animals.

Females with litters must be housed in an area that minimizes disruption to them.

All cages/pens must have a clean dry place for the animal to lie down and the flooring must be an impervious surface without perforations. There must be clean and sufficient bedding material to retain the animal's body heat. Manufactured grids that will not potentially injure the feet are acceptable.

The primary structure must have provisions for proper disposal of dead or euthanized animals.

The design and location of a cage and exercise area must be of such nature as to permit ready and convenient access for cleaning, sanitation and care of animals.

Isolation areas must be provided and used for all animals being imported from out of state to ensure their health at the time of sale in accordance with rules set forth in Chapter 216 “Rules Governing the Sale of Dogs and Cats and Importation of Dogs and Cats for Resale or Adoption.”

B. SHELTERS

The housing facilities must be structurally sound and maintained in good repair to protect the animal from injury and to contain the animal.

Dogs must be removed from the cage a minimum of twice every twenty-four hour period.

There must be a separate and suitable exercise area provided that is properly controlled for the safety of the animals.

Animals must not be placed in cages/pens over other animals unless the enclosure is properly constructed to prevent excreta from entering the lower enclosure.

Males and females capable of reproduction must not be housed together.

Cages/Pens for cats - Confinement areas must allow a minimum of four (4) square feet per cat inclusive of the area occupied by the litter boxes. Cats must have litter boxes with ample clean litter available at all times. When multiple cats are kept in a common area there must be at least one 1 1/2 square foot litter box or equivalent for every three cats.

Dogs and cats must not be placed in the same cage/pen nor dogs or cats be housed in the same cage/pen with other species of animals.

Females with litters must be housed in an area that minimizes disruption to them.

Areas housing puppies from birth to two (2) weeks old must be kept at a high enough ambient temperature to maintain their normal internal temperature. Manufactured grids that will not potentially injure the feet are acceptable.

All cages/pens must have a clean dry place for the animal to lie down and the flooring must be an impervious surface without perforations. There must be clean and sufficient bedding material if it is necessary to retain the animal's normal body heat.

The primary structure must have provisions for proper disposal of dead or euthanized animals.

The design and location of a cage and exercise area must be of such a nature as to permit ready and convenient access for cleaning, sanitation and care of animals.

Shelter managers and staff must diligently try to locate the owner of any animal in their custody including utilizing any type of identification (tattoos, name tags, rabies tags, microchips or any other identifying characteristics).

Controlled substances and medications must be securely stored, maintained and logged in accordance with the US Department of Justice Drug Enforcement Administration regulations.

Sharps containers must be provided and properly disposed of in accordance with Maine Department of Environmental Protection Chapter 900 Rules, Biomedical Waste Management.

Isolation areas must be provided and used for all animals being imported from out of state to ensure their health at the time of adoption in accordance with rules set forth in Chapter 216 “Rules Governing the Sale of Dogs and Cats and Importation of Dogs and Cats for Resale or Adoption.” Foster homes used as an isolation area for the purposes of this section must be not intended as the adoptive home

C. KENNELS AND BOARDING KENNELS

The housing facilities must be structurally sound and maintained in good repair to protect the animal from injury and to contain the animal.

Dogs must be removed from the cage a minimum of twice every twenty-four hour period.

There must be a separate and suitable exercise area provided that is properly controlled for the safety of the animals.

Cages/Pens for cats - Confinement area must allow a minimum of four (4) square feet per cat inclusive of the area occupied by the litter boxes. Cats must have litter boxes with ample clean litter available at all times. When multiple cats are kept in a common area there must be at least one 1 1/2 square foot litter box or equivalent for every three cats.

Animals must not be placed in cages/pens over other animals unless the enclosure is properly constructed to prevent excreta from entering the lower enclosure.

Females must not be housed with males unless requested by owners/keepers.

Females with litters must be housed in an area that minimizes disruption to them.

Areas housing puppies from birth to two (2) weeks old must be kept at a high enough ambient temperature to maintain their normal internal temperature.

All cages/pens must have a clean dry place for the animal to lie down and the flooring must be an impervious surface without perforations. There must be clean and sufficient bedding material to retain the animal's normal body heat. Wire floor does not include manufactured grids that will not potentially injure the feet.

The design and location of a cage and exercise area must be of such nature as to permit ready and convenient access for cleaning, sanitation and care of the animal.

Animals used for breeding shall receive an annual health check up from the veterinarian of reference each calendar year.

D. OUTSIDE FACILITIES FOR DOG HOUSE; TETHERING OF ANIMALS

A. Any shelter, kennel or boarding kennel owning or keeping a dog that shelters the dog out of doors must have outside housing facilities consisting of a four (4) sided structure and roof made of waterproof and windproof material with an R factor of .9 (example: .9 = 3/4" thickness (wood)). There shall be a portal of entry of sufficient size to allow the dog unimpeded passage, which shall include a baffled or appropriate sheltered entrance.

B. This opening must face south or the direction away from which most wind driven precipitation comes. This facility must have a solid floor at least three (3) inches above the ground level, with clean and sufficient bedding material to retain the animal's normal body heat.

A. When animals are confined by a chain or similar device, the chain must be attached to both the animal and the anchor by a swivel or similar device so the chain will not become entangled or twisted. The chain or similar device must be attached to a well-fitting collar or harness that in no way cuts into the animal's flesh, impedes the circulation, its vocalization, nor ability to ingest food or water.

B. The gauge of the chain must be appropriate for the size of the animal involved and the chain must be at least five (5) times the length of the animal from the tip of its nose to the base of its tail. The exception is in the case of dogs which are bred and trained as sled dogs, for which the length of the chain must not be less than 1 1/2 times the length of the dog from the tip of its nose to the base of its tail if tied on a pivot and 3 times the length of the dog from the tip of its nose to the base of its tail to a stationary point.

Multiple animals kept in such fashion must be kept far enough apart to prevent the restraining devices from becoming entangled.

For dogs that are tethered at a pivot point permitting a 360 degree area of movement, the tether must be 2 1/2 times the length of the dog from the tip of its nose to the base of its tail.

SECTION III - VIOLATION

Non-compliance with these rules including, but not limited to, any the standards set forth in these rules may, in addition to any other remedies available by law, result in suspension and revocation of the facility license.

SECTION IV - PIG SCRAMBLES

A. Any person or organization planning to hold a pig scramble must obtain a permit from the Department of Agriculture Conservation and Forestry no later than ten (10) days prior to the event.

B. To obtain a permit, the applicant must specify and list the precise location of the event, the time it is to be held (plus or minus one hour) and the person or persons who will be in charge of the event.

C. RULES

1. The person in charge of the event is responsible for the animals being "well cared for" prior to, during, and after the event until such time as the new owners remove the animals from the premises.

2. No lubricant may be used on the pig or the contestant.

3. The pigs must not weigh less than sixteen (I 6) pounds for the 8-10 age group, and not less than twenty two (22) pounds for the 10-12 age group.

4. The contestants must not be over the age of 12.

5. The event must not last more than ten (10) minutes.

6. The bags or sacks used must be burlap to give the animal adequate breathing and cooling air.

7. The manager of the event must have someone available to purchase or take the animals if an animal is caught by someone who does not have adequate facilities to care for the animals at his/her residence.

8. The area/ring being used must be no less than 3,000 square feet.

9. A pig must only be used for one event per day.

10. RULES MUST BE POSTED IN A CONSPICUOUS PLACE AT EVENT SITE

11. PERMITS PERIODS MUST NOT EXCEED TEN (10) DAYS FOR MULTIPLE EVENTS SPONSORED BY ANY PRIVATE OR PUBLIC ORGANIZATION

SECTION V - CALF SCRAMBLES

A. Any person or organization planning to hold a calf scramble must obtain a permit from the Department of Agriculture, Conservation and Forestry no later than ten (10) days prior to the event.

B. To obtain a permit, the applicant must specify and list the precise location of the event, the time it is to be held (plus or minus one hour) and the person or persons who will be in charge of the event.

C. RULES

1. The person in charge of the event is responsible for the animals being "well cared for" prior to, during, and after the event until such time as the new owners remove the animals from the premises.

2. The calves must not weigh less than 300 pounds or over 600 pounds.

3. The contestants must be restricted to the age of 14 to 17 years. (Age 17, as of January 1st of the year the event is held.)

4. The event must not last more than twelve (12) minutes.

5. Nothing can be attached to any portion of the animal for removal by contestants from the animal during competition.

6. The manager of the event must have someone available to purchase or take the animals if an animal is caught by someone who does not have adequate facilities to care for the animals at his/her residence.

7. The manager of this event must have the facilities to hold the calves which have been won until the winning contestant is ready to leave the premises.

8. The area/ring being used must be no less than 3,000 square feet.

9. A calf must only be used for one event per day.

10. RULES MUST BE POSTED IN A CONSPICUOUS PLACE AT EVENT SITE

11. PERMITS PERIODS MUST NOT EXCEED TEN (10) DAYS FOR MULTIPLE EVENTS SPONSORED BY ANY PRIVATE OR PUBLIC ORGANIZATION

SECTION VI - STANDARDS FOR THE HOUSING AND CARE OF HORSES (ALL EQUINE)

A. HOUSING

A constructed shelter, with a minimum of three sides and a waterproof roof, must be provided to protect equines from excessive sun, rain, wind and other inclement weather, that may affect the health of the equine(s). Shelter must be provided at all times if the equine is underweight, is in poor body condition or if the health of the equine is compromised in any way.

Any equine must be provided with extra protection by improved housing facilities, blankets or other methods if the equine is underweight or if the health of the equine is compromised in any way.

The shelter must be maintained as needed to protect the health of the equine(s) from the elements through regular repair and maintenance of the structure.

The shelter must be of sufficient height and size so that the animals may stand upright in their normal position, with safe head clearances, and accommodate all animals comfortably at all times.

The floor must be dry and suitable for the animals to lie down.

Where indoor shelter is provided, that shelter must be adequately ventilated to prevent excessive dust or excessive moisture that may be detrimental to the equine's health.

B. FOOD

Equines must have daily access to clean water to maintain normal hydration.

Each equine must have sufficient hay, grain, or other feed to maintain its normal bodyweight. Additional feed must be fed to underweight animals to achieve normal weight.

If the equine is determined to be underweight the animal must be provided with its own share of feed twice daily until the animal is determined to be in adequate body condition.

If the equine is determined to be underweight, all owners/keepers of equine must have on hand at all times enough hay and grain to promote weight gain and achieve normal weight. This may be determined by the Department based upon the condition of the equine(s).

C. VIOLATION

Failure to provide proper food or shelter to an equine as defined in this section that results in harm, or death of the horse can be considered a violation of title 7 §4011. Cruelty to animals or title 17 §1031. Cruelty to animals.

SECTION VII - THE SPAY/NEUTER REIMBURSEMENT PROGRAM

Summary: The purpose of this section is to establish rules that will allow reimbursement to animal shelters for extended days that stray dogs and cats must stay to be spayed or neutered before being given up for adoption.

A. DEFINITIONS: For the purpose of this chapter the following words mean:

1. "Spay/neuter" means to sterilize a female animal by removing the ovaries or to castrate a male animal by removing the testicles.

2. "Animal shelter" (see and use definition in the Animal Welfare Laws 7 M.R.S. Section 3907, 5-A).

3. "Strays" means a cat or dog with no known owner that may be deserted, sick, or injured.

4. "Reimbursement" means to compensate part of the expense of sterilizing an animal.

5. "Dog licensing fee" means a fee collected by a municipal clerk or dog recorder for the issuance of a dog license authorized under 7 M.R.S. Section 3923.

B. FUNDING

Funds for the reimbursement are to be allocated from the dog-licensing fee and from private or public donations. This fund must be a separate, non-lapsing account and named - Animal Welfare Fund: Spaying/Neutering Account.

C. PROCEDURE

Upon receiving a letter from the animal shelter requesting reimbursement for a stray dog that has been in their possession for at least six (6) days minimum or a stray cat that has been in its possession for at least 48 hours minimum and that particular animal was neutered or spayed, the state will reimburse that shelter at the rate of ten dollars ($10.00) per dog and the rate of five dollars ($5.00) per cat. The animal shelter must attach to the letter a copy of a Certificate of Neutering signed by a licensed veterinarian.

History

• STATUTORY AUTHORITY: 7 M.R.S. §3906-B
• EFFECTIVE DATE: September 11, 1988
• AMENDED: March 21, 1992
• AMENDED: September 16, 1992
• AMENDED: May 1, 1993
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: March 18, 1999 - replaces Chapters 701 through 706
• NON-SUBSTANTIVE CORRECTIONS: May 19, 2008 - bolding
• AMENDED: December 5, 2010 – Section VIII, filing 2010-611
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: March 12, 2016 – filing 2016-035
• AMENDED: January 24, 2022 – filing 2022-011
• ACCESSIBILITY CHECK: July 11, 2025
• ACCESSIBILITY CHECK: NONSUBSTANTIVE CORRECTIONS (rule updated to re-insert 3 sections that were inadvertently omitted from the full rule when a prior amendment of the rule occurred):
• ACCESSIBILITY CHECK: August 18, 2026

Chapter 702 Rules for the Companion Animal Sterilization Program

Code Me. R. 01-001 Ch. 702 Rules for the Companion Animal Sterilization Program {#sec-01-001-ch.-702 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 702}

Summary: This Chapter establishes and implements a Companion Animal Sterilization Program for companion animals. This Chapter contains eligibility requirements for participation in the program, procedures for veterinarian reimbursement, program administration, and performance measurements.

The purpose of the Companion Animal Sterilization Program is to reduce:

a) Stray and unwanted cats and dogs;

b) Cat and dog euthanasia rates;

c) Dog bites;

d) Feral cats;

e) Threats to public health and safety from rabies and other zoonotic diseases;

f) Community and state animal control costs; and

g) Areas lacking access to veterinary care.

DEFINITIONS.

As used in this chapter, unless the context otherwise indicates, the following terms have the following meanings.

1. CAT – A member of the genus and species known as Felis catus .
2. COMMISSIONER – The Commissioner of the State of Maine Department of Agriculture, Conservation and Forestry.
3. DEPARTMENT – The Department of Agriculture, Conservation and Forestry.
4. DOG – A member of the genus and species known as Canis familiaris .
5. FERAL CAT – A cat without owner identification of any kind that consistently exhibits extreme fear in the presence of people.
6. KEEPER – A person in possession or control of an animal becomes the keeper of a stray domesticated animal, other than a dog or livestock, if the person feeds that animal for at least 10 consecutive days.
7. LICENSED ANIMAL SHELTER – A facility licensed by the state that houses domesticated animals and operates for the purpose of providing stray, abandoned, abused, or owner-surrendered animals with sanctuary (which includes finding the animals temporary or permanent adoptive homes) or a rescue group licensed by the state.
8. OVERPOPULATION – A surplus of cats or dogs when compared to the demand for ownership by humans. For purposes of the Companion Animal Sterilization Fund, all feral cat populations are considered an overpopulation.
9. OWNER – Any person, firm, partnership, association, or corporation that owns, keeps, or harbors a dog or other animal.
10. PROGRAM – The Companion Animal Sterilization Program established under Title 7, Section 3910-C, subsection 2.
11. SPAY/NEUTER – To sterilize a female animal by removing the ovaries or to castrate a male animal by removing the testicles or by FDA-approved pharmaceutical sterilization. 1. “Spay” means to sterilize a female animal by removing the animal’s ovaries or to sterilize a female by a nonsurgical method approved by the federal Food and Drug Administration. 2. “Neuter” means to castrate a male animal by removing the animal’s testicles or to sterilize a male animal by a nonsurgical method approved by the federal Food and Drug Administration.
12. SPAY/NEUTER EVENT– A scheduled event by a veterinary provider, whether in a mobile clinic, pop-up clinic, or fixed location, where ten or more spay/neuter procedures will be provided per day to eligible Help Fix ME participants.
13. STRAY ANIMAL – A cat or dog with no known owner that may be lost, deserted, sick, or injured.
14. VETERINARY PROVIDER- A person licensed to practice veterinary medicine under Title 32, section 4861, or an animal welfare organization that has at least one licensed veterinarian on staff or under contract and regularly provides companion animal sterilization services to the public.
15. UNWANTED – A cat or dog abandoned or not wanted by its owner or keeper.

PROGRAM ADMINISTRATOR SELECTION PROCESS.

1. The Department shall select a suitable animal welfare organization to administer the program through a competitive process. The selected Administrator must meet the statutory requirements set forth in the Companion Animal Sterilization Fund.
2. In the selection process, the Commissioner shall inquire about the candidate’s prior experience managing programs of similar funding on a statewide basis. The Department shall also assess: 1. Whether the candidate organization is capable of meeting the statutory requirements for an administrator of the Companion Animal Sterilization Fund; 2. Whether the candidate organization has the facilities to coordinate the needs of the Companion Animal Sterilization Program; 3. Whether the candidate organization is staffed by, or has submitted adequate plans to be staffed by, individuals capable of handling government funds and confidential information; 4. Whether the candidate organization has sufficient staff, or has submitted adequate plans to have sufficient staff, to respond to questions from the public within 10 business days; and 5. Whether the candidate organization currently is, or has a reasonable plan to be, financially capable of maintaining sufficient staff to administer this program.
3. The selected Administrator shall be responsible for performing all statutory duties required for administration.
4. The Commissioner shall deposit all available funds in the Companion Animal Sterilization Fund directly into the Help Fix ME account of the Administrator as determined by the Department of Administrative and Financial Services. The Administrator shall submit quarterly financial reports to the Commissioner. This report shall include a reconciliation of all funding and shall include but not be limited to the number of vouchers issued/redeemed, veterinary provider progress versus funding applications, number and type of spay/neuter procedures performed, geographical distribution of pet owners benefitting from spay/neuter procedures, an accounting of funds dispersed, and balance of the account.

ELIGIBILITY.

1. It shall be the responsibility of the Administrator to ensure that all recipients of Companion Animal Sterilization Vouchers meet the eligibility criteria. 1. The Administrator shall be responsible for verifying the participants’ eligibility to participate in the program either through a Department-approved Maine income-based assistance program, direct income analysis, or the participant’s self-certification thereof under the penalty of perjury. 2. Eligibility qualification requirements are waived for the spay/neuter of feral cats.

VETERINARIAN PARTICIPATION.

Fees shall be set by the Department on an annual basis in consultation with the Maine Veterinary Medical Association. The pre-set fee per spay/neuter shall cover the cost of the pre-sterilization examination, sterilization, and rabies vaccination. The veterinary provider may charge up to the pre-set fee for necessary additional approved procedures, including an FVRCP vaccine, a DHLPP vaccine, flea and tick treatment, pain management, and an Elizabethan-collar. The owner shall be responsible for the payment of any additional procedures administered by the veterinarian that are not covered under this program.

PERFORMANCE MEASUREMENT.

Performance measurement is necessary to determine the program’s success and assess if any changes in the program should be made. To measure the performance of this program, the Department shall require standardized annual reporting of statewide cat and dog intake by type (including but not limited to owner surrenders, strays, seizures, and transfers in from within state and out of state) and euthanasia by type and number to the Department by licensed animal shelters, which are required to keep and maintain such information in accordance with 01-001 CMR Chapter 701: Rules Governing Animal Welfare 1C. Additional types of reporting may be required. The reporting will be on forms provided by the Department.

DISTRIBUTION OF FUNDS.

In order for the Companion Animal Sterilization Fund’s (known to the public as the Help Fix ME Fund) funding to be used effectively and reduce animal overpopulation and euthanasia, the apportionment of the funds shall be applied to the program as required by statute. The Commissioner shall consult with Maine humane societies, shelters, and other stakeholders the Commissioner deems appropriate to make the determinations regarding overpopulation and breeds that are difficult to adopt.

History

• STATUTORY AUTHORITY: 7 M.R.S. §3906-B and §3910-B
• EFFECTIVE DATE: June 9, 2004 - filing 2004-206
• AMENDED: May 8, 2011 – filing 2011-137, filing 2011-137
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: March 1, 2023 – filing 2023-027
• REPEALED AND REPLACED: May 19, 2024 – filing 2024-124

Chapter 703 Rules for the Care and Treatment of Elephants

Code Me. R. 01-001 Ch. 703 Rules for the Care and Treatment of Elephants {#sec-01-001-ch.-703 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 703}

Summary: This Chapter establishes and implements rules regarding the Care and Treatment of Elephants in the State of Maine.

1. Attending Veterinarian and Adequate Veterinary Care

(a) Each dealer or exhibitor shall have an attending veterinarian who shall provide adequate veterinary care to its elephants in compliance with this section.

(1) Each dealer and exhibitor shall employ an attending veterinarian under formal arrangements. In the case of a part-time attending veterinarian or consultant arrangements, the formal arrangements shall include a written program of veterinary care and regularly scheduled visits to the premises of the dealer or exhibitor; and

(2) Each dealer and exhibitor shall assure that the attending veterinarian has appropriate authority to ensure the provision of adequate veterinary care and to oversee the adequacy of other aspects of elephant care and use.

(b) Each dealer or exhibitor shall establish and maintain programs of adequate veterinary care that include:

(1) The availability of appropriate facilities, personnel, equipment, and services to comply with the provisions of this subchapter;

(2) The use of appropriate methods to prevent, control, diagnose, and treat diseases and injuries, and the availability of emergency, weekend, and holiday care;

(3) Daily observation of all elephants to assess their health and well-being; provided, however, that daily observation of elephants may be accomplished by someone other than the attending veterinarian; and provided, further, that a mechanism of direct and frequent communication is required so that timely and accurate information on problems of elephant health, behavior, and well-being is conveyed to the attending veterinarian;

(4) Adequate guidance to personnel involved in the care and use of elephants regarding handling, immobilization, anesthesia, analgesia, tranquilization, and euthanasia; and

(5) Adequate pre-procedural and post-procedural care in accordance with established veterinary medical and nursing procedures.

2. Stolen Elephants - Prohibition on the purchase, sale, use, or transportation of stolen elephants

No person shall buy, sell, exhibit, use for research, transport, or offer for transportation, any stolen elephant.

3. Miscellaneous

(a) Each dealer, exhibitor, intermediate handler, or carrier, shall, during business hours, allow Department of Agriculture – Animal Welfare officials:

(1) To enter its place of business;

(2) To examine records required to be kept by these rules and the regulations in this part;

(3) To make copies of the records;

(4) To inspect and photograph the facilities, property and elephants, as the Department officials consider necessary to enforce the provisions of the Act, the regulations and the standards in this subchapter; and

(5) To document, by the taking of photographs and other means, conditions and areas of noncompliance.

(b) The use of a room, table, or other facilities necessary for the proper examination of the records and inspection of the property or elephants must be extended to Department officials by the dealer, exhibitor, intermediate handler or carrier, and a responsible adult shall be made available to accompany Department officials during the inspection process.

4. Inspection for missing elephants

Each dealer, exhibitor, intermediate handler and carrier shall allow, upon request and during business hours, police, officers of other law enforcement agencies with general law enforcement authority (excluding municipal agencies whose duties are limited to enforcement of local animal control regulations) or Department officials to enter his or her place of business to inspect elephants and records for the purpose of seeking elephants that are missing, under the following conditions:

(a) The police, other law officer or Department official shall furnish to the dealer, exhibitor, intermediate handler or carrier a written description of the missing elephant and the name and address of its owner before making a search.

(b) The police, other law officer or Department official shall abide by all security measures required by the dealer, exhibitor, intermediate handler or carrier to prevent the spread of disease, including the use of sterile clothing, footwear, and masks where required, or to prevent the escape of an animal.

5. Handling of elephants

(a) All persons who maintain elephants must demonstrate adequate experience and knowledge of the species they maintain.

(b) (1) Handling of all elephants shall be done as expeditiously and carefully as possible in a manner that does not cause trauma, overheating, excessive cooling, behavioral stress, physical harm, or unnecessary discomfort.

(2) (i) Physical abuse shall not be used to train, work, or otherwise handle elephants.

(ii) Deprivation of food or water shall not be used to train, work, or otherwise handle elephants; provided, however, that the short-term withholding of food or water from elephants by handlers is allowed by these regulations as long as each of the elephants affected receives its full dietary and nutrition requirements each day.

(c) (1) During public exhibition, any elephant must be handled so there is minimal risk of harm to the elephant and to the public, with sufficient distance and/or barriers between the elephant and the general viewing public so as to assure the safety of elephants and the public.

(2) Performing elephants shall be allowed a rest period between performances at least equal to the time for one performance.

(3) Young or immature elephants shall not be exposed to rough or excessive public handling or exhibited for periods of time which would be detrimental to their health or well-being.

(4) Drugs, such as tranquilizers, shall not be used to facilitate, allow, or provide for public handling of the elephants.

(d) (1) Elephants shall be exhibited only for periods of time and under conditions consistent with their good health and well-being.

(2) A responsible, knowledgeable, and readily identifiable employee or attendant must be present at all times during periods of public contact.

(3) During public exhibition, elephants must be under the direct control and supervision of a knowledgeable and experienced elephant handler.

(4) If public feeding of elephants is allowed, the food must be provided by the elephant facility and shall be appropriate to the type of elephant and its nutritional needs and diet.

(e) When climatic conditions present a threat to an elephant’s health or well being, appropriate measures must be taken to alleviate the impact of those conditions. An elephant may never be subjected to any combination of temperature, humidity, and time that is detrimental to the elephant’s health or well being, taking into consideration such factors as the elephant’s age, species, breed, overall health status, and acclimation.

6. Facilities, general

(a) Structural strength. The facility must be constructed of such material and of such strength as appropriate for the elephants involved. The indoor and outdoor housing facilities shall be structurally sound and shall be maintained in good repair to protect the elephants from injury and to contain the elephants.

(b) Water and power. Reliable and adequate electric power, if required to comply with other provisions of this subpart, and adequate potable water shall be available on the premises.

(c) Storage. Supplies of food and bedding shall be stored in facilities, which adequately protect such supplies against deterioration, molding, or contamination by vermin. Refrigeration shall be provided for supplies of perishable food.

(d) Waste disposal. Provision shall be made for the removal and disposal of elephant and food wastes, bedding, dead elephants, trash and debris. Disposal facilities shall be so provided and operated as to minimize vermin infestation, odors, and disease hazards. The disposal facilities and any disposal of elephant and food wastes, bedding, dead elephants, trash, and debris shall comply with applicable Federal, State, and local laws and regulations relating to pollution control or the protection of the environment.

(e) Washroom and sinks. Facilities, such as washrooms, basins, showers, or sinks, shall be provided to maintain cleanliness among elephant caretakers.

7. Facilities, indoor

(a) Ambient temperatures. Temperature in indoor housing facilities shall be sufficiently regulated by heating or cooling to protect the elephants from the extremes of temperature, to provide for their health and to prevent their discomfort. The ambient temperature shall not be allowed to fall below nor rise above temperatures compatible with the health and comfort of the animal.

(b) Ventilation. Indoor housing facilities shall be adequately ventilated by natural or mechanical means to provide for the health and to prevent discomfort of the elephants at all times. Such facilities shall be provided with fresh air either by means of windows, doors, vents, fans, or air-conditioning and shall be ventilated so as to minimize drafts, odors, and moisture condensation.

(c) Lighting. Indoor housing facilities shall have ample lighting, by natural or artificial means, or both, of good quality, distribution, and duration as appropriate for the species involved. Such lighting shall be uniformly distributed and of sufficient intensity to permit routine inspection and cleaning. Lighting of primary enclosures shall be designed to protect the elephants from excessive illumination.

(d) Drainage. A suitable sanitary method shall be provided to rapidly eliminate, excess water from indoor housing facilities. If drains are used, they shall be properly constructed and kept in good repair to avoid foul odors and installed so as to prevent any backup of sewage. The method of drainage shall comply with applicable Federal, State, and local laws and regulations relating to pollution control or the protection of the environment.

8. Facilities, outdoor

(a) Shelter from sunlight. When sunlight is likely to cause overheating or discomfort of the elephants, sufficient shade by natural or artificial means shall be provided to allow all elephants kept outdoors to protect themselves from direct sunlight.

(b) Shelter from inclement weather. Natural or artificial shelter appropriate to the local climatic conditions for the species concerned shall be provided for all elephants kept outdoors to afford them protection and to prevent discomfort to such elephants. Individual elephants shall be acclimated before they are exposed to the extremes of the individual climate.

(c) Drainage. A suitable method shall be provided to rapidly eliminate excess water. The method of drainage shall comply with applicable Federal, State, and local laws and regulations relating to pollution control or the protection of the environment.

(d) Perimeter fence. All outdoor housing facilities (i.e., facilities not entirely indoors) must be enclosed by a perimeter fence that is of sufficient height to keep unauthorized persons out. Fences less than 8 feet high must be approved in writing by the Department. The fence must be constructed so that it protects the elephants in the facility by restricting the elephants and unauthorized persons from going through it or under it and having contact with the elephants in the facility.

A perimeter fence is not required:

(1) Where the outside walls of the primary enclosure are made of sturdy, durable material, which may include certain types of concrete, wood, plastic, metal, or glass, and which are high enough and constructed in a manner that restricts the elephants to the facility and restricts entry by unauthorized persons as approved by the Department in writing; or

(2) Where an effective natural barrier is in place that restricts the elephants to the facility; protects the outdoor housing facility and restricts entry by unauthorized persons as approved by the Department in writing;

(3) Where appropriate alternative security measures are employed as approved by the Department in writing; or

(4) For traveling facilities where appropriate alternative security measures are employed.

9. Space requirements

Enclosures shall be constructed and maintained so as to provide sufficient space to allow each elephant to make normal postural and social adjustments with adequate freedom of movement. Inadequate space may be indicated by evidence of malnutrition, poor condition, debility, stress, or abnormal behavior patterns.

10. Feeding

(a) The food shall be wholesome, palatable, and free from contamination and of sufficient quantity and nutritive value to maintain all elephants in good health. The diet shall be prepared with consideration for the age, species, condition, size, and type of the animal. Elephants shall be fed at least once a day except as dictated by hibernation, veterinary treatment, normal fasts, or other professionally accepted practices.

(b) Food, and food receptacles, if used, shall be sufficient in quantity and located so as to be accessible to all elephants in the enclosure and shall be placed so as to minimize contamination. Food receptacles shall be kept clean and sanitary at all times. If self-feeders are used, adequate measures shall be taken to prevent molding, contamination, and deterioration or caking of food.

11. Watering

If potable water is not accessible to the elephants at all times, it must be provided as often as necessary for the health and comfort of the animal. Frequency of watering shall consider age, species, condition, size, and type of the animal. All water receptacles shall be kept clean and sanitary.

12. Sanitation

(a) Cleaning of enclosures. Excreta shall be removed from primary enclosures as often as necessary to prevent contamination of the elephants contained therein and to minimize disease hazards and to reduce odors. When enclosures are cleaned by hosing or flushing, adequate measures shall be taken to protect the elephants confined in such enclosures from being directly sprayed with the stream of water or wetted involuntarily.

(b) Sanitation of enclosures. Subsequent to the presence of an elephant with an infectious or transmissible disease, cages, rooms, and hard-surfaced pens or runs shall be sanitized either by washing them with hot water (180° F. at source) and soap or detergent, as in a mechanical washer, or by washing all soiled surfaces with a detergent solution followed by a safe and effective disinfectant, or by cleaning all soiled surfaces with saturated live steam under pressure. Pens or runs using gravel, sand, or dirt, shall be sanitized when necessary as directed by the attending veterinarian.

(c) Housekeeping. Premises (buildings and grounds) shall be kept clean and in good repair in order to protect the elephants from injury and to facilitate the prescribed husbandry practices set forth in this subpart. Accumulations of trash shall be placed in designated areas and cleared as necessary to protect the health of the elephants.

(d) Pest control. A safe and effective program for the control of insects, ectoparasites and mammalian pests shall be established and maintained.

13. Employees

A sufficient number of adequately trained employees shall be utilized to maintain the professionally acceptable level of husbandry practices set forth in this subpart. Such practices shall be under a supervisor who has a background in elephant care.

14. Separation

Elephants housed in the same primary enclosure must be compatible. Elephants shall not be housed near elephants that interfere with their health or cause them discomfort.

15. Transportation of elephants

Exhibitors must comply with all requirements applicable under 9 CFR Part 3 regarding the transportation of elephants.

History

• STATUTORY AUTHORITY: Resolves 2003, Chapter 41 - Requiring the Department of Agriculture, Food, and Rural Resources to adopt rules regarding the care and treatment of elephants.
• EFFECTIVE DATE: November 22, 2006 – filing 2006-490
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 721 Rules for the Permanent Identification of Wolf Hybrids

Code Me. R. 01-001 Ch. 721 Rules for the Permanent Identification of Wolf Hybrids {#sec-01-001-ch.-721 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 721}

SUMMARY: These rules establish methods of permanent identification for wolf hybrids applicable to all wolf hybrids owned or kept in the State of Maine.

DEFINITIONS

A. Commissioner – means the Commissioner of the State of Maine Department of Agriculture, Conservation and Forestry.

B. Department – means the State of Maine Department of Agriculture, Conservation and Forestry.

C. Identification – means a method or item bearing identifying data. i.e. a tattoo or microchip that provides information for determining the owner or keeper of a wolf hybrid.

D. Keeper – means a person in possession or control of a wolf hybrid. A person becomes the keeper a wolf hybrid, if the person feeds that animal for at least 10 consecutive days.

E. Microchip – means a small crystal of a silicon semiconductor fabricated to carry out a number of electronic functions in an integrated circuit and includes an electronic device implanted into a wolf hybrid for the purposes of identification.

F. Owner – means any person, firm, partnership, association or corporation owning, keeping, or harboring a wolf hybrid.

G. Permanent Identification – means any method of identification that is indelible or otherwise continues or endures without marked change in status or condition or place.

H. Tattoo – means a permanent mark or design made on the skin by a process of pricking and ingraining an indelible pigment or by raising scars.

I. Wolf – means any of various large wild predatory canids (genus Canis) that live and hunt in packs and resemble the related dogs; Canis lupus, gray wolf, timber wolf brindled gray wolf of forested northern regions of North America, Arctic wolf, Canis lupus tundrarum, white wolf - wolf of arctic North America having white fur and a black-tipped tail.

J. Wolf Hybrid – means a mammal that is the off spring of a species of wild canid or wild canid hybrid. “Wolf hybrid” includes a mammal that is represented by its owner or keeper to be a cross between a domestic dog (canis familiaris) and a wild canid or wild canid hybrid, and includes without limitation, any mammal that is represented by its owner or keeper to be a wolf hybrid, coyote hybrid, coy dog, or any other wild canid hybrid.

2. PROHIBITED ACTS

No person may own or keep any wolf hybrid over the age of eight (8) weeks unless permanent identification of that wolf hybrid has been provided in accordance with these rules.

3. METHODS OF IDENTIFICATION

A. Permanent identification of a wolf hybrid must be provided by one of the following methods:

(1) a microchip placed subcutaneous (under the skin) that has been registered with a nationwide organization and whose database will be accessible by the Department at all times; or

(2) a permanent tattoo that will be registered with a nationwide organization and whose database will be accessible by the Department at all times.

B. The database for any microchip or tattoo placed in accordance with paragraph 3.A (1) or 3.A (2) of these rules must contain the following information, at a minimum, and be readily accessible to the Department at all times:

(1) The name of the person who owns or keeps the wolf hybrid.

(2) The address of the person who owns or keeps the wolf hybrid.

(3) The telephone number of the person who owns or keeps the wolf hybrid.

C. Any telephone number provided to the Department by the owner or keeper of any wolf hybrid must remain in service and provide the Department ready access to the owner or keeper on a 24 hour basis, seven (7) days a week.

D. If available, anyone who owns or keeps a wolf hybrid must provide the Department with an email address.

E. Anyone who owns or keeps a wolf hybrid must advise the Department of any changes to the information provided to the Department in accordance with these rules within 72 hours of such change, including any changes in the name, address, phone, or email address of the owner or keeper of the wolf hybrid.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §3921-A
• EFFECTIVE DATE: June 8, 2004 - filing 2004-193
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 721 page 3

Chapter 751 Rules Governing Arborist Licensing, Testing, and Enforcement in the State of Maine (formerly 02-287, Arborist Examining Board, Ch. 1 - "Definitions.") (This new version also absorbed Ch. 752, 753, and 754.)

Code Me. R. 01-001 Ch. 751 Rules Governing Arborist Licensing, Testing, and Enforcement in the State of Maine {#sec-01-001-ch.-751 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 751}

SUMMARY: This chapter outlines the definitions, examination and licensing requirements, enforcement procedures, and professional expectations for arborists in the state of Maine.

SECTION 1. DEFINITIONS

A. Landscape Arborist - An individual licensed as an arborist, who is primarily concerned with the planting and care of shade or ornamental trees.

B. Utility Arborist - An individual licensed as an arborist who performs arboricultural procedures primarily in the proximity of electrical transmission, distribution and/or other utility lines.

C. Apprentice - An unlicensed individual working under the supervision of a licensed Arborist.

D. Department - Means the Maine Department of Agriculture, Conservation and Forestry.

E. Supervision - is the on-site direction by a licensed First Class or Master Arborist.

F. Restricted License - A license issued to an Arborist who has not met the requirements of both a Master Landscape and Master Utility Arborist.

G. Regular License - A license issued to an Arborist who has completed all the requirements for both the Master Landscape and Master Utility Arborist categories.

H. Person - Any individual, partnership, association, fiduciary, corporation, governmental entity or any organized group of persons whether incorporated or not.

SECTION 2. LICENSING CATEGORIES

A. Restricted

1. Apprentice Landscape or Utility Arborist - Individuals having no prior experience or training as a landscape or utility arborist are required to train under the direction of a First Class Arborist, Master Landscape Arborist or Master Utility Arborist until they successfully complete the First Class Landscape and/or First Class Utility Arborist exam and become licensed as a First Class Landscape and/or First Class Utility Arborist according to the rules established by the Department. An Apprentice is further restricted to the following limitations:

a. any work performed by an Apprentice must be under the on site supervision of a First Class or Master Arborist

b. the Apprentice must not solicit work

c. the Apprentice must not diagnose problems or prescribe treatment

d. the Apprentice must not in any other way act in the capacity of a First Class or Master Arborist.

First Class Landscape or First Class Utility Arborist - An individual who has successfully completed the First Class Landscape or First Class Utility Arborist examination and has met all the other licensing requirements contained in these rules.

3. Master Landscape Arborist - An individual who has a minimum of five years of experience as a First Class Landscape Arborist, has successfully completed the Master Landscape Arborist examination and holds a valid Maine Pesticide Applicator License in category 3A - Outdoor Ornamentals and has met all the other licensing requirements contained in these rules.

4. Master Utility Arborist - An individual who has a minimum of five years of experience as a First Class Utility Arborist, has successfully completed the Master Utility Arborist examination and holds a valid Maine Pesticide Applicator License in category 6A - Utility Vegetation Management and has met all the other licensing requirements contained in these rules.

B. Regular

1. Master Landscape and Master Utility Arborist - An individual who has a minimum of five years of experience as both a Landscape and Utility Arborist, has successfully completed both the Master Landscape Arborist and Master Utility Arborist examinations and holds a valid Maine Pesticide Applicators License in categories 3A - Outdoor Ornamentals and 6A - Utility Vegetation Management and has met all the other licensing requirements contained in these rules.

SECTION 3. REQUIREMENTS FOR ARBORIST TESTING AND LICENSING

A. An individual who wishes to practice arboriculture in Maine must obtain a license in the appropriate categories established by the Department.

B. The applicant must be at least 18 years of age.

C. The applicant need not be a resident of this state.

D. Applicants for any permit/license or examination must obtain an application from the Arborist Licensing Program, Maine Department of Agriculture, 28 State House Station, Augusta, Maine 04333. This completed application, accompanied by the appropriate non-refundable fee must be submitted to the same address for processing.

E. The Department recommends that all individuals with little or no prior experience or training begin as an apprentice working under the on-site supervision of a First Class or Master Arborist. An applicant with no prior experience or training should apply to the Department for either an Apprentice Landscape or Apprentice Utility Arborist permit.

F. The Department will not prevent any person from taking the First Class Arborist exams without having been an apprentice and if they successfully complete the exam those persons may become licensed as First Class Arborists and establish an arboricultural business.

G. An applicant may apply to the Department to take the First Class Landscape and/or First Class Utility Arborist examination. The examination for this restricted license category will test an individual’s competence in the field or arboriculture.

H. An applicant for the Master Landscape and/or Master Utility Arborist examination must be able to document a minimum of five years experience and/or training before applying to the Department for either of these licenses.

SECTION 4. PROCEDURE FOR OBTAINING A PERMIT OR LICENSE

A. An Apprentice permit will be issued by the Department following approval of the applicant's completed application and signed affidavit. The affidavit must be signed by the First Class or Master Arborist indicating that the Apprentice will work only under the supervision of a licensed First Class or Master Arborist, who will provide proper training to the applicant.

B. Applicants for either First Class or Master category license must take an examination approved by the Department. Exams shall be given on dates scheduled by the Department.

C. Within 60 days after written notification from the Department that an applicant successfully passed an exam, the applicant must submit the initial license fee, a signed insurance affidavit and certificate of insurance. [In addition, for a Master Landscape and/or Utility Arborist, a copy of the applicant’s current Maine Pesticide Applicator license in the appropriate category(s), must be submitted.] The insurance affidavit must state that liability insurance, at least in the amounts herein prescribed, will be in effect when performing arboricultural activities in Maine. Failure to submit the required fees and documents noted above within the 60-day period will result in the applicant having to repeat the process and pay all fees again.

SECTION 5. LIABILITY INSURANCE REQUIREMENTS

Before performing arboricultural activities in Maine, a licensed arborist must:

A. Obtain commercial general liability insurance coverage meeting the following minimum requirements:

Each occurrence $150,000

General aggregate $300,000

SECTION 6. FEES

A. Applicants for any Maine arborist permit, examination or license may be assessed the following fees by the Department:

1. Permits

a. Initial application only $15.00

b. Renewal $30.00

2. Exams

a. Application Fee $10.00

b. First Class Landscape or Utility $50.00

c. First Class Landscape and Utility $75.00

d. Master Landscape or Utility $75.00

e. Master Landscape and Utility $100.00

3. Licenses

a. First Class Landscape or Utility $30.00

b. First Class Landscape and Utility $45.00

c. Master Landscape or Utility $30.00

d. Master Landscape and Utility, or

Regular Master $45.00

e. Add authority to license $15.00

4. Late Fees $10.00

A copy of the Study Guide is available for a fee upon request from the Department.

SECTION 7. EXAMINATION

Examinations are based on a written Study Guide available from the Department.

A. First Class and Master Level examinations will include both a written and a practical section.

B. Written exam questions shall be objective - True/False, multiple choice, etc. The practical examination section will consist of demonstrated skills and knowledge in the various aspects of arboriculture.

C. Oral examinations at the First Class level will be provided to individuals with recognized disabilities upon request and approval of the Department. Oral exams shall cover the same information as the written exams and will be scheduled by the Department.

D. Specific examination components and the passing grade required for each category of licensing shall be as follows:

1. Apprentice Landscape or Apprentice Utility Arborist - no examination required

2. First Class Landscape or First Class Utility Arborist

a. Exam will consist of:

i. a written open book section covering:

information found in the Study Guide available from the Department.

information concerning the "American National Standards for Tree Care Operations", ANSI Z133.1 and ANSI A300, produced by the American National Standards Institute (ANSI).

ii. a practical demonstration of the applicant's knowledge of tree pest and/or tree identification, the safe use of arborist tools and equipment, and approved arboricultural techniques.

b. The passing grade will be 70% or better.

3. Master Landscape or Master Utility Arborist

a. Exam will consist of:

i. a written closed book section covering:

all information in the Study Guide available from the Department.

B. all information concerning the "American National Standard for Tree Care Operations", ANSI Z133.1 and ANSI A300, produced by the American National Standards Institute (ANSI).

ii. a practical demonstration of the applicant's knowledge of tree identification, insect and disease identification, and problem solving.

b. The passing grade will be 75% or better.

SECTION 8. ARBORIST CODE OF ETHICS

A. An Arborist:

1. must promote the highest ethical standards of personal conduct in the field of arboriculture.

2. must recommend to and inform the general public of proper and adequate shade tree care and must discourage the promotion of techniques, methods and materials that have not been adequately tested and approved.

3. should strive for increasing knowledge of arboriculture by attending arborist meetings, workshops, and seminars and by subscribing to trade journals and publications.

4. must meet all the requirements for a licensed arborist including the carrying of liability insurance to protect themselves and the public when performing arboricultural activities.

5. should, upon request of the Maine Arborist Advisory Council, aid the Council in updating the arborist exams, and any amendments to the Arborist Licensing Law that will further ensure equitable and ethical standards in the field of arboriculture.

6. must strive to share knowledge in the field of arboriculture with fellow arborists and to promote safe practices.

7. must be truthful in all verbal and written statement concerning arboricultural services offered.

SECTION 9. PROCESSING COMPLAINTS

The Department may, on its own motion or upon the complaint of any person, investigate the conduct and activities of any person holding an arborist license. Any person filing a complaint with the Department against an arborist must submit, in writing, a detailed description of the conduct or activities which are the subject of the complaint, as well as copies of any written contracts, photographs and other documentary evidence relating to the complaint.

Complaints will be processed following guidelines formulated by the Department. Such guidelines are available from the Department upon request.

The person against whom an investigation is initiated shall be notified by the Department of the investigation as soon as possible, but no later than 60 days after the complaint is received.

The person against whom an investigation is initiated shall have 30 days from receipt of notification of the investigation to respond to the Department in writing.

If, after investigation, the Department determines that a factual basis exists concerning a violation of any statute, standard or regulation relating to arborist licensing, the Department may take any of the following actions it deems appropriate:

Enter into a consent agreement with the person; or

Accept voluntary surrender of the person’s arborist license; or

Hold an adjudicatory hearing in conformance with the Maine Administrative Procedure Act (5 MRSA, Chapter 375, Subchapter IV), including the right to present and cross examine witnesses, for the purpose of determining whether or not to renew the person’s arborist license.

Refer the matter to the Attorney General’s Office for an enforcement action.

SECTION 10. DEFINITION OF UNPROFESSIONAL CONDUCT OF A LICENSED MAINE ARBORIST

A. Performing acts beyond the scope of the category for which the individual is licensed;

B. Assigning unqualified persons to perform arboricultural functions contrary to the law regulating the practice of arborists (7 MRSA, Chapter 404, subchapter 2) and this chapter;

C. Failing to supervise persons to whom arboricultural functions have been delegated;

D. Aiding, abetting or assisting an individual or company to violate or circumvent any law or regulation intended to guide the conduct of a licensed arborist;

E. Practicing arboriculture when physical or mental ability is impaired by alcohol or drugs;

F. Allowing another person to use one's arborist license for any purpose;

G. Impersonating another licensed arborist or falsely representing a company or firm;

H. Impersonating any applicant, or acting as proxy for the applicant, in any arborist examination; and

I. Any breach of the Arborist Code of Ethics contained in section 8 of this chapter.

History

• STATUTORY AUTHORITY: 7 MRSA chapter 404 §§ 2173-2191
• EFFECTIVE DATE: June 29 1991 (under 02-287, Arborist Examining Board)
• AMENDED: May 3, 1994
• EFFECTIVE DATE (ELECTRONIC CONVERSION): November 2, 1996
• RULE-MAKING AUTHORITY TRANSFERRED: September 18, 1999 - to 01-001, Department of Agriculture, Food and Rural Resources
• REPEALED AND REPLACED: February 11, 2006 – filing 2006-69, absorbed Ch. 751 through 754 under new title, “Rules Governing Arborist Licensing, Testing, and Enforcement in the State of Maine”
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-001 Chapter 751 page 8

Chapter 802 Disbursal of Challenge Grant Funds (formerly 01-019, Soil and Water Conservation Commission, Ch. 10)

Code Me. R. 01-001 Ch. 802 Disbursal of Challenge Grant Funds {#sec-01-001-ch.-802 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 802}

(APA Office Note: formerly Chapter 10 of the Soil and Water Conservation Commission, which was repealed by PL 1995 c.532 effective July 4, 1996.)

SUMMARY: This chapter provides the procedure to be followed by the Department in the disbursal of challenge grant funds to Soil and Water Conservation Districts pursuant to 12 M.R.S.A. §206.

1. Definition

"Department" shall mean the Department of Agriculture, Conservation and Forestry.

2. Scope

The 111th Legislature, in 1983, created a "Fund to Encourage Local Soil and Water Conservation Projects" (12 M.R.S.A. Sec. V, §§ 205 and 206). Each year since then, the Legislature has appropriated $100,000 to be disbursed to the Conservation Districts to initiate this program. The Legislature specified that the money be:

"...disbursed periodically by the Maine Department of Agriculture, Food and Rural Resources on a competitive basis to one or more of the Soil and Water Conservation Districts for the funding of innovative soil and water conservation projects..."

The Legislature did not specify how to distribute the money or what criteria to use. It allows the Department to establish the rules, indicating the factors that should be used in establishing the selection criteria:

"The criteria shall, among other factors, address priority of need, boldness of approach, program feasibility and reproducibilities and verification of results...."

The guidelines are intended to assure that all the districts can successfully participate in this program. The purpose is to inform the districts of the procedures and criteria the Department will use in selecting projects. It is assumed that the value of the funds sought will exceed the available funds. While the point system proposed here is an aid in screening applications, subjective judgment is required in the use of the criteria. The judgment will be that of the Commissioner of Agriculture.

3. Objective

The goal of the Soil and Water Conservation Commission was expressed in its name. The Department and Districts have the statutory responsibility for the conservation of all the soil and water resources of the State of Maine. The Legislature has stated its intentions in 12 M.R.S.A. c. 1, §§ 2. Districts may address those concerns through the Challenge Grant Program.

Those concerns are as follows:

1. To encourage the optimal use of the state's agricultural resources;

2. To insure the availability of appropriate soil and water resources for the production of food and other renewable resources;

3. To provide for the conservation of the soil and water resources of the State;

4. To preserve natural resources and maintain the economic base for the state's natural resource based industries .... "

5. Eligibility Procedures

A. Only Maine's 16 Soil and Water Conservation Districts are eligible to compete for Challenge Grant Funds.

B. No project will receive more than $20,000 in one program year. The Department shall annually establish this ceiling based on the appropriation. There is no limitation, however, on the number of projects for which a District may apply. In addition, Districts may apply for multi-year or multidistrict projects.

C. Capital equipment purchases may be allowed under certain circumstances (see Section 7 Administrative Procedures, Subsection L. of these rules).

D. Districts must demonstrate their ability to administer the grant by having an acceptable bookkeeping system, annual plan of work, and record of regularly scheduled meetings.

5. Application Procedures

A. After the initial year, the Department shall annually establish a schedule for applications, grant award, and project completion. Districts will be notified of this schedule by January 1 of each year that funds are appropriated.

B. The Department may wish to designate particular objectives at the time of the above announcement. The Department may also notify the Districts of any priority objectives for the coming year.

C. The Department will develop a project application form for the districts' use. Information requested will include, but not be limited to:

1. the objective of the project.

2. an explanation of the needs being addressed.

3. a work plan.

4. a budget.

5. an explanation of how the project will achieve the objective and the public benefits to be gained.

D. The application must be signed by a majority of the District Supervisors.

E. Any agreements required for the completion of the project (see section 7 - Administrative Procedures - Subsection D of these rules) will be attached to the application.

6. Selection Procedures

A. The Department shall fund successful applications at the third regular meeting following the deadline for submission of applications.

All decisions on whether or not projects will be funded will be based on a majority vote of the Department. The Department's decision shall be final.

B. The Department will use the following selection criteria to judge the merits of the project application. The following point system will guide the Department in the selection process and indicate the relative weight assigned to each of the chosen criteria.

(1) Project Objectives

The project will be judged on how well it addresses any or all of the four objectives listed in Section 3 of these Rules.

Maximum Points This Section 50

(2) Conformance with District Goals and Needs

Addresses Priority Needs of District 10

All projects proposed by the Districts should be written with the top priorities and needs of the local district in mind.

Maximum Points This Section 10

(3) Quality of Project Proposal

(a) Cost Effectiveness 10

The cost of the project will be compared to the benefits realized by its completion. Considerations include the efficiency in using available resources and the extent to which this project addressed the magnitude of the problem.

(b) Work Plan and Schedule 10

The work plan will be judged for feasibility and allotment of time and money to assure completion within the project time frame.

(c) Evaluation Measures 10

Project should include a methodology for evaluation its success. A quantifiable measure is most desirable.

(d) Creative Use of Funding Sources 10

The Department is encouraging proposals which effectively combine funds from other sources.

Maximum Points This section 40

(4) Results

(a) Public Benefits 25

The number of people benefited; the acreage served; reduction in pollution and erosion; proportion of state to which this is applicable; contributions to our understanding of the problem; or additions to the information base will be considered public benefits.

(b) Innovation 20

The Department will review the project for uniqueness. If successful, is it a concept that could be used in other Districts? Is it a fresh approach to an old problem? Could it be considered a pilot project with a large potential for carry-over statewide?

(c) Time Frame Impact 5

The lasting effects of the project will be considered.

Maximum Points This Section 50

7. Administrative Procedures

A. Conservation practices shall be consistent with the Natural Resources Conservation Service (NRCS) Technical Guide.

B. All activities funded by this project shall be consistent with state and local laws and ordinances.

C. The District and Soil Conservation Service shall enter into a project agreement covering all aspects of the District's and NRCS's role in carrying the project to completion. Personnel will be hired and/or fired by the District. if technical services are a part of the project, day to day supervision of all personnel will be under the direction of the NRCS District Conservationist.

D. The District will obtain an agreement from any agency whose services are essential for completion of the project. These agreements shall accompany the application.

E. There will be no contingency funds. The Department expects the District to complete the project proposed with the funds requested.

F. Except in the case of multiyear projects all funds not used by the District for the completion of the proposed project will be returned to the Department by June 1st for reallocation. Any funds returned or not allocated will be distributed according to the procedures outlined in Section 6.

G. Multiyear projects (2 years) may be applied for, but all of the funding would be allocated during the first year. The portion of funds necessary to the second year of the project would be withheld until June 1st of that same fiscal year. The District must provide the Department a progress report by May 15th of that year. That report would be reviewed by the Department at their June meeting. The remaining portion of the funding would be awarded for the project contingent upon the Department finding that progress toward project goals is being made. If progress is lacking, the project would be terminated and the remaining funds reallocated to another project. The $20,000 ceiling will remain in effect unless otherwise stated by the Department.

H. Supervisors will review the progress of their District's Challenge Grant project(s) at each monthly meeting. A progress report will be included in the District minutes.

I. An additional progress report for the Department will be made at the District's first regular meeting following two months of project implementation. This report should reflect the expenditures of project funds at the end of that period and an estimate of the proposed expenditures through the completion of the project. That report should be reflected as a part of the minutes of that District meeting and the District should make every effort to alert the Department at that time of any potential problems foreseen in bringing the project to completion.

J. When the Department makes its announcement prior to January 1st of the availability of grant funds, it shall also specify the date when applications are due in the Department office, the date that grants will be awarded, and the date the project completion report is due in the Department office.

K. In the case of experimental projects or projects where data must be collected, the Department encourages the Districts to seek professional assistance for review of the experimental design and methodology.

L. Challenge Grant Funds may be used to purchase Capital Equipment if:

1. the District adequately demonstrates the need for a capital equipment purchase;

2. the plans for disposal of any proceeds from the sale of the equipment are approved by the Department;

3. the cost of the equipment does not exceed 25% of the total Challenge Grant funds request;

4. the District provides a satisfactory explanation of equipment maintenance procedures and responsibilities.

M. At the completion of the project, the District will have a financial audit performed and a report of that audit shall be submitted to the Department as soon as it is available, along with a check for all unexpended funds. The final report is also required at the completion of the project (see Administrative Procedures Section 7 - subsection J above.)

EFFECTIVE DATE:

December 24, 1983 (under 01-019, Soil and Water Conservation Commission)

AMENDED:

March 21, 1988

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

March 2, 2000 - converted to MS Word

RULE-MAKING AUTHORITY TRANSFERRED:

July 4, 1996 - to 01-001, Department of Agriculture, Food and Rural Resources

MINOR CORRECTIONS:

November 17, 2000 - agency name changes made

May 19, 2008 – bolding

February, 2014 – agency names, formatting

01-001 Chapter 802 page 7

Chapter 803 Election of Soil and Water Conservation District Supervisors (formerly 01-019, Soil and Water Conservation Commission, Ch. 15)

Code Me. R. 01-001 Ch. 803 Election of Soil and Water Conservation District Supervisors {#sec-01-001-ch.-803 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 803}

(APA Office Note: formerly Chapter 15 of the repealed Soil and Water Conservation Commission.)

SUMMARY: This chapter provides for the procedures to be followed in conducting the election of Soil and Water Conservation District Supervisors pursuant to 12 M.R.S.A. §§ 101 and 102.

1. Election Superintendent

At least sixty (60) days before an election is scheduled the District Board of Supervisors shall appoint the District office manager or clerk or other responsible person other than a supervisor to act as Election Superintendent. The appointment shall be by letter and a copy of this letter sent to the Department of Agriculture, Conservation and Forestry.

2. Notice of Impending Election

The Election Superintendent shall send to the local newspaper an announcement of the upcoming election and availability of nomination petitions and ballots. Notice shall appear at least thirty (30) days prior to preparation and mailing of ballots. A sample legal notice shall be provided by the Maine Department of Agriculture, Conservation and Forestry. Such notice shall provide for all registered voters residing within the district boundaries to contact the district to receive nomination petitions or ballots.

3. Candidates

A candidate for an elected supervisor must be a registered voter residing within the boundaries of the district holding the election. The candidate or representatives working in his behalf shall submit to the Election Superintendent a nomination petition for the supervisor candidate signed by at least twenty-five (25) registered voters residing within the boundaries of the district. The Election Superintendent shall provide supervisor candidates with sufficient copies of blank nominating petitions. A sample form shall be provided by the Maine Department of Agriculture, Conservation and Forestry. The Election Superintendent shall establish the final date by which nomination petitions will be received and will certify nomination petitions for completeness and eligibility.

4. Eligibility of Voters

All registered voters residing within the boundaries of the district holding the election are eligible to vote.

5. Balloting

At least twenty-one (21) days prior to the date of the election the Election Superintendent shall mail ballots to all registered voters residing within the district boundaries who requested them and to all district cooperators. Each official ballot shall contain the following information:

Name of district.

Date of election.

Number of candidates for whom to vote.

List of candidates and town of residence.

The date and time balloting will terminate and the manner in which ballots may be returned to the District.

The ballots will be prepared and distributed in a manner so as to insure a secret ballot. The Election Superintendent shall hold all ballots unopened until the date and time of election. Upon the close of the balloting, all ballots will be opened and counted by two supervisors, neither of whom are running for office in the election for which they are counting ballots, in the presence of the Election Superintendent. The Election Superintendent shall tabulate the results of the election showing total votes cast, the number of void ballots, and the number of votes received by each candidate. The candidate who receives a plurality of votes cast is elected supervisor. In the event of a tie vote, a runoff election is held.

6. Certification of Results

The Election Superintendent shall certify to the Commissioner of the Maine Department of Agriculture, Conservation and Forestry, the results of the election and the names and mailing addresses, as well as legal addresses, of the elected supervisors. Each supervisor candidate shall also be notified of the election results. The ballots shall be held at the district office for a period of one year following the date of election.

7. Certificates of Election

The Maine Department of Agriculture, Conservation and Forestry shall issue oaths of office and certificates of election to each elected supervisor certified by the district prior to the commencement of the elected supervisor's term. The chairman of the district will be notified when this has been done.

EFFECTIVE DATE:

June 7, 1986 (under 01-019, Soil and Water Conservation Commission)

AMENDED:

May 14, 1991

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

RULE-MAKING AUTHORITY TRANSFERRED:

July 4, 1996 - to 01-001, Department of Agriculture, Food and Rural Resources

NON-SUBSTANTIVE CORRECTIONS:

March 2, 2000 - converted to MS Word

AMENDED:

February 19, 2002

NON-SUBSTANTIVE CORRECTIONS:

March 15, 2004 - Section 7

May 19, 2008 – bolding

February, 2014 – agency names, formatting

01-001 Chapter 803 page 3

Chapter 806 Advisory Rulings (formerly 01-019, Soil and Water Conservation Commission, Ch. 40)

Code Me. R. 01-001 Ch. 806 Advisory Rulings {#sec-01-001-ch.-806 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-001 Ch. 806}

(APA Office Note: formerly Chapter 40 of the Soil and Water Conservation Commission, which was repealed by PL 1995 c.532 effective July 4, 1996.)

SUMMARY: These rules provide a means of obtaining rulings by the Commission on issues within its jurisdiction.

1. Written Request

Upon written request of any interested person, the Commission may make an advisory ruling with respect to the applicability of any statute, regulation or rule administered by the Commission to him or his property or actual state of facts.

2. Address to Executive Director

All advisory ruling requests shall be addressed to the Executive Director, Soil and Water Conservation Commission, Maine Department of Agriculture, Augusta, Maine 04333.

3. Request for More Information

The request shall contain sufficient facts for the Commission to make a ruling. The Commission may request information from the party requesting the ruling. Failure to provide such information shall be cause for the Commission to refuse to issue a ruling.

4. Refusal to Issue Ruling

The Commission may refuse to issue an advisory ruling if it may harm its interests in any litigation wherein it is or may become a party.

5. Ruling in Writing Within 60 Days

Any advisory ruling shall be in writing and Issued no more than 60 days from the date when all information necessary for the ruling has been received by the Commission.

6. Advisory Ruling Not Binding

An advisory ruling shall hot be binding upon the Commission, provided that in any subsequent enforcement action initiated by the Commission, any person's justifiable reliance upon the ruling shall be considered in mitigation of any penalty sought to be assessed.

EFFECTIVE DATE:

June 29, 1979

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

March 2, 2000 - converted to MS Word

RULE-MAKING AUTHORITY TRANSFERRED:

July 4, 1996 - to 01-001, Department of Agriculture, Food and Rural Resources

NON-SUBSTANTIVE CORRECTIONS:

May 19, 2008 – bolding

February, 2014 – agency names, formatting

01-001 Chapter 806 page 2

01-015 Maine Milk Commission

Chapter 1 Orders

Code Me. R. 01-015 Ch. 1 Orders {#sec-01-015-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 1}

SUMMARY: This rule contains certain definitions, Commission Rulings, required records, price computations, container sizes and other matters necessary to carry out the Maine Milk Commission Law .

1. DEFINITIONS

As used in this order, the following words shall have the following meaning:

A. "Books and Records" means books, records, accounts, memoranda or other data pertaining to the purchase and distribution of milk.

B. "Commission" means the Maine Milk Commission.

C. "Consumer" means any person other than a milk dealer or producer who purchases milk for fluid consumption.

D. "Dealer" means any person who purchases or receives milk for sale as the consignee or agent of a producer, or handles for sale, shipment, storage or processing within the State and shall include a producer-dealer and a sub dealer, but shall not include a store other than an integrated operation

E. "Federal Order" means USDA, Agriculture Marketing Service, Dairy Division, Federal Milk Order No. 1.

F. "Market" means any city, town or parts thereof of the State, or 2 or more of the same or parts thereof designated by the Commission as a natural marketing area.

G. "Milk" means whole milk and cream, fresh, sour or storage; skimmed milk and buttermilk, irrespective of whether or not any such milk is flavored.

H. "Person" means any individual, partnership, firm, corporation, association or other unit and the State and all political subdivisions or agencies thereof, except state-owned and operated institutions.

I. "Producer" means any person who produces milk and sells his said milk only to dealers.

J. "Producer-dealer" means a dealer who himself produces a part of all of his milk or a person who produces milk and sells to a grocery store or dairy products store or similar commercial establishment.

K. "Retail Sale" means a doorstep delivery and over-the-counter sales by stores.

L. "Store" means a grocery store, dairy product store, canteen, milk vending machine operator, milk dispensing operator or any similar commercial establishment or outlet or any other sale where milk is sold to consumers for consumption off the premises where sold.

M. "Sub-dealer" means any person who does not process milk and who purchases milk from a dealer and sells such milk in the same containers in which he purchased it, but shall not include a store.

N. "Wholesale sale" means sale to any other person not included in retail.

2. COMMISSION RULINGS

A. Quantity discounts, except as provided in price schedules are illegal.

B. All containers in which milk or cream is sold must carry the name or trade name of the dealer on the container or the cap and, in addition thereto, all cream containers shall be marked with the words, "Half-and-Half", "Light Cream", "Medium Cream" or "Heavy Cream".

C. Skim milk is hereby defined as that fluid product of milk which contains less than 0.25% milk fat.

D. Half-and-Half is hereby defined as the milk product resulting from the combining of milk and cream in such proportions as to result in a mixture containing not less than 10.5%, but less than 18% milk fat. (See Section #16)

E. Light Cream is hereby defined as fluid cream, containing not less than 18% milk fat.

F. Medium Cream is hereby defined as fluid cream containing not less than 30% milk fat.

G. Heavy Cream is hereby defined as fluid cream containing not less than 36% milk fat.

H. Whole milk is hereby defined as fluid milk containing not less than 3.25% milk fat.

I. Low fat milk is hereby defined as milk which contains at least .5% and not more than 2.5% of milk fat. Low fat milk shall contain not less than 8.5% of milk solids not fat.

J. No milk or cream shall be sold for human fluid consumption in any controlled area at any other butterfat percentages than those defined in these Rules and Orders.

K. Dealers paying a blended price to producers shall compute payments on a monthly basis and use the current Class prices. Dealers desiring to pay on a semimonthly basis may do so by using the appropriate Class prices or by an estimated advance payment and making the necessary adjustments when monthly prices are announced.

L. 1. Dealer-to-Dealer sales of milk are payable at the Class I price to producers.

2. Dealer-to-Dealer sales of cream are payable at the Class II milk equivalent price to producers.

M. Dealers who regularly buy milk from producer-dealers shall include this milk in their records as "receipts from producers" and pay the hundredweight fees on said milk.

N. Dealers wishing to pay producers on a rating or quota plan must have prior approval by the Commission based upon six months notification to the producers.

O. There can be no contract or agreement whereby a dealer on a use plan pays one or more producers less than the minimum payable to all producers in any given pay period.

P. Milk sold by a dealer in a controlled area to a consuming unit which is not a consumer as defined by statute, or sold in an uncontrolled area, shall not be subject to the minimum prices fixed by the Commission. The minimum prices fixed shall nevertheless apply to sales of milk destined for use of such consuming unit or in such uncontrolled area, from producers to dealers. These minimum prices shall be prevailing producer prices in the immediately adjoining or surrounding controlled market area to the physical location of such consuming unit or uncontrolled area.

Q. Any dealer may deduct an allowance for transportation from the producer's farm to the dealer's dairy plant pursuant to a reasonable schedule of charges filed with the Commission, with a copy to each affected producer, at least 30 days prior to the proposed effective date. Should any producer or producer organization petition the Commission for a hearing and such hearing is granted, it will be incumbent upon the dealer to substantiate the reasonableness of the schedule of charges filed. In absence of such evidence, the schedule of charges in question shall be deemed unreasonable.

3. DEALER RECORDS AND REPORTS

Dealers buying milk from producers shall keep the following records available for inspection and audit by the Commission or its agents at all reasonable times in permanent ledger form approved by the Commission or its agents.

4. FOR EACH PAY PERIOD

A. Daily amount of milk supplied by each producer (own included), totaled for the pay period for each producer, and totaled for the pay period for all producers.

B. Daily Class I sales at retail, wholesale and dealer-to-dealer, totaled for the pay period.

C. Daily sales of skim milk and cultured buttermilk for human fluid consumption, totaled for the pay period.

D. Record of dealer-to-dealer sales of milk and cream and dealer-to-dealer purchases of milk and cream with names of dealers, date and amount of sale or purchase, each totaled for the pay period.

E. Gross amount due each producer, itemized deductions and net payment.

F. Canceled checks or signed receipts of payments to producers must be available for proof of payments.

G. Each dealer shall furnish his producers a statement of the amount of milk purchased, the price per hundredweight, the total amount paid for each pay period, the itemized deductions for transportation and other services, the percentage of milk in each classification (unless the dealer is a federal order plant) and the butterfat test when weight and test method of payment is used.

5. CLASS I MILK SHALL MEAN:

A. All fluid milk sold, distributed or disposed of as or in milk which contains not more than 10.5% butterfat and skim milk and cultured buttermilk sold for human consumption.

B. All milk products sold, distributed or disposed of for human consumption as or in flavored milk and flavored skim milk.

C. All fluid milk in bulk form which contains not more than 11% butterfat, skim and cultured buttermilk which is transferred between plants operated by one company, if the receiving plant is not subject to the jurisdiction of the Commission and not part of the Federal Milk Marketing Order #1, and sells, distributes or disposes of fluid milk for human consumption in amounts equal to or in excess of the amount of milk transferred.

6. CLASS II MILK SHALL MEAN:

Class II milk shall mean milk and cream not classified as Class I and is one or more of the following:

A. disposed of in the form of packaged fluid cream;

B. manufactured into soft products, such as cottage cheese, ice cream, milk shake, egg nog or ice milk mixes, custards, puddings or any other semi-solid products resembling a Class II product.

C. sold in bulk form to another Maine dealer provided that the purchasing dealer has a Class II license.

D. milk or cream used for in-house manufacturing of soft products or,

E. surplus milk or cream sold to a manufacturing plant to produce soft products.

7. CLASS III MILK

Class III milk shall be milk not classified as either Class I or Class II and is one or both of the following:

A. milk or cream used in the manufacturing of hard products including milk or cream which is used for in-house manufacturing of hard products or,

B. surplus milk or cream sold to a manufacturing plant to produce hard products such as hard cheese, butter or dry powder.

Sales of surplus milk and cream to a manufacturing plant shall be classified as Class III sales unless the audit identifies a Class II sale.

8. COMPUTATION OF CLASS I PRICE

For Class I milk - the Zone 1 price as announced by the U.S. Department of Agriculture, Federal Milk Order No. 1 for the New England Marketing Area.

9. COMPUTATION OF CLASS II PRICE

For Class II milk - the price for all zones as announced by the U.S. Department of Agriculture, Federal Milk Order No. 1 for the New England Marketing Area.

10. COMPUTATION OF CLASS III PRICE

For Class III milk - the price for all zones as announced by U.S. Department of Agriculture, Federal Milk Order No. 1 for the New England Marketing Area.

11. BUTTERFAT DIFFERENTIAL

The butterfat differential payable by dealers to producers for each 1/10 of 1% of butterfat variance from the basic 3.5% shall be the monthly butterfat differential as announced by the U.S. Department of Agriculture, Federal Milk Order No. 1 for the New England Marketing Area.

12. SKIM MILK

Skim milk - (not flavored) and cultured buttermilk sold for human fluid consumption shall be paid for at the Class I - 3.5% producer price applicable to the market area where sold.

13. CLASS I FOR CHOCOLATE AND FLAVORED MILK

The producer shall be paid the Class I price for all the whole, lowfat, or skim milk which is used in chocolate and flavored milk.

14. CONTAINER SIZES

A. The half-gallon prices shall apply to 2 single quarts banded together, so called twin-packs or half-gallon containers.

B. The gallon prices shall apply to milk sold in gallon containers only.

15. CONTAINER DEPOSIT

The minimum deposit to and by all wholesale customers and stores purchasing milk for resale in reusable container shall be $.25 for gallons, $.15 for half-gallons and $.10 for quarts.

16. CLASS II FOR HALF AND HALF

The producer shall be paid the Class II price for all volume of sales of half and half.

17. FLAT PRICE METHOD

The minimum price payable to producers by dealers who purchase milk by the flat price method in any controlled market area shall be 100%, the price as announced by the Commission.

18. WEIGHT AND TEST METHOD

The established minimum prices payable to producers by dealers who purchase milk by the "Weight and test" method in any controlled market area shall be based on the butterfat equivalent of 3.5% for all classifications according to its various usages, and such prices shall be increased by the announced butterfat differential for each 1/10 of 1% of average butterfat content above said test and decreased a like amount for each 1/10 of 1% of average butterfat content below said test.

19. CHANGE METHOD OF PAYMENT

Any change in the method of payment by dealers to producers, either to a flat price or weight and test method, shall have the prior approval of the Maine Milk Commission.

20. FLUID DIETARY MILK PRODUCTS

Fluid dietary milk products shall be considered as flavored milk, or as flavored skim milk if the butterfat content is less than 2.25%; and as such, the classifications of these products will be as Class I milk.

21. FLAVORED MILK AND STANDARD WEIGHT

Flavored milk and flavored skim milk, to include fluid dietary milk products, shall have a standard weight equivalent to 2.0 pounds per quart.

22. BASE RATING OR QUOTA PLAN

Licensed dealers having a base rating or quota plan, which has had the prior approval of the Commission, may deduct $.50 per hundredweight from the Class II price for milk beyond each producer's quota provided such milk has been utilized in the manufacture of butter only, in the plant where received from producers. This milk so used in the manufacture of butter shall not become a part of the normal plant blend calculation, and shall be carried as a separate factor in the dealer's records and on the producer's checks.

23. MILK BALANCING

A dealer's calendar month's utilization and blend price shall be based on that dealer's "Net Class I Sales". "Net Class I Sales" shall be calculated as follows:

A. A dealer shall first calculate its "Gross Class I Sales". "Gross Class I Sales" is the sum of:

1. the dealer's packaged fluid Class I milk sales;

2. the dealer's Class I sales of fluid milk in bulk to other Maine dealers.

B. The dealer shall then calculate "Milk Purchased From Other Dealers". "Milk Purchased From Other Dealers" is the sum of:

1. Bulk Class I milk receipts from Maine dealers' producer milk;

2. Bulk Class I milk receipts from federal order sources;

3. Bulk Class I milk receipts or transfers from dealers outside of Maine, after deducting the amount of Class I milk sold outside of Maine in any area not regulated by any Federal Marketing Order, to the extent that such net receipts or transfers do not exceed 10% of the milk dealer's total Maine Class I sales; and

4. Class I milk receipts in packaged form.

C. Milk Purchased From Other Dealers shall not include purchases of bulk skim milk, unless;

1. the purchasing dealer's total producer production is less than the purchasing dealer's total needs, or;

2. when the purchase of skim is the direct result of separator equipment failure.

D. If a dealer purchases bulk skim but has not experienced separator equipment failure, only the amount of skim needed to bring the dealer's total purchases up to 105% of a dealer's total needs will be included in milk purchased from other dealers. Any skim purchases that results in a dealer's total purchases exceeding 105% of the dealer's total needs will be considered a Class II purchase.

E. A dealers "total needs" includes:

1. all Class I packaged milk sales less sales of purchased packed products.

2. all in-house Class II and Class III manufactured dairy products.

3. all shrinkage

4. the disposal of all surplus butterfat as marketable bulk cream

F. A dealer's "Net Class I Sales" shall be the dealer's "Gross Class I Sales" minus "Milk Purchased From Other Dealers".

G. A dealer's "Total Maine Class I Sales" shall be the dealer's gross Class I sales minus the sum of Class I sales outside the State of Maine, and transfers of packaged milk to plants outside the State of Maine.

24. OUT OF STATE CLASS I SALES

Out of State Class I Sales of Maine producer milk shall be credited at the Federal Order #1 Zone I blend price for the current month when the dealer determines its blend price. (This calculation only applies when a dealer's out of state Class I sales exceed out of state bulk milk purchases.)

25. TRANSPORTATION ALLOWANCE

A. COMPUTATION FOR CLASS II PRICE

For Class II milk - the price for all zones as announced by the United States Department of Agriculture for the New England marketing Area. Such Class II price may be reduced by 0.3 cents per hundredweight for each one mile distance from the originating purchasing dealer's plant or, at the dealer's discretion, any facility in Maine at which the milk is first received and reloaded to in turn be shipped to any Federal Order or manufacturing plant using the shortest highway route for that volume of surplus milk and cream which is in excess of the Class I , II and III needs of the originating purchasing dealer and which is moved to that Federal Order or manufacturing plant. A 20 mile buffer zone will be recognized around each dealer's plant or reload station for which no transportation allowance will be allowed for surplus milk. The maximum mileage that will be allowed in any case will be from the dealer's plant to West Springfield, Massachusetts less that 20 mile buffer. Furthermore, for the months of September, October, and November, the combined volume of surplus Class II and Class III milk to which the transportation allowance will apply shall not exceed 3% of the dealer's Maine market producer purchases during each of these individual months. For the months of January, July, August, and December, the transportation allowance shall not apply to more than 8% of the dealer's Maine market producer purchases during each of these individual months. For the months of February, March, April, May, and June, the transportation allowance shall not apply to more than 12% of the dealer's Maine market producer purchases during each of these individual months.

B. COMPUTATION FOR CLASS III PRICE

For Class III milk - the price for all zones as announced by the United States Department of Agriculture for the New England Marketing Area. Such Class III price may be reduced by 0.3 cents per hundredweight for each one mile distance from the originating purchasing dealer's plant or, at the dealer's discretion, any facility in Maine at which the milk is first received and reloaded to in turn be shipped to any Federal Order or manufacturing plant using the shortest highway route for that volume of surplus milk and cream which is in excess of the Class I, II and III needs of the originating purchasing dealer and which is moved to that Federal Order or manufacturing plant. A 20 mile buffer zone will be recognized around each dealer's plant or reload station for which no transportation allowance will be allowed for surplus milk. The maximum mileage that will be allowed in any case will be from the dealer's plant to West Springfield, Massachusetts less that 20 mile buffer. Furthermore, for the months of September, October, and November, the combined volume of surplus Class IT and Class III milk to which the transportation allowance will apply shall not exceed 3% of the dealer's Maine market producer purchases during each of these individual months. For the months of January, July, August, and December, the transportation allowance shall not apply to more than 8% of the dealer's Maine market producer purchases during each of these individual months. For the months of February, March, April, May and June, the transportation allowance shall not apply to more than 12% of the dealer's Maine market producer purchases during each of these individual months.

26. MONTHLY DEALER BLEND PRICE CALCULATION

A. The sum of B, C and D below divided by a dealer's producer purchases equals the monthly dealer blend price:

B. Net Class I Sales as determined in 23 and 24 above multiplied by Class I price for the current month.

C. Class II Sales as determined in 25 above.

D. Class III Sales as determined in 25 above.

27. MONTHLY REPORT

Dealers must report monthly purchases and sales to the Commission on a form provided or approved by the Commission. This completed form is due in the Maine Milk Commission office by the twentieth (20th) of each month.

28. RULES AND PRICE ORDERS

These Rules and Orders shall supplement all price orders and any variance between the Rules and Orders and the price order shall be resolved in favor of the effective price order.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 2953 and 2954
• EFFECTIVE DATE: January 1, 1986
• AMENDED: February 1, 1988
• EFFECTIVE DATE: First day of the month following passage by the Legislature of a change to statute adding Class III.
• AMENDED: September 1, 1991
• ELECTRONIC CONVERSION: May 4, 1996
• AMENDED: August 22, 1998
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 4 Marketing Areas

Code Me. R. 01-015 Ch. 4 Marketing Areas {#sec-01-015-ch.-4 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 4}

SUMMARY: "Market" means any city, town or parts thereof of the State, or 2 or more of the same or parts thereof designated by the commission as a natural marketing area. "Commission" means the Maine Milk Commission.

The minimum wholesale and retail prices established by the commission must be just and reasonable taking into due consideration the public health and welfare and the insuring of an adequate supply of pure and wholesome milk to the inhabitants of this State under varying conditions in various marketing areas; prevailing prices in neighboring states; seasonal production and other conditions affecting the costs of production, transportation and marketing in the milk industry, including a reasonable return to producer, dealer and store; and the public need for the establishment of retail milk prices at the lowest practicable levels.

In establishing and changing minimum wholesale and retail prices, the commission shall consider the effect of possible pricing decisions on the ability of the Maine dairy industry to compete in supplying milk to Maine consumers and, in such a consideration, shall include the following factors:

(1) The strength and viability of the Maine dairy industry as a whole;

(2) The extent of any social or economic benefits of maintaining dairy processing plants in different geographic regions or natural marketing areas of the State; and

(3) The encouragement of consumption by Maine consumers of milk produced and processed within the State, consistent with the Constitution of Maine and the United States Constitution.

The Commission may vary minimum prices in different market areas of the State. Once minimum prices for a market take effect, no dealer, store or other person handling milk in that market may buy or offer to buy, sell or offer to sell milk for prices less than the scheduled minimum prices established for that market.

Because of changes in the number of processing plants and their location throughout the state, and because of the consolidation of retail distribution of milk within the state, the Commission believes it is no longer necessary to divide the state into different natural marketing areas. Therefore, the Commission hereby adopts the State of Maine as a natural marketing area.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2954
• EFFECTIVE DATE: March 23, 1965 (Markets #1 thru #47)
• EFFECTIVE DATE: December 31, 1979 (Market #48)
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• REPEALED AND REPLACED: September 30, 2007 – filing 2007-414
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 4 page 2

Chapter 5 Dealer Cost Accounting and Reporting System

Code Me. R. 01-015 Ch. 5 Dealer Cost Accounting and Reporting System {#sec-01-015-ch.-5 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 5}

SUMMARY: This chapter alters the ongoing system of accounting and reporting by making the requirements less intrusive, and changes the frequency and condition of some of the reporting requirements.

1. Definitions. Unless the context otherwise indicated and subject to Section 2 herein, the definitions contained in 7 M.R.S.A. §2951 shall apply to this chapter.

2. Applicability. The requirements of this chapter shall apply to any dealer operating a plant located in the State of Maine which processed in excess of three million pounds of milk during the twelve-month period immediately preceding the beginning of any calendar quarter.

3. Accounting and Reporting System. Originally the Commission modified and adopted the McClain Cost Comparison Service for Milk and Ice Cream Plants published by the Edward B. McClain Co., Inc., as its ongoing system of cost accounting and reporting. This rule updates the Commission's adoption of that system and continues the ongoing process of making it more specific to its changing needs. The Commission's Dealer Cost Accounting and Reporting System (DCARS) consists of Schedule A, B, C, three data forms, and an explanatory manual. These materials are made a part of this chapter. (See Appendix A - C)

4. Financial Completion and Verification

A. Each dealer subject to this chapter shall complete the DCARS schedules and data forms for each reporting period. Each dealer shall complete these materials according to the instructions contained in the explanatory manual. The Commission shall verify the information contained on the completed materials for each reporting period as it deems necessary. (See Appendix A page 3-4 for audit procedures.)

B. Within 120 days of the close of its fiscal year each dealer shall furnish to the Commission a year-end financial compilation of its dairy operation. The dairy's year-end compilation shall contain Schedules A,B, & C that may be reconciled directly to the financial statement of the dairy operation. The dairy's financial statements must be compiled, reviewed, or audited by an independent certified public accountant.

5. Submission. All dealers subject to this chapter shall mail their completed interim reporting period questionnaires and forms to the Commission's Augusta office within sixty days after the close of each 13 week accounting period or after the close of each calendar quarter.

6. Supplemental Instructions for Completion of the DCARS Schedules and Data Forms

A. See DCARS Summary Appendix A

B. See DCARS Explanatory Manual Appendix B

C. See DCARS Individual Schedules Data Forms Appendix C

7. STATUTORY AUTHORITY: 7 M.R.S.A. §2953

Note: Appendices A, B and C are available from the Maine Milk Commission.

EFFECTIVE DATE:

First adopted in June 1980

AMENDED:

February 28, 1994

ELECTRONIC CONVERSION:

May 4, 1996

CONVERTED TO MS WORD:

August 5, 2005

CORRECTIONS:

February, 2014 – agency names, formatting

01-015 Chapter 5 page 2

Chapter 6 Inspection of Records, Books and Accounts

Code Me. R. 01-015 Ch. 6 Inspection of Records, Books and Accounts {#sec-01-015-ch.-6 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 6}

SUMMARY: This chapter prescribed procedures for the Commission's inspection of the records, books and accounts of producers, dealers and stores.

1. Definitions. Unless the context otherwise indicates, the definitions contained in 7 M.R.S.A. §2951 shall apply to this chapter.

2. Inspection of records, books and accounts

A. Upon written request of the Chairman or an employee of the Commission, any dealer, producer or store shall make its records, books and accounts available for inspection at the office or place of business where they are regularly kept, and at the date and time specified in the request.

B. To the extent practicable, the written request shall designate the purpose of the investigation and if known by the Commission, the specific records, books and accounts to be examined.

C. Inspections may be conducted by a Commission employee or by an accountant, auditor or other person engaged by the Commission on a contract basis. A dealer, producer or store shall provide the person conducting an inspection with all necessary assistance in locating, compiling, interpreting and working with the records, books and accounts under examination.

D. No dealer, producer or store shall remove, sequester or destroy any materials necessary to the inspection, or otherwise hinder or obstruct it. No dealer, producer or store shall remove, sequester or destroy any materials designated for retention during or after the inspection by the person conducting the inspection or by the Chairman or any employee of the Commission.

3. Other Means of Investigation. It is the intent of the Commission that this chapter shall not limit the authority to investigate the business of producers, dealers, stores and other persons conferred on the Commission by all provisions of the Milk Commission Law, 7 M.R.S.A. §2951 et other than that specifically identified below as constituting the statutory authority for this chapter.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2953, last sentence
• EFFECTIVE DATE: December 14, 1981
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 6 page 2

Chapter 7 Advisory Rulings

Code Me. R. 01-015 Ch. 7 Advisory Rulings {#sec-01-015-ch.-7 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 7}

SUMMARY: This chapter deals with the scope and authority of the Maine Milk Commission to issue advisory rulings and states the procedures to be followed.

1. Authority and Scope

The Maine Milk Commission may issue advisory rulings pursuant to 5 M.R.S.A., §9001 concerning the applicability of any statute or rule it administers to an existing factual situation. Advisory rulings will be issued at the Commission's discretion and only upon request. Each request will be individually reviewed to determine whether an advisory ruling is appropriate. The Commission way decline to issue an advisory ruling if the question is hypothetical, if there is insufficient experience upon which to base a ruling, or for any other reason the Commission deems proper.

2. Submission

Requests for advisory rulings shall be in writing and shall set forth in detail all facts pertinent to the question. The Commission may require additional information as necessary to complete the factual background for its ruling.

3. Form of Rulings

All advisory rulings shall be in writing and shall be numbered in an appropriate serial manner. They shall state all facts and assumptions on which they are based in sufficient detail so as to allow understanding without reference to other documents.

4. Issuance; Recommendation

Each completed advisory ruling shall be mailed to the requesting party and a copy shall be kept by the Commission in a file or binder established for this purpose. Advisory opinions shall be issued within 60 days of the Commission's acceptance of a request. All completed advisory rulings are public documents and shall be available for public inspection during the Commission's normal working hours. In addition, the Commission may otherwise publish or circulate any advisory ruling as it deems appropriate.

History

• STATUTORY AUTHORITY: 5 M.R.S.A. §§ 8051 and 9001
• EFFECTIVE DATE: January 1, 1988
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 7 page 2

Chapter 10 Accounting Review of 1979 Dealer Data

Code Me. R. 01-015 Ch. 10 Accounting Review of 1979 Dealer Data {#sec-01-015-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 10}

Summary: This rule requires major Maine dealers (i.e., dairy processing plants) to engage an independent certified public accountant to conduct a financial "review" of the operations and cost data submitted by them last year to the Commission's consultant.

1. Applicability

This rule applies to licensed Maine milk dealers processing in excess of three million pounds of milk annually, to wit:

Brewer's Dairy, Augusta Houlton Farms Dairy, Houlton

Cote's Dairy, Lewiston Locust Farm Dairy, N. Limington

Fitzpatrick's Dairy, Benton MPG Dairy, Presque Isle

Footman's Dairy, Brewer Oakhurst Dairy, Portland

Gifford's Dairy, Skowhegan Old Tavern Farm Dairy, Yarmouth

Grant's Dairy, Bangor Pleasant Hill Dairy, Hermon

Hancock County Creamery, Ellsworth NF & JC Schoppee Dairy, Machias

Hemond's Dairy, Minot Smiley's Dairy, Winslow

H.P. Hood, Inc., Portland

2. Financial Review

Each dealer listed in section I shall cause a financial "review" to be conducted of the data furnished by that dealer to Dr. Homer B. Metzger in response to the latter's "Cost of Milk Distribution Study Data Request, 1980," dated June 12, 1980. The term "review" is the accounting verification procedure of that name as described in the booklet "Compilation and Review” published by the American Institute of Certified Public Accountants. This review shall be performed in each instance according to applicable professional guidelines by an independent certified public accountant who is not an employee of the dealer who hires him.

3. Time for Compliance

Each dealer listed in section I shall engage within one week of the effective (late of this rule an independent certified public accountant to perform the review described in section 2. Each dealer shall submit the accountant's report (or cause it to be submitted) to the Maine milk Commission no later than October 6, 1981. Each dealer shall take all necessary steps to expedite the accountant's performance of the review.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 2953, 2956
• EFFECTIVE DATE: October 13, 1981
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 10 page 2

Chapter 11 Dealer and Subdealer Delivery Route Information

Code Me. R. 01-015 Ch. 11 Dealer and Subdealer Delivery Route Information Reports {#sec-01-015-ch.-11 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 11}

SUMMARY: This chapter requires milk dealers and subdealers to report delivery route information and establishes a standard format for reporting.

1. DEFINITIONS. Unless the context otherwise indicates and subject to Section 2 herein, the definitions contained in 7 M.R.S.A. §2951 shall apply to this chapter.

2. APPLICABILITY. The requirements of this chapter shall apply to any dealer and any subdealer who operates a milk processing plant or who is located in the State of Maine and who delivers 20,000 pounds or more per month of milk products the price of which is regulated by the Maine Milk Commission.

3. DELIVERY ROUTE INFORMATION REPORTING FORM. For purpose of reporting by each dealer and subdealer of information on each milk delivery route serviced by that dealer or subdealer, the Commission hereby adopts the forms entitled "Maine Milk Commission Delivery Route Information".

Note: The form consists of ten items of information for each route. A one-page general instruction sheet accompanies the form, as does a partially completed form.

4. REPORTING REQUIREMENT

A. The Commission shall designate one week in each quarter as the week for which each dealer and subdealer shall complete the form adopted under 3 above. The Commission shall notify dealers and subdealers two weeks in advance of the designated week.

B. For each day of the designated week, each dealer and subdealer shall complete one form for each route serviced on that day.

C. Each form shall be completed in accordance with the accompanying instructions.

5. FREQUENCY. Each dealer and subdealer shall submit the completed forms to the Commission within 14 days following the last day of the designated week.

Note: Forms and instructions are available from the Maine Milk Commission.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2953
• EFFECTIVE DATE: August 28, 1985
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 11 page 2

Chapter 13 Retail Cost Studies

Code Me. R. 01-015 Ch. 13 Retail Cost Studies {#sec-01-015-ch.-13 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 13}

SUMMARY: This chapter prescribes procedures for the gathering of information necessary to establish minimum retail margins.

I. Definitions

Unless the context otherwise indicates, the definitions contained in 7 M.R.S.A. §2951 shall apply to this chapter.

II. Applicability

The provisions of this chapter shall apply to retail cost studies conducted by the Commission or by a consultant acting on its behalf for the purpose of enabling the Commission to determine the minimum retail margin for sales of milk.

III. Obligations of Stores

Stores selected for inclusion in a retail cost study shall:

A. Complete all questionnaires requesting information as to the purchases, sales, costs, finances and operations of the store;

B. Make available to the Commission, its employees and consultants any personnel activity logs and any time-and-motion studies conducted by or for the store relating to regulated milk;

C. Cooperate in the compilation of any personnel activity logs, or the performance of any time-and-motion studies that the Commission, its employees or consultants choose to conduct at the store (at the Commission's expense);

D. Conduct or compile any analysis or tabulation requested by the questionnaire or by the Commission, its employees and consultants relating to the number of controlled milk items sold compared to the number of all other items sold during a designated period;

E. Permit the Commission, its employees and consultants to conduct such physical measurements of dairy cases, cold storage areas and other store facilities as may be necessary for purposes of the study;

F. Make specific store employees (e.g., store manager, dairy department manager, accountant, controller) available to the Commission, its employees and consultants for the purpose of discussing store operations and reviewing the information requested on the questionnaire;

G. Cooperate with the Commission, its employees and consultants in discussing the sources, methods and judgmental basis for compiling the information reported on the questionnaire;

H. Permit the Commission, its employees and consultants to verify the accuracy of the information reported on the questionnaire, and provide such person(s) all necessary assistance in locating, compiling, interpreting and working with the books, records, accounts and other information necessary to verify the accuracy of the information reported on the questionnaire;

I. Provide such additional or follow-up information as may be requested by the Commission, its employees and consultants;

IV. Confidentiality of Information

Any information provided to the Commission, its employees, its counsel or its consultants will be confidential to the extent that (1) the procedure in 7 M.R.S.A. §20 has been followed and so allows; or (2) any other provision of law requires.

VI. Other Means of Investigation

This chapter shall not be construed as limiting the Commission's authority to obtain information from stores by subpoena, or pursuant to Commission Rule 6, or pursuant to any other lawful method.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2953
• EFFECTIVE DATE: October 13, 1986 - filing 86-387
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996 - filing 96-161
• AMENDED: October 18, 2002 - filing 2002-369
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 13 page 2

Chapter 14 30 Days Notice

Code Me. R. 01-015 Ch. 14 30 Days Notice {#sec-01-015-ch.-14 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 14}

SUMMARY: Notice requirement adopted by the Maine Milk Commission for distributors to give before terminating milk deliveries to a customer.

DEFINITIONS

As used in this rule the following words shall have the following meaning:

A. "DISTRIBUTOR" means any milk processor or any independent supplier making delivery of milk to wholesale and/or retail store accounts.

B. "CUSTOMER" means any person or business buying milk products for resale or personal consumption on the premises.

1. Distributors must give 30 days written notice by registered or certified letter before terminating delivery to any customer in their delivery area or in the traditional delivery areas of a distributor they have purchased. The 30 days notice requirement does not apply to cancellations resulting from failure to pay bills.

2. The notice will identify the closest delivery point where the distributor's product will be available for pickup by the affected customer.

3. The distributor will identify other distributors, if any, by name and address who are servicing the area and from whom a replacement supply may be available.

4. A copy of the notice dated and signed by an official of the distributor will be sent to the Maine Milk Commission identifying the customer by name and address, within the same 30 days requirement.

INJUNCTIONS AND CIVIL PENALTIES: 7 M.R.S.A. §2959

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2953 (PL 1975, c. 5A Section 2, May 11, 1989).
• DATED: December 12, 1989
• EFFECTIVE DATE: January 1, 1990
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 14 page 2

Chapter 20 Prevention of Destructive Competition

Code Me. R. 01-015 Ch. 20 Prevention of Destructive Competition {#sec-01-015-ch.-20 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 20}

1. DEFINITIONS

Unless the context indicates otherwise, the following terms have the following meanings:

A. Commission. "Commission" means the Maine Milk Commission.

B. Cost of milk to a dealer. "Cost of milk to a dealer" means the dealer's raw product cost, plus any shrinkage allowance permitted by the Commission, to which shall be added the dealer's expenses directly and indirectly incurred in receiving, processing, packaging and delivering milk. Without limitation, these expenses shall include labor, including salaries and bonuses of executives and officers, rent, depreciation, selling costs, maintenance of equipment, utilities, delivery costs, interest, licenses, taxes, insurance, advertising, professional services and all other fixed and variable expenses.

C. Cost of milk to a retail store. "Cost of milk to a retail store" means the price paid by a retail store to a dealer for fluid milk, to which shall be added the retail store's expenses directly and indirectly incurred in shipping, handling and selling fluid milk. Without limitation, these expenses shall include labor, including salaries and bonuses of executives and officers, rent, depreciation, selling costs, maintenance of equipment, utilities, shipping costs, interest, licenses, taxes, insurance, advertising, professional services and all other fixed and variable expenses.

D. Dealer. "Dealer" means any person who purchases or receives milk for sale as the consignee or agent of a producer, or handles for sale, shipment, storage or processing within the State and shall include a producer-dealer and a subdealer, but shall not include a store.

E. Integrated operation. "Integrated operation" means a person who is a dealer and who also sells at retail the milk which it processes and/or delivers. However, such a person shall be considered a dealer and not an Integrated operation with respect to any sales or consignments of milk it makes to a retail store, and shall be considered a retail store and not an integrated operation with respect to any purchases of packaged milk it makes from a dealer.

F. Legal competition. "Legal competition" means a price which is not subject to a restraint or injunction issued by a court of competent jurisdiction and which is set or offered by a dealer or retail store with whom a dealer or retail store seeking to meet that price in fact directly competes.

G. Market. "Market" means any city, town or parts thereof or the State, or 2 or more of the same of parts thereof designated by the Commission as a natural marketing area.

H. Milk. "Milk" means whole milk and cream, fresh, sour or storage; nonfat (fat-free) milk, skimmed milk, lowfat milk and buttermilk; irrespective of whether or not any such milk is flavored.

1. Person. "Person" means any individual, partnership, firm, corporation, association or other unit and the State and all political subdivisions or agencies thereof, except state owned and operated institution.

J. Regulated product. "Regulated product" means milk for fluid consumption, the minimum wholesale or retail price of which was established by the Maine Milk Commission under 7 M.R.S.A. §2951 et seq .

K. Retail Sale. "Retail Sale" means a doorstep delivery and over-the-counter sales by stores.

L. Retail Store. "Retail Store" means a grocery store, dairy product store, or any similar commercial establishment where milk is sold to consumers for consumption off the premises.

M. Store. "Store" means a grocery store, dairy product store, canteen, milk vending machine operator, milk dispensing operator or any similar commercial establishment or outlet or any other sale where milk is sold to consumers for consumption off the premises where sold.

N. Subdealer. "Subdealer" means any person who does not process milk and who purchases milk from a dealer and sells such milk in the same containers in which he purchased it, but shall not include a store.

O. Wholesale Sale. "Wholesale Sale" means sale to any other person not included in retail.

II. APPLICABILITY AND EFFECT

A. Effectiveness: Dealers. This chapter is in effect for dealers whenever a minimum wholesale price for one or more regulated products established under 7 M.R.S.A. §2951 et seq . is not in effect, and is then in effect only for the regulated product or products for which no minimum price is in effect. This chapter shall apply to wholesale sales by dealers, including sales to subdealers, and to wholesale sales by subdealers.

B. Effectiveness: Retail Stores. This chapter is in effect for retail stores whenever a minimum retail price for one or more regulated products established under 7 M.R.S.A. §2951 et seq . is not in effect, and is then in effect only for the regulated product or products for which no minimum price is in effect.

C. Applicability: Dealers and Retail Stores. When it is in effect, this chapter applies to all dealers and all retail store and to any employee, representative, agent subsidiary or affiliate of any dealer or any retail store. The terms "dealer" and "retail store" include their respective employees, representatives, agents, subsidiaries and affiliates.

D. Applicability: Sales. When it is in effect, this chanter applies to all sales by a dealer of any regulated product or products as to which it is in effect and to all such sales by a retail store.

E. Applicability and Effectiveness; Integrated Operations. Where this Chapter or the Destructive Competition Law contains specific provisions dealing with integrated operations, an integrated operation shall be governed thereby. Otherwise, the provisions of this Chapter which apply to dealers shall apply to the dealer phase of the business of an integrated operation and those which apply to retail stores shall apply to the retail phase of the business as an integrated operation.

III. PROHIBITION; INTENT

A. Prohibition. No dealer and no retail store shall sell any regulated product or products as to which this chapter is in effect for less than the cost thereof to the dealer or retail store, with the purpose or intent to injure competitors or destroy competition.

B. Intent. The Commission shall regard consistent and repeated advertisements, offers to sell or sales by a dealer or a retail store of any regulated product or products as to which this chapter is in effect at less than the cost thereof to the dealer or retail store respectively, the advertisements, offers to sell or sales thereby forming a pattern of sales below cost, as demonstrating purpose or intent to injure competitors or destroy competition.

IV. WHEN BELOW-COST PRICE NOT PROHIBITED; BURDEN

A. When Below-Cost Price Not Prohibited. The offer for sale or sale of any regulated product or products as to which this chapter is in effect by a dealer or retail store at a price which is below the cost thereof to the dealer or retail store is not prohibited when done without the purpose or intent to injure competitors or destroy competition or when the price is set in good faith to meet legal competition.

B. Burden. A dealer or retail store which relies on subsection A. to explain or justify a price which is below its cost must provide information which demonstrates that its own price was not set with the purpose or intent to injure competitors or destroy competition, or that its own price was set in good faith to meet legal competition and that the dealer or retail store directly competes with that competition. Proof that a price was set by a competitor may be made by evidence such as an advertisement, proof of sale or receipt. Proof that a price was offered by a competitor may be made by evidence such as a written price proposal or contract to sell at that price.

C. Duration of Below-Cost Price to Meet Competition. A dealer or retail store which, under this section, is not prohibited from selling at a price which is below its cost may continue to sell at that price only so long as it is in fact doing so to meet the legal competition in response to which it set its price.

V. COST OF MILK TO A DEALER

A. Overview. The cost of milk to a dealer consists of a dealer's raw product costs as calculated according to subsection 8 or C, plus the dealer's expenses directly and indirectly incurred in receiving, processing, packaging and delivering the regulated product as calculated according to subsection D, E, or F. Examples of dealer expenses directly and indirectly incurred in receiving, processing, packaging and delivering milk are set forth in Section I (B).

This section contains three sets of procedures for determining raw product costs. The first of these applies to Maine dealers who buy milk in bulk from Maine producers and themselves process the milk they sell. The second of these is similar to the first except that it applies to sales which are not subject to regulation by the State of Maine. The third procedure, which might more appropriately be called packaged product costs, applies to the purchase of milk by subdealers from dealers. See the definitions of "subdealer" and "dealer" contained in Sections I (N) and (D), respectively.

The expenses directly and indirectly incurred by a dealer in receiving, processing, packaging and delivering the regulated product may be determined by the Commission on the basis of the dealer's actual expenses as calculated under D OR E, or, unless the dealer proves lower actual costs, on the basis of its imputed expenses as calculated under F.

B. Raw Product Costs for all Dealers other than Subdealers

1. Raw product costs for milk purchased by Maine dairies from Maine producers shall be determined as set forth in subparagraphs (a) - (c), except that where the dealer's purchase price for raw milk is not required by State or Federal law to be based upon a Class I price established by a governmental agency, the dealer's raw product costs shall be deemed to be the purchase price as adjusted by the prevailing butterfat differential, plus any hauling charges paid by the dealer.

(a) Determine the Class I price per hundredweight of raw milk of 3.5% butterfat content as established monthly by the Commission:

(b) Reduce the Class I price per hundredweight by the butterfat differential established by the Federal Market Administrator for Federal Milk Order No. I (New England Milk Marketing Area) so as to reflect the dollar value on a hundredweight basis of the butterfat found in various formulations of fluid milk. Whole milk shall be deemed to have a butterfat content of 3.25% butterfat unless shown otherwise by the dealer. Nonfat (fat-free) milk shall be deemed to have a butterfat content of .1% butterfat unless shown otherwise by the dealer. Lowfat milk, and skim milk other than nonfat (fat-free) milk shall be deemed to have the butterfat content designated on the cap or container, or as otherwise determined by the Commission.

(c) Divide the Class I price of the milk as reduced to reflect the dollar value of its packaged butterfat content on a hundredweight basis by the appropriate generally accepted conversion factor so as to determine the raw product dollar value of packaged milk of varying butterfat content as sold in gallons, three-quart, half-gallon, quart and bulk containers.

2. Raw product costs for milk not purchased by Maine dealers from Maine producers (i.e., transactions not subject to the Class I price established monthly by the Commission) shall be based upon the actual price paid by the dealer for Class I milk of 3.5% butterfat content as reduced by the established or prevailing butterfat differential, so that the butterfat value of fluid milk of varying formulations sold in various container sizes may be calculated in the same manner as set forth in paragraph 1, except that any hauling charges paid by the dealer shall also be included in the calculation of raw product costs. Where the dealer's purchase price for raw milk is not required by state or federal law to be based upon a Class I price established by a governmental agency, the dealer's raw product costs shall be deemed to be the purchase price as adjusted by the prevailing butterfat differential, plus any hauling charges paid by the dealer.

C. Raw Product Costs for Subdealers

The raw product cost for subdealers shall be the purchase price paid by the subdealer to the dealer for the regulated product.

D. Actual Expenses of Receiving, Processing, Packaging and Delivering Milk Incurred by Dealers Subject to Commission Rule 5A.

The Commission may determine the dealer's expenses directly and indirectly incurred in receiving, processing, packaging and delivering milk on the basis of the McClain System reports and information filed by the dealer with the Commission. In addition to submitting McClain System Cost Accounting information, a dealer may also submit a determination of its expenses by a cost accounting system other than the McClain System and request that the Commission use such other system to determine its expenses. A dealer submitting a determination of expenses by a cost accounting system other than McClain must demonstrate, and the Commission must find, that the cost accounting system is regularly used by the dealer in the conduct of its business, that it is based on generally accepted cost accounting principles and that it is at least equivalent to the McClain System in comprehensiveness and reliability as to the expenses incurred in the receiving, processing, packaging and delivering of milk. Where these findings are made, the Commission in its discretion may rely on either the McClain System or the system submitted by the dealer as providing the appropriate demonstration of the dealer's actual expenses. Where these findings are not made, the Commission will rely on the McClain System.

If a dealer contends that its cost of delivering milk to the store in question is lower than its average delivery costs as derived from the McClain System, the Commission may recognize In lieu of such average delivery costs the dealer's cost of delivering milk on the route on which the store is located or the dealer's average cost of delivering milk to the specific store. The Commission shall determine the cost of delivering milk on the route on which the store is located on the basis of the route delivery information filed by the dealer with the Commission pursuant to Commission Rule 11, and the appropriate cost inputs (e.g., driver wages, vehicle expenses) contained in the dealer's records. The Commission shall determine store specific delivery costs on the basis of the route delivery information filed by the dealer with the Commission pursuant to Commission Rule 11 and from other cost information contained in the dealer's records. Store specific costs are to be computed as the sun of the per case average of common route costs, i.e., those costs which cannot be unambiguously attributable to any one stop, and the per case average cost directly attributable to the specific store.

E. Actual Expenses of Receiving, Processing, Packaging and Delivering Milk Incurred by Dealers Not Subject to Commission Rule 5A. The Commission may determine the dealer's (or subdealer's) expenses directly or indirectly Incurred in receiving, processing, packaging and delivering milk on the basis of the McClain System. At the request of the Commission the dealer or subdealer shall prepare and file, within the time set by the Commission, the information and reports required by Rules 5A and 11 covering such periods of time as the Commission may designate.

Alternatively, a dealer or subdealer may submit a determination of its expenses by a cost accounting system other than the McClain system and request that the Commission use such other system to determine the dealer's or subdealer's expenses. A dealer or subdealer submitting a determination of expenses by a cost accounting system other than McClain must demonstrate, and the Commission must find, that the cost accounting system is regularly used by the dealer or subdealer in the conduct of its business, that it is based on generally accepted cost accounting principles and that it is at least equivalent to the McClain system in comprehensiveness and reliability as to expenses incurred in the receiving, processing, packaging and delivering of milk. Where these findings are not made, the dealer or subdealer shall prepare and file, within the time set by the Commission, information and reports required by rules 5A and 11 covering such periods of time as the Commission may designate. Where these findings are made, the Commission will rely on the system submitted by the dealer or subdealer as providing the appropriate demonstration of the dealer's or subdealer's actual expenses.

The Commission may recognize route delivery costs or store specific delivery costs in lieu of average delivery costs in the same circumstances and manner as set forth in subsection D.

F. Imputed Expenses of Receiving, Processing, Packaging and Delivering Milk (All Dealers and Subdealers)

1. In the case of dealers other than subdealers, the Commission may determine the imputed expenses of receiving, processing, packaging and delivering milk by multiplying the dealer's price to the retailer for the regulated product by that percentage shown on Table I which most closely corresponds to the raw product cost per hundredweight, as adjusted for butterfat content under Section V(B)(1)(b), that was paid by the dealer with respect to the regulated product.

2. In the case of subdealers, the Commission shall determine the imputed expenses of delivering the regulated product by multiplying the subdealer's price to the retailer for the regulated product by that percentage shown on Table II which corresponds most closely to the purchase price paid by the subdealer to the dealer for the regulated product.

3. Upon request of the Commission, a dealer or subdealer shall furnish to the Commission, within the time set by the Commission, all information necessary for it to determine the raw product cost paid for the regulated product. in the absence of a timely response the Commission shall calculate imputed expenses for purposes of this subsection on the basis of the Maine Class I price, subject to adjustment for butterfat content, which was in effect at the time of the transaction under examination.

4. Any proof of actual expenses lower than the imputed expenses of receiving, processing, packaging and delivering milk as calculated by the Commission under this subsection shall be made by the dealer.

(a) in the case of a dealer subject to Rule 5A, in the manner provided in D. for the determination by the Commission of actual expenses of such dealers:

(b) in the case of a dealer not subject to Rule 5A, in the manner provided in E. for the determination by the Commission of actual expenses of such dealers.

VI. COST OF MILK TO A RETAIL STORE

A. Overview. The cost of milk to a retail store consists of the price paid by the retail store to the dealer for the regulated product, plus the retail store's expenses directly and indirectly incurred in shipping, handling and selling the regulated product. Examples of a retail store's expenses directly and indirectly incurred in shipping, handling and selling a regulated product are set forth in Section I (C). The expenses directly and indirectly incurred by a retail store in shipping, handling and selling the regulated product may be determined by the Commission on the basis of the retail store's actual expenses as calculated under subsection B or, unless the retail store proves lower actual costs, on the basis of its imputed expenses as calculated under subsection C or D.

B. Actual Expenses

The Commission may determine a retail store's expenses directly and indirectly Incurred in shipping, handling and selling milk according to the retail cost accounting system for milk sales developed by the Edward B. McClain Company, Inc. for the Commission in October, 1981. Upon request of the Commission, and within the time set by the Commission, the retail store shall prepare and file the McClain System (retail) reporting forms covering such periods of time as the Commission may designate.

NOTE: The five pages of reporting forms which comprise the McClain Retail Cost Accounting System for Milk Sales are attached hereto as Exhibit A. Alternatively, a retail store may submit a determination of its expense by a cost accounting system other than the McClain System and request that the Commission use such other system to determine the store's expenses. A retail store submitting a determination of expenses by a cost accounting system other than McClain must demonstrate, and the Commission must find, that the cost accounting system is regularly used by the store in the conduct of its business, that it is based on generally accepted cost accounting principles and that it is at least equivalent to the McClain System in comprehensiveness and reliability as to expenses incurred in selling milk. Where these findings are not made, the retail store shall prepare and file, within the time set by the Commission, the McClain (retail) reporting forms covering such period of time as the Commission may designate. Where these findings are made, the Commission will rely on the system submitted by the retail store as providing the appropriate demonstration of the retail store's actual expenses.

C. Imputed Expenses Based on Retail Margin

1. The Commission may determine a retail store's imputed expenses directly and indirectly incurred in shipping, handling and selling of milk by multiplying the retail store's selling price by that percentage shown in Table III which most closely corresponds to the purchase price paid by the retail store to the dealer for the regulated product.

2. Any proof of actual costs lower than the imputed expenses of shipping, handling and selling the regulated product as determined by the Commission under this subsection shall be made by the retail store in the manner provided in A. for the determination by the Commission of actual expenses of retail stores.

D. Imputed Expenses Based on Storewide Expenses

The Commission may determine a retail store's imputed expenses directly and indirectly incurred in shipping, handling and selling, dividing store expenses incurred in shipping, handling and selling milk for a relevant period of time by store sales of milk for the same time period and by multiplying the percentage so obtained by the retail selling price under investigation. Upon request of the Commission, and within the time set by the Commission, the retail store shall furnish expense and sales information covering such periods of time as the Commission my designate. Any proof of actual costs lower than the imputed expenses of shipping, handling and selling the regulated product as determined by the Commission under this subsection shall be made by the retail store in the manner provided in A. for the determination by the Commission of actual expenses of retail stores.

VII. COST OF MILK TO AN INTEGRATED OPERATION

A. Overview. The cost of milk to an integrated operation shall be the integrated operation's raw product costs plus all expenses of the integrated operation directly and indirectly incurred in the receiving, processing, packaging, delivering/shipping, handling and selling milk. Examples of expenses directly and indirectly incurred in the receiving, processing, packaging, delivering/shipping, handling and selling milk are set forth in Section I (B) and W.

B. Raw Product Costs. The raw product costs of an integrated operation shall be determined as set forth in Section V.(B).

C. Actual Expenses: McClain Wholesale and Retail Cost Accounting Systems. The Commission may determine the expenses of an integrated operation directly and indirectly incurred in receiving, processing, packaging, delivering/shipping, handling and selling milk according to the McClain System contained in Rule 5A and the McClain System (retail) described in Section VI.(B). Procedures for the collection of McClain System reports, forms, and other information set forth in Sections V.(B) and (E) (1) and VI. (B) shall apply to integrated operations. Alternatively, an integrated operation may also submit a determination of its expenses by a cost accounting system other than the McClain System and request that the Commission use such other system to determine the integrated operation's expenses. An integrated operation submitting a determination of expenses by a cost accounting system other than McClain must demonstrate, and the Commission must find, that the cost accounting system is regularly used by the integrated operation in the conduct of its business, that it is based on generally accepted cost accounting principles and that it is at least equivalent to the McClain System in comprehensiveness and reliability as to expenses incurred in receiving, processing, packaging, delivering/shipping, handling and selling milk. Where these findings are not made, the integrated operation shall prepare and file, within the time specified by the Commission, the McClain System reporting forms required by Rule 5A and the McClain System (retail) reports. Where these findings are made, the Commission will rely on the system submitted by the integrated operation as the appropriate demonstration of the integrated operation's actual expenses.

D. Imputed Expenses Based on Combined Dealer and Retail Margins

1. The Commission may determine the imputed expenses of an integrated operation directly and indirectly incurred in receiving, processing, packaging, delivering/shipping, handling and selling milk by multiplying the integrated operation's retail selling price for the regulated product by that percentage shown on Table IV which most closely corresponds to the raw product cost per hundredweight, as adjusted for butterfat content under Section V. (B) (1) (b), that was paid by the integrated operation with respect to the regulated product.

2. Upon request of the Commission, an integrated operation shall promptly furnish to the Commission, within the time set by the Commission, all information necessary for it to determine the raw product cost paid by the integrated operation for the regulated product. In the absence of a timely response the Commission shall determine imputed expenses for purposes of this subsection on the basis of the Maine Class I price, subject to adjustment for butterfat content, which was in effect at the time of the transaction under examination.

3. Any proof of actual expenses lower than the imputed expenses of receiving, processing, packaging, delivering/shipping, handling and selling the regulated product as calculated by the Commission under this subsection shall be made by the integrated operation in the manner provided in C. for the determination by the Commission of actual expenses of integrated operations.

VIII. ENFORCEMENT POLICY; PRESUMPTIVE PRICING

A. Generally. As a general matter, the Commission does not intend to investigate as possible violations of the Destructive Competition Law dealer or retail prices for regulated products that are equal to or greater than so-called presumptive prices for regulated products which the Commission will periodically announce. The Commission may nonetheless investigate prices meeting these criteria if it has cause to believe that the prices may be lower than the cost of the regulated product to the dealer or retail store, as the case may be, and were not set in good faith to meet legal competition.

B. Notification. Once this chapter or any part of it goes into effect, the Commission shall send dealers written notice of the establishment and the subsequent change of the presumptive prices it promulgates. At the time a dealer or retail store offers to sell a regulated product for less than the applicable presumptive price then in effect, the dealer or retail store shall simultaneously notify the Commission in writing and submit information which demonstrates that the offered price is not below its cost or if the price is below its cost, that it is offered in order to meet legal competition, specifying the nature and source of that competition.

IX. MAINTENANCE OF RECORDS

A. Generally. Dealers and retail stores shall maintain all cost information and prices and records used in the preparation of the reports and forms required by Section V, Section VI, and Section VII for a period of three years from the date the reports and forms are filed with the Commission. Dealers shall retain records of raw product costs for a period of three years following each transaction.

B. During Investigations or Proceedings. Notwithstanding subsection A, any cost or price information or records which are related to an investigation or proceedings undertaken by the Commission under this chapter or under 7 M.R.S.A., §2981 et seq . shall be maintained by the dealer or retail store until, in the case of a Commission investigation, the dealer or retail store receives from the Commission a written release from this obligation or, in the case of a judicial proceeding, until a final judgment has been entered and all appeals therefrom have been exhausted.

X. CONFIDENTIALITY

Exercising its discretionary authority to accord confidentiality to commercial information, the Commission will treat as confidential all information furnished to it pursuant this chapter. If such information becomes relevant to any enforcement proceeding, the Commission will no longer treat it as confidential, except that prior to disclosing the information the Commission will allow a reasonable opportunity for any person who would be directly affected by its disclosure to obtain a judicial order protecting the information.

XI. MISCELLANEOUS PROVISIONS

A. Authorization of Executive Secretary. The Commission's Executive Secretary is authorized to act for the Commission under this chapter in commencing and conducting any investigation or audit, in requesting any information, reports or data from any dealer, retail store or integrated operation, in specifying any date by which information, reports or data must be furnished to the Commission and in carrying out any related administrative tasks.

B. Inspection and Audit. In addition to the subpoena power conferred by law, all records, books, accounts and information of dealers, retail stores and Integrated operations required to be kept by or relevant to this chapter are subject to inspection and audit by the Commission. Upon request of the Commission, dealers, retail stores and integrated operations shall make such records, books, accounts and information available for inspection and audit at their places of business.

C. Severability. If any provisions of this chapter is declared invalid, or if the application of any provision of this chapter to any person or circumstances is invalid, the invalidity shall not affect other provisions or applications which can be given effect without the invalid provision or application.

Note: For copies of the attachments to this Chapter, please contact the Maine Milk Commission.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2981 et seq.
• EFFECTIVE DATE: December 28, 1985
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February and March, 2014 – agency names, section number, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 26 Producer Margins

Code Me. R. 01-015 Ch. 26 Producer Margins {#sec-01-015-ch.-26 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 26}

SUMMARY: This rule identifies the cost of producing milk in Maine based on a study of Maine conditions.

Average Short-run Break-even price for all farms. The average short-run break-even price for all farms is $28.49/cwt as was calculated in Determining the Current Cost of Producing Milk in Maine in 2022: Results from the 2023 Cost of Production Study .

Farms at four different levels of production. Four different tiers of annual production by farms detailing the cost of producing milk in Maine were determined by the 2023 Cost of Production Study as required by 7 M.R.S. § 3153-B(3).

Target prices. The four short-run break-even target prices were amended by the 131^st Maine Legislature through the passage of LD 2188 and are set forth in the chart below:

Tier:

Annual Production Range:

Target Price:

Small Farm

0 – 16,790 hundredweight

$24.51

Medium Farm

Over 16,790 to 49,079 hundredweight

$23.37

Large Farm

Over 49,079 to 76,800 hundredweight

$22.60

Very Large Farm

Over 76,800 hundredweight

$21.88

Date of Provisional Adoption: filed December 21, 2023

Recorded by Sec of State 1-9-2024

Date of Final Passage of Legislative Resolve (LD 2188): April 22, 2024

Date of Final Adoption by Maine Milk Commission: May 23, 2024

History

• STATUTORY AUTHORITY: 7 M.R.S. § 3153-B(3)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: January 22, 2003, filing 2003-28 (filed with the Secretary of State on January 17, 2003)
• REPEALED AND REPLACED: February 17, 2006 – filing 2006-75 (filed February 9, 2006)
• REPEALED AND REPLACED: September 1, 2006 – filing 2006-365 (filed August 11, 2006)
• REPEALED AND REPLACED: August 1, 2022 – filing 2022-123 (filed June 28, 2022)
• REPEALED AND REPLACED: June 27, 2024 – filing 2024-130 (accepted for filing May 28, 2024)

Chapter 27 Retail Margins

Code Me. R. 01-015 Ch. 27 Retail Margins {#sec-01-015-ch.-27 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 27}

SUMMARY: This rule establishes minimum retail margins for milk sold in Maine.

BACKGROUND AND STATUTORY FRAMEWORK

Pursuant to 7 M.R.S.A., Section 2954 the Maine Milk Commission (the Commission) is vested with the power to establish and change, after investigation and public hearing, the minimum wholesale and retail prices to be paid to producers, dealers and stores for milk received, purchased, stored, manufactured, processed, distributed or otherwise handled within the State of Maine. Further the law states that the minimum retail prices established for payment by consumers shall be based on the minimum wholesale price that retail stores must pay to dealers plus a rate of return to the retail store (retail margin) deemed just and reasonable by the Commission.

Retail stores are required by law to sell fluid milk at a price no lower than the minimum set by the Commission; they may, however, sell at a price higher than the minimum. The Commission issues a monthly Schedule of Minimum Retail Prices, which is based on the current price paid to producers for their milk (which can fluctuate from month to month) plus the current dealer margin plus the current retail margin.

This Order establishes new minimum retail margins for milk sold in retail stores. The retail margin is the minimum amount that a retail store must add to the cost of a container of milk, purchased from a processor, in order to cover the store’s direct costs and indirect costs (miscellaneous and overhead) associated with making the container available for final sale to the consumer. The Commission entered into a contractual agreement in 2025 with Herbein & Co. (now doing business as Cherry Bekaert) to conduct a study to determine whether the minimum retail margins for milk currently in effect should be changed. This Order is the result of that study.

LOWEST PRACTICABLE PRICE

To achieve the lowest practicable price at which milk can be retailed and based on the results of the Study, the Commission establishes the following retail margins:

Gallon $0.4896

Half Gallon $0.2752

Quart $0.1679

10 Quart $1.1330*

3 Quart $0.3824*

• Containers no longer sold or used in the marketplace, but the Commission is still required to set a minimum retail price.

IV. EFFECTIVE DATE

This Rule becomes effective May 28, 2026 and shall be used thereafter in preparing the Schedule of Minimum Prices issued by the Commission.

---

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §2954
• STATUTORY AUTHORITY: EFFECTIVE DATE
• STATUTORY AUTHORITY: October , 2014
• STATUTORY AUTHORITY: REPEALED AND REPLACED
• STATUTORY AUTHORITY: August 21, 2014
• EFFECTIVE DATE: December 12, 1990
• REPEALED AND REPLACED: December 4, 1994
• ELECTRONIC CONVERSION: May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 5, 1998 - minor spelling, formatting, conversion to MS Word.
• REPEALED AND REPLACED: January 31, 1999
• REPEALED AND REPLACED: October 18, 2002 - filing 2002-370 accepted September 24, 2002
• REPEALED AND REPLACED: February 22, 2008
• REPEALED AND REPLACED: June 19, 2014
• REPEALED AND REPLACED: March 3, 2017
• REPEALED AND REPLACED: July 6, 2021
• REPEALED AND REPLACED: June 13, 2023
• REPEALED AND REPLACED: May 28, 2026 – filing 2026-120

Chapter 28 Milk Promotion Fee

Code Me. R. 01-015 Ch. 28 Milk Promotion Fee (order # 93mpf) {#sec-01-015-ch.-28 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 28}

ORDER 93-MPF

MILK PROMOTION FEE

Robert K. Plummer, Executive Director

December 16, 1993

Cover Page i

Table of Contents i

I. Definitions 1

II. Statutory Framework And Background 1

III. Milk Promotion Fee 1

IV. Milk Promotion Fee Payment/Collection 2

V. Effective Date 2

VI. Miscellaneous 2

History

• Statutory Authority 2
• Effective Date 2
• MAINE MILK COMMISSION
• MILK PROMOTION FEE
• ORDER 93-MPF
• December 16, 1993
• I. DEFINITIONS
• A. Milk Promotion Fee: An amount of money paid by dairy processors into a national program to promote the sale of milk.
• B. Fluid Milk Promotion Program: A national program for fluid-milk promotion and consumer education funded by a mandatory assessment on all milk products processed and marketed commercially in consumer-type packages by fluid milk processors in the 48 contiguous States.
• II. STATUTORY FRAMEWORK AND BACKGROUND
• Pursuant to the Milk Commission Law 7 M.R.S.A., §2951 et seq. the Commission conducted informational hearings as part of its investigation previous to formal rule making hearings. The process started in August 1993 when one major Maine dairy processor inquired what the Commission's position would be regarding a national dealers referendum for a monthly milk promotion fee of $0.20/cwt.
• The Milk Commission developed their position on the Milk Promotion Fee over the next five months as the rule making process continued and as dealers, producers and Commission intervenors provided both formal and informal input.
• The dealer referendum took place in October 1993 and the results made known November 1993. The program passed with 72% of the voting companies approving the promotion order. Those companies voting yes account for 77% of the total volume of fluid milk products marketed in the U.S. The first assessment of $0.20/cwt will be announced with the January 5 federal order advance Class I price announcement applicable to all Class I milk sales in February. Processors will be required to remit the first assessment payment to the National Processor Board by the end of March. Subsequent assessments will also be announced each month with the federal order Class I price announcements.
• The test period of $0.20/cwt fee assessment to be contributed by milk processors will apply February through July 1994; thereafter the fee assessment may vary. The processors asked the Milk Commission to include in monthly minimum wholesale and retail prices the assessment. At $0.20/cwt. the minimum cost will be $0.0172 per gallon when included in the monthly Commission minimums.
• III. MILK PROMOTION FEE
• The dealer's mandatory fee assessment as announced by the appropriate, Federal Agency may be established in Commission minimum wholesale and retail prices. The amount of the fee assessment per controlled container shall appear monthly on the Commission Is price schedule. Me price schedule will also show the total Class I Producer Price, the Federal Agency Promotion Assessment Fee, and the Total Class I Dealer costs. The monthly fee assessment will not be part of the producer Class I minimum price. See Appendix A for sample of a price schedule with the above information.
• IV. MILK PROMOTION FEE PAYMENT/COLLECTION
• It will be the dealers’ responsibility to pay the proper amount to the national program and report number of pounds and the dollar amount to the Maine Milk Commission on a monthly basis.
• V. EFFECTIVE DATE
• The new dealer milk promotion fee becomes effective in Maine minimums February 1, 1994 when that months minimum wholesale and retail prices are scheduled to go into effect. Thereafter, dealer promotion fee minimums are effective the first Sunday of the first week of the month.
• VI. MISCELLANEOUS
• Severability: In the event the dealer's promotion fee is discontinued the rule becomes null and void and the fee will not be continued nor recognized in minimum wholesale and retail prices.
• STATUTORY AUTHORITY: 7 M.R.S.A. §2954
• EFFECTIVE DATE: February 1, 1994
• ELECTRONIC CONVERSION: May 4, 1996
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-015 Chapter 28 page i
• CORRECTIONS: 01-015 Chapter 28 page 2

Chapter 29 Dealer Margins

Code Me. R. 01-015 Ch. 29 Dealer Margins {#sec-01-015-ch.-29 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 29}

2024 DEALER MARGINS

Plastic Gallon

Plastic ½ Gal

Plastic Qt

20-Qt Bulk

10-Qt Bulk

Plant Costs

Processing/Dock cost

$1.1203

$0.6048

$0.4934

$10.5658

$4.4215

Delivery cost (drop-metro)

$0.5974

$0.2987

$0.1493

$2.9868

$1.4934

Maine Milk Commission Fee Adjustment

$0.0022

$0.0011

$0.0005

$0.0108

$0.0054

Total plant costs (Dealer Margin before rate of return)

$1.7199

$0.9046

$0.6432

$13.5634

$5.9203

Rate of Return on Operating Costs

$0.0430

$0.0226

$0.0161

$0.3391

$0.1480

Dealer Margin with 2.5% rate of return on operating costs

$1.7629

$0.9272

$0.6593

$13.9025

$6.0683

Milk Cost*

2.5% Rate of Return on Milk Cost*

$2.2220

$0.0555

$1.1009

$0.0275

$0.5598

$0.0140

$11.0901

$0.2773

$5.5393

$0.1385

Into Store Cost

$4.0404

$2.0556

$1.2331

$25.2699

$11.7461

• Milk Cost figures will change every month to reflect the most recent Announcement of Class I Milk Price and Advanced Pricing Factors issued by USDA’s Federal Milk Marketing Order One, which is applied to the Maine Milk Commission’s Minimum Pricing Order formula and milk pricing deliberations at the monthly public hearings. To create an example for this rule, the Class I milk price for September 2024 was used to calculate the Milk Cost and the 2.5% Rate of Return on Milk Cost presented in this chart, which is also reflected in the Into Store Cost total. The use of italics in the chart for these numbers further identifies them as subject to change in accordance with the monthly Class I price changes.

History

• STATUTORY AUTHORITY 7 M.R.S.A. §2954
• EFFECTIVE DATE: August 15, 1994 (Order 94-8 DM)
• REPEALED AND REPLACED: July 19, 1997 (Order 97-08 DM)
• REPEALED AND REPLACED: April 3, 2001 (Order 01-015 DM)
• REPEALED AND REPLACED: May 10, 2003 (Order 06-03 DM)
• REPEALED AND REPLACED: June 18, 2004 (Order 07-04 DM), filing 2004-212
• AMENDED: February 11, 2005 – filing 2005-47
• AMENDED: November 18, 2005 – filing 2005-460
• AMENDED: May 18, 2007 – filing 2007-185
• AMENDED: June 20, 2008 – filing 2008-255
• CORRECTIONS: February, 2014 – agency names, formatting
• REPEALED AND REPLACED: December 26, 2015 – filing 2015-254
• AMENDED: January 15, 2019 – filing 2019-008
• REPEALED AND REPLACED: January 20, 2022 – filing 2022-038 - Effective March 19, 2022
• REPEALED AND REPLACED: March 23, 2025 – filing 2025-060

Chapter 60 Maine Milk Pool - Operation

Code Me. R. 01-015 Ch. 60 Maine Milk Pool: Operation {#sec-01-015-ch.-60 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 60}

SUMMARY:

This rule establishes the procedures by which the Maine Milk Pool will operate. It sets out requirement for milk dealers and producers who pay into and receive payments out of the Pool and prescribes the duties of the Pool Administrator in managing the operation of the Pool.

Amendments proposed April 25, 1984, and adopted effective June 4, 1984 adjust certain requirements in the time schedule of the Maine Milk Pool to better accommodate the Pool's pay in / pay out schedule to existing systems of the State Controller and Treasury.

Amendments proposed November 20, 1984 and adopted effective January 15, 1985 clarify calculations made in allocating monies out of the Pool to producers; clarify procedures for collection of promotion funds from Maine producers shipping directly to Boston market Zone I plants under certain conditions; clarify the procedure for determining the redistribution rate used to calculate payments to producers from the Pool; and replace the definitions of three terms with their statutory definitions and make related changes.

Amendments proposed August 14, 1985, change the date by which Maine market producers must receive Milk Pool payments from their dealer or cooperative, in accordance with statutory changes made by P.L. 1095, C. 72 (7 M.R.S.A., Section 2954‑A).

Amendments proposed July 30, 1987 establish procedures for the pooling of over-order premiums in accordance with statutory changes made by P.L. 1987, Title "c." 447.

MILK POOL RULES

Section I: Definitions 1

Section II: Information to Pool Administrator 3

Section III: Initial Payment and Pool Payment--Base Minimum Price 5

Section III-A: Initial Payment and Pool Payment-Over-order Premium 7

Section IV: Calculation of Pool Share--Base Minimum Price 7

Section lV-A: Calculation of Over-Order Premium 11

Section V: Payment of Amount Due from the Pool to Producer -- Base Minimum Price 13

Section V-A: Payment of Amount Due from the Pool to Producer -- Over-Order Premium 13

Section VI: Interest on Late Payments 14

Section VII: Reports to Pool Administrator 14

Section VIII: Recognition as an Eligible Marketing Cooperative 15

Section IX: Information to be Periodically Furnished by Eligible Marketing Cooperatives 17

Section X: Delinquent Pool Payments 18

Section XI: Failure to Provide Necessary Information 18

Section XII: Costs of Promotion 18

Section XIII: Cost of Administration 19

Section XIV: Status of an Agricultural Cooperative as a Producer-Dealer 20

Section XV: Adjustments 20

Section XVI: Time Requirements 20

Section XVII: Audits 21

Section XVIII: Separability 21

01-001 CMR Chapter 60: MAINE MILK POOL: OPERATION

Section I: Definitions

1. Blend Price. "Blend Price" means the price of milk per hundredweight computed as the sum of the Class I price multiplied by the percentage of milk sold as Class I milk and the Class II price multiplied by the percentage sold as Class II milk. The blend price shall be separately calculated for the base minimum price and the over-order premium.

1-A. Base minimum price. "Base minimum price" means such part of the minimum Class I and Class II prices established by the Maine Milk Commission pursuant to chapter 603 as corresponds to Class I and Class prices established pursuant to the New England Marketing Order.

2. Boston market dealer. "Boston market dealer" means any dealer as defined in sub-Sec. 4 who purchases milk from producers subject to the price regulations of the New England Milk Marketing order.

3. Boston market producer. "Boston market producer" means any Maine milk producer selling to a dealer subject to the New England Milk Marketing Order, or any agricultural cooperative that buys milk from or handles milk for such a producer and sells it to such a dealer.

4. Dealer. "Dealer" means any person or entity who purchases or receives milk from a producer within the State for processing and sale within or outside of the State.

A. A producer-dealer which is not an agricultural cooperative shall be deemed a dealer only with respect to milk purchased or received from other producers.

B. A producer-dealer which is owned as an agricultural cooperative shall be deemed a dealer:

(1) With respect to all milk purchased or received from other producers; and

(2) With respect to all milk purchased or received from its members except to the extent that it is exempt from the Maine Milk Pool under section 3152-A.

C. An agricultural cooperative which is not a producer-dealer shall be deemed a dealer with respect to all milk subject to the producer price control authority of the Maine Milk Commission which it purchases or receives and which is not sold to a dealer.

4-A. Eligible marketing cooperative. "Eligible marketing cooperative" means an association of milk producers organized to negotiate producer prices higher than the minimum producer prices established pursuant to the New England Milk Marketing Order and which the commissioner has determined will not, through its operation, evade, impair or undermine the purposes of this chapter. Notwithstanding Title 4, section 1151, subsection 2 and Title 5, section 10051, subsection 1, the commissioner may revoke the eligible status of a marketing cooperative upon a determination that it has through its operation evaded, impaired or undermined the purposes of this chapter.

5. Individual producer. "Individual producer" means any Maine milk producer which is not an agricultural cooperative, whether operating as a sole proprietorship, partnership, corporation or in any other form.

6. Maine market dealer. "Maine market dealer" means any dealer as defined in sub-sec. 4 who sells milk subject to the price control authority of the Maine Milk Commission.

7. Maine market producer. "Maine market producer" means any Maine milk producer selling to a dealer, marketing milk on the Maine market or any agricultural cooperative that buys milk or handles milk for such a producer and sells it to such a dealer.

8. Maine Milk Pool. "Maine Milk Pool" or "Pool" means the sum of collections as prescribed in 7 M.R.S.A. Sec. 3153, from Maine market producers.

9. Milk imported for sale within the state. "Milk imported for sale within the state" means milk produced out of state and imported in bulk.

10. Northern Maine market producer. "Northern Maine market producer" means any Maine market producer located in Aroostook County and Washington County, and that portion of Penobscot County north of and including the minor civil divisions of Medway, T.A.R. 7 AND Long a T.W.P. selling to a dealer marketing milk on the Maine market, or any agricultural cooperative that buys milk or handles milk for such a producer and sells it to such a dealer.

10-A. Over-order premium. "Over-order premium means such part of the minimum Class I and Class II prices established by the Maine Milk Commission pursuant to Chapter 603, as exceeds the applicable Class I and Class 11 prices established pursuant to the New England Marketing Order.

11. Plant price. "Plant price" means the F.O.B. price paid for milk at a milk processing plant, unless milk received at that plant is first collected at a federal order bulk reload station as defined by Part 1001 Federal Milk Order No. 1 in which case the plant price shall mean the price paid for milk at the reload station after deductions for subsequent transportation.

12. Pool Administrator. "Pool Administrator" means the agency responsible for the administration of Title 7, Chapter 611, including administration of the Maine Milk Pool, under an agreement pursuant to 7 M.R.S.A. Section 3154(1).

NOTE: The present Pool Administrator is: Maine Milk Commission, 28 State House Station, Augusta, Maine 04333. Tel: (207) 287-3741

13. Pool allotment. "Pool allotment" means the amount allotted from the Pool to a dealer or an agricultural cooperative as the representative of individual producers, for payment to individual producers entitled to receive an amount due from pool payments made at the base minimum price.

14. Pool payment. "Pool payment" means the amount payable monthly to the Maine Milk Pool at the base minimum price by or on behalf of one or more Maine milk producers.

15. Pool share. "Pool share" means each Maine and Boston market producer's portion of pool payments made at the base minimum price for a given month.

16. Producer-dealer. "Producer-dealer" means a dealer who himself produces a part or all of his milk or a person who produces milk and sells to a grocery store or dairy products store or similar commercial establishment and shall include an agricultural cooperative comprised solely of dairy farmers that wholly owns and operates its processing facilities, and whose individual members hold a share of that ownership which is in direct proportion to that individual's share of all milk produced by cooperative members for the cooperative, provided that such an agricultural cooperative shall be a "producer-dealer" under this chapter only if it was in existence on January 1, 1986, and had been recognized on or before that date by the commissioner as meeting the criteria established in this subsection.

17. Redistribution rate. "Redistribution rate" means, for a given month, the dollar amount per hundredweight of milk from which the Pool share for Maine and Boston market producers is calculated.

18. Utilization rate. "Utilization rate" means the percentage of milk produced which is utilized as Class I or fluid milk.

Section II: Information to Pool Administrator

A. No later than the 10th day after the end of each month, each Maine market dealers shall report to the Pool Administrator, with respect to milk subject to the price control authority of the Maine Milk Commission at the producer level, in a form specified or approved by the Administrator:

1. the dealer's utilization rate for the month;

2. for each individual Maine market producer and each individual Northern Maine market producer identified as such from whom the dealer received such milk in the month;

a. the producer's name and address,

b. the amount of such milk, in pounds, received in the month and

c. any eligible marketing cooperative designated by the producer to receive an over-order premium;

3. for each Maine market producer which is an agricultural cooperative from which the dealer received such milk in the month;

a. the cooperative's name and address,

b. the amount of such milk, in pounds, received from the cooperative in the month which the cooperative bought from or handled for individual Maine market producers,

c. the amount of such milk, in pounds, received from the cooperative in the month which the cooperative bought from or handled for individual Northern Maine market producer and

d. any eligible marketing cooperative designated by the cooperative to receive an over-order premium on milk which the cooperative bought from or handled for individual Maine and Northern Maine market producers;

4. the total amount, in pounds, of such milk received in the month from all individual Maine market producers reported under 2 and from all agricultural cooperatives as reported under 3.b., and

5. the total amount, in pounds, of such milk received in the month from all individual Northern Maine market producers reported under 2 and from all agricultural cooperatives as reported under 3.c.

B. No later than the 10th day after the end of each month, each Boston market dealer buying milk from individual Boston market producers and each agricultural cooperative buying milk from or handling milk for individual Boston market producers shall report to the Pool Administrator, in a form specified or approved by the Administrator:

1. the total amount, in pounds, of milk received from individual Boston market producers in the month; and 2. for each individual Boston market producer from whom milk was received in the month;

a. the producer's name and address;

b. the total amount, in pounds, of milk received from the producer in the month; and

c. the Federal Order zone number on which the producer's price is to be based and the amount of any deduction for transportation from a reload station to a processing plant.

C. No later than the 10th day after the end of each month, each producer-dealer shall report to the Pool Administrator, in a form specified or approved by the Administrator, the amount, in pounds, of milk which he or she produced in the month.

D. No later than the 10th day after the end of each month, each Maine market dealer who imported milk in the month for sale within the State shall report to the Pool Administrator, in a form specified or approved by the Administrator, the amount, in pounds, of milk which he or she produced in the month.

Section III: Initial Payment and Pool Payment-Base Minimum Price

A. No later than the 17th day after the end of each month, the Pool Administrator shall advise each Maine market dealer of the following, with respect to milk subject to the price control authority of the Maine Milk Commission at the producer level:

1. for such milk produced by Maine market producers;

a. the price per hundredweight payable to those producers at the base minimum price for milk at 3.5% butterfat set by the Maine Milk Commission for the month and the Federal Market Order No. 1 utilization rate for the month, from which price those producers initial payments are to be determined; and

b. the price per hundredweight that would be payable to those producers at the base minimum price for milk at 3.5% butterfat set by the Maine Milk Commission for the month and the dealer's own utilization rate for the month; and

c. the difference obtained by subtracting the price per hundredweight under a. from the price per hundredweight under b., from which difference the Pool payments to be made on those producers' behalf at the base minimum price are to be determined;

2. for such milk produced by Northern Maine market producers;

a. the price per hundredweight payable to those producers at the base minimum price for milk at 3.5% butterfat set by the Maine Milk Commission for the month and the Federal Market Order No. 1 utilization rate for the month; and

b. the price per hundredweight that would be payable to those producers at the base minimum price for milk at 3.5% butterfat set by the Maine Milk Commission for the month and dealer's own utilization rate for the month; and

c. the price per hundredweight from which the initial payments due those producers at the base minimum price for the month are to be determined, which is the price per hundredweight under a. plus one-half of the difference between the prices per hundredweight under a. and b.; and

d. the prices per hundredweight from which the Pool payments due on behalf of those producers at the base minimum price for the month are to be determined, which is one-half of the difference between the price per hundredweight under a. and b.

B. Each Maine market dealer shall pay to the Pool Administrator the Pool payment at the base minimum price due from him for the month, which is the sum of all Pool payments due on behalf of producers reported by the dealer under 11. a. Each dealer's payment must be received by the Pool Administrator no later than the 20th day after the end of each month.

C. No later than the day upon which payment to producers is required by Maine statute, each Maine market dealer shall pay to each Maine market producer reported by the dealer under II. A. the initial payment due the producer at the base minimum price. Where a producer which is an agricultural cooperative pays individual Maine market producers the initial payment, the cooperative shall pay those individual producers no later than the day specified herein. The initial payment at the base minimum price, calculated as provided in A. l.a, or A. 2.c., shall otherwise comply with title 7, Chapter 603 and rules adopted thereunder, including but not limited to adjustments for butterfat content, and shall reflect any deductible amount incurred and recouped according to D. of this Section.

D. If for any month, for any producer, the amount payable at the dealer's own utilization rate for the month is less than the amount payable at the Federal Market Order No. I utilization rate for the month, calculating both amounts by using the Class I and Class 11 prices set by the Maine Milk Commission for the month, the dealer may deduct the difference from the producer's next initial payment. When such a deductible amount is incurred, the dealer, at the time that the current initial payment is made, shall notify each producer incurring a deduction of its amount. If the business relationship between a dealer and a producer is terminated, the producer is liable to the dealer for all deductible amounts incurred under this provision which have not been recouped by way of deduction.

E. Where a Maine market dealer receives milk from individual Maine market producers through a producer which is an agricultural cooperative which buys milk from or handles milk for the individual producers, the dealer may enter into an agreement with the cooperative, subject to the approval of the Pool Administrator, which provides that the cooperative will make the payments required by B. A cooperative which is a party to such an agreement shall comply with all requirements of this rule as to form and time of payment. The existence of an agreement does not relieve the dealer of any obligation under statute or rule, but the agreement may provide for indemnification. Where such an agreement is in force, the Pool Administrator shall provide the information specified in A. to the agricultural cooperative as well as to the dealers.

F. No later than the 17th day after the end of each month, the Pool Administrator shall advise each producer-dealer and each Maine market dealer who imported milk in the month for sale within the State of the amount of the share of the cost of promotion due from each to the Pool, calculated according to Section X. of this rule.

G. No later than the 20th day after the end of each month, each producer-dealer and each Maine market dealer who imported milk in the month for sale within the State shall pay to the Pool Administrator the amount due for the costs of promotion.

H. All payments into the Pool shall be made in the form specified by the Pool Administrator.

Section III-A: Initial Payment and Pool Payment--Over-order Premium

A. No later than the 17th day after the end of each month, the Pool Administrator shall advise each Maine market dealer, with respect to milk subject to the price control authority of the Maine Milk Commission at the producer level, of the price per hundredweight payable to Maine market producers and Northern Maine market producers from the over-order premium for milk at 3.5% butterfat set by the Maine Milk Commission for the month, and the dealer's own utilization rate for the month.

B. Each Maine market dealer shall multiply the price calculated under A. by the production of each Maine market producer reported by the dealer under II.A.2.b. and III.A.3.b. and c. For Maine market producers who have designated an eligible marketing cooperative to receive an over-order premium, the dealer shall pay the resulting product to the eligible marketing cooperative. For Maine market producers who have not designated an eligible marketing cooperative to receive an over-order premium, the dealer shall pay the resulting product to the Pool Administrator. Each dealer's payment to an eligible marketing cooperative under this subsection must be made to the cooperative no later than the 19th day after the end of each month. Each dealer's payment to the Pool Administrator under this subsection must be mailed to the Pool Administrator no later than the 20th day after the end of each month.

C. Payments made under this section shall otherwise comply with Title 7, Chapter 603 and rule adopted thereunder, including but not limited to adjustments for butterfat content.

D. Where a Maine market dealer receives milk from individual Maine market producers through a producer which is an agricultural cooperative which buys milk from or handles milk for the individual producers, the dealer may enter into an agreement with the cooperative, subject to the approval of the Pool Administrator, which provides that the cooperative will make the payments required by B. A cooperative which is a party to such an agreement shall comply with all requirements of this rule as to form and time of payment. The existence of an agreement does not relieve the dealer of any obligation under statute or rule, but the agreement may provide for indemnification. Where such an agreement is in force, the Pool Administrator shall provide the information specified in A. to the agricultural cooperative as well as to the dealer.

E. All payments of the over-order premium made into the Pool shall be in the form specified by the Pool Administrator.

Section IV: Calculation of Pool Share--Base Minimum Price

A. No later than the 21st day after the end of each month, the Pool Administrator shall calculate:

1. the total of all Pool payments at the base minimum price received for the month;

2. the total cost of promotion for the month, calculated using the promotion rate established according to Section X; 3. the redistribution rate for the month, which shall be used to calculate each producer's share of pool payments made at the base minimum price and which shall be calculated as follows:

a. when the plant prices paid to Boston market producers are equal to or less than the amount initially paid to any Maine market producer pursuant to III.A.I.a. including the adjustment per hundredweight made during the transition period pursuant to VII.B., the redistribution rate shall be calculated by dividing the total of all Pool payments at the base minimum price due for the month by the sum of the total hundredweight of milk received by Maine market dealers from Maine market and Northern Maine market producers, and the total hundredweight of milk received by Boston market dealers from Boston market producers; however,

b. when the plant price paid to any individual Boston market producer is greater than the amount initially paid to any Maine market producer pursuant to III.A.I.a. including the adjustment per hundredweight made during the transition period pursuant to VII.B. for Maine market producers, the redistribution rate for any such Boston market producers shall be reduced by the amount of the difference between that plant price and the lowest initial payment at the base minimum price made to a Maine market producer. The following formula shall be used to determine the redistribution rates for such Boston market producers, and for all other Maine market and Boston market producers:

P = r₁ (Q₁ ) + e₂ (Q₂)

and

r₂ = r₁ - c₁

provided that when r₁ - c₁ results in a negative value, r₂ becomes 0.

where

P = total payments due to the Pool at the base minimum price excepting promotion funds paid to the Pool pursuant to II.G

r₁ + redistribution rate for Maine market and all Boston market producers whose plant price does not exceed the initial price paid to any Maine market producer pursuant to III.a.1.a. including the adjustment made during transition period pursuant to VII.B. for Maine market producers.

r₂ = redistribution rate applicable to Boston market producers whose plant price exceeds the price initially paid to any Maine market producer including the adjustment pursuant to VII.B. as above

Q_l = quantity of milk in hundredweight received by Maine market dealers and Boston market dealers from Maine market producers and Boston market producers whose plant price does not exceed the price initially paid to any Maine market producer, including any adjustment pursuant to VII.B. as above

Q₂ = quantity of milk in hundredweight received by Boston market dealers from Boston market producers whose plant price exceeds the price initially paid to any Maine market producer, including any adjustment pursuant to VII.B. as above.

c_l = credit, which is the difference between the plant price received by Boston market producers and the lowest price initially paid to any Maine market producer including adjustment pursuant to VII.B. as above, if the amount received by that Maine market producer is the lessor of the two amounts. For purposes of this provision, plant price does not include deductions or additions imposed by any seasonal balancing plan adopted pursuant to Federal Market Order No. 1.

NOTE: One class of Boston market producers who receives a plant price as defined above which may be greater than the price initially paid to any Maine market producer would be those shipping directly to a plant in Zone I of Federal Order No. 1. Other classes may exist, e.g., producers shipping to Federal Order No. I by way of direct haul to a plant in some other zone or shipping to a reload station serving a plant in Zone 1. Accordingly, the above formula would be expanded to reflect that revised situation as:

P = r₁ (Q₁) + r₂ (Q₂) + r₃ (Q₃) + etc.

where r₃ would be the redistribution rate for such Boston market producers and r₃ = r₁ - C₂ where C₂ represents the credit or difference between the plant price received by those Boston market producers and the lowest price initially paid to any Maine market producer. Information provided pursuant to II.B.2.c. will identify all such producers.

4. the Pool share and the amount payable from pool payments made at the base minimum price for each Maine and Boston market producer reported as such under Section II, A. or B.; as follows:

a. the producer's Pool share, which is the product of the redistribution rate for that producer and the amount of milk 2.b. for that producer;

b. the producer's share of the cost of promotion, calculated according to Section X for this rule; C. the producer's share of the cost of administration, calculated according to Section XI of this rule; and d. the amount obtained by subtracting b. and c. from a., which amount is the amount payable from the Pool to each producer;

5. any amount due to the Pool for promotion from Boston market producers. For any Boston market producer for whom credit is calculated pursuant to 3. b., the Pool Administrator shall:

a. determine the amount per hundredweight that would be otherwise payable to that producer from the Pool without a credit, which is the redistribution rate calculated before a credit is applied, or r as calculated pursuant to 3. b., from which rate the rates payable for promotion and administrative costs are subtracted;

b. if the credit calculated pursuant to 3. b. is greater than the amount obtained in a., calculate by what amount;

c. determine the amount payable by that producer to the Pool as the lesser of:

(1) the product of the promotion rate established according to Section X and the total hundredweight of milk sold by that producer to a Boston market dealer; or

(2) the product of the amount calculated under b. and the total hundredweight of milk sold by that producer to a Boston market dealer.

The Pool Administrator may deduct the amount owed from future base minimum price pool payments to that producer or from over-order premium pool payments to that producer, may require the producer's dealer to deduct the amount owed from future payments for that producer's milk and remit that amount to the Pool Administrator or may require the producer to pay the amount owed into the Pool. No such amount shall remain outstanding for a period in excess of 90 days.

d. in the case where the amount payable is the amount calculated under c(l), the Pool Administrator shall debit the amount due from the producer against that producer's share of the cost of promotion, and shall make payment of amounts so debited to the Milk Promotion Board upon receipt of payment from the producer.

e. in the case where a producer owes to the Pool the amount calculated under (2), the Pool Administrator shall deduct from the producer's Pool share the cost of administration calculated according to Section XI, and shall pay the remainder of the Pool share to the Milk Promotion Board, as partial payment of the amount due to the Promotion Board from that producer. The amount due to the pool by the producer which is the balance of the amount due for promotion by that producer, shall be paid to the Promotion Board upon receipt of payment from the producer;

6. for each Maine market dealer reporting under II. A. and Boston market dealer or agricultural cooperative reporting under II.B. whose producers are due payments out of pool payments made at the base minimum price.

a. the sum of all Pool shares due those producers;

b. the sum of all those producers' shares of the cost of promotion;

c. the sum of all those producers' shares of the cost of administration; and

d. the amount obtained by subtracting b. and c. from a., which amount is the Pool allotment for those producers for the month.

B. No later than the 21st day after the end of each month, the Pool Administrator shall send

1. to each Maine market dealer reporting under 11. A. and to each Boston market dealer and agricultural cooperative reporting under II.B., a copy of the calculations made under A., 1.2 and 3;

2. to each Maine market dealer, a copy of calculations made under A.4. for the dealer's producers and of those made under A.6. for the dealer; and

3. to each Boston market dealer and agricultural cooperative, a copy of calculations made under A.4. and A.5. for the dealer's or cooperative's individual producers and of those made under A.6. for the dealer or cooperative.

C. No later than the 5th business day after the 20th day after the end of each month, the Pool Administrator shall send

1. to each Maine market dealer reporting under II.A. the Pool allotment for its producers as reported thereunder. Where a Maine market dealer has reported an agricultural cooperative as a producer, the Pool Administrator shall send the Pool allotment for the cooperative to the cooperative;

2. to each Boston market dealer or agricultural cooperative reporting under 11.B. the Pool allotment for the individual Boston market producers whom the dealer or cooperative has reported thereunder, and/or a statement of any amounts to be deducted from an individual producer's next payment for milk according to 4.e.IV.A.5.c.; and

3. to the Maine Dairy Promotion Board, the amount due for the month for promotion, except any amounts outstanding from Boston market producers in accordance with IV.A.5.C.

Section IV-A. Calculation of Over-order Premium

A. The Pool Administrator shall calculate the total amount of payments from the over-order premium paid into the Pool pursuant to III-A.B. for the month.

B. The Pool Administrator shall calculate an initial redistribution of the monies paid into the Milk Pool under III.A.-B. This initial redistribution shall be made only on the milk of those Maine market and Northern Maine market producers identified by a Maine market pursuant to II.A.2.b. and II.A.3.b. and c. who did not designate an eligible marketing cooperative to receive an over-order premium. In calculating the rate of this initial redistribution, the Pool Administrator shall attempt to achieve, insofar as practicable, an initial redistribution of the over-order premium which ensures that Maine producers who are not members of eligible marketing cooperatives receive an initial redistribution equivalent to that received by Maine producers who are members of eligible marketing cooperatives. The Pool Administrator shall consider the following factors:

1. The gross rate of redistribution used by eligible marketing cooperatives to calculate payment to their members;

2. Reasonable administrative and other charges deducted by eligible marketing cooperatives from the redistribution made to their members; and

3. Such other factors as may be relevant to the goal of achieving, insofar as practicable, price equity among producers.

The Pool Administrator shall multiply the redistribution rate so derived by the amount of milk reported under II.A.2.b. and II.A.3.b. and c. for each Maine market producer who did not designate an eligible marketing cooperative to receive an over-order premium and shall credit the resulting products to those producers.

C. The Pool Administrator shall redistribute the portion of the monies paid into the Milk Pool under III-A.B. which remains following calculation of the initial redistribution under B. This second redistribution shall be shared on an equal basis by all Maine market producers, Northern Maine market producers and Boston market producers identified pursuant to II.A.2.a., II.A.3.a. and II.B.2.a. The Pool Administrator shall calculate this second redistribution by dividing the remaining monies by the total number of pounds reported pursuant to II.A.2.b., II.A.3.b., c. and II.B.2.b., and shall multiply the redistribution rate so derived by the reported production for each individual Maine market producer, Northern Maine producer and Boston market producer identified pursuant to II.A.2.a., II.A.3.a. and c. and II.B.2.a. The resulting product shall be credited to each individual Maine market producer, Northern Maine market producer and Boston market producer.

D. For each Maine market dealer reporting under II.A. and each Boston market dealer or agricultural cooperative reporting under II.B. whose producers are due second redistributions from the over-order premium under C. or both initial and second redistributions from the over-order premium under both B. and C., the Pool Administrator shall calculate the sum of all redistributions from the over-order premium due each of the dealer's or cooperative's individual producers.

E. The Pool Administrator shall send to each Maine market dealer reporting under II.A and to each Boston market dealer and agricultural cooperative reporting under II.B.:

1. A copy of the calculations made under A.;

2. A copy of the calculations made under B.;

3. A copy of the calculations made under C.;

4. A copy of the calculations made under D. showing the amount of initial and second redistributions from the overorder premium credited to each of the dealer's or cooperative's individual producers;

5. A calculation showing the sum of the redistributions credited to each of the dealer's or cooperative's individual producers pursuant to 4.; and

6. The amount of money calculated pursuant to 5.

F. Subject to the balance of this subsection, the Pool Administrator shall send the items specified in E.1.-5 no later than the 21st day after the end of the month following the month in which delivery was made. The Pool Administrator may send those items at a later date if (1) such a delay will enable redistributions under this section to more closely match the redistribution schedule of an eligible marketing cooperative, (2) the Commissioner determines that the eligible marketing cooperative is attempting to make its redistributions as expeditiously as possible; and (3) the Commissioner determines that the delay in making redistributions under this section is justified by the goal of achieving, insofar as practicable, price equity among producers.

G. In the event that the Pool Administrator sends the items specified in E.1.‑5. no later than the 21st day after the end of the month following the month in which delivery was made, he shall send the payment described in E.6. no later than the 5th business day after the 20th day after the end of the month following the month in which delivery was made. In the event that the Pool Administrator delays sending the items specified in E.I. - 5 for the reasons set forth in F., he shall send the payment described in E.6. no later than 4 business days after he sends the items specified in E.1. - 5.

Section V: Payment of Amount Due from the Pool to Producer-Base Minimum Price

For Maine market producers, no later than the day required by statute, and, for Boston market producers, no later than the date upon which the next payment to producers for milk received is due under regulations of the Federal Market Administrator, each Maine and Boston market dealer and each agricultural cooperative receiving an allotment from the Pool shall pay each individual producer whose amount due from the Pool is included in that allotment the amount due and shall provide each such individual producer with a statement in a form specified or approved by the Pool Administrator, showing separately from all other calculations the calculations made under IV.A.I., 2. and 3. and the calculations of the amount due out of the Pool to that producer pursuant to IV. A. 4.

Section V-A: Payment of Amount Due from the Pool to Producer-Over-Order Premium

No later than 16 days following the date of the Pool Administrator's payment of the redistributions from the overorder premium described in IV-A.E.6., each Maine and Boston market dealer and each agricultural cooperative receiving such redistributions shall pay each individual producer whose redistributions from the over-order premium are included in that payment the amount due and shall provide each such individual producer with a statement, in a form specified or approved by the Pool Administrator, showing separately the calculations made under IV-A.A., B. and C. and the calculations of the amount of redistributions from the over-order premium due that particular producer pursuant to IV-A.D.

Section VI: Interest on Late Payments

In addition to all other penalties imposed by law, if a dealer or an agricultural cooperative fails to pay a producer by the time specified in 3 sections, V and V-A, the dealer or cooperative shall be liable to the producer for interest on the amount due the producer out of the Pool at a rate of 15% per year beginning from the date on which the payment was due. The interest, when paid in full, shall be considered an administrative settlement in lieu of prosecution under 7 M.R.S.A. §3155. Where a dealer or cooperative has delayed or failed to pay a producer, the Pool Administrator may, at the producer's request, pay directly to the producer future amounts due from the Pool. The Pool Administrator may, in the case of a Maine market dealer or a cooperative engaged in transactions on the Maine market, request the Maine Milk Commission to treat such conduct as a practice destructive of the minimum price for milk established by the Commission.

NOTE: Under 7 M.R.S.A. §2964(7) practices destructive of minimum milk prices set by the Maine Milk Commission constitute grounds for suspension, revocation or withholding of the dealer license required by 7 M.R.S.A. §2955.

Section VII: Reports to Pool Administrator

A. No later than the day required by statute, each Maine market dealer reporting under 11. A. shall report to the Pool Administrator, in a form specified or approved by the Administrator,

1. for each individual Maine market producer and each individual Northern Maine market producer identified as such reported by the dealer under II.A.,

a. the producer's name and address;

b. the amount of the producer's initial payment calculated according to Ill.A.1.a. and VII.B. for Maine market producers and III.A.2.c. and VII.B. for Northern Maine market producers;

c. the nature and amount of any adjustments to the initial payment pursuant to III.C., and any deduction and any recoupment under 111.D. of this rule;

d. the amount actually paid initially; and

e. the amount paid to the individual producer out of the Pool allotment, and date of payment; and

2. for each agricultural cooperative reported as a producer by the dealer under II.A.,

a. the cooperative's name and address;

b. the amount of the initial payment to the cooperative, which is the sum of the initial payment calculated according to 111.A.l.a. and VII.B. for milk produced by the cooperative's individual Maine market producers and the initial payment calculated according to Ill.A.2.c. and VII.B. for the cooperative's individual Northern Maine market producers, and the date of payment.

B. No later then the day required by statute each agricultural cooperative receiving a Pool allotment on behalf of Maine market producers shall report to the Pool allotment on behalf of Maine market producers shall report to the Pool Administrator, in a form specified or approved by the Administrator, for each of its individual Maine market producers;

1. the producer's name and address; and

2. the amount paid to the individual producer out of the Pool allotment and the date of payment.

C. No later than the date upon which the next payment to producers for milk received is due under regulations of the Federal Market Administrator, each Boston market dealer and each agricultural cooperative reporting under II. B. shall report to the Pool Administrator, in a form specified or approved by the Administrator, for each individual Boston market producer reported thereunder,

1. the producer's name and address; and

2. the amount paid the producer out of the Pool allotment

Section VIII: Recognition as an Eligible Marketing Cooperative

Any organization applying for recognition as an eligible marketing cooperative shall:

A. Furnish the Commissioner with current copies of the following documents:

1. certificate of organization;

2. articles of incorporation;

3. by-laws;

4. corporate resolutions relating to over-order premiums;

5. specimen copies of all membership and/or marketing agreements;

6. all contracts or agreements made for the purchase, sale, transportation or other disposition of milk within the New England states.

B. Provide the Commissioner with a written statement signed by a responsible person on behalf of the applicant organization containing the following information

1. summaries of all unwritten contracts or agreements for the purchase, sale, transportation or other disposition of milk within the New England states;

2. the purpose of the organization's formation;

3. a summary of the actual activities the organization engages in and plans to engage in;

4. the number of individual producers who have executed membership and/or marketing agreements either individually or through other cooperatives to which those producers belong, and the estimated monthly production of such producers;

5. the information requested in item 4 (total producer members and estimated total pounds) broken down so as to show the number of members' farms and estimated total production of such farms within and without the State of Maine;

6. a summary description of the basis upon which premiums are expected to be collected from dealers/ handlers and the basis upon which such premiums are expected to be redistributed to members;

7. a statement as to whether the collection and redistribution described in item 6 are expected to be made at an equal rate for all members of the organization, and if not, a description of expected variations;

8. if the anticipated (or actual) administrative and other charges to be deducted are not to be made on an equal basis, details as to such variations;

9. the anticipated (or actual) monthly timetable for collection of the premium and redistribution to members;

10. a statement as to whether and to what extent the expectations set forth in subparagraphs 1-9 may be subject to change.

The commissioner may require such additional information from the applicant as may in his judgment be necessary to determine the eligibility of the marketing cooperative under these rules.

The Commissioner may also commence an adjudicatory proceeding on the application pursuant to subchapter IV and subchapter V of the Maine Administrative Procedure Act , 5 M.R.S.A. §8001 et seq .

The Commissioner may also require, from time to time, from any eligible marketing cooperative, such additional information and documentation of the types contemplated by this Section VIII as the Commissioner may in his judgment deem necessary to determine the continuing eligibility of such organization.

Section IX: Information to be Periodically Furnished by Eligible Marketing Cooperatives

A. Each eligible marketing cooperative shall furnish the following information to the Pool Administrator on a monthly basis in a written report signed by a responsible person on behalf of the eligible marketing cooperative,

1. amount of premium charge per hundredweight of Class I milk respectively

2. total pounds on which premiums were collected;

3. total pounds on which premiums are outstanding;

4. total pounds of members' milk eligible to receive redistribution on premium;

5. gross amount of redistributions, and gross redistribution rate to members

6. an itemization of all administrative and other charges deducted from the gross amount of redistributions and the gross redistribution rate reported in item 5;

7. an itemization of all additions to the gross amount of redistributions and the gross redistribution rate reported in item 5;

8. the net amount of redistributions and the net redistribution rate credited to members;

9. the net amount of redistributions and the net redistribution rate actually paid to members. (if different from item 8, please explain);

10. the date upon which the net redistributions reported in item 8 are to be paid to members;

11. the extent to which premiums reported as outstanding under item 3 on previous months' reports have been collected and redistributed;

B. Each eligible marketing cooperative shall file the written report described in A. with the Pool Administrator no later than the 20th day after the end of the month following the month in which delivery was made. However, for good cause shown, the Commissioner may, at his discretion, extend the foregoing filing deadline.

C. Upon request of the Pool Administrator, an eligible marketing cooperative shall furnish any additional records or information necessary for the effective discharge of the Commissioner's duties under the Milk Pooling Law.

Section X: Delinquent Pool Payments

A. Where a Pool payment is not made by the day established in Section III or III-A the Pool Administrator will include the amount of the Pool payment due in calculating the total amount of money in the Pool for the month and in calculating the redistribution rate for the month and the redistribution rate for any over-order premium.

B. If the amount available in the Pool for payment to producers is insufficient to pay to producers the full amount to which each is entitled, a pro-rata amount shall be paid to each on an equitable basis as determined by the Pool Administrator, who shall keep a record of all deficiencies.

C. Any dealer who is delinquent in making a Pool payment shall be liable to the Pool Administrator for interest on the delinquent amount of the rate of 15% per year beginning on the day on which the payment was due, and shall be liable to the Pool Administrator for all costs of collecting the delinquent amount, including any legal costs incurred on behalf of the Pool. Such interest and costs, when paid in full, shall be considered an administrative settlement in lieu of prosecution under 7 M.R.S.A. §3155. D. Following receipt of a delinquent payment, the Pool Administrator shall pay each producer entitled to payment of a deficiency under B. a pro rats amount not to exceed the amount of the deficiency owed that producer. Any interest received under c. shall be paid on a pro rata basis to producers at the rate of 15% per year on the amount of the deficiency owed to each, beginning from the day the deficiency arose. The Pool Administrator need not make payments under this provision. separately, but may include such payments with the subsequent Pool allotment or payment of amount due out of the Pool to or on behalf of each producer.

Section XI: Failure to Provide Necessary Information

Where information necessary to the equitable administration of the Pool is not provided as required by this rule, the Pool Administrator shall notify producers to whom the information relates, requesting the information. Within 30 days of the request, the producers must provide the information or must demonstrate to the satisfaction of the Pool Administrator that circumstances over which the producers has no control prevent provision of the information. Where the information is not provided or the demonstration not made, the producers forfeit the right to payment out of the Pool for the period to which the information relates. Where the Pool Administrator determines that good cause exists, the time established herein may be extended.

Section XII: Costs of Promotion

A. The promotion rate shall be $.10 per hundredweight applied to all milk produced, purchased, or imported for sale within the State excluding milk consumed on the farm where produced.

B. The Pool Administrator shall calculate each Maine and Boston market producer's monthly share of the cost of promotion by applying the promotion rate for the period in which the month falls to the amount of milk received from each producer in the month by a Maine or Boston market dealer.

C. The Pool Administrator shall calculate the share of the cost of promotion due each month for each producer-dealer by applying the promotion rate for the period in which the month falls to the amount of milk which that producer-dealer produced in the month.

D. The Pool Administrator shall calculate the share of the cost of promotion due each month for each Maine market dealer who imported milk in the month for sale within the State by applying the promotion rate for the period in which the month falls to the amount of milk imported by that dealer in the month.

Section XIII: Cost of Administration

A. For the period beginning June 1, 1984 and ending December 31, 1984 and for every calendar year thereafter, the Pool Administrator shall establish a cost of administration, by separate rule.

B. For the period beginning June 1, 1984 and ending December 31, 1984, the Pool Administrator shall estimate the amount of milk subject to assessment for administration. For this period, milk subject to assessment shall be milk received from Maine and Boston market producers by Maine and Boston market dealers and shall not include milk produced by producer-dealers or milk imported by Maine market dealers for sale within the State. For this period, the estimate shall be based on such milk received in the same period of the immediately preceding year.

C. For calendar year 1985 and for every calendar year thereafter, the Pool Administrator shall estimate the amount of milk subject to an assessment for administration. Milk subject to assessment shall be milk received by Maine and Boston market dealers from Maine and Boston market producers and shall not include milk produced by producer-dealers, milk imported by Maine market dealers for sale within the State or milk received from any Boston market producer to whom IV. A. 5. d. applies. For calendar year 1985 and for each calendar year thereafter the estimate shall be based on such milk received in the most recent preceding annual period for which the Pool Administrator has the necessary data.

D. For the period beginning June 1, 1984 and ending December 31, 1984, and for each calendar year thereafter, the Pool Administrator shall establish a rate per hundredweight of milk from which each Maine and Boston market producer's monthly share of the cost of administration shall be calculated. The rate shall be established by dividing the cost of administration for the period or for the year by the amount of milk estimated for the period under B. or for the year under C.

E. For each Maine market producer and for each Boston market producer except those to whom IV. A. 5. d. applies, the Pool Administrator shall calculate a monthly share of the cost of administration by applying the rate calculated under D. for the period of the year in which the month falls to the amount of milk received in the month from the producer by a Maine or Boston market dealer.

Section XIV: Status of an Agricultural Cooperative as a Producer-Dealer

To establish entitlement to treatment as a producer-dealer, an agricultural cooperative must file with the Pool Administrator documentary evidence satisfactory to him demonstrating that

1. it is comprised solely of dairy farmers;

2. it wholly owns and operates its processing facilities; and

3. each individual member's share of that ownership is in direct proportion to the members share of all milk produced by all members for the cooperative. "Share of ownership” may include common and preferred stock, or other evidence of ownership, and cash distributions.

Section XV: Adjustments

A. At any time, the Pool Administrator may adjust any calculation required of the Administrator by this rule, when new or additional information indicates that adjustment is necessary for proper operation of the Pool according to this rule. Where an adjustment changes the amount of any Pool payment or other payment into the Pool, any Pool allotment or other payment out of the Pool or any amount due out of the Pool, the Administrator shall notify any producer, dealer and cooperative directly affected by the change, specifying its basis and amount. The Administrator may require or make immediate payment of the amount or, where the change is in any amount to be paid into or out of the Pool, may adjust subsequent payments into or out of the Pool to reflect the change. Where immediate payment is required, it shall be made within a time specified by the Administrator.

B. Within 10 days of notification by the Administrator, a producer, dealer or cooperative directly affected by and objecting to any action taken or proposed to be taken by the Administrator under this Section shall so advise the Administrator in writing, setting out the reasons for the objection. No payment under this section is required to be made until objections are resolved.

C. The Pool Administrator is not required to make an adjustment where the Administrator determines that the cost of doing so is excessive in relation to the amount of change of any payment.

SECTION XVI: Time Requirements

A. When the day upon which any action required by this rule is due falls on a holiday or weekend day, the action shall be due on the next business day following the holiday or weekend day.

B. When any payment required to be made under this rule is made by mail it shall be deemed to have been made on the date of the postmark, except that the Pool payments required by III.B. and III-A.B., and the promotion payments required by III. G. must be received by the Pool Administrator no later than the day specified in those Sections.

C. The Pool Administrator must receive the information required by II. and IX by the day specified in those sections. Where circumstances prevent the information from being reported in writing to the Pool Administrator by the day specified in those Sections. Where circumstances prevent the information from being reported in writing to the Pool Administrator by the day specified, the information must be supplied by telephone no later than the day specified and must be followed by written information postmarked no later than the day specified.

D. Reports required to be filed under IV. shall be deemed to have been made on the date of the postmark.

SECTION XVII: Audits

The Pool Administrator shall audit or cause to be audited information, reports and records of dealers and cooperatives required to be kept or reported under this rule or otherwise necessary for proper operation of the Pool. The Administrator shall determine the extent, form and frequency of audits, but shall audit or cause to be audited each dealer and cooperative at least twice annually. The Pool Administrator may audit or cause to be audited information, reports and records submitted by eligible marketing cooperatives or organizations applying for recognition as eligible marketing cooperatives as he deems necessary.

SECTION XVIII: Separability

If any provision of this rule or its application to any person or circumstances is held invalid, the application of the provision to other persons or circumstances, and the validity and applicability of the remaining provisions, shall not be affected thereby.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §3153
• EFFECTIVE DATE: March 27, 1984
• AMENDED: June 4, 1984
• AMENDED: January 15, 1985
• AMENDED: September 6, 1987
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• CONVERTED TO MS WORD: August 15, 2005
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025
• APAO ACCESSIBILITY CHECK (Word): April 21, 2026

Chapter 62 General Fund Money Distributed to Maine Dairy Farmers

Code Me. R. 01-015 Ch. 62 General Fund Money Distributed to Maine Dairy Farmers {#sec-01-015-ch.-62 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-015 Ch. 62}

All funds appropriated from the General Fund to the Maine Milk Commission pursuant to Public Law 1997, c. 395, Section B-1 shall be deposited into the Maine Milk Pool and distributed to producers in accordance with Chapter 60, "Maine Milk Pool: Operation" 01-01 CMR 60 (as amended September 7, 1987).

History

• STATUTORY AUTHORITY: Public Law 1997, c. 395, Subsection B-1
• STATUTORY AUTHORITY: 5 M.R.S.A. §8054;
• STATUTORY AUTHORITY: 7 M.R.S.A. §2954
• EFFECTIVE DATE: April 18, 1995 (EMERGENCY) (Exp. 7-18-95)
• AMENDED: August 17, 1995 (EMERGENCY) (Exp. 11-16-95) (Joint rule with 01-001)
• AMENDED: January 21, 1996
• ELECTRONIC CONVERSION: May 4, 1996
• AMENDED: August 24, 1996
• AMENDED: August 3, 1997
• CONVERTED TO MS WORD: August 5, 2005
• CORRECTED: February, 2014 – agency names, formatting

01-017 State Harness Racing Commission

Chapter 1 Administration

Code Me. R. 01-017 Ch. 1 Administration {#sec-01-017-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 1}

SUMMARY: Chapter 1 contains definitions, rules of construction, sulky standards, licensing requirements and fees set forth by the Maine Harness Racing Commission.

Section 1. Definitions

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

Added Money Early Closing Event. "Added Money Early Closing Event" means an event closing in the same year in which it is to be contested, all entrance fees received are added to the purse.

Age. "Age" means the age of a horse as reckoned from the first day of January of the year of foaling.

Also Eligibles. "Also Eligibles" means a horse that is not initially scheduled to race, but is eligible to race and may race in place of a horse that has been scratched.

Amateur Driver. "Amateur Driver" means a driver who has never accepted any valuable consideration by way of or in lieu of compensation for his services as a driver.

Appeal. "Appeal" means a request for the Commission to consider and review any decisions or rulings of Judges or Officials of a meeting.

Association. "Association" means any person or persons, or legalized business entity licensed by the Commission to conduct harness racing and or pari-mutuel wagering or both within the State of Maine.

Authorized Agent "Authorized Agent" means a person who has been authorized to act on the behalf of another.

Break. "Break" means the act of a horse going off-gait.

Breeder. "Breeder" means the owner of the dam at the time of foaling.

Breeding Place. "Breeding Place" means the place of the horse's conception.

Commission. "Commission" means the Maine Harness Racing Commission.

Commission Chemist. "Commission Chemist" means a licensed and qualified chemist designated by the Department as the Commission Chemist.

13. Commission Veterinarian. "Commission Veterinarian" means the veterinarian designated by the Department to perform veterinary services as called for in these rules. The Commission Veterinarian must be a veterinary practitioner licensed to practice in the State of Maine.

14. Coupled Entry. "Coupled entry" means two or more horses starting in a race when owned or trained by the same person, or trained in the same stable or by the same management, or grouped as part of the mutuel field.

15. Dash. "Dash" means a race decided in a single trial.

16. Declaration. "Declaration" means the entering of a particular horse to a particular race.

17. Department. “Department” means the Department of Agriculture. Conservation and Forestry.

18. Disqualification. "Disqualification" means that a horse is disqualified from receiving a purse or record for the position in which it finished.

19. Distanced. "Distanced" means a horse is more than 25 lengths behind the winner.

20. Double Dash. "Double Dash" means a race consisting of two separate trials for equal purses contested on the same program.

21. Drug. "Drug" means:

• 1. Articles recognized in the official United States Pharmacopeia, the official Homeopathic Pharmacopeia of the United States or the National Formulary or any supplement to any of them; and Dimethyl Sulfoxide (DMSO) whether applied internally or externally.
• 1. Articles intended for use in the diagnosis, cure, mitigation, treatment or prevention of disease in man or other animals; and 2. Articles (other than foods) intended to affect the structure or any function of the body of man or other animals; and
• 1. Articles intended for use as a component of any articles specified in paragraphs 1, 2, or 3; but does not include devices or their components, parts, or accessories.

The term "drug" does not include water, in liquid or frozen state, or heat.

22. Drug Paraphernalia. "Drug Paraphernalia" means all equipment, products and materials of any kind which are used or intended for use in injecting, ingesting, inhaling, applying or otherwise introducing a prohibited substance into or onto the body of a horse.

23. Draw. "Draw" means the act of selecting the horses for a race and determining their post positions.

24. Early Closing Race. "Early Closing Race" means a race for a definite amount to which entries close at least six weeks preceding the race.

25. Elimination Heats. "Elimination Heats" mean the heats of a race to qualify the contestants for a final heat.

26. Exercise Induced Pulmonary Hemorrhage. "Exercise Induced Pulmonary Hemorrhage" means a condition in the horse resulting in the presence of blood in the tracheobronchial tree following periods of competitive exercise. A horse diagnosed with Exercised Induced Pulmonary Hemorrhage may or may not show the presence of blood in the tracheobronchial tree.

27. Expulsion. "Expulsion" means the loss of all privileges and the disqualification to participate, either directly or indirectly, in of the course and grounds of a licensed Association.

28. Extended Meet. "Extended Meet" means a series of pari mutuel harness horse races, except harness horse races conducted by an agricultural society at the time of its annual fair.

29. Field Horse. "Field Horse" means any horse that has been coupled as part of the mutuel field.

30. Foreign substance. "Foreign substance" means any medication in the controlled medication program, any alkalinizing agent, or any prohibited substance.

31. Free Legged Pacer. "Free Legged Pacer" means a horse racing on the pacing gait without hopples.

32. Futurity. "Futurity" means a stake in which the dam of the competing animal is nominated either when in foal or during the year of foaling.

33. Grounds. "Grounds" means all land and structures of an Association, including, but not limited to: race track, pari-mutuel area, paddock and barn area, grandstand and clubhouse area, and parking lot used for harness racing activities.

34. Handicapped Race. “Handicapped Race” means a race in which an artificial advantage is given or a disadvantage is imposed on a contestant to equalize the chances of winning.

35. Head Pole. "Head Pole" means a device used to hold a horse's head straight.

36. Heat. "Heat" means a single trial in a race two in three, or three heat plan.

37. Hippodroming. "Hippodroming" means a race in which special financial arrangements have been offered for a horse to enter.

38. Hopples. "Hopples" means the straps used to keep a horse on a gait.

39. Hypodermic injection. "Hypodermic injection" means an injection given to a horse, including but not limited to injections given into or under the skin or mucosa and into blood vessels, joints and bursar, trachea, muscles, or the eye or related structures.

40. Interference. "Interference" means any act, in violation of these rules which, by design or otherwise, impedes, hampers or obstructs the forward progress of any competing horse or horses.

41. Invitational or Invitation Race. "Invitational or Invitation Race" means a race to which only those horses named by the Race Secretary and listed by the Race Secretary with the Presiding Judge, shall be eligible.

42. Judges. "Judges" means the Judges of the meeting, one of whom shall be the Presiding Judge.

43. Judge’s Book. "Judge's Book" means a summary report recording all occurrences and events in a race, for example times, breaks, and track conditions.

44. Late Closing Race. "Late Closing Race" means a race for a fixed amount of money to which entries close less than six weeks and more than three days before the race is to be contested.

45. Licensee. "Licensee" means any Association or person receiving a license from the Commission.

46. Licensed Agricultural Fair. “Licensed Agricultural Fair” means an agricultural fair that has been awarded a license under 8 M.R.S. § 271 for the holding of harness horse races with pari-mutuel pools or meets for public exhibitions.

47. Maiden. "Maiden" means a stallion, mare or gelding that has never won a heat or race at the gait at which it is entered to start and for which a purse is offered.

48. Match Race. "Match Race" means a race which has been arranged and the conditions thereof agreed upon between the contestants.

49. Matinee Race. "Matinee Race" means a race with no entrance fee and where the premiums, if any, are other than money.

50. Month. "Month" means a calendar month.

51. Morning Line. "Morning Line" means the pre-race prediction of what each horse could pay upon winning.

52. Multiple-wagering pool. “Multiple-wagering Pool” means a wagering pool combining two or more horses in a single wager.

53. Mutuel Field. "Mutuel Field" means, when the individual horses competing in a race exceed the numbering capacity of the Tote Board, the highest numbered horse within the capacity of the Tote Board and all horses of a higher number shall be grouped together and called the "Mutuel Field".

54. Nomination. "Nomination" means the naming of a horse to a special advertised event.

55. Nominator. "Nominator" means the person making a nomination.

56. Offended Horse. "Offended Horse" means a horse that has been interfered with.

57. Offending Horse. "Offending Horse" means a horse that has interfered with another horse.

58. Off-Time. "Off-Time" means the moment at which, on signal of the Starting Judge, the horses officially start.

59. Open Class. "Open Class" means a group of horses so designated by the Race Secretary.

60. Open Stretch. "Open Stretch" means that portion of a track in the homestretch where the inner edge of the racing surface has been moved in towards the middle of the track, creating an additional lane known as the inner lane.

61. Out of Competition Testing for Blood and/or Gene Doping Agents. “Out of Competition Testing” means testing of samples that are obtained from a horse at times other than when it is at a racetrack for competitive racing.

62. Out-ticket. "Out-ticket" means a ticket that is not cashed at the close of the day's racing.

63. Overnight Event. "Overnight Event" means a race for which declarations close not more than three days (omitting Sundays) before such race is to be contested.

64. Owner. "Owner" means the sole owner, part owner or lessee of a horse.

65. Pace. "Pace" means the lateral gait of a horse.

66. Paddock. "Paddock" means an enclosure to which horses scheduled to compete in a race program are confined prior to racing.

67. Parked Out. "Parked Out" means a horse has raced in an outside lane for over a quarter of a mile.

68. Person. "Person" is any individual, partnership, corporation, or other association or entity.

69. Poor Performance. “Poor Performance” means when a horse performs in a manner inconsistent with its previously demonstrated ability or fails to meet eligibility standards.

70. Preferred Race. "Preferred Race" means a race which includes the best horses at the meet.

71. Prohibited substance. “Prohibited substance" means

• 1. any substance, including, but not limited to, a narcotic, stimulant, depressant, tranquilizer, local anesthetic, analgesic, drug or drug metabolite, medication of any type or biological substance, at a level greater than the level found in the normal, untreated horse or 2. any substance, regardless of how harmless or innocuous, that might interfere with the detection or quantitation of a narcotic, stimulant, depressant tranquilizer, local anesthetic, analgesic, drug or drug metabolite, medication of any type or biological substance at a level greater than the level found in the normal untreated horse.

72. Protest. "Protest" is a sworn written complaint filed with the judges prior to the running of the race alleging a breach of the rules or conditions that a horse is ineligible to race.

73. Purse. The monetary amount that is distributed to the finishers of a race.

74. Race Lines. "Race Lines" means a record of a horse's past racing performance, including but not limited to finish times and position and times at the quarters and half.

75. Race Winner. "Race Winner" means the horse deemed the winner of a race by the Judges after determining the official placings and the "Official" sign has been posted.

76. Racing Officials. "Racing Officials" means the following officials:

Associate Judge; Charter; Clerk of Course, Horse Identifier; Paddock Judge; Presiding Judge; Program Director; Race Secretary and Starter/Patrol Judge.

77. Racing Year. "Racing Year" means the period from January 1 through December 31 which is commonly known as a calendar year.

78. Recall. "Recall" means a call to re-form the horses in a race behind the starting gate.

79. Recovery Slip. Means a form supplied by the commission that is signed by a licensed veterinarian indicating that a horse is certified fit to race.

80. Scoring. “Scoring” means a horse warming up on the track after the post parade prior to being called to the starting gate by the starter.

81. Scratch. "Scratch" means the act of removing an entered horse from a race after the draw.

82. Scratch Time. "Scratch Time" means the time that the Presiding Judge clears the program for printing.

83. Simulcast or Simulcasting. "Simulcast or simulcasting" means live audiovisual electronic signals emanating from a licensed horse race meeting and transmitted simultaneously with the running of the races at that meeting. These terms shall also include the transmission of pari-mutuel wagering odds, amounts wagered and payoffs on such events.

84. Split Sample. “Split Sample” means a portion of the test sample obtained from a horse or human.

85. Stake. "Stake" means a race which will be contested in a year subsequent to its closing.

86. Starters. The horses shall be deemed to have started when the Starter gives the word

“go” and all the horses must go the course except in case of an accident, broken equipment, or any other reason in which it is the opinion of the judges that it is impossible or unsafe to go the course.

87. State testing area. "State testing area" means the location at a track where all horses designated for testing shall be taken so that necessary test samples may be obtained from the horse.

88. Sustained. "Sustained" means the payment necessary to keep a horse eligible to a certain class.

89. Sulky. "Sulky" means a dual shaft, dual wheel racing vehicle.

90. Supplemental Purse. "Supplemental Purse" means the purse made available pursuant to Title 8, Maine Revised Statutes , §290.

91. Suspension. “Suspension” means all privileges granted to a licensee of the Commission by the officials of a race meeting or by the Commission have been withdrawn.

92. Test level. "Test level" means the concentration of a foreign substance found in the test sample.

93. Test sample. "Test sample" means any body substance, including but not limited to saliva, feces, blood or urine, taken from a human or taken from a horse under the supervision of the Commission or the Commission Veterinarian and in the manner prescribed by the Commission. Test sample includes, but is not limited to, pre-race samples, post-race samples and out of competition samples.

94. Tote Board. "Tote Board" means a board that shows the odds on the horses in the race.

95. Trainer. “Trainer” means the person responsible for the care and condition of a horse.

96. Trot. "Trot" means the diagonal gait of a horse.

97. Two in Three. "Two in Three" means in a two in three race a horse must win two heats to be entitled to first money.

98. Walk Over. "Walk Over" means a race in which the only starters are under the same ownership.

99. Winner. "Winner" means the horse so designated by the Presiding Judge.

100. Win, Place and Show Wager. "Win, Place, and Show Wager" means a wager on a single horse.

101. Wire. "Wire" means a real or imaginary finish line at right angles to the track.

102. Year. "Year" means a calendar year, unless otherwise expressed. "Year," used for a date, means year of our Lord.

Section 2. Rules of Construction

The following rules of construction shall be observed in the interpretation of these rules, unless such interpretation is inconsistent with the plain meaning of the rule.

Acts by agents. When an act that may be lawfully done by an agent is done by one authorized to do it, the agent's principal may be regarded as having done it.

And; or. The words "and" and "or" are convertible as the sense of a rule may require.

Conflict with laws. A rule in conflict with the Maine Revised Statutes is invalid to the extent of that conflict.

4 Dates. Wherever in the rules a reference is made to several dates and the dates given in the reference are connected by the word "to", the reference includes both the dates which are given and all intervening dates.

Rules of a Similar Nature. In the interpretation or construction of any rule, other harness racing rules of a similar nature may be used to assist in that interpretation or construction.

6. Situations not addressed by a Rule. In any instance where a situation is not covered by the MHRC rules, the Commission will refer to the most recent edition of the United States Trotting Association Rules for guidance on the matter.

7. Gender. In the interpretation of these rules, gender-neutral construction shall be applied when it is clear that the rule is not exclusively applicable to members of one sex.

8. Severability. The provisions of the rules are severable. If any provision of the rules is

invalid or if the application of the rules to any person or circumstance is invalid, that invalidity does not affect other provisions or applications which can be given effect without the invalid provision or application.

9. Singular and plural. Words of the singular number may include the plural; and words of the plural number may include the singular.

10. Shall; must, may. "Shall" and "must" are terms of equal weight that indicate a mandatory duty, action or requirement. "May" indicates authorization or permission to act.

11. Statutory references. Wherever in the rules the word "chapter" or "subchapter" appears without definite reference, it refers to the chapter or subchapter in which the word "chapter" or "subchapter" appears. Wherever in the rules a numbered section appears without reference to a numbered chapter, it refers to the section of the chapter in which the numbered section appears.

Wherever in the rules a reference is made to several sections, subsections, paragraphs, subparagraphs, divisions, subdivisions or sentences, the section, subsection, paragraph, subparagraph, division, subdivision or sentence numbers given in the reference are connected by the word "to," the reference includes both the sections, subsections, paragraphs, subparagraphs, divisions, subdivisions or sentences whose numbers are given and all intervening sections, subsections, paragraphs, subparagraphs, divisions, subdivisions and sentences.

12. Words and phrases. Words and phrases shall be construed according to the common meaning of the language. Technical words and phrases and such as have a peculiar meaning convey such technical or peculiar meaning.

Section 3. Jurisdiction

The Laws of Maine and the Rules of the Maine State Harness Racing Commission shall supersede the conditions of a race, regulations governing meets and rules or regulations of any other jurisdiction.

Section 4. State Steward

There shall be a State Steward at all licensed race meets. The State Steward shall be the representative at large of the Commission at the race meets. The State Steward shall be the senior official at all meets under the control of the Commission and shall have direct supervision over all matters pertaining to such meets. The State Steward and any other representative of the Commission shall have unrestricted access to the grounds where a licensed meet is being conducted. When a State Steward is licensed as an Associate Judge or a Presiding Judge, a State Steward is the Commission’s licensed designee pursuant to 5 M.R.S. § 10004(6).

A State Steward may act as the Presiding Judge at a licensed race meet under the following conditions:

1. a person, association, or corporation applying for a license to conduct racing under 8 M.R.S. § 271 submits a request to the Commission that a State Steward act as a Presiding Judge at all race meets for the upcoming race season that it is applying to be licensed for;

2. the request for a State Steward to act as the Presiding Judge is for the entire upcoming race season and is made concurrent with its application to conduct live racing and for race date assignments;

3. the Commission approves the request at its annual race date assignment hearing held pursuant to Chapter 19, Section 4; and

4. the State Steward is licensed by the Commission as a Presiding Judge.

Section 5. Racing, Farm, Corporate or Stable Name

Racing, farm, corporate, or stable name may be used by owners or lessees if registered with and published licensed by the United States Trotting Association.

Section 6. Stable Name Licensing

All racing, farm, corporate, or stable names must be licensed by the Commission.

Section 7. Corporate Requirements

Corporations racing horses in Maine shall furnish the following information:

The corporation shall designate to the Judges and the Commission the name of one individual, preferably an officer who shall act as agent for the corporation.

All persons listed in the corporation shall be liable for entry fees and penalties against horses raced by the corporation.

In the event that one of the persons listed in the corporation is suspended all horses owned by the corporation shall be suspended.

Each of the persons holding a beneficial interest in the corporation shall be in good standing in racing.

Each of the persons holding a beneficial interest in the corporation shall be licensed as an owner. If more than five persons have a beneficial interest in the corporation then the corporation shall designate by vote one member holding a beneficial interest to receive a license in the name of the corporation and to assume all responsibilities thereof.

The provisions of the Corporation Rules shall not apply to stockholders of publicly held corporations consisting of twenty-five or more stockholders. However, officers and directors of such publicly held corporations shall be liable to all of the provisions of the Corporation Rules as set forth above.

Section 8. Equipment Inspection

The Commission has the right to inspect and prohibit the use of any and all racing equipment at any time.

Section 9. Sulky Approval

The use of any sulky in competition at an Association shall be subject to the approval of the Judges. A judge shall not approve use of a sulky in competition when the general condition, overall construction or a particular structural feature of the sulky is dangerous or unsafe.

The Commission adopts "Sulky Performance Standards/Approval" established by the United States Trotting Association effective May 1, 2022 as official guidelines for approval of sulkies used in competition at an Association in Maine.

THE UNITED STATES TROTTING ASSOCIATION

SULKY PERFORMANCE STANDARDS/APPROVAL

1. Approval of Racing Sulkies

All styles, types and models of racing sulkies must pass all performance and testing standards as established under these guidelines in order to be approved for use in any race. Such testing shall include static load testing, dynamic load testing and track testing.

2. General Provisions

The sulky shall not create either by design or manufacture any interference or hazard to any driver or horse in a race.

All components of the sulky shall be attached to one another in such a way that they remain attached during normal use and testing.

No bent shaft style sulky shall be approved for use.

3. Shafts

A. Each sulky shall be equipped with two shafts that are attached independent of one another to the horse. Each shaft may have one vertical bend. No vertical bend beyond 12’ from the hitching point is permitted.

B. Inside to inside measurement shall be within a range of 42’ to 50’ at the front of the arch. (Also See – Subsection (5)(A)).

C. All shafts will be equipped with quick-hitch fixtures or attachable by conventional tie-downs. All quick-hitches shall have safety straps.

4. Arch

The style of arch must be no narrower than 47" or wider than 56" in distance measuring from the inside of each side of the arch at the axle nuts.

The front of the arch to the center line of the harness where a horse is hitched shall be no greater than 76" as measured along the shaft.

The distance from the front of the arch to the back of the seat shall be no greater than 19".

The distance from the ground to the bottom of the arch shall be between 28" and 35" measured with the wheels attached.

The arch shall be parallel to the ground and located a minimum of 1" higher than the tire at all points.

5. Fork

A. Inside measurement between the inside fork assemblies shall be no less than 4” but no more than 8” greater than the inside measurement between the shafts as measured at the front of the arch. (Fork measurements taken from the inside of each side of the arch at the axle nuts).

B. There shall be a fork assembly on both sides of each wheel. (Also See Subsection (3)(B)).

6. Stirrups

A. Each sulky shall be equipped with two stirrups or foot supports.

B. Each stirrup or foot support shall not be more than 8” wide.

C. The stirrups or foot supports shall be attached to the inside of each shaft no closer than 30” from stirrup or foot support to stirrup or foot support. (Also See Subsection (3)(B)).

7. Seat / Seat Plate

A. The measurement from the ground to the heel of the stirrup or foot support and ground to seat plate shall have a spread of no more than 6” as measured with the sulky hitched at 54”.

B. The seat plate shall be no lower than 1” below the arch.

C. The seat shall be securely attached to the seat bracket in a fixed position.

D. The back of the seat shall be no higher than 6”. No high back seats shall be permitted.

E. All seats shall have adequate padding to provide comfort for the driver.

8. Wheels / Tires

Each sulky shall contain two wheels.

The wheels shall be 26" to 28" with tire attached.

All wheels shall be covered by wheel disc covers constructed in such a manner so that they are light weight and durable.

D. Wheel discs shall be either solid one-color or colorless.

9. Mud Fenders

A. Mud fenders shall provide coverage from the top of the fork brace that attaches to the shaft of the sulky to a point 18” beyond the back of the arch as measured along the fender. The mud fenders shall be easily attached to the sulky in such a manner as to make them totally secure to the sulky. For sulky models approved on or after January 1, 2007, if the design of the sulky precludes a customary/universal mud fender from being used it shall be the responsibility of the sulky manufacturer to provide such mud fenders for any or all sulky models produced by the manufacturer.

10. Attachment to the Horse

A. The sulky must be attached to either side of the horse by an approved method with each shaft hooked separately on each side as described in Subsection (3)(C).

B. The forward ends of the sulky shaft shall not project beyond the shoulder of the horse.

C. The shafts shall not be higher than the withers of the horse.

Section 10. Licensing Participants

1. No one shall participate in any harness horse racing activity without first making application to and receiving from the Commission a license to so act. Licenses must be current and are issued on a calendar year basis. Fees for licenses shall be paid prior to issuance as set forth in the license fee schedule.

1-A. Grounds for Suspension, Revocation, Refusal or Denial of a License

The Commission may suspend, revoke, refuse to issue or deny any or all of a person’s licenses upon a finding that any of the following grounds exist:

Pursuant to 5 MRS Chapter 341, when a person has been convicted or otherwise judged guilty of a crime in Maine or in another jurisdiction;

When a person has displayed conduct demonstrating dishonest behavior, fraud or theft;

A person has displayed conduct found by the Commission to undermine the integrity of harness racing in Maine by negatively impacting:

1. the confidence of the wagering public;

2. the validity of pari-mutuel pools;

3. the health and welfare of spectators and/or participating owners, trainers, drivers, grooms and others involved in harness racing;

4. the health and welfare of race horses.

There is evidence of financial irresponsibility on the part of a licensee or applicant, in the form of a court ruling detailing unpaid or default obligations; the licensee or applicant has unpaid fines, fees or purse returns overdue to the Commission or a licensed association; or the Commission has evidence that the applicant has issued drafts or checks that are dishonored or refused payment;

A person’s license is currently refused, denied, suspended or revoked in another jurisdiction, provided the basis for such action is consistent with Maine law. The Commission may also consider good cause shown by the licensee or applicant;

A person is unqualified to perform the duties required;

A person has been suspended within the last year from Maine or another jurisdiction, provided the basis for such action is consistent with Maine law, or is currently excluded, or has been excluded, from any association grounds;

A person whose conduct, reputation, experience or character may adversely reflect on the honesty and integrity of horse racing or interfere with the orderly conduct of a race meeting;

9. A person has violated any Commission rule or statute;

10. A person fails or refuses to provide a statement to a state official or the Commission when asked to provide one in an ongoing investigation.

11. A person has engaged in bookmaking, touting, or other forms of illegal gambling, or has been a partner of or agent for bookmakers, illegal gamblers, racketeers, or known criminals;

12. A person fails to disclose relevant information or makes a false or misleading statement in or in connection with any application, investigation, or any proceeding before the Commission;

13. A person fails to timely furnish information requested to supplement such application or during the course of a complaint investigation.

14. A person who has either admitted to race fixing in a sworn statement or been found guilty of race fixing in final adjudication or by consent agreement;

15. A person who has information concerning the solicitations or acceptance of a bribe and fails to report the same to the Presiding Judge at the race meeting; or

16. A person has been found in violation of animal welfare laws contained in 17 M.R.S. Chapter 42 or 7 M.R.S.§ 4011, or witnesses animal cruelty as defined by those laws or death of a horse, on association grounds, and does not report it to state officials.

17. A person continues to act in a capacity requiring a license under the Commission after expiration, suspension, or revocation of that license, or;

18. A person fails to produce any requested documents in the licensee’s possession or under the licensee’s control concerning a pending complaint proceeding, or any matter under investigation.

Owner Licensing Requirements. An applicant for a license as an owner must meet the following requirements.

1. submit a completed application with the appropriate fee;

2. be at least 18 years of age or be at least 14 years of age and the applicant submits a notarized affidavit from his/her parent or legal guardian stating that the parent or legal guardian expressly assumes responsibility for the applicant’s financial, contractual and other obligations relating to the applicant’s participation in racing;

3. own or lease a horse; and

4. beginning January 1, 2004, an applicant must provide proof of liability insurance on horses owned or leased by him/her in an amount not less than $300,000. Copies of that liability insurance coverage must accompany the application for an owner's license.

General Trainer Licensing Requirements. An applicant for a general trainer’s license must meet the following requirements:

1. submit a completed application with the appropriate fee;

2. be at least 18 years of age;

3. pass a written test administered by the Department with a score of 70% or better;

4. demonstrate an ability to harness a horse;

5. go a training mile within 4 seconds of a requested time;

6. provide three recommendations from general trainers licensed by the Maine Harness Racing Commission;

Presenting a current United States Trotting Association (USTA) general trainer’s license is considered equivalent to fulfilling subparagraph C. through F. of this subsection.

Limited Trainer licensing Requirements. An applicant for a limited trainer’s license shall meet the following requirements:

1. submit a completed application with the appropriate fee;

2. be at least 18 years of age;

3. pass a written test administered by the Department with a score of 70% or better;

4. demonstrate an ability to harness a horse;

E. be the registered owner or lessee of the horse that is to be trained under the requested license;

Presenting a current USTA limited trainer’s license is considered equivalent to fulfilling subparagraph C. through E. of this subsection.

Qualifying/Fairs Driver license requirements. An applicant for a Qualifying/Fairs driver’s license shall meet the following requirements:

1. submit a completed application with the appropriate fee;

2. be at least 16 years of age;

3. pass a written test administered by the Department with a score of 70% or better;

4. submit recommendations from three drivers holding a valid Maine “A” driver’s license;

5. go three satisfactory qualifying races before driving in a pari-mutuel race at a fair;

Presenting a current USTA qualifying/fair license is considered equivalent to fulfilling subparagraph C. through E. of this subsection.

Provisional driver license requirements. An applicant for a Provisional Driver’s license shall meet the following requirements:

1. Submit a completed application with the appropriate fee;

2. be at least 18 years of age;

3. have 12 satisfactory drives on a qualifying/fair license in the last 12 consecutive months or 15 satisfactory drives within the past 2 years;

4. be recommended by a currently licensed Maine Presiding Judge;

Presenting a current USTA provisional license is considered equivalent to fulfilling subparagraph C. through D. of this subsection.

Full Driver’s license requirements. An applicant must meet the following requirements for a full driver’s license:

1. submit a completed application with the appropriate fee;

2. be 18 years of age;

3. have at least one year’s driving experience while holding a Provisional license plus 25 satisfactory drives in that period or 50 satisfactory drives in less than a year;

4. have 10 wins at pari-mutuel meetings in Maine while holding a Provisional license;

5. be recommended by a currently licensed Maine Presiding Judge and two currently licensed Associate Judges.

Presenting a valid current USTA full driver’s license is considered equivalent to fulfilling subparagraph C. through E. of this subsection.

Grooms Licensing requirements. The applicant must meet the following requirements for a groom’s license:

• 1. submit a completed application with the appropriate fee; 2. be 14 years of age; 3. be recommended by a currently licensed trainer.

9. Judge Licensing Requirements. No person may perform the duties of a Presiding Judge or an Associate Judge at any race meet licensed by the Commission without first applying for and receiving a license from the Commission. All judges must be at least 18 years old and submit a completed application accompanied by the fee set by the Commission.

A. Associate Judge Licensing Requirements. Applicants for associate judge licensure must meet the following requirements:

(1) Provide a current United States Trotting Association (USTA) associate judge credential; or

(2) Show a passing score of a Commission approved exam; and

a. Show a minimum of 1 year experience covering at least 25 race days as a licensed race official in another capacity; or

b. Show proof of completion of an accreditation course approved by the Commission.

B. Presiding Judge Licensing Requirements. Applicants for presiding judge licensure must meet the following requirements:

(1) Provide a current United States Trotting Association (USTA) presiding judge’s credential; or

(2) Show a minimum of 1 year experience covering at least 25 race days as a licensed associate judge and have a written recommendation from a currently licensed presiding judge that the applicant is recommended for advancement to a presiding judge.

C. Continuing Education. All Presiding and Associate Judges to be considered for approval must attend a Commission approved educational seminar consisting of at least four hours every two years. The educational seminars must be specific to administration of Maine’s racing laws and the Commission’s Rules.

10. Licenses expire December 31 in any year in which they are issued.

Section 11. Licenses

1. The following licenses shall be issued by the Commission. License fees shall be reviewed annually and set by the Commission on or before December 31 for the subsequent calendar year.

Announcer

Assistant Charter

Assistant Race Secretary

Associate Judge

Charter

Clerk of Course

G. Commission Veterinarian

H. Corporate Stable

I. Driver

J. Driver/Trainer

K. Equipment Inspector

L. Farrier

M. Gate Security

N. Groom

O. Horse Identifier

P. Marshal

Q. Multiple Ownership

R. Owner

S. Owner/Driver

T. Owner/Driver/Trainer

U. Owner/Trainer

V. Owner/Trainer - Limited

W. Paddock Judge

X. Paddock Security Officer

Y. Pari-Mutuel Director

Z. Pari-Mutuel Employee

AA. Photo Finish Operator

BB. Presiding Judge

CC. Program Director

DD. Race Secretary

EE. Security Guard

FF. Stable

GG. Starting Gate Driver

HH. Starter/Patrol Judge

II. Timer

JJ. Trainer

KK. TV/Video Operator

LL. Urine Sampler

MM. Vendor

The fee for a duplicate license shall be $5.00.

Combination licenses. In addition to the license combinations specified above, in subsection 1. combination licenses for Program Director, Clerk of Course and Charter and for Equipment Inspector and Horse Identifier may be purchased.

Section 12. Vision Requirements

An applicant for a license as a Presiding Judge, Associate Judge, Driver, Charter, Patrol Judge, Starting Gate Driver or Starting Judge must submit evidence of an eye examination, conducted within the last 4 years, indicating a minimum of 20/40 corrected vision in both eyes, or if one eye is blind, at least 20/30 corrected vision in the other eye. Evidence of the eye examination may be submitted by certification by a licensed optometrist or ophthalmologist or may be evidenced by eye examination information presented as part of a current, active United States Trotting Association membership or current, valid motor vehicle driver's license, provided that the eye examination for the United States Trotting Association membership or motor vehicle driver's license was conducted within the last 4 years.

Section 13. Registration

1. General Provisions

All matters relating to the registration of standardbred horses, unless otherwise provided for herein, shall be governed by the rules of the United States Trotting Association.

2. Registration of Standard and Non-Standardbred Horses

All standard or non-standardbred horses subject to these rules shall have an electronic eligibility issued by the United States Trotting Association

Section 14. Eligibility To Race In Maine

No horse may start in a race unless a valid electronic eligibility at the proper gait is obtained. In order to maintain a valid eligibility record on a horse that is racing, if that horse is sold or leased, the seller/lessor may deliver the registration certificate or application to transfer the horse to the clerk of the course for updating and processing. If everything is in order, the eligibility record will be updated and the registration certificate, application for transfer or lease forwarded to the USTA.

It is the trainer’s responsibility to ensure the accuracy of eligibility records.

Any horse on lease must race in the name of the lessee.

Canadian horses or horses that have raced at Canadian tracks are not excused from these rules.

It is a Level 1 violation of these rules to fraudulently tamper with or alter an electronic eligibility record.

Only the Clerk of Course or Presiding Judge may make changes on an eligibility record.

7. No Horse that is 15 years of age is eligible to perform in any race except matinees, licensed agricultural fair races, races exclusively for amateur or club drivers as sanctioned by the USTA, or non-betting racing under saddle events and no electronic eligibility shall be issued for such a horse except for a performance in such races. No Horse that is older than 15 years of age is eligible to perform in any race. The following limitations also apply:

A. Any horse that was placed on the steward’s list for any type of lameness during its 14-year-old season is not eligible to race as a 15-year-old.

B. A 15-year-old horse that is placed on the steward’s list for any type of lameness during its 15-year old season is no longer eligible to race.

C. 15 year-old horses are limited to a maximum of three starts in a calendar month.

8. Only the firstborn foal of a mare in any one year shall be eligible to race in the State of Maine, with the exception of twins carried by the natural mother to term.

Section 15. Coggins Test

It is a Level 1 Violation of these rules for a licensed association to permit a horse on the grounds which does not have a valid Coggins recorded on their electronic eligibility.

A. A copy of the state statute concerning the "Coggins Test" requirement shall be posted in the Racing Secretary's office.

No horse shall be drawn in to race unless a valid negative Coggins test. Is recorded on their electronic eligibility.

No electronic eligibility is valid for a horse from which a positive Coggins test has been reported.

Section 16. Spayed Mares

The fact that a mare has been spayed must be noted on the registration certificate, the electronic eligibility and any program when such mare races. It shall be the owner’s responsibility to report the fact that the mare has been spayed to the United States Trotting Association and return its papers for correction. If the information is on the eligibility papers, it must be in the racing program.

Section 17. Veterinarian's Responsibility

Professional and State Licensure Requirements. The Commission Veterinarian and each veterinarian employed at a racetrack by the association or an individual owner must be a graduate Veterinary Surgeon in good standing and licensed to practice under the Laws of the State of Maine. The Commission Veterinarian must be licensed by the Commission to be on duty at any pari-mutuel track.

Compensation Prohibited. No owner or trainer shall employ or pay compensation to any veterinarian employed by the Department either directly or indirectly, during the period of employment.

3. Medical Treatment of Horses

Treatment authorized. No Commission veterinarian employed by the Department may, during the period of his or her employment, treat or prescribe medication for any horse on the grounds or entered to race at any racetrack, for compensation or otherwise except as provided in this paragraph. A Commission veterinarian employed by the Department is authorized to provide first aid and to provide other emergency medical treatment to any sick or injured horse for the purpose of saving the life of the horse or stabilizing the horse until it can be transported to another equine medical facility or seen by the horse's regular veterinarian. A full and complete report of the treatment provided shall be made to the judges.

Reimbursement for medical treatment. The Department may require reimbursement from the horse's owner for any medical treatment, equipment or supplies provided pursuant to this paragraph.

No licensed veterinarian, except a Commission veterinarian or agent of the Department, shall examine, treat, or dispense medications in the paddock of a licensed racetrack, during its race meet, to horses scheduled to race on that day. A licensed veterinarian may examine, treat, or dispense medications to horses that have been scratched to needing emergency medical treatment only in an area designated by the Commission.

Section 18. Veterinarians Duties

The Commission Veterinarian shall be present in the paddock at a time to be designated by the Commission. The Commission Veterinarian shall inspect any horse so designated by the Judges and report on the race worthiness of the horse for the event listed. The Judges shall determine whether or not the horse shall be permitted to start. If not permitted to start, the horse automatically goes on the Steward's List, and thereafter shall not be permitted to enter until a licensed veterinarian notifies the Racing Secretary and the Judges that the horse is again fit to compete.

Section 19. Euthanized Horses

Whenever it becomes necessary to euthanize a horse while on the grounds of a licensed racetrack, euthanasia shall be accomplished in the manner prescribed by the Commission Veterinarian. If the Commission Veterinarian is on duty at that track, the Commission Veterinarian shall perform the euthanasia. The act of euthanasia whenever possible shall not take place in view of the public. The permission of the owner or his agent must be obtained before the horse is euthanized. If the owner or his agent are unavailable, the horse may be euthanized if necessary in cases of inhumane suffering.

Section 20. Postmortem Examination

1. A horse that expires or suffers a breakdown on a licensed racetrack and is destroyed, shall undergo a postmortem examination if the Commission Veterinarian and State Steward determine that it is necessary. The Commission Veterinarian and the State Steward shall determine the laboratory that will conduct the postmortem examination.

2. If possible, biologic samples shall be obtained from the carcass upon which the postmortem examination is to be conducted and shall be sent to a laboratory approved by the Department for testing of prohibited substances. When practical, samples may be procured prior to euthanasia.

3. The services of the veterinarian and the laboratory shall be made available by the Department without charge to the owner. If, however, the postmortem examination indicates that the cause of death was due to the administration of a prohibited substance or by the implementation of a prohibited practice, the charges for such services shall be assessed against the owner.

4. The results of the postmortem examination shall be presented to the Commission if the results indicate that the cause of death was due to the administration of a prohibited substance or by the implementation of a prohibited practice.

5. Each owner and trainer agrees to the postmortem examination provided herein as a prerequisite for maintaining the occupational license issued by the Commission.

Section 21. Test for alcoholic consumption

Breath Analyzer Test Required. All drivers, judges, starters, starting gate drivers and marshals shall be required to submit to a breath analyzer test at each racing program in which they participate. All other licensees may be required to submit to a breath analyzer test at each racing program in which they participate. The Commission shall provide the tracks with a breath analyzer device capable of measuring the presence of alcohol by weight within the blood.

Each track shall utilize the breath analyzer device provided by the Commission in the paddock. The use of such device shall be under the supervision of a Commission designee.

Tests shall be administered to the licensees and officials at such times as directed by the Presiding judge or other Commission designee and shall be administered by only a licensed official of the Commission. The Presiding judge can require any licensee to retake a test at any time during a racing program.

Violations. The following shall constitute violations:

Failure or refusal to take such test when requested.

Breath analyzer results of .05 grams or higher of alcohol per 210 liters of breath shall constitute alcoholic impairment and constitute a violation of this chapter. A licensee may retake the breath analyzer test within a reasonable period of time to confirm or establish test results lower than .05 grams of alcohol per 210 liters of breath. If the second result is below .05 grams of alcohol per 210 liters of breath, the licensee will be allowed to participate.

3. Penalties for violations of subsection 2. A driver who is alcoholically impaired or who refuses or fails to be tested shall not compete and may be fined or suspended or both. Any official who is alcoholically impaired or refuses or fails to be tested shall not be assigned duties and a report thereof shall be made immediately to the Commission. Any other licensee who is alcoholically impaired or refuses or fails to be tested when requested shall not be permitted to continue to perform in a licensed capacity that day.

Section 22. Drug Testing of Licensees

Definition. For purposes of this section, a "designated licensee" means an official as described in Chapter 3. Sections 1and 2: a licensed driver, a trainer, a groom, a starting gate driver, or any licensee who enters the paddock.

Drug use prohibited. For purposes of this section, the term "drug" shall include any scheduled drug, as defined in 17-A, Maine Revised Statutes Annotated , Section 1101, sub-section 11 (1983) and any prescription drug. Except for drugs used in accordance with a valid prescription from a licensed physician, a licensee shall not use drugs or have any trace of drugs in his/her system while participating in any capacity at a race meet. It shall be the responsibility of the designated licensee to give notice to the State Steward on an official form that he or she is using a Scheduled Drug or prescription drug pursuant to a valid prescription or order from a licensed physician.

Drug Testing. Every designated licensee, whether selected at random or otherwise for testing, shall have the affirmative obligation to cooperate fully and promptly in furnishing any required sample or to witness the securing of a sample when requested to do so by the State Steward. Drug testing shall be subject to the following conditions.

On each and every race date designated licensee’s to be tested may be selected at each track conducting a race meet that day by a random selection method. The method of random selection may be changed from time to time provided the method utilized conforms to fairness. It shall not be an indication of lack of fairness if any designated licensee is selected more frequently than others, provided there is no manipulating of the selection process other than changes in the method. If the selection method is changed that fact shall be posted in the Race Secretary's office 24 hours in advance of implementing the change.

Every designated licensee for any race at any licensed racetrack who appears to be under the influence of a drug or drugs may be subjected to a urine test or other non-invasive fluid test at any time, pre-race or post-race, at the direction of the State Steward or the Presiding Judge.

Any designated licensee who is requested to submit to a urine test shall forthwith in the presence of or under the supervision of a representative of the Department, provide the urine sample in a container supplied by the Department. The sample shall immediately be sealed and tagged on the form provided by the Department and the evidence of that sealing shall be indicated by the signature of the tested licensee. The portion of the form which is provided to the laboratory for analysis shall not identify the individual licensee that was tested by name. The sample is to remain in the control of the Department or its authorized agents in a manner that shall protect the integrity of the sample and test results. A positive drug result or a refusal or failure to testing shall be reported to the Executive Director or his or her designee.

Violation. It is a violation of this section:

1. to tamper with a test sample

2. to refuse or fail to submit to testing, or

3. to receive a positive test. For purposes of this section, a positive test results when the presence of a Scheduled Drug or prescription drug, is detected in the test sample, even at trace levels, except as authorized by this section.

Effect of violation of subsection 4. On receiving written notice from the testing laboratory that a specimen has been found "positive" for a drug, the Executive Director shall notify the licensee involved as quickly as possible, in writing by personal delivery or by certified mail return receipt, of the violation and the penalties. That person shall have the opportunity, at his or her own expense, to request that a confirmatory test be made from the same sample which tested positive.

6. Penalties

A. Penalties for a violation of subsection 4 are as follows. For the purpose of this section, suspension of a license shall include all of that person’s licenses.

(1) For the first violation:

(a) suspension of that licensee’s license for a period of ten days subject only to that licensee’s right to appeal to the Commission.

(b) mandatory drug testing. Mandatory drug testing shall continue until the retesting achieves one ‘negative’ result. The testing schedule shall be at the discretion of the State Steward. The licensee shall not participate at any harness race meet until the mandatory drug testing, achieves the required ‘negative’ results. Having served the mandatory suspension shall not excuse the requirement for one ‘negative’ result.

(2) For a second violation within any ten year period:

(a) suspension of that licensee’s license for a period of no less than six weeks. Subject only to that licensee’s right to appeal to the Commission.

(b) mandatory drug testing. Mandatory drug testing shall continue until the retesting achieves three ‘negative’ results. The testing schedule shall be at the discretion of the State Steward. The licensee shall not participate at any harness race meet until the mandatory drug testing achieves the required ‘negative’ results. Having served the mandatory suspension shall not excuse the requirement for three ‘negative’ results, and

(c) mandatory attendance in a Substance Abuse Treatment Program approved by and upon such reasonable terms and conditions as the Executive Director may require. Enrollment and participation in the Program shall be at the expense of the offending licensee. It shall be the licensee’s responsibility to provide the Commission with written notice of his or her enrollment, weekly status reports and written notice that he or she has successfully completed the program and has been discharged, or is still actively participating in a program. Upon retesting which produces the required ‘negative’ results, upon completion of his or her suspension and upon successful completion of the drug abuse treatment program. The offending licensee may participate in racing.

(3) For a third violation within any ten year period:

(a) mandatory suspension of the licensee's license for a minimum of 365 days;

(b) mandatory drug testing. Mandatory drug testing shall continue until the retesting achieves three "negative" results. The testing schedule shall be at the discretion of the State Stewards. The licensee shall not participate at any harness race meet until the mandatory drug testing achieves the required "negative" results. Having served the mandatory suspension shall not excuse the requirement for three "negative "results; and

(c) mandatory attendance in a Substance Abuse Treatment Program approved by and upon such reasonable terms and conditions as the Executive Director may require. Enrollment and participation in the Program shall be at the expense of the offending licensee. It shall be the licensee's responsibility to provide the Commission with written notice of his or her enrollment, weekly status reports and written notice that he or she has successfully completed the program and has been discharged, or is still actively participating in a program. Upon retesting which produces the required "negative" results upon completion of his or her suspension and upon successful completion of the drug abuse treatment program, the offending licensee may participate in racing.

(4) For a fourth violation within any ten year period: lifetime suspension of the licensee's licenses.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 263-A, 268, 275-C, 279-A, 279-B, 281
• REVISED: February 22, 1993
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996
• AMENDED: July 6, 1996 (EMERGENCY)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• MINOR CORRECTIONS: October 21, 1999; also converted to MS Word.
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: December 17, 2001 - Section 1 Sub-Section 66-A, "Protest," added
• AMENDED: June 30, 2002 - Section 21(2), filing 2002-216
• AMENDED: June 30, 2002 - Section 22(2), filing 2002-217
• AMENDED: June 6, 2004 - Sections 10(2)(D), 14(8), 17(3)(C), 22(6)(A), filing 2004-185 September 13, 2004 - Section 20(1 and 4), filing 2004-388
• NON-SUBSTANTIVE CHANGE: September 27, 2004 - misspelling in Section 20(1)
• NON-SUBSTANTIVE CHANGE: October 13, 2004 - removed stray "the" in Section 20(4)
• AMENDED: July 19, 2006 – Section 1(64), filing 2006-318
• AMENDED: November 8, 2006 – Section 1(78), filing 2006-459
• AMENDED: June 7, 2008 – Section 1(66-A), filing 2008-238
• AMENDED: October 21, 2008 – Section 10(1-A), filing 2008-481
• AMENDED: October 20, 2010 – Sections 1(20-B and 57-A) and 9(9), filing 2010-500
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 – agency name corrected
• AMENDED: February 21, 2018 – Section 10, filing 2018-024
• AMENDED: May 1, 2020 – Section 10 (1-AA), filing 2020-112 (EMERGENCY)
• AMENDED: February 7, 2022 – Section 10(1-AA) removed (emergency expired)
• AMENDED: September 25, 2023 – filing 2023-175
• AMENDED: June 8, 2024 – filing 2024-136

Chapter 3 Officials and Racetrack Personnel

Code Me. R. 01-017 Ch. 3 Officials and Racetrack Personnel {#sec-01-017-ch.-3 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 3}

SUMMARY: This chapter describes the responsibilities, duties, and restrictions of the various licensed race officials who have administrative responsibility for enforcing these rules. It also refers to other licensed personnel having responsibilities relating to racing.

Section 1. Judges

1. Judges Licensed by the Commission. No person may perform the duties of a Presiding Judge or an Associate Judge at any race meet licensed by the Commission without first applying for and receiving a license from the Commission.

A. The Commission shall provide a list of licensed Presiding and Associate Judges on an annual basis to the racing associations upon request.

Section 2. Officials employed by associations

The following licensed officials shall be employed by the association conducting a race.

• 1. Charter
• 1. Clerk of Course
• 1. Horse Identifier
• 1. Paddock Judge

E. Program Director

F. Race Secretary

G. Starter/ Patrol Judge

H. Presiding Judge, unless the association conducting the race meet requests that a State Steward act as the Presiding Judge pursuant to Chapter 1, § 4.

I. Associate judges (2)

The association may employ other licensed racetrack personnel as provided in this chapter.

General provisions. Associations must notify the Commission at least 30 days prior to their opening date of the names of each official identified in subsection A as well as the name of each any other licensed racetrack personnel the association plans to employ. Officials and other licensed. racetrack personnel must be approved by the commission prior to employment. The Commission may assign officials and other racetrack personnel, at the associations expense, if the association fails to notify the commission as required by this subsection.

Officials and other racetrack personnel may serve in more than one capacity if authorized by the Commission.

Any Association permitting an unlicensed person to officiate to participate in a harness racing activity which requires a license shall be subject to a fine, suspension or revocation of license as determined by the Commission.

Section 3. Officials Authority

In matters pertaining to racing, the orders of the Presiding Judge and Associate Judges supersede the orders of the officers and directors of the association. Although track licensees have the obligation of general supervision of their meeting, interference with the proper performance of duties of any Racing Official is hereby prohibited.

Section 4. Officials restrictions

Conflict of interest. No one interested in the result of a race, either because of ownership of any horse entered, or because of bets otherwise, shall act as a Racing Official for that race or participate in the draw for that race.

No Racing Official or employee of the Department shall participate in pari-mutuel wagering on any horse racing on a race day when he or she is acting in his or her official capacity. Violation of this section is a level one violation of these rules.

Accepting gifts. No racing official or his other assistants shall accept directly or indirectly, any gratuity, reward, or favor in connection with racing at the meeting.

No official or employee of the Department shall be connected in any way with the parimutuel operation at any race meet where he or she is serving in his or her official capacity. Violation of this section is a level one violation of these rules.

Underwriting insurance. No racing official or his or her assistants shall write or solicit horse insurance for the race meet.

6. Ownership Prohibited

Any shareholder listed on the racing license application for racing race dates from the Maine State Harness Racing Commission is prohibited from racing any horse he or she owns or leases in whole or in part at that association's race meeting, without annual approval of the Commission. This rule is not applicable to Maine Sire Stakes.

Managers and Assistant Managers of race meets may start horses in stakes races, early closing events and futurities, but shall not start horses without the specific approval of the Commission in late closing, preferred, free-for-all, claiming races nor any conditioned event at race meets under their jurisdiction.

In the event a hidden ownership is employed to circumvent this rule, all owners involved will be subject to a fine and/or suspension.

7. No racing official shall participate in the selection of the morning line nor be involved in any manner in the so-called "tip sheets" at pari-mutuel meetings at which he officiates.

Section 5. Judges Duties

1. Presiding Judge. The Presiding Judge shall be responsible for the performance of the Judge's duties and the performance of other officials under his or her supervision, including:

Announcer

Associate Judges

Charter

Clerk of Course

Commission Veterinarian

Equipment Clerk

Gate Security

Horse Identifier

Marshal

Paddock Judge

Photo Finish Operator

Program Director

Race Secretary

Starter/ Patrol Judge

Timer

2. In addition, the Presiding Judge shall be responsible for:

The maintenance of the Judges' Book, the Steward's List and the accident reports.

The preparation, delivery and posting of all notices of penalty, rulings and decisions relative to racing.

The procedures prescribed by these rules with respect to investigations and hearings.

The drivers meeting prescribed by these rules.

The listing of entries and declarations to start and the application of preferences to race.

All announcements over the public address system pertaining to the conduct of a race, racing officials or to any matter under the jurisdiction of the Judges.

The admittance of persons to the Judges' stand, subject to the direction of the Commission.

The coupling of horses where it is necessary to protect the public interest.

Will be responsible for upgrading licenses.

Upgrading shall not be unreasonably withheld if the driver meets all of the criteria established in Chapter one.

If a Presiding Judge cannot perform his/her duties for any reason, an Associate Judge licensed by the Commission shall be the Presiding Judge for that session, or until the Commission can find a replacement.

3. Track Conditions

Horsemen’s representative. It shall be the duty of the Maine Harness Horsemen’s Association to notify the Presiding Judge who the member and alternate are that will represent the horsemen on matters relating to the withdrawal of horses due to bad track or weather conditions.

Track Conditions. In case of questionable track conditions, the Presiding Judge shall call a meeting consisting of an agent of the licensed track, the representative of the horsemen, and himself. If this committee deems it safe to race, any trainer, or driver that desires not to race may be excused by the Presiding Judge.

Mud fenders. The Presiding Judge, after consultation with the horseman's representative may require the use of mud fenders when track and weather conditions warrant.

Effect of postponement on scheduled race. In case of unfavorable weather or other unavoidable cause, associations, with the consent of the Judges, shall postpone races in the following manner:

• 1. Early Closing Races, Stakes and Futurities. All shall be postponed to a definite hour the next fair-weather day and good track.
• 1. Any Late Closing Race or Early Closing Race that has been started and remains unfinished on the last day of the scheduled meeting, shall be declared ended and the full purse divided according to the summary. Any such race that has started but postponed by rain earlier in the meeting may be declared ended and the full purse divided according to the summary.
• 1. Unless otherwise provided in the conditions, in order to transfer stakes and futurities to another meeting, unanimous consent must be obtained from the affected association and from all those having eligible horses in the event.
• 1. At all pari-mutuel meetings overnight events may be postponed and carried over not to exceed two racing days.

3-A. Presiding Judge and Associate Judges. Presiding Judges, after consultation with Associate Judges, shall have the authority to take the actions indicated below.

Determine all questions of fact relating to racing.

Impose penalties as prescribed by these rules.

Decide any difference between parties to the race or any contingent matter which shall arise that is not otherwise provided for in the rules.

Declare pools and bets "OFF" in case of fraud, malfunction of the starting gate, or other situation which is in the public interest or declare any horse a non-starter and direct the refund of all wagers made thereon from which no appeal will be allowed.

Declare a no contest in the event there are extraordinary circumstances that cause safety issues, and inhibit the participants in a race, from competing normally.

Declare a dash or heat of a race no contest in the event the track is thrown into darkness during the progress of a race by failure of the track lighting system.

In determining whether to cancel a race or races, the Judges shall have due regard for the lives and safety of the drivers and the horses. Where it is impossible for the Judges to observe the finish of a race from the Judges' Stand and it is impossible to properly place the horses by the photo finish camera, the race or races shall be canceled.

Control the conduct of the horses, licensees, and every person or machine engaged in any portion of the racing program to protect the betting public, ensure compliance with the rules, and protect the integrity of racing.

Investigate every apparent or possible interference or rule violation and examine all parties connected with a race under oath as to any such violation of rules or complaint.

Closely observe the performance of all horses and drivers competing at the race meeting.

Determine the result of every race contested before them and place the horses competing therein in the order of their finish. Decisions in with respect to pools and bets shall be made at the conclusion of the race upon the observations of the Judges and upon such other facts as an immediate investigation will shall develop. A reversal or change of decision after the official placing at the conclusion of a heat or dash shall not affect the distribution of the betting pools made upon such official placing.

Whenever the judges call for a photo-finish digital image to determine the order of finish, they shall cause the word "Photo" to be flashed on the infield board and to remain there until the order of finished is determined.

Investigate any act of cruelty to a horse on the grounds of the Association whether seen by them or reported to them and fine and/or suspend any person found guilty of such cruelty.

Investigate all accidents on the track to determine the cause thereof and promptly make a full report to the Commission and the U.S.T.A. and record same in the Judges' Book.

Exclude from any race a horse which is improperly equipped. dangerous, unmanageable, unfit to race (which shall include sick, weak and extremely lame horses after consultation with a Department veterinarian, or horses liable to cause an accident or injury to another horse or driver in the race.

Conduct a prompt inquiry where a violation of any rule is committed, take such action as may be appropriate and render a report to the Commission. Such inquiry must be conducted by the Presiding Judge and at least one Associate Judge and must be conducted in a manner consistent with these rules and the Maine Administrative Procedure Act.

Grant a hearing at a designated time before a penalty may be imposed upon any

person. All three Judges should be present if possible, and at least the Presiding Judge and one Associate Judge must be present at all Judges' hearings. The

Judges may impose the penalties prescribed by these rules. Failure to appear at a Judge's hearing may result in a default judgment against that person. The Judges may reschedule a hearing for good cause shown. All Judges Hearings will be conducted in a manner consistent with these rules and with the Maine Administrative Procedure Act.

Submit in writing a complete list of all witnesses questioned by them at any hearing, which list of witnesses, along with the testimony of such witnesses, shall be forwarded to the Commission along with the reports required by these rules. The testimony of all witnesses questioned by the Judges shall be recorded by on one of the following methods; written, signed statements, tape recorders of or court reporter's transcript. At all pari-mutuel tracks Judges shall use tape recorders to record their hearings.

No decision shall be made by the Judges in such cases until all of the witnesses called by the Judges and the person required to appear before the Judges have given their testimony. Any person charged with a rule violation shall be given at least until 12:00 noon of the following day to prepare for his or her defense, upon request.

The Associate Judges shall assist the Presiding Judge in advancing driver’s licenses to a higher category. Advancement shall not be unreasonably withheld if the driver meets all of the criteria stated in Chapter one.

4. The Judges shall:

Be in the Judges Stand at least fifteen (15) minutes before the first race and remain there until the last race has been declared official and until their duties pertaining to the races have been completed.

Have unrestricted access to the grounds where a licensed meet is being conducted.

Advise the Paddock Judges of the schedule of post times for the program.

Be responsible for locking the pari-mutuel machines immediately upon the horses being given the word "go" by the starter.

Maintain telecommunication with the Starter/Patrol Judge from the time the Starter picks up the field of horses until all horses pass the finish line. Cause a written record to be made of every "break", violation of rules or incident observed by them or reported by the Starter/Patrol Judge.

Cause the appropriate signs to be posted on the tote board to indicate objection or

inquiry in the event of a rule violation or complaint and notify the public address announcer of the horses involved and the nature of the objection, post the order of finish of the 1st first four horses as they passed under the finish wire and cause the offending horse's number to flash. When the decision is made, cause the objection or inquiry sign to be removed, correct the order of finish and cause the "Official" sign to be shown.

G. Display the "Photo" sign if there is less than 1/2 length between contending horses at the finish line or if a contending horse is on a break at the finish. Examine the photo finish before rendering a decision on the placing thereof and cause copies of such digital images to be displayed for public inspection immediately after the result has been announced.

In the event of an electrical or mechanical failure of the photo-finish camera, or if a distorted, deceptive, or otherwise inadequate picture is developed, the Judges shall decide the order of finish and such decision shall be final.

H. Sign the Judges' Book after each race verifying the correctness of the information contained therein.

I. In the event of an accident, turn on the accident warning lights.

J. Check the validity of all driver’s licenses.

5. Times

Time Error. In any case of alleged error in the record, announcement or publication of the time made by a horse, the time so questioned shall not be changed to favor said horse or owner, except upon the sworn statement of the Judges and Timers who officiated in the race.

Misrepresenting Time. Any person who shall be guilty of fraudulent misrepresentation of time or the alteration of the record thereof in any public race or performance against time shall be suspended or expelled, and the time declared not a record.

Section 6. Duties of The Race Secretary

The Race Secretary is responsible for exercising a high degree of diligence in setting race conditions and developing the race program for each individual race day, and for the entire meet, in a manner that benefits all Maine licensees proportionately and fairly. The Race Secretary is accountable to the Presiding Judge and the Commission for his/her performance. The Commission may deny, suspend, revoke, refuse or condition the license of any Race Secretary upon credible evidence indicating that the Race Secretary has shown favoritism or otherwise failed to diligently uphold the responsibilities described in this section.

The Race Secretaries duties include, but are not limited to:

1. Ensuring, to the extent practicable within the context of the available horse supply, that each race is as evenly matched and as competitive as possible.

2. Ensuring that conditions sheets are written such that the lowest classes of horses have a fair and proportionate opportunity to compete for purses.

Ensuring that condition sheets declare the type of race proposed, such as conditioned, handicapped, free for all, etc.

Obtaining the electronic eligibility records and, when applicable, the registration certificate of all horses competing at the racetrack and return same to the owner of a horse or his/her representative.

Checking each eligibility record and certifying to the Judges as to the eligibility of all the horses.

Being familiar with the age, class and competitive ability of all horses racing at the track.

Writing conditions sheets to provide consistent and reasonable opportunity for all common classes of horses to have a regular opportunity to fairly compete.

Scheduling the daily racing programs to be presented at the racetrack and posting same at least 24 hours before declarations close. In any event, the original conditions shall not be changed.

Examining all electronic entries, entry blanks and declarations; verifying all information set forth therein; selecting the horses to start and the "also eligible" horses from the declarations in accordance with the rules governing these functions.

Advertising early closing, late closing, and stake events in accordance with the rules governing these races.

Examining nominations and declarations in Early Closing, Late Closing and Stake Events; verifying the eligibility of all declarations and nominations and compiling lists thereof for publication.

Post a list of all horses that may race only in Free for all, preferred, and invitational classes at that track, and make that list available to the Presiding Judge on a weekly basis.

Section 7. Clerk of Course

The Clerk of Course shall:

Maintain all official race summaries, records, suspensions, protests and fines; prepare and serve or cause to be served all notices relating thereto; and provide daily copies thereof to the Commission, the licensed harness race association and to the U.S.T.A.

Verify the ownership and trainer of all horses entered in races.

Assist the Judges in drawing positions, at the request of the Presiding Judge.

Keep the Judges' Book and cause to be recorded legibly therein:

1. All horses entered and their eligibility record numbers.

2. Names of owners and drivers and their license numbers.

3. A record of each heat, giving charted lines and money won.

4. Notation of any drawn or ruled out horses, and any placing of horses.

5. Record time in minutes, seconds and fifths of seconds.

Check eligibility records before the race, and after the race enter all information provided for thereon, including the horse's position in the race as it was charted. In the event a horse has been placed on the Steward's List, such fact and the reason therefore shall be recorded thereon.

Make a record of all protests, fines, penalties and appeals and see that the Judges' Book is properly signed.

Forward the Judges' Book from all pari-mutuel meetings the day following each racing day to the Department and to the U.S.T.A.

Notify affected parties of any penalty assessed against them by the Judges, Steward, or Starter and post a copy of such notice in the Racing Secretary's office.

Section 8. Starter/Patrol Judge

The Starter/Patrol Judge

shall be in the starting stand or starting gate fifteen minutes before the first race of the program;

shall report to the Judges, the following in writing,

a. all rule violations

b. any action on the track which could improperly affect the result of a race;

c. the unfitness or lameness of a horse; and

d. any lack of proper racing equipment

shall notify in writing the Judges and the drivers of the penalties imposed by him;

shall make recommendations, in writing, to the Presiding Judge for the placing on the Steward's List of all horses which do not perform properly at the start;

shall conduct such school sessions as are necessary to train horses to the method of starting adopted at the racetrack;

may request a Presiding Judge to substitute a driver, who fails or refuses to obey his or her instructions, for the heat or race;

shall have control of the horses from the formation of the parade until releasing the horses by giving the word "go" at the official starting point;

shall bring the horses to the starting gate within one minute after the official post time for that race unless a longer time is prescribed by the Presiding Judge;

shall position the starting gate, with its arm extended, on a 1/2 mile track as near 1/4 mile before the starting point as the track will permit. On a mile track it will be stationed at the head of the stretch;

will cause the gate to move towards the starting point, gradually increasing the speed of the gate but maintaining a speed which will average:

1. for the first 1/8 mile, not less than 11 miles per hour,

2. for the next 1/16 mile, not less than 18 miles per hour;

3. from that point to the starting point a gradual increase to the appropriate maximum speed;

shall post on the inside of the track the official starting point which shall be not less than 200 feet from the beginning of the first turn;

may sound a recall in accordance with the provisions of Chapter 7, Section 37.

shall endeavor to get all horses away in position and on gait.

shall not sound a recall after the word "go" has been given.

Section 9. Paddock Judge

The Paddock Judge shall:

Publicly announce the closing of the paddock as prescribed by the Presiding Judge or the State Steward.

Prohibit unauthorized people or things from entering the paddock.

Supervise the identification of all horses coming into the paddock, including the freeze brand or microchip.

Supervise the checking in and out of horses, grooms, owners, trainers and drivers.

Supervise the Gate Security Officer assigned to the paddock.

Supervise the activities of the Paddock Blacksmith.

Supervise the inspection of equipment and shoes; and the head and saddle numbers of each horse during warm-ups and before parade.

Notify the Presiding Judge of any incident that could in any way change, delay, or affect the routine progress of the racing program.

Obtain permission from the Presiding Judge for any change of racing equipment or shoes before the race.

Notify Judges of all trainers, drivers and grooms who leave the Paddock in an emergency.

Report any act of cruelty to any horse that he observes to the Presiding Judge.

Notify Judges of the reason for any horse returning to the Paddock after having entered the track for the post parade and before the start of the race.

Supervise the assembling of the fields of horses in the race for the post parades in accordance with the schedule given to him by the Presiding Judge.

Inspect and supervise the maintenance of all emergency equipment kept in the Paddock.

Report to the Presiding Judge any threatening or abusive language or conduct used within the Paddock enclosure.

Section 10. Horse Identifier

The Horse Identifier shall:

check the freeze brand or scan the microchip of all horses programmed to start in each race immediately prior to entering the track for the post parade

check the color and markings of all horses programmed to race;

report to the Paddock Judge any discrepancies noted by inspection;

report to the Paddock Judge any act of cruelty observed;

report to the Paddock Judge any foul threatening or abusive language; and

report to the Paddock Judge any horse which appears unfit to race

Section 11. Charter

The Charter shall cause to be recorded a complete and accurate chart of each race which shall include:

Horse's name,

Driver's name;

Date and place of race;

Size of track if other than a half-mile track;

Track condition and temperature;

Type of race (trot or pace);

Classification of race;

Distance;

The fractional times of the leading horse, including the race time,

Post position, position at the quarter, half, three quarters, and head of the stretch together with lengths at the finish and any other designated positions for all the horses in the race;

Official order of finish;

Individual time of each horse;

Closing dollar odds, where applicable, with favorite designated by an asterisk;

The standard symbols for breaks, park outs and free legged pacers where applicable. When a horse is "parked out" for at least 1/4 mile it shall be recorded and included in the published performance lines;

The beaten lengths and individual time of each horse,

In claiming races, the price for which the horse is entered to be claimed less including any allowances for age and sex; and

Notations of placings, disqualifications and claimed horses.

Section 12. Program Director

The Program Director shall:

verify the correctness of the owner, trainer, driver, earnings past performances of each horse that is to be published in the official program;

verify the correctness of all other information relating to the conduct of racing which is to be published in the official program; and

provide to the USTA all necessary corrections and authorize final publication of each day's official race program.

Section 13. Timers

The Timer shall:

be in the stand fifteen minutes before the first race and remain there until the final race is completed;

start their watches when the first horse leaves the point from which the distance of the race is measured;

record the time of the leading horse or horses at the quarter, halt half, three- quarter and finish pole;

record the fractions of odd distance races accordingly; and

sign the Judges book for each race verifying the correctness of the records in fifths of seconds.

Section 14. Equipment Clerk

The Equipment Clerk shall:

maintain a record for each horse competing at the race meet;

identify, on the record, the type of harness, shoes, and sulky normally used by the horse;

check each horse prior to its scheduled race and verify the correctness of the equipment;

notify the Paddock Judge of any changes which differ from the official record;

change the official record only with approval of the Paddock Judge;

report to the Paddock Judge any equipment which appears to be in disrepair and/or dangerous;

report to the Paddock Judge any horse which appears to be unfit for the race; and

report to the Paddock Judge any threatening or abusive language.

Section 15. Photo-Finish Operator

The Photo-Finish Operator shall:

display for the Judges the digital image of the finish of each race;

provide such finish images as may be required by the Presiding Judge;

report to the Presiding Judge any malfunction of the photo equipment;

not provide finish images to anyone without the express permission of the Commission or its designee; and

keep the photo-images for each race for a period of 90 days following the close of the meet.

Section 16. Marshal

The Marshal shall report directly to the Starter and perform such duties as may be ordered.

Section 17. Gate Security

The Gate Security shall:

1. when necessary, require persons seeking admission to the paddock to present a valid license issued by the Maine Harness Racing Commission, or a written pass signed by the State Steward.

2. refuse admission to the Paddock all persons not authorized to enter.

3. identify all persons and horses entering the paddock;

4. report to the Paddock Judge any persons attempting to enter the paddock who are not authorized to be there;

5. report to the Paddock Judge any foul abusive or threatening language; and

6. report to the Paddock Judge any cruel or abusive treatment of horses.

Section 18. Simulcast Coordinator

The Simulcast Coordinator shall be the person at each race meeting conducting simulcasting and shall be responsible for all matters pertaining to simulcasting.

Section 19. Paddock Security Officer

Each association offering pari-mutuel wagering must employ, at the expense of the association, a paddock security officer.

Section 20. TV/Video Operator

The TV/Video Operator shall:

1. upon request, display for the Judges the video images of each race;

2. provide video images of each race suitable for reviewing the race to determine any violations of the Commission’s rules which may have occurred during the race.

3. report to the Presiding Judge any malfunction of the TV/Video equipment;

4. not provide video images of the race to anyone without the express permission of the Commission or its designee; and

5. keep the video images of each race for a period of 90 days following the close of the meet or such longer time as may be designated by the Commission.

Section 21. Paddock Blacksmith

The Paddock Blacksmith shall:

1. Be on duty and provide services within the paddock one half-hour before post time of the first race until the completion of the race program.

Section 22. Security Guard

All persons employed by an association or an off-track betting facility to provide security for the pari-mutuel area or the track during any activity regulated by these rules shall be licensed as a Security Guard pursuant to the provisions of Chapter 1. This section shall not apply to full time law enforcement personnel or persons already licensed as Gate Security or as a Paddock Security Officer acting in their license capacity.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §§ 263-A, 268, 275-C, 279-A, 279-B, 279-C, 281
• REPEALED AND REPLACED: February 22, 1993 (this revision incorporates sections from Chapters 1, 5, 6, 14 and 18)
• AMENDED: June 5, 1994
• AMENDED: April 11, 1995
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: June 30, 2002 - Section 1, filing 2002-218 June 30, 2002 - Section 3-A, filing 2002-219 June 6, 2004 - Sections 4(1), 11(1), filing 2004-186 May 15, 2012 – Section 5(3), filing 2012-152 July 22, 2013 – Section 1(B) added, filing 2013-163
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 – agency name corrected in title
• AMENDED: February 21, 2018 – filing 2018-025
• AMENDED: September 25, 2023 – filing 2023-176

Chapter 5 ) Tracks

Code Me. R. 01-017 Ch. 5 Tracks {#sec-01-017-ch.-5 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 5}

SUMMARY: This chapter contains the requirements of the racing Associations to conduct race meets in the state and includes, but is not limited to: equipment, bonding, licensing, personnel, and the regulations of racing.

Section 1. License

During the course of its race meeting, each licensed Harness Racing Association shall display the license issued by the Commission for the current year. Each Association shall display evidence that it is in membership with or has contracted for the services of the United States Trotting Association.

Section 2. Certified Track Measurement

In order that the performances thereon may be recognized and/or published as official, every track not having done so heretofore and since January 1, 1939, shall forthwith cause to be filed with the Maine State Harness Racing Commission and the United States Trotting Association the certificate of a duly licensed civil engineer or land surveyor that he has subsequently to January 1, 1939, measured the said track from wire to wire three feet out from the pole or inside hub rail thereof and certifying in linear feet the result of such measurement. Each track shall be measured and recertified in the event of any changes or relocation of the hub rail prior to any licensed racing on the track.

Section 2-A. Insurance

Every licensed Harness Racing Association shall carry policies of insurance providing indemnity to drivers and trainers for injury sustained while racing or training horses at its race meeting. A certificate stating the benefits of such policy shall be prominently displayed in the office of the Racing Secretary.

Section 3. Programs

1. A printed race program , in a format approved by the Commission, shall be published and offered to the public, with or without cost, by each Association offering live and/or simulcast pari-mutuel wagering.

2. Post Time. Correct Post Time for the first race of each program must be printed on the official racing program. Post Time for the first race shall not be delayed unless permission is granted by the State Steward.

3. Program Information. At licensed pari-mutuel meetings, the program shall provide the name, sex, color, age, sire, dam, owner, trainer, driver, and driver's colors for every horse. It shall separately give the number of starts of the current year and previous year on the gait that it is raced, state the number of times the horse was first, second, or third, the fastest winning time, and the money winnings in each of those years, show the lifetime record, and lifetime money winnings on that gait.

The program shall give at least the following particulars of at least the five most recent races on that gait of each horse:

A. The date and place of each race.

B. The condition of the racing strip.

C. The class of each race and the distance.

D. The name and time of the winner and the names of the horses finishing second and third.

E. The post positions and the position at the quarter, half, three-quarter, head of the stretch and finish of the race.

F. The beaten lengths and individual time.

G. The dollar odds of the wagering on said horse, if any.

H. The name of the driver and a notation by the appropriate letter if his license to drive is other than a full license.

I. Fractional times.

J. A symbol will be shown on the program for a pacer racing without hopples and a symbol for a trotter racing with hopples.

K. Complete past performance lines must be carried on 2 and 3-year-old Maine Standardbred Breeders stake races whether programmed as betting or non-betting events.

L Any horse that was sired by a stallion registered with the Commission whose progeny becomes eligible to the Maine Standardbred Breeders Stakes will be identified in each program by the symbol "ME" following the horse's name.

M. Any horse scratched from a race other than a qualifying race must have that information published in the program of that horse’s next start.

N. Amendment to the racing program shall be inserted into the program prior to sale.

4. Race Records

A At the end of each live race program, the licensee will provide two officially marked programs to the State Steward.

B. Morning Line. All race programs shall carry a morning line. Each Association shall notify the Department prior to the opening of the meet of the name of the person who will make the selections as they appear in the program.

Section 4. Equipment Requirements

1. Ambulance: For all pari-mutuel and qualifying races, each Association must arrange for the presence of an ambulance. The ambulance service must comply with Title 32, Maine Revised Statutes , Sections 85-87. The ambulance must be available one hour before post time and remain until after the last race.

2. Horse Ambulance: Each Association shall supply at the track an appropriate means of transporting an injured or deceased horse from the track. The owner shall be responsible for immediate removal and proper disposal of the deceased horse unless a postmortem examination is required as designated in Chapter 1 Section 20.

3. Audio Recorder: All Associations shall have an audio recorder, , which is in good order, available during its race meet. These recorders will be made available to the judges and the recordings shall be maintained pending final resolution and any right appeal for any contested matter.

4. Video Recorder: All Associations shall have a video recorder, which is in good order, available during its race meet. These recorders will be made available to the judges and the recordings shall be maintained pending final resolution and any right of appeal for any contested matter.

5. Notice of Fines and Suspensions: The Association shall post daily, in public view, the Judges' suspensions, revocations and fines for the previous days of the race.

6. Equipment approval required. Starting Gate, photo finish equipment, saddle pads, and equipment cards must be provided by each Association for all pari-mutuel race meets as well as secure storage facilities for the testing programs. Heat and communication devices will be made available by the Association for the testing area. Persons or organizations providing such services and the equipment to be furnished must be approved by the Commission.

A. Starting Gate: Every Association shall have a starting gate and a backup gate both in good working order of a type and quality approved by the Commission unless special permission to start races by other means is given by the Commission or its representative.

(1) The starting gate shall be equipped with a rotating beacon plainly visible to the drivers.

(2) Each mobile starting gate shall be equipped with a mechanical loudspeaker for the sole purpose of communication with the drivers.

(3) Each starting gate shall be equipped with two-way radio communication with the Judge's stand.

(4) Each starting gate shall be equipped with a working speedometer.

(5) No person shall be allowed to ride in the starting gate except the Starting Judge and his or her driver or operator unless permission is granted by the Association and the State Steward.

B. Photo Finish: Every Association shall provide photo finish service of a type and quality approved by the Commission, as an aid to the Judges in determining the order of finish.

C. Timing Device: Each Association shall supply a timing device at the 1/4-mile pole and the 1/2-mile pole, visible to participants on the race track and one manual timer in addition to the operator of such electrical device.

D. Pad Numbers: Each Association shall have saddle numbers of a style, type, and design approved by the Commission. Coupled entries shall be designated by the same head and saddle number coupled with a letter or letters. Horses coupled shall be designated by the lowest consecutive numbers used.

E. Accident Lights: Each Association shall provide a flashing red or amber beacon at the half-mile and quarter mile poles.

F. TV/Video Patrol: Each Association shall provide video recording service of a type and quality sufficient for the Judges and the Commission to review the races in determining racing violations and the order of finish.

G. Unless specifically exempted by the Commission, in every race or performance against time, the time of each heat or dash shall be accurately taken by an electrical timing device approved by the Commission. There shall be one manual timer in addition to the operator of such electrical device.

H. Refrigeration: Each Association shall provide refrigerated storage for test samples as required by the Commission.

Odds Display. Each Association shall have equipment for displaying the odds of the horses in each race. Such equipment shall be of a type and be positioned so as to provide the wagering public easy access to the odds information.

Section 5. Purse Money

1. Distribution of Purse Money. When an Association submits an application for race dates to the Commission in accordance with 8 M.R.S. §271 (2), it shall submit a purse distribution plan to the Commission for approval. Said plan should describe any carryover funding, estimated revenue, estimated average per dash purse payments, a general description of range of purses, claiming race purses, preferred races, series, and planned carryover.

2. Purse Money. Harness racing purse checks shall be made available no later than five (5) business days after the race has become official. Any purse check that is to be mailed must be postmarked no later than five (5) business days after the race has become official. In the case of purse money relating to Sires Stakes races, purse checks may be paid in person, or, if mailed, postmarked, by the later of five business days after the race has become official or three business days after the Association has received purse money for that race from the Department. The owner of a horse must file the necessary documentation required by the Association to fulfill the requirement(s) of the United States Internal Revenue Service. The Association may withhold payment until the necessary documentation is filed with the Association. The said information must be posted in the race secretary’s office and be conspicuously posted in the paddock. Any portion of a purse affected by an appeal or protest shall be held until the appeal or protest is finalized.

3. Payment of Purses: Any Association that the Commission finds in default in the payment, of purses in accordance with these rules shall, after a hearing before the Commission, be suspended, together with its officers.

4. Payments: If at a meeting of a licensed Association, a race is contested which has been promoted by another party or parties, and the promoters thereof default in the payment of the amount raced for, the same liability shall be attached to the licensed Association as if the race had been offered by such licensed Association.

5. Amendment of Plans/Disbursement and Allocation of Purse Funds:

A. The Department shall distribute purse funds to eligible, currently licensed tracks in accordance with the schedules and formulas described in 8 M.R.S. §§ 290 and 298, and in a manner consistent with basic per-dash equity between tracks.

B. The Commission may direct the Department to vary from the schedules and formulas described in 8 M.R.S. §§ 290 and 298 when it finds that such variance is necessary to achieve the level of funding in the purse distribution plans approved for each Association.

C. Associations shall file amended purse distribution plans upon any changes in the number of race dates that the Association plans to conduct during the racing year.

D. The Commission shall review any amended plan forthwith, and determine whether purse funds should be returned or augmented based on the changes contained therein. In making such determinations, the Commission shall strive to ensure basic per-dash equity in purse fund availability for all licensed tracks operating within a given racing year.

6. Track Closure: In the event that a licensed track ceases operation permanently, the Department shall adjust purse fund distribution described under 8 M.R.S. §§ 290 and 298 in a manner intended to ensure that funds in excess of those required to pay obligated purses are not distributed to the track.

7. Facilitation of New Tracks: In the event that a previously unlicensed track is approved by the Commission and begins operation, the Department shall adjust purse fund disbursements pursuant to the approved purse distribution plan such that the new track is afforded purse funds consistent with the other licensed tracks.

Section 6. Facilities

Every Association shall provide:

1. Judges’ stands: The Judges’ stands shall be so located and constructed as to afford to the officials an unobstructed view of the entire track and no obstruction shall be permitted upon the track, or the centerfield. Care shall be taken to maintain the centerfield free of obstructions that may impair the view of the Judges.

2. A paddock. Each race paddock shall include:

A. Barns that provide adequate stalls for the number of horses that will race on any scheduled race day;

B. Clean, equipped and adequately maintained bathroom facilities with toilets;

C. Hot and cold running water available in the stall area;

D. Adequate lighting and ventilation;

E. The paddock areas must be enclosed and capable of being secure to the passage of people and things.

F. Stalls in the paddock area shall be adequately cleaned and maintained so as to provide a sanitary environment.

3. A public viewing area is optional for Associations, but when present, it shall be an extension of the paddock where horses may be housed for public view prior to their race. This area must be approved by the Commission and must be secure from public entrance. Each horse must be accompanied by a licensed person and housed in a secure stall.

4. State Testing Area: Each Association shall provide an area as required by the Commission for the purpose of obtaining and storing test samples and provide adequate space to house the necessary staff to carry out the state testing program(s).

5. Commission Office Space: Each Association will provide sufficient space as required by the Commission to house the necessary staff to oversee regulatory functions.

6. Lighting: An Association shall provide lighting for the racetrack and the patron facilities that is adequate to ensure the safety and security of the patrons, licensees and horses. Lighting to ensure the proper operation of the videotape and photo finish equipment.

Section 7. Simulcast Requirements

1. Information concerning races conducted at all pari-mutuel tracks shall not be transmitted from any such track unless approved by the Commission. Racing information includes live, delayed or simulated descriptions of a race whether by audio or video transmission, the odds resulting from any betting registered before a race and other types of information, including but not limited to entries, program numbers, driver changes, post positions, scratches, race results and pay-off prices.

2. A track licensed by the Commission may, subject to Commission approval, simulcast its races for the purpose of pari-mutuel wagering to a parimutuel wagering entity in state or out of state. Application must be made to the Commission for approval. The Commission will consider the following information which must be submitted by the track:

3. the nature of racing information as defined herein to be transmitted;

4. the location to and from which such racing information is to be transmitted;

5. the means and method of transmission of racing information;

6. any other relevant, non-confidential information that may be specifically requested by the Commission.

7. Unless otherwise permitted by the Commission, every simulcast will contain in its video content a digital display of actual time of day, the name of the track from where it emanates, the number of the contest being displayed, and the minutes to post.

8. The track conducting the race to be simulcast is responsible for the content of its simulcast and shall use all reasonable effort to present a simulcast which offers the viewers an exemplary depiction of its racing program.

9. If deemed necessary by the Commission, the track may be required to provide and maintain security controls including encryption over its uplink and communications systems.

History

• STATUTORY AUTHORITY: 8 MRS §§ 263-A and 268
• REPEALED AND REPLACED: February 22, 1993 (this revision incorporates sections from previous Chapters 1, 5, 6, 7, 12, 16, 18 & 24)
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 24, 2001
• AMENDED: December 17, 2001 - relocated Section 3 Sub-Section 2-A as a separate Section 2-A
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 – agency name in title
• AMENDED: August 19, 2014 – Section 7 added, filing 2014-189
• AMENDED: January 22, 2019 – Section 5 amended, filing 2019-011
• AMENDED: July 31, 2020 – Section 5, filing 2020-171 (EMERGENCY)
• AMENDED: December 22, 2020 – filing 2020-249
• AMENDED: June 1, 2025 – filing 2025-120
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 7 Racing

Code Me. R. 01-017 Ch. 7 Racing {#sec-01-017-ch.-7 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 7}

SUMMARY: This chapter shall set forth all rules specific to all facets of racing. This shall include the procedures for the assembling and drawing of races, the standards that horses and participants are held to, starting and racing rules, and proper procedures for placing and purse distribution. To facilitate understanding of this chapter it is arranged sequentially in the order in which the various elements of racing should occur. For example, the draw comes before the starting rules, the starting rules before the racing rules, etc.

Section 1. Consecutive Days

At pari-mutuel race meets, no horse shall be allowed to race consecutive days.

Section 2. Proof of Eligibility and Identity

No horse shall race without a current eligibility record. The Racing Secretary shall check the United States Trotting Association (U.S.T.A.) racetrack system and certify to the Judges the eligibility of all the horses.

Any track official, representative of this Commission, representative of the United States Trotting Association, may call for information concerning the identity and eligibility of any horse entered to race at an Association and may demand an opportunity to examine that horse or the horse's eligibility record or registration. Any owner or trainer, track official, a representative of the Commission or a representative of the United States Trotting Association may obtain information concerning the identity or eligibility of any horse. If the owner or party controlling that horse refuses to supply the information, or to allow the examination, or fails to give satisfactory identification, the owner or party commits a Level 1 violation pursuant to Chapter 17 of the Commission rules.

Section 3. Permanent Identification

No horse shall be permitted to start at any pari-mutuel meeting if it has not been permanently identified through the use of a freezebrand, tattoo, microchip or any other method authorized by the US. Trotting Association.

Section 4. Horses Health Conditions

No horse may race unless it has unimpaired vision in at least one eye. No horse with Equine Infectious Anemia shall race.

Section 5. Racing Standards

The Racing Secretary shall establish and post performance standards which must be met in order for a horse to be eligible to race in overnight events at that meet.

Section 6. Race Meet Standards and Eligibility

1. Any horse that does not show a satisfactory charted line which meets the qualifying standards for that meet within 45 days of the date of the program must go a satisfactory qualifying race. The Commission may modify this requirement for the first 45-days of each racing season or upon request from an Association.

2. Qualifying races shall be held at least one full week prior to the opening of any extended pari-mutuel meeting, weather permitting, and shall be scheduled at least once a week during all meets, unless waived by a majority of a committee consisting of an agent of the licensed track, a representative of the Maine Harness Horsemen’s Association, and the Presiding Judge. Such qualifying races shall be held under the supervision of a Presiding or Associate Judge and shall be charted by a licensed Charter. A standard photo finish shall be in use and each horse shall be timed separately.

3. A purse may be paid in a qualifying race for two-year-olds (Baby Races) provided the purse does not exceed the minimum purse established by the Association at the time of the race.

4. Schooling horses. The starting gate shall be available after qualifying races or when requested by the Judges or State Steward to school horses.

5. The Judges may require any horse that has been on the Steward's List to go a qualifying race.

6. No horse shall be permitted to obtain a win record in a qualifying race unless a test sample has been taken either immediately before or after such race.

7. Horses which have made breaks in the past two consecutive races entered on good or fast tracks and did not finish in at least one race placing first, second, or third, must go a qualifying race. If the break is caused by interference or equipment failure the break shall be excused.

8. Horses failing to meet qualifying standards on a good or fast track must go a qualifying race unless there is interference or equipment failure.

9. A horse that has been scratched from a program on two consecutive occasions may be asked to go a qualifying race by the presiding judge.

10. Any horse placed on the Steward's List must be scratched from any subsequent race to which it is previously declared to start.

Section 7. Steward's List

1. Only the Presiding Judge may place a horse on the Steward’s List. No declaration shall be accepted for a horse on the Steward’s List.

2. A horse shall be placed on the “Steward's List” because it:

A. Is dangerous,

B. Is unmanageable,

C. Is sick,

D. Is lame,

E. Is unable to qualify,

F. Is otherwise unfit to race,

G. Shows Poor Performance,

H. Has an extended break with the intent of qualifying without complying with Section 60 of this chapter;

I. Is scratched before a race while on the track during the post parade for any reason, or

J. Fails to finish a race except for broken equipment or actions in the race that inhibited the horse’s ability to finish the race.

2-A. A horse may be placed on the “Steward’s List” because it:

A. Does not perform properly at the start, or

B. Falls to both knees or falls completely prior to the start.

3. The Presiding Judge shall make a note on the eligibility record of each horse showing the date and reason the horse was placed on the “Steward's List”, and the date of removal.

4. Any horse placed on the “Steward’s List” for lameness is not eligible to declare in for a race for at least 5 days or a longer amount of time prescribed by the Presiding Judge and must be certified fit to race by a licensed veterinarian before being allowed to participate in a race. This is done by submitting a “Recovery Slip”. The first day on the Steward’s List shall commence on the day following the day the horse was scratched from a programmed race. Any horse placed on the “Stewards List” for sickness is not eligible to declare in for a race for 5 days. A horse may be removed from the Steward’s List and entered to race sooner, if the horse is certified fit to race by a licensed veterinarian. This is done by submitting a “Recovery Slip”.

Section 8. Preference

Preference shall be given in all overnight events according to a horse’s last purse race or successful qualifying race when a horse is racing for the first time in the current year, or drawn in to go during the current year except as provided in Chapter 7, Section 6, subsection 1. In order to ensure proper diversification of racing fields in classes having less than 25 horses available for competition, the racing secretary shall consider two consecutive race dates in the case of equal preference. Otherwise, horses with equal preference shall be drawn by lot. The preference date on a horse that has drawn to race and then was scratched is the date of the race from which it was scratched. When an overnight race has been re-opened because it did not fill, all eligible horses declared into the race prior to the re-opening shall receive preference over other horses subsequently declared regardless of the actual preference dates.

Section 9. Use of Hopples

Racing with or without hopples. Any pacing horse that has worn hopples shall not race without hopples unless the horse shows a satisfactory free-legged qualifying line, nor shall any pacing horse that races free-legged race with hopples unless the horse shows a satisfactory qualifying mile wearing hopples. An unsuccessful qualifying race relating to use of hopples shall not disqualify a pacing horse from entering a race consistent with its previous status.

The Judges shall be notified of any equipment change relative to the use of hopples by trotting horses at the time the horse is entered into a race, and that change shall be listed on the program to inform the wagering public of the change. The horse must race as programmed, unless the error was by the association and not the trainer who entered the horse. Any owner or trainer who wishes to change equipment other than hopples on a horse from one race to another shall notify the Judges prior to the start of the race.

Section 10. Head Pole

No horse shall be permitted to wear a head pole protruding beyond its nose.

Section 11. Time Between Heats

In the case of double heats or dashes, the time between heats or dashes, for any distance up to and including a mile, shall not be less than forty minutes.

Section 12. Minimum Purse

The Commission will not allow any race to be conducted for a purse less than the advertised minimum. Regardless of conditions prevalent when a minimum purse is advertised the Association is bound to pay the minimum amount.

Section 13. Racing Year

For the purpose of eligibility, a racing year shall be the period from January 1 through December 31.

Section 14. Condition Sheets

Conditions for overnight events must be posted at least 24 hours before entries close. If events are to be raced as double dashes, it must be posted on the condition sheets. Substituted conditioned races may be used only where regularly scheduled races fail to fill.

Section 15. Types of Racing

In presenting a program of racing the Racing Secretary shall use exclusively the following types of races as set forth in this subchapter:

1. Stakes and Futurities.

2. Early Closing and Late Closing Events.

3. Conditioned Races.

4. Claiming Races.

5. Preferred invitational or open races limited to the fastest horses at the meeting.

6. Classified racing.

7. Match Races with the permission of the Commission.

8. Special Series or Races with the permission of the Commission.

Section 16. Condition Limitations

1. Conditions shall be written in such a way that horses are provided an opportunity to race in normal preference cycle. Also eligible conditions that have the effect of backing a horse up more than two classes are prohibited. Not more than two also eligible conditions shall be used in writing the conditions for any overnight event. In the event that there are conflicting published conditions and neither is withdrawn by the Race Secretary, the conditions more favorable to the nominator shall govern. In any event, the original conditions shall not be changed; but conditions may be added as provided in this section.

A. No two-year-old shall be permitted to start in a dash or heat exceeding one mile in distance and no two-year-old shall be permitted to race in more than two heats or dashes in any single day.

B. In all overnight events, starters and also eligibles shall be drawn by lot from those properly declared in.

C. Substitute races may be provided for each day's program and shall be so designated. A substitute race shall be used only if a posted condition fails to fill. Entries in races not filling shall be posted. If a posted condition fills, it may be carried over to the next racing day.

D. Horses must be eligible when entries close but winnings on closing date of eligibility shall not be considered. In mixed races, trotting and pacing, a horse must be eligible to the class on the gait at which it is entered.

E. A fair and reasonable racing opportunity shall be afforded both trotters and pacers in reasonable proportion to the number of horses of each gait available and qualified to race.

F. Qualifying races, with or without a purse, shall not be counted in determining whether a horse advances under the provisions of this rule, nor shall a horse winning a qualifying race be deprived, by reason of such performance, of his or her right to start in an event limited to maidens.

G. The definition of the word “start” in any type of condition unless specifically otherwise stated will exclude qualifying and matinee races.

Section 17. Claiming Races

1. Who May Claim

Any person licensed as an Owner by the Maine Harness Racing Commission, or his or her authorized agent may claim a horse from any meet in the state.

2. Prohibitions

A. No person shall claim, directly or indirectly, his or her own horse nor shall he or she, directly or indirectly, claim a horse trained or driven by him or her.

B. No licensed owner or his or her authorized agent shall claim a horse for another person.

C. No person shall offer, or enter into an agreement, to claim or not to claim, or in any other way attempt to prevent another person from claiming any horse.

D. No person shall declare a horse into a claiming race against which there is a mortgage, bill of sale, or lien of any kind, unless the written consent of the holder thereof shall be filed with the Clerk of Course of the Association conducting such claiming race.

3. Ownership. Other than by re-entering the horse to a claiming race, no right, title or interest to a claimed horse shall be sold or transferred for a period of 30 days following a claim. The day following the date of the claim shall be the first day. Violations of this section shall be subject to a Level 3 penalty.

4. A horse claimed in the State of Maine shall not race outside the State of Maine for a period of 45 days or until all awarded race dates in Maine for that year have been fulfilled.

5. Return of Claimed Horse to Owner or Stable. No claimed horse may remain in the stable or under the care or management of the prior owner or trainer, or anyone connected therewith unless such condition results from the prior owner/authorized agent reclaiming the horse.

6. Claiming Procedure

A. Owner's Consent. A declaration to a claiming race may be accepted only when the Trainer or authorized agent warrants that he or she has authorization from the owner.

B. Claiming Authorization. The current registration certificate of all horses entered in claiming races must be on file with the Racing Secretary. To facilitate transfer of claimed horses, the Presiding Judge may sign and complete the transfer to the Registrar.

C. Program. The claiming price shall be printed on the program and all claims shall be for the amount so designated. Any horse entered in a claiming race may be claimed for the designated amount. If a horse is programmed by error of an official in a claiming race and scratched prior to post time, said horse cannot be claimed.

D. Claim Box. All claims shall be in writing, sealed and delivered to the clerk of course at least 30 minutes before the time originally scheduled for the race and shall be placed in a locked box located in the Judge's stand. A claim may be withdrawn no later than 10 minutes prior to the start of the race.

E. Opening of Claim Box. During the post parade of the claiming race the Presiding Judge shall break the seal on all claims, inspect the claims to determine their validity, and notify the Paddock Judge of a valid claim. It shall be announced before the race which horses have claims upon them and how many claims were filed per horse. In a claiming event with more than one heat or dash, the claiming box shall not be opened nor the seals broken until the post parade of the last heat or dash of the event.

F. Multiple Claims on Same Horses. Should more than one claim be filed for the same horse, the owner shall be determined by random selection by the Judges.

G. Delivery of Claimed Horses. Once the results of a claiming race have become official, the Presiding Judge shall announce the name of a successful claimant over the public address system. A horse which the Presiding Judge has determined claimed shall be delivered immediately by the original owner or his or her trainer to the successful claimant. The horse's halter must accompany the horse. Altering or removing the horse's shoes will be considered a violation of this rule. The Equipment Inspector shall verify the equipment and the length of the hopples. It shall be a Level 2 violation of the Commission rules for any person associated with the owner or trainer of a claimed horse to either verbally or physically disrupt the process of the claim exchange.

H. Refusal to Deliver Claimed Horse. Any person who refuses to deliver a horse determined claimed by a Presiding Judge shall be suspended together with the horse until delivery is made.

I. Effective Time of Claim. Every horse claimed shall race in all heats or dashes of the claiming event. The declaring owner shall enter the horse but from the word “GO,” the successful claimant shall become the new owner. In the case of a claiming event with more than one heat or dash, the last heat or dash shall be the relevant claiming race.

J. Any licensed individual who wishes to claim a horse from a claiming race must present to the Association a Cashier Check, Money Order or Certified Bank Check made out to the owner of the horse. The Association shall turn over the check to the original owner at the time the registration certificate is delivered for presentation to the successful claimant. The remaining check(s) shall be returned to the unsuccessful claimants.

K. Scratched Horse. The successful claimant of a horse programmed to start may, at his or her option acquire ownership of a claimed horse, even though such claimed horse was scratched and did not start in the claiming race from which it was scratched. The successful claimant must decide immediately following the race whether to examine the horse or not. He or she has until 6:00 p.m. of the day following the claiming race to which the horse was programmed and scratched to accept or reject the horse. The trainer who entered said horse to race is responsible for producing the horse.

7. Claiming Conditions. Except for the lowest claiming price offered at each meeting, conditions and allowances in claiming races may be based only on age and sex. Whenever possible claiming races shall be written to separate horses five years old and up from young horses and to separate males from females. Mares shall be given a 20% allowance, provided, however, that there shall be no price allowance given to a spayed mare racing in a claiming race. Lowest claiming price conditions shall not be written in such a way that any horse is deprived of an opportunity to race in a normal preference cycle.

8. Complaints / Void Claims

A. The Judges shall rule on any question, complaint or allegation of impropriety relating to claiming races and/or the claiming process.

B. If the Judges determine that the declaration of any horse to a claiming race is fraudulent they shall declare the horse a non-starter and ineligible for claim.

C. If the Judges determine that any claim of a horse is fraudulent on the part of the person making the claim they shall declare the claim invalid.

D. It is a Level 1 violation of these rules to enter a mare in foal in a claiming race.

E. A biological sample will be obtained from any claimed horse, regardless of finish. If the presence of a prohibited substance in excess of acceptable levels is detected the claim on that horse may be voided.

Section 18. Conditioned Races

Conditioned Race means an overnight event to which eligibility is determined according to specified qualifications. Such qualifications may be based upon:

1. Horse's money winnings in a specified number of previous races or during a specified previous time.

2. A horse's finishing position in a specified number of previous races or during a specified period of time.

3. Age.

4. Sex.

5. Number of starts during a specified period of time.

6. Use of records of time.

7. Maine Owned or Maine Bred.

8 Trackmaster Horse Rating or

9 Any combination of the qualifications listed in this section.

Section 18-A Maine Owned or Bred Races

1. Persons licensed to conduct harness horse racing meets under Title 8, Chapter 11, may offer non-sire stakes races limited to horses wholly owned by Maine residents or sired by Maine stallions.

2. For purposes of this rule, a Maine bred horse shall be defined as one sired by a Maine stallion, registered with the Commission, who stood in Maine during the entire breeding season in which it sired a Maine bred horse or a horse whose dam was a wholly owned Maine mare at the time of breeding as shown on the horse’s United State Trotting Association paper or electronic registration or electronic eligibilities. The breeding season means that period of time beginning February 15 and ending July 15 of each year.

3. For the purposes of this rule, a “Maine resident” shall mean a person who habitates permanently in Maine with intent to remain in Maine for the indefinite future. A person who is called elsewhere for labor or other special or temporary purposes shall not be excluded from consideration as being a Maine resident. The Commission or its designee shall determine all questions about a person's eligibility to participate in Maine-owned races. The Commission or its designee may review and subpoena any information which is deemed relevant to determine a person's residence, including but not limited to, the following:

A. Where the person lives and has been living;

B. The location of the person's sources of income;

C. The address used by the person for payment of taxes, including federal, state and property taxes;

D. The state in which the person's personal automobiles are registered;

E. The state issuing the person's driver's license;

F. The state in which the person is registered to vote;

G. Ownership of property in Maine or outside of Maine;

H. The residence used for U.S.T.A. membership and U.S.T.A. registration of a horse, whichever is applicable;

I. The residence claimed by a person on a loan application or other similar document;

J. Membership in civic, community, and other organizations in Maine and elsewhere.

K. None of these factors when considered alone shall be dispositive, except that a person must have resided in the State of Maine in the preceding calendar year for a minimum of one hundred and eighty three (183) days. Consideration of all of these factors together, as well as a person's expressed intention, shall be considered in arriving at a determination. The burden shall be on the applicant to prove Maine residency and eligibility for Maine-owned or bred races. The Commission may promulgate by regulation any other relevant requirements necessary to ensure that the licensee is a Maine resident. In the event of disputes about a person's eligibility to enter a horse in races limited to Maine-owned or Maine bred horses, the Commission shall resolve all disputes and that decision shall be final.

4. In the case of a corporation seeking to enter a horse in a Maine-owned or Maine bred event as a Maine-owned entry, all owners, officers, shareholders, and directors must meet the requirements for a Maine resident specified below. In the case of an Association or other entity seeking to enter a horse in a Maine owned or Maine bred event as a Maine-owned entry, all owners must meet the requirements for a Maine resident as specified below. Leased horses are ineligible as Maine owned entries unless both the lessor and the lessee are Maine residents as set forth in this Rule.

5. Each owner and trainer, or the authorized agent of an owner or trainer, or the nominator (collectively, the “entrant”), is required to disclose the true and entire ownership of each horse with the Commission or its designee, and to disclose any changes in the owners of the registered horse to the Commission or its designee. All licensees and racing officials shall immediately report any questions concerning the ownership status of a horse to the Commission racing officials, and the Commission racing officials may place such a horse on the steward's or judge's list. A horse placed on the steward's or judge's list shall be ineligible to start in a race until questions concerning the ownership status of the horse are answered to the satisfaction of the Commission or the Commission's designee, and the horse is removed from the steward or judge's list.

6. If the Commission, or the Commission's designee, finds a lack of sufficient evidence of ownership status, residency, or other information required for eligibility, prior to a race, the Commission or the Commission's designee, may order the entrant's horse scratched from the race or ineligible to participate.

7. After a race, the Commission or the Commission's designee may upon reasonable suspicion that the entrant’s horse was not eligible to race, withhold purse money pending an inquiry into ownership status, residency, or other information required to determine eligibility. If the purse money is ultimately forfeited because of a ruling by the Commission or the Commission's designee, the purse money shall be redistributed per order of the Commission or the Commission's designee. A person aggrieved by the Commission ruling in this matter may seek an adjudicatory hearing.

8. If purse money has been paid prior to reasonable suspicion, the Commission or the Commission's designee may conduct an inquiry and make a determination as to eligibility. If the Commission or the Commission's designee determines there has been a violation of ownership status, residency, or other information required for eligibility, it shall order the purse money returned and redistributed per order of the Commission or the Commission's designee. A person aggrieved by the Commission ruling in this matter may seek an adjudicatory hearing.

9. Anyone who knowingly and willfully provides incorrect or untruthful information to the Commission or its designee pertaining to the ownership of a Maine-owned or bred horse, or who attempts to enter a horse restricted to Maine-owned entry who is determined not to be a Maine resident, or who knowingly and willfully makes any other misrepresentation in connection with the entry or registration of a Maine-owned or bred horse, in addition to other penalties imposed by law, shall be subject to mandatory revocation of licensing privileges in the State of Maine for a period to be determined by the Commission in its discretion except that absent extraordinary circumstances, the Commission shall impose a minimum revocation period of two years and a minimum fine of $1,000 from the date of the violation of these rules or the decision of the Commission, whichever occurs later. A person aggrieved by the Commission ruling in this matter may seek an adjudicatory hearing.

10. Any person whose license is suspended or revoked under this rule shall be required to apply for reinstatement of licensure and the burden shall be on the applicant to demonstrate that his or her licensure will not reflect adversely on the honesty and integrity of harness racing or interfere with the orderly conduct of a race meeting. A person aggrieved by the Commission ruling in this matter may seek an adjudicatory hearing.

Any person whose license is reinstated under this subsection shall be subject to a two-year probationary period, and may not participate in any Maine-owned or bred race during this probationary period. Any further violations of this section by the licensee during the period of probationary licensure shall, absent extraordinary circumstances, result in the Commission imposing revocation of all licensure privileges for a five year period along with any other penalty the Commission deems reasonable and just.

11. Any suspension imposed by the Commission under this rule shall not be subject to the stay provisions in Commission Rules, Chapter 19 Section 3. A person aggrieved by the Commission ruling in this matter may seek an adjudicatory hearing.

Section 19. Futurities Requirements

Futurity is as defined in 01-017 C.M.R. ch. 1.

1. All futurity sponsors shall:

A. Annually file a copy of their conditions with the Commission and with the United States Trotting Association.

B. Maintain a performance bond in the amount of the fund until such time as the race is contested, a copy of said bond will be furnished to the Commission and the United States Trotting Association.

C. Provide a list of the nominations, within twenty days after the closing of nominations, to each nominator, this Commission, and the United States Trotting Association.

D. Provide to the Commission and the United States Trotting Association an annual financial statement of each futurity and within thirty days following the day of the race submit to the Commission and the United States Trotting Association a final financial statement.

E. Provide to the Commission and to the United States Trotting Association a complete list of all horses remaining eligible within fifteen days after each payment of the owners.

F. Set the nominating date and dates for all sustaining payments except the starting fee on either the first or fifteenth day of the month. No payments on yearlings shall fall due between November 1 and December 15. Before taking any sustaining payments during the year the race is to be contested, the week and place of the race shall be stated. No futurity sustaining fee shall become due prior to March 15 of the year in which the colt or filly becomes two years of age.

G. Announce the week and place of any event within thirty days of the date racing dates for the year are allocated by the Commission.

2. Stake Payments. Failure to make any payment required by the conditions constitutes an automatic withdrawal from the event.

3. Barren Mares. In the event that a mare nominated to a futurity proves to be barren, the nominator may receive a return of his or her payment, providing such return is called for in the conditions of the futurity.

Section 20. Early Closing Events and Late Closing Events

1. The sponsor shall state the place and date the event will be raced and no change in date, program, events or conditions can be made after the nominations have been taken without the written consent of the owner or trainer of all horses eligible at the time the conditions are changed. An entry blank shall be filed with the United States Trotting Association. In early and late closing events, all nominations and payments other than starting fees shall be advertised to fall on the fifteenth day of the month. A complete list of nominations to any early or late closing event shall be published within twenty (20) days after the date of closing and mailed to each nominator, the Commission, and the United States Trotting Association. If the event does not fill, each nominator, the Commission and the United States Trotting Association shall be notified within ten (10) days and a refund of nomination fees shall accompany the notice.

Unless an Association submits its early closing conditions to the Commission at least 30 days prior to the first publication, and has such conditions approved by the Commission, the following provisions will govern transfers in the event of a change of gait.

If conditions published for early closing events allow a transfer for change of gait, such transfer shall be to the slowest class the horse is eligible to at the chosen gait. The horse’s eligibility will be determined at time of closing of entries, the race to which transfer may be made must be the one nearest the date of the event originally entered.

Two-year-olds, three-year-olds, or four-year-olds, entered in classes for their ages, may only transfer to classes for the same age group at the chosen gait to the race nearest the date of the event originally entered, entry fees to be adjusted.

The entrance fee may be on an installment basis or otherwise, and all payments are nonrefundable.

2. Notification of Withdrawal. If subsequent payments are required, a complete list of those withdrawn or declared out shall be made within fifteen (15) days after the payment was due and the list mailed to each nominator, the Commission, and the United States Trotting Association.

3. Trusts. All fees paid in early or late closing events shall be segregated and held as trust funds until the event is contested.

4. Conditions. Conditions of Early Closing Events or Late Closing Events that will eliminate horses nominated to an event or add horses that have not been nominated to an event by reason of the performance of such horses at an earlier meeting held the same Racing Year are invalid. Early Closing Events and Late Closing Events shall have not more than two also eligible conditions. Also eligible conditions that have the effect of backing a horse up more than two classes are prohibited.

5. Entry Fees. When total entry fees exceed 85 percent of the advertised purse value, the amount in excess of 85 percent shall be added to the purse. Where the race is split into divisions, each division shall have a purse value of not less than 75 percent of the advertised purse. In all cases the sponsor shall add at least fifteen percent to the advertised purse.

6. Entries Not Covered by Conditions. All entries and payments not governed by published conditions shall be void and any proposed deviation from such published conditions shall be punishable by suspension for each offense. Any nominator who is allowed privileges not in accordance with the published conditions of the race or which are in conflict with these rules, shall be barred from winning any portion of the purse, and the said nominator and the secretary or other persons who allowed such privileges shall be deemed to have been parties to a fraud.

7. In early closing events or late closing events, if six or more interests are declared in to start, the race must be contested, except when declared off. Stakes and Futurities must be raced if one or more horses are declared in to start except when declared off.

In an early closing event if fewer horses are declared in than are required to start, and all declarers are immediately so notified, the horse or horses declared in shall be entitled to all of the entrance money and forfeits from each horse named.

8. Elimination Heats or Two Divisions

A. In any race where the number of horses declared in to start exceeds 12, the race must be raced in elimination heats or divisions. No more than two tiers of horses, allowing eight feet per horse, will be allowed to start in any race.

B. The race shall be divided by lot. In the event there is any series in excess of three (3) preliminary legs, the published conditions may provide otherwise. If three or more divisions are necessary, the track shall add an amount sufficient to allow each division to race for at least the same amount as if there were two divisions. In an added money early closing event, the race may be divided and raced in divisions and each division raced for an equal share of the total purse if the advertised conditions so provide. Extended meetings shall add an additional amount so that each division will race for 75 percent of the advertised added money. These provisions shall apply to any early or late closing event with a value of $20,000.00 or less in excess of three (3) legs.

C. In any stake race or futurity, where the conditions state that the event shall be raced one dash on a race track of less than a mile, and where the number of horses declared in to start exceed twelve, the race, at the option of the track conducting the same, stated before positions are drawn, may be divided by lot and raced in two elimination divisions with all money winners from both divisions competing in the final. Each division shall race one elimination heat for 20 percent of the total purse. The remainder of the purse shall be distributed to the money winners in the final.

9. Elimination Plans. Whenever elimination heats are required, or specified in the published conditions, such race shall be raced in the following manner unless conducted under another section of this chapter. That is, the field shall be divided by lot and the first division shall race a qualifying dash for 30 percent of the purse, the second division shall race a qualifying dash for 30 percent of the purse and the horses so qualified shall race in the main event for 40 percent of the purse. The winner of main event shall be the race winner.

In the event there are more horses declared to start than can be accommodated by the two elimination dashes, then there will be added enough elimination dashes to take care of the excess. The percent of the purse raced for each elimination dash will be determined by dividing the number of elimination dashes into 60. The main event will race for 40% of the purse. In event there are three (3) or more qualifying dashes, not more than three (3) horses will qualify for the final from each qualifying dash. In elimination heats, if twelve horses declare to start, only the first four horses in each elimination heat qualify to continue. If thirteen horses declare to start, the first four horses in the division with six horses and the first five horses in the division with seven horses qualify. If fourteen or more declare to start, only the first five horses in each elimination heat qualify to continue.

The Judges shall draw the positions in which the horses are to start in the main event, i.e., they shall draw positions to determine which of the two dash winners shall have the pole, and which the second position, which of the two horses that have been second shall start in third position and which in fourth, etc. All elimination dashes and the concluding dash must be programmed to be raced upon the same day or night unless special provisions for earlier elimination dashes are set forth in the conditions.

In the event there are three separate heat or dash winners and they alone come back in order to determine the race winners according to the conditions, they will take post positions according to the order of their finish in the previous heat or dash.

In addition to the horses qualifying above, any horse that is eliminated by reason of the interference of another horse shall be added to the final event and given the last post position.

Whenever elimination heats are required, or specified in the published conditions of a stake or futurity, such race may be raced on the three heat plan, irrespective of any provisions in the conditions to the contrary. That is, the field shall be divided by lot and the first division shall race for 30% of the purse, the second division shall race for 30%, and the horses qualifying in the first and second divisions shall race the third heat for 30% of the purse. If, after the third heat, no horse has won two heats, a fourth heat shall be raced by only the heat winners. The race winner shall receive the remaining 10% of the purse. The number of horses qualifying to return after each elimination heat will be the same as set out in the first 5 paragraphs of this subsection.

Section 21. Preferred races

These may be Free-For-All Races, Invitational Races, Invitational Handicap Races, or Preferred Conditioned Races. Horses to be used in such races shall be posted in the Race Secretary's office and listed with the Presiding Judge. Horses so listed shall not be eligible for conditioned overnight races unless the conditions specifically include horses on the preferred list. No two year old or three year old horses will be eligible to be placed on the preferred list to race against older horses until it has won 7 races or unless requested by the owner or trainer. The owner or trainer may withdraw such request at his or her discretion.

Section 22. Open Stretch Racing

1. The following criteria shall be used in considering disqualifications of horses and penalties to drivers pursuant to Section 54 of this Chapter when races are conducted on a track with an open stretch.

A. No horse shall be driven into the inner lane in an attempt to pass or force out a leading horse prior to the last one-eighth mile of the race.

B. Horses driven on the outside shall yield sufficient room to interior horses at the end of the inner lane to permit interior horses to stay on course.

C. During the last one-eighth mile of the race:

(1) A horse may only be driven into the inner lane for the purpose of passing a leading horse; and

(2) No horse may be driven into the inner lane for the purpose of blocking a trailing horse. It shall be presumed that a horse which, in fact, blocks a trailing horse in the inner lane without making every attempt to advance on the leading horse, is being so driven for the purpose of blocking a trailing horse.

Section 23. Declaration Requirements

1. All declarations must:

A. Contain the information described in this section. Associations are encouraged to use the USTA online entry system.

B. Be signed or authorized by the owner or his or her trainer.

C. Provide the name of the owner and agent or registered stable name or lessee.

D. Provide the name of the horse.

E. Name the event or events in which the horse is to be entered.

F. Provide the name of the driver and trainer.

G. Prior to entering a horse, all owners of the horse must be fully licensed by the Commission. Declarations of a horse for which all owners are not fully licensed prior to declaration shall be a level 2 violation.

2. All owners of a registered stable and persons listed in a registered stable, whether incorporated or not, shall be liable for entry fees and penalties against horses raced by the stable.

3. Compliance. Noncompliance with any of the above requirements may result in suspension of the violator. If the facts are falsely stated for the purpose of deception, the guilty party shall be suspended.

Section 24. Ineligible Transfer

A horse entered in a class to which it is ineligible may be transferred to any event to which it is eligible.

Section 25. Limit of Starts

No horse shall start in more than one event on the same program except where the conditions of the race provide that it shall be contested in two or more heats or dashes.

Section 26. Eligibility Guaranteed

A nominator is required to guarantee the identity and eligibility of his or her entries and declarations and if given incorrectly he/she may be suspended or expelled, and any winnings shall be forfeited and redistributed to eligible entries. A person obtaining a purse or money through fraud or error shall surrender or pay the same to the Maine Harness Racing Commission for redistribution or he or she, together with the parties implicated in the wrong, and the horse or horses shall be suspended until such demand is complied with and such purse or money shall be awarded to the party justly entitled to same.

Section 27. Withheld Purses

Associations may withhold the purse of any horse, without a formal protest, if in its judgment the entry or declaration was fraudulent or ineligible. The Association shall immediately notify the Commission of such withheld purse and request a Commission determination of the matter. Purses withheld under this chapter shall be withheld by the Association pending decision of the Commission concerning such fraud or ineligibility.

Section 28. Number of Starters

No race shall be programmed to start with fewer than five starters nor more than eight starters, unless permission is received from the Commission, except in stake, early closing or late closing events or on mile tracks where ten starters are permitted.

Section 29. Limit of Starters

Except where advance authorization has been granted by the Commission, no more than eight horses shall be allowed to start in overnight events on half mile tracks and not more than ten on larger tracks.

Section 30. Draw

Unless otherwise specified in the conditions, the declaration time shall close at 9:00 a.m. The declaration box and the U.S.T.A. entry system shall be in the charge of the Race Secretary. The declaration box shall be opened by the Race Secretary or his or her designee at the advertised time and the Race Secretary or designee will be responsible to see that at least one horseman or an official representative of the horsemen is present. No owner or trainer for a horse with a declaration in the declaration box shall be denied the privilege of being present. Under the supervision of the Race Secretary, all declarations shall be listed, the eligibility verified, preference ascertained, and starters selected. If it is necessary to reopen any race, public announcement by text message alert shall be made at least once and the declaration box reopened at a definite time and remain open for a specified time. Post positions shall be drawn by the Judges. Any race that has more than one division will be split by the Judges. When a class is split and there are multiple owners and trainers, the Judges will split the owners, then trainers randomly and the remaining entries will be split randomly. The draw may also be done by the USTA random draw system. In events with more than one dash or heat, post positions for both heats or dashes will be drawn at the same time.

Drawings shall be final unless there is conclusive proof that a horse, properly declared on time, was omitted through error of the Association. If the error is discovered before scratch time, the race may be re-drawn.

When an Association requires a horse to be declared by a stated time, failure to declare by that time shall be considered a withdrawal from the event.

After declaration to start has been made, no horse shall be scratched except by permission of the Judges. A suspension may be imposed for scratching a horse without permission, the penalty to apply to both the horse and the licensee who violates the regulation.

Section 31. Coupled Entries

The Presiding Judge shall be responsible for coupling horses. In addition to the foregoing, horses separately owned or trained may be coupled as an entry where it is necessary to do so to protect the public interest for the purpose of pari-mutuel wagering only. However, where this is done, entries may not be rejected.

Nothing in this rule shall preclude a licensed pari-mutuel track from limiting an owner or trainer to one starter in any single overnight race.

Section 32. Also Eligibles

Not more than two horses may be drawn as “also eligibles” for a race and their positions shall be drawn along with the starters in the race. In the event that one or more horses are excused by the Judges, the “also eligible” horses shall race and take the post position drawn by the horse that it replaces, except in handicap races. In handicap races, the “also eligible” horse shall take the place of the horse that it replaces in the event that the handicap is the same. In the event the handicap is different, the “also eligible” horse shall take the position on the outside of the horses with a similar handicap. No horse may be added to a race as an “also eligible” unless the horse was drawn as such at the time declarations closed. A horse moved into the race from the “also eligible” list cannot be withdrawn except by permission of the Judges. The owner or trainer of such a horse shall be notified by the Presiding Judge that the horse is to race. All other horses on the “also eligible” list that were not moved in to race shall be released.

Section 33. Post Positions for a Handicap

Post positions for a handicap shall be assigned by the Racing Secretary.

Section 34. Driver Changes

Driver changes will be allowed until Scratch Time. Any other change of drivers must be approved by a Presiding or Associate Judge and the trainer may be penalized consistent with a Level 5 violation. When a change of drivers is made in any race, the change must be announced to the public.

Section 35. Substitution of Drivers

If the Judges determine that a driver is unfit or incompetent to drive, or if he or she refuses to comply with the direction of the Judges, or is reckless or unmannerly in his or her conduct, he or she shall be removed and another driver substituted. No driver can, without good and sufficient reasons decline to be substituted by the Judges. Any driver who refuses to be a substitute may be suspended by order of the Judges.

Section 36. Authority of Starter/Patrol Judge

1. The Starter/Patrol Judge shall have complete control over all horses participating in the racing program from the formation of the post parade until the word “Go” is given. The Starter/Patrol Judge shall have authority to fine or suspend drivers as permitted by these rules for violation of any of the following rules of the start:

A. Delaying the start.

B. Failure to obey the Starter/Patrol Judge's instructions.

C. Coming to the starting gate out of position.

D. Crossing over before reaching the starting point.

E. Interference with another driver during the start.

F. Failure to come up into position.

G. Rushing ahead of the inside or outside wing of the gate.

Section 37. Recall

1. The Starter/Patrol Judge may sound a recall for the following reasons only:

A. A horse scores ahead of the gate.

B. There is interference.

C. A horse has broken equipment.

D. A horse falls before the word “Go” is given.

E. A horse refuses to come to the gate before the gate reaches the pole 1/8 of a mile before the start.

F. Malfunction of the starting gate.

G. A horse comes to the gate out of position.

Section 38. Effect of Scratch of Horse on Post Position

If a horse is scratched or withdrawn from the start after being programmed, horses with post positions outside of the withdrawn horse, may move one post position closer to the rail. In the event there are two tiers of horses, the withdrawal of a horse that has drawn or earned a position in the front tier shall not affect the position of the horses that have drawn or earned positions in the second tier.

Section 39. Starting Without a Gate

The following provisions apply when starting a race without a gate. The horses shall be allowed two warm-up scores, unless otherwise directed by the Starter/Patrol Judge, before being called to formation. The Starter/Patrol Judge shall have full control of the horses from the time the formation is complete until the word “Go” is given. The Starter/Patrol Judge shall be stationed at or near the starting point and shall give the word “Go” as close as possible to such starting or release point. All drivers shall follow the instructions of the Starter/Patrol Judge as closely as possible and shall avoid unnecessary delay in formation. If the word “Go” is

not given, all the horses in the race shall immediately return to their formation positions for a fresh start. There shall be no recall after the word “Go” has been given.

Section 40. Bad Acting Horse

The Starter/Patrol Judge may remove a bad acting horse from the race upon which the Presiding Judge shall order a refund of the wagering thereon. There will be no recall for a bad acting horse and the race will start regardless of its position or gait unless, in the opinion of the Judges, the horse poses a danger to the field of horses or drivers. Any horse that has been scratched because it has been labeled as a “bad actor” shall be placed on the Steward’s List to requalify.

Section 41. Declared Starters

The horses shall be deemed to have started when the word “Go” is given by the Starter/Patrol Judge and all the horses must go the course. In the case of an accident in which it is the opinion of the Judges that it is impossible or dangerous to go the course, the Judges may declare the race a No Contest.

Section 42. Unmanageable

If, in the opinion of the Presiding Judge, a horse is unmanageable or liable to cause accidents or injury to any other horse or to any driver, it will be scratched and placed on the Steward’s List as unmanageable. Horses deemed unmanageable must be properly schooled and complete a satisfactory qualifying race in order to be removed from the Steward’s List.

Section 43. Failure to Obey

Nothing herein shall be construed to prevent the imposition by the Judges of a verbal or written reprimand or penalty for the failure of a driver to obey the rules of the start.

Section 44. Right to Track

Horses called for a race shall have the exclusive right of the course, and all other horses shall vacate the track at once, unless permitted to remain by the Judges.

Section 45. Falling or Unseating Driver

Any horse participating in a racing program that falls to both knees or falls completely to the ground on the race track anytime prior to the official start of its race will be scratched. Any horse participating in a racing program that unseats a driver may be scratched from the race by the Presiding Judge.

Section 46. Duties of Trainer

1. The trainer is responsible for the condition of any horse under his or her care and for ensuring that the duties described in this section are fulfilled. The trainer of record must instruct any responsible individuals who are assigned to care for a horse on race day about compliance with state testing procedures and adherence to Commission rules. The trainer of record must actively participate in the training of all horses for which he or she is designated as the trainer. Active participation must include general oversight and on-site supervision of all training activities, direct contract with each horse, and making or participating in all decisions relating to the treatment, training and care of each horse. Designated responsible individuals are responsible for their own conduct while present on Association grounds.

2. The name of each trainer shall be noted on each horse's electronic eligibility documentation, and the Judges be notified of any change. Any change of trainer for a horse resulting from a suspension action by the Commission must be approved by the Commission, or the Chair of the Commission.

3. The duties and responsibilities of a trainer shall include, but not be limited to, the following:

A. The trainer shall be solely responsible for the declaration to race of any of his or her horses. This shall include responsibility for driver assignments. Once a horse has been drawn into a race it is the responsibility of the trainer or, in the absence of the named trainer, the responsible individual identified consistent with paragraph 3(B) below, to ensure the horse raced is the same horse that was declared.

B. The trainer shall be present in the paddock from the time his/her horse(s) enter the paddock until all of his or her horses have raced. A horse(s) will be scratched if the trainer is not in the paddock pursuant to this rule. In the event that the trainer of record is unable to be present in the paddock as described in this section, a responsible individual, who is properly licensed by the Commission as a Groom, Trainer or Owner, may be designated at the time the horse is admitted to the paddock. The Presiding Judge may require a trainer be present in the paddock and reject a request for a designated trainer. If so designated, the Horse Identifier shall record the identity of the responsible individual for each horse for which the trainer of record is not present, and provide that information to the Paddock Judge promptly, such that the identity of the trainer or responsible individual for each horse admitted to the paddock is on record with the Paddock Judge for that race day.

C. If the Commission determines that the owner of record for a horse has knowingly declared a trainer without the trainer’s knowledge and consent, it shall be considered a Level 1 violation.

D. It shall be the responsibility of the trainer to assure that his or her horse's shoes and equipment are in proper condition before going to the Post Parade. The trainer shall notify the Paddock Judge of any equipment changes.

E. The trainer shall be responsible to see that no prohibited substance is in any horse under his or her care, consistent with Chapter 11, regardless of when the horse was obtained. The trainer is responsible for ensuring that recently obtained horses do not carry a prohibited substance in their systems during a programmed or qualifying race, even if that substance was administered prior to acquisition of the horse.

F. The trainer of record shall be responsible for ensuring that no horse leaves the paddock after racing until the Commission has obtained a biological sample from the horse or the horse has been released from testing by the Judges. The trainer is also responsible for submitting any horse under his or her care to any pre- or post-race-testing, when such a test is requested by the State Veterinarian, the State Steward, or any licensed official.

Section 47. Nerved Horses

1. Nerving is defined as any blocking of nerve function of a horse via surgical neurectomy, cryogenic techniques, or other desensitizing means, whether permanent or temporary.

2. Only posterior digital nerving will be permitted on horses to be raced in Maine. This procedure must be performed posterior to the first phalanx and at a level below the base of the sesamoid bones.

3. Horses nerved at a level above the base of the sesamoid bones are not eligible to race in Maine.

4. It shall be the responsibility of the trainer to report all nerved horses to the State Veterinarian. This report must be accompanied by an official veterinary report with the type of neurectomy performed. This neurectomy must be recorded on the official United States Trotting Association Eligibility Record and the name of the horse posted on the bulletin board of the racing office and indicated by the symbol “N” on the racing program.

Violations of this section shall constitute a Level 3 violation.

Section 48. Unfit to Participate

The Presiding Judge at any race meeting shall refuse to permit any licensee to participate or otherwise remain in the paddock area, if, in the judgment of such official, he or she is unfit.

Section 49. Personal Safety Equipment

No one shall drive a horse on a racetrack on a race day during the period one hour prior to post time of the first race through completion of the last race unless he or she is wearing a properly secured protective helmet, and a safety vest, both of which must be of a type satisfactory to the Commission. Failure to comply with this section shall be considered a Level 3 violation.

Section 50. Driver's Colors

No driver or trainer shall be allowed to drive in any race or public performance, or to otherwise appear on the racetrack during the racing program unless wearing his or her own or his or her owner's colors, and no driver shall appear in another person’s colors without the special permission of the Presiding Judge. No driver or trainer wearing colors shall appear at any public betting booth or window at a racetrack, or at any bar or restaurant dispensing alcoholic beverages.

Section 50-A. Protection of Horses

No licensee or other person under the jurisdiction of the Commission shall knowingly 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. Licensed track officials are liable under this section if they fail to exercise their authority to protect the well-being of a horse after they are presented credible evidence of mistreatment as described in this section.

Section 51. Horses in the Paddock

Horses must be in the paddock at a time prescribed by the Presiding Judge, but in any event at least one hour prior to post time of the race in which the horse is to compete. The Presiding Judge may ask any trainer whose horse is scheduled to compete on a race day, be in the paddock longer than one hour prior to post time. With less than one hour prior to post, except for warm-up trips, no horse shall leave the paddock until called to post. On those occasions when pre-race testing is conducted, no horse shall warm-up until granted permission by the State Steward or his or her designee. All horses must report to the paddock prior to warm up. No horse may leave after completing a race until the Judges announce which horses have been selected for testing. Failure to comply with this section may result in disqualification or a penalty.

Section 52. Admission to the Paddock

1. On any racing day, during the period in which the Paddock Judge has declared the paddock closed, only authorized personnel may be present as set forth in this section. Persons authorized to be present in the paddock must be at least fourteen years of age and are limited to licensed participants who are:

A. Owners of horses competing on the date of the race, or

B. Trainers of horses competing on the date of the race, or

C. Drivers of horses competing on the date of the race, or

D. Grooms of horses competing on the date of the race, or

E. Officials whose duties require their presence in the paddock, or

F. Persons with written passes signed by the State Steward, or

G. Licensed vendors whose duties require their presence in the paddock.

2. No driver, trainer, groom once admitted to the paddock shall leave the same, without the permission of the Paddock Judge, other than to warm up said horse until such race or races for which he was admitted is contested.

3. Once having left the paddock, no person except an owner, who has another horse racing in a later race, an official, a person on the track warming up a horse, or a person who left the paddock with special permission of the Paddock Judge shall return to the paddock until all races of that program have been completed.

Section 53. Driving Violations

1. Without limiting the generality thereof, the license of any driver may be suspended or revoked, or the driver may be fined for:

A. Violation of any rule of the Commission.

B. Failure to obey the authorized instructions of a racing official licensed by the Commission.

C. Any act or conduct detrimental to the sport, including but not limited to:

(1) Failure to drive in a race when programmed, unless excused by the Presiding Judge.

(2) Intoxication on the day he or she is programmed to drive, or appearing in the paddock in an unfit condition to drive.

(3) The use of offensive, threatening or profane language or other improper conduct.

(4) Assault upon any other person.

(5) Smoking in colors while on the racetrack.

(6) Warming up a horse without colors when colors are required.

(7) Failure to participate in Post Parade, unless specifically excused by the Presiding Judge.

(8) Unnecessary conversation between and among drivers while on the track is prohibited.

(9) While on the track, all licensees must wear helmets with chinstraps fastened.

Section 54. Racing Violations

1. Although a leading horse is entitled to any part of the track, except after selecting his or her position in the homestretch, neither the driver of the leading horse nor any other driver in the race shall engage in any of the following conduct, which shall be considered violations of driving rules:

A. Change either to the right or left during any part of the race when another horse is so near that it causes another horse to shorten its stride, or causes the driver of such other horse to pull out of stride or move away from the offending horse to avoid contact.

B. Jostle, strike, hook wheels, or otherwise interfere with another horse or driver.

C. Cross sharply in front of a horse or cross over in front of a field of horses in a reckless manner, endangering other drivers or horses.

D. Swerve in and out or pull up quickly.

E. Crowd a horse or driver by “putting a wheel under such horse”.

F. “Carry a horse out” or “Sit down in front of a horse”, take up abruptly in front of other horses so as to cause confusion or interference among the trailing horses, or do any other act which constitutes what is commonly known as helping.

G. Let a horse pass inside needlessly.

H. Laying off a normal pace and leaving a hole when it is well within the horse's capacity to keep the hole closed.

I. Change course after selecting a position in the homestretch, or swerve in or out, or bear in or out, in such manner as to interfere with another horse or cause another horse to change course, take back or break.

J. To drive in a careless or reckless manner.

K. Cause any horse or a field of horses to excessively slow down their speed.

L. Cause the Judges to believe that the horse is being driven with design not to win, or in a manner inconsistent with an attempt to win.

M. Commit any act which impedes the progress of another horse or causes another horse to “break”.

N. Failure to set, maintain or contest a pace comparable to the class of race.

O. Leaving the Course. In the event a horse or part of the horse’s sulky leaves the course and in the opinion of the Judges, the action gave the horse an unfair advantage over other horses in the race, or the action helped the horse improve its position in the race, the horse may be disqualified or placed. If, in the opinion of the judges, a horse or sulky is forced off the course as a result of the actions of another horse or driver, or as a result of a break from such horse’s gait, or unforeseen circumstances such as an accident, the judges may determine the appropriate order of finish. Further, the Judges may impose a penalty on the driver for such action even if the horse was not disqualified or placed.

P. Whips. Drivers will be allowed to use only black whips not to exceed 4 feet, plus a snapper not longer than 6 inches. No leather or unusual material may be used. The conventional snapper shall not be knotted and tape is only permitted on the handle of the whip. All other modifications of the whip are prohibited.

Q. Whipping. Unnecessary, excessive or brutal use of the whip is prohibited. Evidence, such as cutting, welting or visible injury, etc. shall be determined by the Judges, State Steward, or State Veterinarian at any time. Failure to abide by the following shall be considered illegal use of the whip:

(1) All drivers must keep a line in each hand beginning when the horse is behind the starting gate and continuing through the finish of the race.

(2) Whipping shall be restricted to elbow and wrist action only and the whipping arm shall not be raised above the driver’s shoulder height.

(3) Drivers shall not move their whipping arm in a blatant or exaggerated manner and the lines shall remain reasonably taut during the race.

(4) Drivers shall not use the whip below the level of the shaft, forward of the race bike’s wheels.

(5) Drivers shall not place the whip between a horse’s legs.

(6) Drivers shall not strike another horse or driver with the whip.

(7) Drivers are permitted to use their hand or the whip in a sliding or gliding manner above the level of the shaft.

(8) Drivers shall not use the handle of the whip on a horse.

(9) Drivers shall not use whip on a tired horse, on a horse that is not visibly responding, or when the horse is not in contention in a race.

(10) Drivers shall not use the whip without giving a horse time to respond to a previous application of the whip. Penalties for violating this paragraph shall be considered Level 2 violations.

Penalties for violating this paragraph shall be considered Level 2 violations.

R. Goads. The use of any goading device, (including the butt end of a whip), chain, or mechanical devices or appliances other than the ordinary whip, upon any horse in any race shall constitute a violation of this rule.

Penalties for violating this paragraph shall be considered Level 1 violations as described in Chapter 17.

S. Drivers must be seated in an upright position.

T. Handholds must be positioned with the driver’s elbows in front of the plane of the torso to ensure adequate control of the horse. The placing of both lines in one hand to permit the necessary adjustment of the horse’s equipment, such as ear plug removal, is allowed.

U. After the word “Go” is given both feet must remain in the stirrups or heel plates, except for removal of earplugs or for adjusting the convertible bridle, until the finish of the race.

Section 55. Racing Objections

All objections or complaints by drivers of any driving violation or other misconduct during a heat or dash must be made promptly at the termination of the heat or dash to the Judges unless accident or injury prevents such reporting. Any driver desiring to enter an objection or complaint must indicate to the Judges his or her entry of an objection or complaint before the race is declared official. The Judges shall not cause the official sign to be displayed until such objection, or complaint has been properly reviewed and considered.

Section 56. Permission to Dismount

After the Post Parade and until the conclusion of the race, no driver may dismount needlessly from the sulky without the permission of the Starting Judge or a Patrol Judge. Adjustment of equipment may be done only with the Starting Judge's approval.

Section 57. Contested Races and Unsatisfactory Drives

Drivers are required to compete in each race with the intent of finishing with the best possible placement. Every heat in a race must be given full effort to win by every driver in the race and every horse must be driven to the finish. If the Judges find that a horse was driven, with design to prevent winning a heat or dash which he or she was evidently able to win, or was raced in an inconsistent manner, or to perpetrate or to aid a fraud, they shall consider it a violation and the driver, and anyone found to be in concert with him or her, to so affect the outcome of the race or races, shall be fined or suspended consistent with chapter 17.

In the event a drive is unsatisfactory due to a lack of effort but that the Judges find there is no intentional act to violate this section or to a have a deliberately inconsistent drive, they may impose a penalty consistent with a Level 2 violation in chapter 17.

Section 58. Placing Offending Horses

It is a violation of these rules to interfere with another horse or other horses. An offending horse shall be set back for interference if the outcome of the race is affected by that interference. If a horse is set back for interference, he or she must be placed behind the horse or horses he or she interfered with. If the progress of the other horses has been impeded, the offending horse may be placed behind all the non-offending horses adversely affected by the interference in that heat or dash. In the event the interference prevents any horse from finishing the heat or dash, the offending horse may be disqualified from receiving any winnings and the driver may be suspended or fined. If, in the opinion of the Judges, the interference did not affect the outcome of the race, the driver may be penalized even if no placings or disqualification was made.

Section 59. Coupled Entries Violations

Coupled entry is as defined in 01-017 C.M.R. ch. 1.

1. If any of the violations in this chapter are committed by a person driving a horse coupled as an entry in the betting, the Judges shall set both horses back, if in their opinion, the violation may have affected the finish of the race. Otherwise, penalties may be applied individually to the drivers of any entry.

2. If a horse coupled as an entry in the betting, because of the same ownership or the same trainer, is disqualified for a foul under these rules, the Judges may set back all horses coupled in said entry or may set back only the horse or horses involved in the foul.

Section 60. Breaking

When any horse breaks from its gait in trotting or pacing, the driver shall, as soon as clearance exists, take the horse to the outside or inside where the most clearance exists and pull it to its gait and lose ground. Committing an extended break, or failure to take the horse to the outside or inside where clearance exists, or to properly pull the horse to its gait, or to lose ground as a result of a break is a violation of this section.

If the driver fails to take appropriate action as required by this section, he or she is subject to disciplinary action as provided in Chapter 17. In addition, the Judges shall set the horse back one or more places, as appropriate.

If there has been no failure on the part of the driver in complying with this section, the horse shall not be set back unless a contending horse on his or her gait is lapped on the hind quarter of a breaking horse at the finish.

Section 61. Intentional Breaks

If, in the opinion of the Judges, a driver allows his or her horse to break for the purpose of fraudulently losing a heat or dash, he or she shall be liable to the penalties presented in Chapter 17.

Section 62. Improper Conduct

It shall be a Level 2 violation for any licensee to engage in any of the following conduct while present on the grounds of a licensed Association on a race day:

1. Shouting, use of profane, offensive or threatening language when addressing any official, employee or agent of the Commission;

2. Any act or conduct that is detrimental to the sport;

3. Any conduct, while in view of the public, which in anyway tarnishes the image of the sport;

4. Conduct or language that is threatening, discriminatory, or negatively impacts the civil rights of officials, employees or agents of the Commission, other participants, or the public;

5. Fighting or other improper physical contact with officials, employees or agents of the Commission, other participants or the public;

6. Failure to obey the lawful instructions of any officials, employees or agents of the Commission; or

7. Intoxication of a licensee while in the paddock during race day.

Section 63. Assaults

No licensee, while on the grounds of a licensed Association during a race day, shall commit an assault, or an assault and battery, upon any official, employee or agent of the Commission, or other licensee, nor shall a licensee threaten to do bodily injury to any official, employee or agent of the Commission, or upon another licensee.

Section 64. Threats Not to Race

It is a violation of these rules for any owner, trainer, or driver of a horse to threaten or join with others in threatening not to race, or not to declare in, because of the declaration of a certain horse or horses, or a particular stable, thereby compelling or trying to compel the Race Secretary or the Association to cancel the race.

Section 65. Bonus Demands

No person who has entered a horse shall thereafter demand of the Association a bonus of money or other special award or consideration as a condition for starting the horse.

Section 66. Wagering of Owner, Trainer, Driver

No owner, trainer or driver of a horse shall bet or cause any other person to bet on his or her behalf on any other horse in any race in which they shall start a horse owned, or driven by him or her, or which he or she in anyway represents or handles or in which he or she has an interest. Violation of this rule is a Level 1 violation.

Section 67. Reporting Bribes or Attempts

If any person licensed by this Commission shall be approached with any offer or promise of a bribe, or a wager or with a request or suggestion for a bribe, or for any improper, corrupt, or fraudulent act in relation to racing, or with a suggestion that any race shall be conducted otherwise than fairly and honestly, it shall be a condition of licensing that of such person to report the details thereof immediately to the Presiding Judge.

Section 68. Misconduct or Fraud

1. Fraud. Any conduct on the part of a licensee or participant that is fraudulent in its nature or injurious to the character of racing, although not specified in these rules, is forbidden. It is a violation of these rules for any person or persons, individually or in concert with one another, to fraudulently or corruptly by any means affect or attempt to affect the outcome of any race, or affect a false registration, or commit any other act injurious to the sport. Such violation shall be a Level 1 violation.

2. Misconduct. Any conduct on the part of a licensee or participant injurious to the character of racing, although not specified in these rules, is forbidden. Such violation shall be a Level 1 violation.

Section 69. False Witness

In any case where an oath is administered by Judges, or representatives of this Commission under the rules, or a Notary Public, or any other person legally authorized to administer oaths, if the party knowingly swears falsely or withholds information pertinent to the investigation, his or her license shall be suspended upon notice and hearing unless the provisions of 5 M.R.S. §10004 are met.

Section 70. Illegal Devices

No electrical, mechanical or other appliance or device other than the permitted whip shall be applied to a horse at any place on the grounds of an Association. Violators shall be immediately suspended by the Judges and referred to the Commission for a license revocation hearing. Violation of this section or possession of any such device anywhere on the grounds is a Level 1 violation.

Section 71. Conspiracy

If two or more persons shall combine and confederate together in any manner, regardless of where the said persons may be located, for the purpose of violating any of these rules and shall commit some act in furtherance of the said purpose and plan, it shall constitute a conspiracy and a Level 1 violation.

Section 72. Purse Distribution

1. General provisions. All races shall be bona fide contests with one winner receiving the largest share of the purse and the balance of the purse distribution made according to the order of finish. No hippodroming or other arrangement for equal distribution of the purse money among the contestants is permitted. Violation of this rule may subject the Association, and officials in charge, to suspension or expulsion.

2. Stake. In a stake race the money given by the Association conducting the race is added to the money contributed by the nominators, all of which except deductions for the cost of the event, must be added to the purse. All of the money contributed in nominating, sustaining and starting payments must be added to the purse.

Withholding a portion of the purse. If a contractual agreement for withholding a portion of the purse for the benefit of trainers and drivers is entered into between a licensed racing Association as defined in 8 M.R.S.A. §271 and a statewide association of horsepersons (“Horsepersons' Association”) as defined in 8 M.R.S.A. §272‑B that represents a majority of the horsepersons at that Association's racetrack, a portion of the purse winnings as described in sub‑section 1 shall be withheld for distribution to the trainer and driver of the horse that has earned a portion of a purse. The portion of the purses to be withheld must be determined by a contractual agreement between the Association and the Horsepersons' Association. A copy of the contractual agreement and any subsequent modification of the contract must be filed with the Commission before any portion of a purse is required to be withheld by the Association.

Section 73. Supplemental Purse Payments

Supplemental Purse payments made by a track after the termination of a meeting will be charged and credited to the winnings of any horse at the end of the racing year in which they are distributed, and will appear on the eligibility record for the subsequent year.

Section 74. Mounted at Finish

A driver must be mounted in his or her sulky at the finish of the race or the horse must be placed as not finishing.

Section 75. Purse Money

Unless otherwise provided in the conditions, all purses shall be distributed on the dash basis with the money awarded according to a horse's position in each separate dash or heat of the race. Purse money distribution in overnight events shall be limited to the first five positions, unless prior approval is received from the Commission.

Section 76. Dashes

Unless otherwise specified in the conditions, the money distribution in dashes shall be 50%, 25%, 12%, 8% and 5%. In early closing races, late closing races, or added money events, if there are less than five premium positions for which horses are placed, the remaining premium shall go to the race winner unless the conditions call for a different distribution. In overnight events if there are fewer than five starters the premium for the positions for which there are no horses placed must be retained by the track for future supplement of purses.

If there be any premium or premiums for which horses have started but were unable to finish, due to an accident or otherwise, all unoffending horses who did not finish will share equally in such premium or premiums.

Section 77. Two in Three

In a two in three race, a horse must win two heats to win the race, and there shall be 10% set aside for the race winner. The purse shall be divided and awarded according to the finish in each of the first two or three heats, as the case may be. If the race is unfinished at the end of the third heat, all but the heat winners or horses making a dead heat for first shall be ruled out. The fourth heat, when required, shall be raced for the 10% set aside for the winner. If there be any third or fourth premiums, etc., for which no horse has maintained a specific place, the premium therefore shall go to the winner of that heat, but that number of premiums distributed need not exceed the number of horses starting in the race. In a two-year-old race, if there are two heat winners and they have made a dead heat in the third heat, the race shall be declared finished and the colt standing best in the summary shall be awarded the 10%, if the two heat winners made a dead heat and stand the same in the summary, the 10% shall be divided equally between them.

Section 78. Timing of the Lead Horse Only

The leading horse shall be timed and only its time shall be announced. No horse shall obtain a win race record by reason of the disqualification of another horse unless the horse’s actual time can be determined by photo finish or electronic timing.

Section 79. Time for Dead Heat

In the case of a dead heat for the win, the time shall constitute a record for the horses making the dead heat and all such horses shall be considered winners.

Section 80. Time

The time shall be taken from the first horse leaving the point from which the distance of the race is measured until the winner reaches the wire.

Section 81. Time Trial Performances

1. Time trial performances may be permitted subject to the following:

A. Testing of participating horses, as prescribed by Commission representatives, is required for all time performances. In the event of a failure of performance, no time trial record will be obtained.

B. An approved electric timer is required for all time performances. In the event of a failure of a timer during the progress of a time performance, no time trial record will be obtained.

C. Time trial performances are permitted only during the course of a regular meeting with the regular officials in the Judges' Stand.

D. Time trial performance records shall not be included in the performance lines in a race program.

E. Time trial performances shall be designated by preceding the time with the two capital T's.

F. When a horse performs against time it shall be proper to allow another horse or horses to join in the performance but not to precede or to be harnessed with or in any way attached to the horse performing against time.

G. A break during a Time Trial is a losing effort and a losing performance shall not constitute a record.

Section 82. Judges at Time Trials

There shall be three Judges in the stand during such performance.

Section 83. Performance Against Time

In performances against time the horse must start in order to equal or beat a specified time.

Section 84. Best of Three

In performances against time, starters shall be entitled and limited to three trials and the fastest winning time made by him/her shall be his/her record.

History

• STATUTORY AUTHORITY: 8 MRS §§ 263-A, 268, 275-C, 279-A, 279-B, 281
• REPEALED AND REPLACED: February 22 1993 - this revision incorporates sections from previous Chapters 1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 17, 18, 19, 20, 23 & 24
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996
• AMENDED: March 11, 1996 (EMERGENCY)
• AMENDED: March 4, 1997 - sub-c. 1 §7 sub-§A-1
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: December 17, 2001 - added Section 17(6)(K)
• AMENDED: December 17, 2001 - amended Section 58
• AMENDED: June 30, 2002 - Section 6(6) repealed, Sections 6(9) and 6(10) amended, filing 2002-220
• AMENDED: June 30, 2002 - Section 30 corrected to remove duplicate language, filing 2002-221
• AMENDED: June 30, 2002 - Sections 54(1)(P), 54(1)(Q), 54(1)(R), 54(1)(S) amended, filing 2002-222
• AMENDED: June 6, 2004 - Section 37(1)(G), filing 2004-187
• AMENDED: August 21, 2006 - Section 18(8), filing 2006-372
• AMENDED: August 21, 2006 - Section 18-A, filing 2006-373
• AMENDED: November 8, 2006 - Section 76, filing 2006-461
• AMENDED: June 7, 2008 - Sections 6, 8, 17(4)&(7), 53(1)(C)(8), 54(1)(Q), 76
• AMENDED: August 18, 2009 - Section 72(3), filing 2009-435
• NON-SUBSTANTIVE CORRECTIONS: August 4, 2010 - headings for Sections 10, 73
• AMENDED: November 4, 2010 - Sections 6(8), 7(2), 40, 46(3)(C), 54(O), 54(T), 58 and 68, filing 2010-549
• AMENDED: May 15, 2012 - Sections 6, 16 and 17, filing 2012-153
• AMENDED: August 4, 2012 - Section 54(1)(S), filing 2012-213
• AMENDED: July 22, 2013 - Section 7(6)(9), filing 2013-164
• AMENDED: July 22, 2013 - Section 7(7), filing 2013-165
• AMENDED: August 19, 2014 – Section 8, filing 2014-190
• AMENDED: January 22, 2019 - filing 2019-012
• AMENDED: June 1, 2020 - Sections 75 and 76, filing 2020-131 (EMERGENCY)
• AMENDED: July 31, 2020 - Sections 75, 76 and 85, filing 2020-172 (EMERGENCY)
• AMENDED: August 17, 2020 - Sections 7(G), 75, 76 and 85, filing 2020-184 (EMERGENCY)
• AMENDED: July 4, 2021 - many Sections, filing 2021-138
• AMENDED: March 11, 2023 - filing 2023-039
• AMENDED: June 8, 2024 - filing 2024-137
• NONSUBSTANTIVE CORRECTION: May 5, 2025 (removal of stricken text that was erroneously included in the previously posted copy of the rule)

Chapter 9 Sires Stakes

Code Me. R. 01-017 Ch. 9 Sire Stakes {#sec-01-017-ch.-9 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 9}

SUMMARY: This chapter pertains to the establishment of a Breeders Stakes program to encourage and develop a Maine breed of Standardbred horses pursuant to 8 MRSA §281. If no exception is provided in this chapter, the general body of harness racing rules and regulations shall apply to the Sire Stakes program and Sire Stakes races.

Section 1. General

1. A committee of advisors will be appointed annually by the Commission to assist the Commission in promoting this program. The advisors will be selected from interested persons engaged in breeding or racing Standardbred horses. At least one member will be from an Association programming at least one stake race. The advisory committee will serve without compensation.

2. Any Association that desires to host events in the Maine Standardbred Breeders Stakes must so inform the Commission at the annual race date assignment hearing proceeding the year of the event.

3. The Commission shall approve a schedule of races and the sites of the events annually.

4. The name of the events shall be Maine Standardbred Breeders Stake No. 1 for eligible 3 year olds in 1974 and Maine Standardbred Breeders Stake No. 2 for eligible 2 year olds in 1974, then numbered chronologically each succeeding year. Eligibility, estimated values, fees, and conditions shall be announced by publication no later than March 1 of the year of the race. Purses will be announced by the Department no later than June 1 of the year of the race. Application forms will be available at the office of the Department.

5. Trainers of eligible two and three year old horses participating in the Sire Stakes program shall notify the Department no later than May 15 of the location at which the eligible horses are stabled. Said trainer shall inform the Department of any change in stable location.

Section 2. Eligibility Criteria

1. In order for its offspring to be eligible to the Maine Standardbred Breeders Stakes a stallion must be registered with the Commission for the current breeding season prior to January 1 of the year of the breeding season and must stand at stud the full breeding season in Maine except as provided for in Section 2, subsection 1, second paragraph. The breeding season is defined as the period beginning February 15 through July 15 of each calendar year except as provided in the second paragraph. The registration fee shall be $100.00 per stallion per breeding season. Registration fees shall be made payable to the Treasurer, State of Maine and forwarded to the Commission’s Office within the Department and such fees will be added to purses.

Any person standing a stallion who fails to register a stallion as required aforesaid may register said stallion upon payment of the registration fee and an additional payment of $500.00 on or before February 15 of the ensuing breeding season. The stallion shall not have been registered nor stood in any other racing jurisdiction during the current breeding season as defined in Section 2, subsection 1.

A stallion may be brought into the program at any time after February 15 to replace a registered stallion which is unable to breed, as evidenced by a veterinarian or laboratory test indicating it is infertile, or dies during the breeding season. In this case a $100.00 registration fee is required but no late fee is required.

A new stallion may be brought into the program after February 15 with the payment of the registration fee and a late fee of $750.00.

The stallion is to reside in the State of Maine at a designated standing farm throughout the entire breeding season as described in this section, except as provided for a late registration. The stallion may not be moved from the designated standing farm (except in the case of a medical emergency) with the following exceptions:

A. A stallion duly registered may, upon advance written notification to the Executive Director, move from the designated standing farm provided that the farm to which the stallion is moved is located in the State of Maine.

B. A stallion duly registered may, upon advance written approval from the Executive Director, be moved to another state for non-emergency medical reasons.

C. A stallion duly registered may, upon advance written approval from the Executive Director, be allowed to race during the breeding season in non claiming races.

2. Breeding Report. A copy of the form reporting the breeding of mares to the United States Trotting Association (Mares Bred List) will be completed by the person who owns and registers the stallion, and forwarded to the Commission Office not later than September 1 of the year of breeding. Mares bred by transported semen shall be so identified on the Mares Bred Report.

3. Colts and fillies sired by an eligible Maine stallion shall be eligible to the Maine Standardbred Breeders Stake races providing that they are named and that name is registered with the United States Trotting Association and all required documents are filed and fees paid. This is effective with the foals resulting from the 2003 breeding season and thereafter.

4. The foal produced from any mare which is inseminated after January 1, 2003 by semen transported outside of the State of Maine and from a stallion duly registered with the Commission will be eligible for nomination to any Maine Standardbred Breeders Stakes programs.

Section 3. Payments and Fees

Yearling nomination payment of $20.00 shall be due on all Maine sired colts and fillies by May 15 of the year following the colt or filly’s year of birth and payment must be accompanied by a copy of the colt or filly USTA Registration Certificate. In the event a yearling payment is not made on May 15 of the year following foaling, the foal may be made eligible providing that all other eligibility requirements are met by payment of a $500.00 late fee together with the previously missed payment.

2. A continuation fee of $20.00 for eligible 2 year olds shall be due February 15 of the year of the race.

3. A continuation fee of $50.00 for eligible 3 year olds shall be due February 15 of the year of the race.

4. A sustaining fee of $50.00 for eligible 2 year olds and $70.00 for eligible 3 year olds shall be due by May 15 of the year of the race. Sustaining fees need not be paid on 2 year olds unless the 2 year old will race during its two year old year.

5. The gait on which 2 and 3 year olds will race must be specified at the time the sustaining fee is paid, May 15 of the year of the race. Switching gait or racing at both will be allowed only if the horse has been sustained, and fees paid, to both trot and pace by May 15 of the year of the race.

6. A starting fee of $75.00 for eligible 2 year olds to seasonal events shall be due at the time of declaration and payable to the Association sponsoring the event. A starting fee of $100.00 for eligible 3 year olds to seasonal events shall also be due at the time of declaration and payable to the Association sponsoring the event.

7. Nomination, continuation, sustaining and supplemental payments will be made to the Maine State Harness Racing Commission at the Department's office.

8. Otherwise eligible Maine bred colts and fillies that were not kept eligible by payment of subsequent fees, as a yearling, or as a 2 year old, may be made eligible as a two year old, providing all other eligibility requirements are met, by payment of a $750.00 late fee and all previously missed payments and late fees are made prior to declaring in for the first two year old stake race for that sex and gait for that year.

9. Otherwise eligible Maine bred colts and fillies that were not kept eligible by payment of nominating fees or continuation fees as a yearling or a 2 year old may be made eligible as three year olds, providing all other eligibility requirements are met, by payment of a $1,000.00 supplemental payment and all previously missed yearling, two year old continuation and three year old payments and late fees prior to declaring in for the first three year old stake race for that sex and gait of that year.

Section 4. Performance Eligibility

1.Two and Three year old trotters and pacers will be eligible to start in any of their stake races of their season if they show a satisfactory charted performance line, or better, as indicated by the chart below. The horse must have raced on gait with track allowances at the time of the draw.

Age and Gait

Qualifying Time

1/2 Mile

5/8s Mile

1 Mile

Two-year-old pacers

2:10

2:09

2:08

Two-year-old trotters

2:15

2:14

2:13

Three-year-old pacers

2:07

2:06

2:05

Three-year-old trotters

2:12

2:11

2:10

2. Two and three year old trotters and pacers that made breaks in the past three consecutive starts on a good or fast track and failed to finish first, second or third must go a qualifying race. Breaks caused by equipment failure or interference will be excused.

3. Two and three year old trotters and pacers failing to meet qualifying time in two consecutive races on a good or fast track must re-qualify, unless the horse makes a break, or there is interference or equipment failure in one of the two races.

4. All Sire Stakes horses must have a charted line in which the horse met the Sire Stakes qualifications within 45 days of its next programmed start.

5. All entries in Maine Standardbred Breeders Stake races must show individual times.

6. Two year olds are ineligible by reason of participation in a medication program. Any 2 year old horse that has participated in a Furosemide program at any race meet whether that race was in the state of Maine or another jurisdiction is not eligible in any Maine Standardbred Breeders Stake race.

7. Three year old horses eligible to participate in the Maine Sire Stakes Program are allowed into the furosemide program under the conditions set forth in Chapter 11.

8. Two and Three year old trotters and pacers may be placed on the Stewards List for an extended break with the intent of qualifying without complying with Chapter 7, Section 60.

Section 5. Purse Structure and Promotional Funds

1. Nomination fees, continuation fees, supplementary eligibility fees, starting fees, and registration fees will be allocated to purses as follows:

A. Stallion registration fees will be allocated equally among all trotting and pacing 2 and 3 year olds events.

B. Yearling nomination fees will be equally divided among all trotting and pacing 2 year olds events in the year nominations are made.

C. Two-year-old continuation fees will be shared by all classes of 2 year olds sustained.

D. Three-year-old continuation fees will be shared by all classes of 3 year olds sustained.

E. Sustaining fees will be allocated to the particular event to which payment is made by age, gait and sex.

F. Any supplemental eligibility fee payments made will be allocated to the event to which payment is made.

G. Starting fees will be due at the time of declaration and must be paid to Associations prior to the start of the race and allocated to specific events.

2. Moneys accruing to benefit the fund under provisions of Title 8, Chapter 11 Section 286, Chapter 31 Section 1036, subsection 2.C and subsection 2-A.I, shall be disbursed as follows:

A. Two-year-olds will race for a base purse which shall be determined by the Commission based on estimated available funds plus $100.00 per starter. The Commission shall determine the base purse not less than 30 days prior to the first scheduled stake race.

B. Three-year-olds will race for a base purse which shall be determined by the Commission based on estimated available funds plus $125.00 per starter. The Commission shall determine the base purse not less than 30 days prior to the first scheduled stake race.

C. The purse will be distributed as follows:

50-25-12-8-5 percent

if 5 or more horses are placed in premium positions

55-25-12-8 percent

if 4 or more horses are placed in premium positions

60-28-12 percent

if 3 or more horses are placed in premium positions

65-35 percent

if 2 or more horses are placed in premium positions

100 percent

in case of walkover

The purse for both the two-year old and the three-year old finals shall include payments of 1.25% for sixth place, 1% for seventh place, and 0.75% percent for eighth place. The 3% necessary for these additional purse payments shall be subtracted from the base purse amount, with the normal 50-25-12-8-5 allocation taken from the remaining purse amount. In the event that there are fewer than five starters, the purse formula described in this subsection shall apply.

Starters must finish the race in order to qualify for purse money, except in the case of an accident in accordance with Chapter 7, Section 76.

D. Should circumstances prevent the racing of any or all of these events, moneys will be prorated among the owners of eligibles of the uncontested event or events at the time of declaring off.

3. The Sire Stakes fund includes contributions under 8 M.R.S. §§ 286 and 1036(2)(C) and (2-A)(I). The greater of $10,000 or 5% of the Sire Stake Fund generated annually may be allocated and disbursed by the Commission for the promotion of the Sire Stakes program in accordance with 8 M.R.S. § 1037(4)(F).

Section 6. Conditions

1. All races will be one mile, and will be conducted under the rules of the Maine Harness Racing Commission.

2. Unless otherwise specified in the conditions, declaration time shall be 9:00 a.m. and the box shall close at that time.

3. There shall be no more than one division unless there are more declarations that can score abreast without a trailing horse.

4. Race secretaries must divide entries by sex. Any race that has more than one division shall be split by the Judges. When a class is split and there are multiple owners and trainers, the Judges shall split the owners, then trainers randomly and the remaining entries will be split randomly. The draw may be done by the USTA random draw system.

5. If an Association utilizes a detention barn for stake races, all applicable paddock rules shall apply to the detention barn.

6. Two and three year old trotters and pacers that have been scratched as sick or lame from a Maine Standardbred Breeders stakes event any time after being declared in, must have a well slip from a licensed veterinarian stating the colt or filly is fit to race before a declaration to start can be valid.

7. The final event shall be the last stakes event contested in the racing season for each division and shall be limited to the eight highest point winners declared in to race and eligible to start.

If two or more horses are tied in points for eighth (8th) position for the final race, the eighth starter shall be drawn by lot. Two also eligibles may be drawn and programmed, based on points earned during the year and the highest point winner shall be moved in first in the event of a scratch. If the also eligibles are tied in points earned the same procedure shall be used as outlined above for the eighth starter.

Final events that do not fill with point winners may be filled with 2 and 3 year olds that have participated in at least one leg of their stake division and drawn by lot.

9. Consolation Final

10. A Consolation Final may be offered for each Sire Stakes Division. No horse eligible for the final event, except for also eligible entries programmed but did not participate in the final event, shall be eligible for the Consolation Final. Horses eligible for the Consolation Final shall be the next highest point earners in each division after those eligible for and participating in the final event. All Consolation Final horses must have participated in at least one leg of their stake division. In the event two or more horses tie in points for the eighth position for the Consolation Final, the eighth starter shall be drawn by lot. Two also eligibles may be drawn and programmed, based on points earned during the year and the highest point winner shall be drawn in first in the event of a scratch. If the also eligibles are tied in points earned the same procedure shall be used as outlined above for the eighth starter. No Consolation Final may be programmed with less than six eligible horses.

Monies for each Consolation Final shall be set aside from the Sire Stakes Purse Fund.

3. Declarations for the Final and Consolation Final Races must be made at the time declarations are due for the Final Events. The top eight point winning horses and up to two also eligibles will be drawn in to the Final Events. The remaining horses that have declared in will be drawn in to the Consolation Final pursuant to Chapter 9, Section 6, subsection 8.1.

4. No Consolation Final may be programmed unless there are eight entries in the Final Event.

Section 7. Current Season Standings

1. Two and three year olds will be awarded points based upon their finishing position in each Maine Standardbred Breeders Stake race during the stakes season.

2. Dash winners will be awarded 50 points. Second place finishers will be awarded 25 points; Third place finishers will be awarded 12 points; Fourth place finishers will be awarded 8 points; Fifth place finishers will be awarded 5 points; and, Sixth place finishers will be awarded 1 point. All points earned during the year will count toward eligibility to the final.

3. In the event of a dead heat for any position the points for those positions will be added and divided equally among the horses involved.

4. The order of finish declared "Official" by the Judges will be used in determining points earned. In the event of an appeal of a Judges decision, the Commission will make every effort to hear and decide the appeal prior to declaration time for the final. In the event of an unresolved appeal, the original Judges decision will stand for purposes of calculating points earned and eligibility to the final.

History

• STATUTORY AUTHORITY: 8 MRSA §§ 263-A and 281
• REPEALED AND REPLACED: February 22, 1993 - this revision was previously section 32 of chapter 1
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996
• AMENDED: April 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: June 30, 2002 - Section 4(8), filing 2002-223
• AMENDED: November 24, 2002 - Section 2(3), filing 2002-441
• AMENDED: November 24, 2002 - Section 2(4), filing 2002-453
• AMENDED: June 6, 2004 - Sections 2 and 3, filing 2004-188
• AMENDED: September 13, 2004 - Section 2(2), filing 2004-389
• AMENDED: November 8, 2006 - Section 2(1), filing 2006-462
• AMENDED: November 8, 2006 - Section 5(2), filing 2006-463
• AMENDED: June 7, 2008 Section 2(1), 3(6), 4, and 6(3), filing 2008-240
• AMENDED: August 18, 2009 - Section 6(7), filing 2009-436
• AMENDED: November 9, 2010 - Section 2(1), filing 2010-550
• AMENDED: May 15, 2012 - Section 2, 6(8), filing 2012-154
• AMENDED: July 22, 2013 - Section 4(7 and 11), filing 2013-166
• AMENDED: July 22, 2013 - Section 6(8), filing 2013-167
• AMENDED: July 24, 2013 - Agency name corrected in title header
• AMENDED: August 19, 2014 - Section 4, filing 2014-191
• AMENDED: December 26, 2015 - Section 5(2), filing 2015-259
• CORRECTION: February 2, 2016 – Section 2 sub-sections 2, 3, 4 reinserted
• AMENDED: January 22, 2019 - Sections 1(5), 5(2), filing 2019-013
• AMENDED: July 6, 2020 – Sections 1(6), 5(2)(B,C,D), filing 2020-149
• AMENDED: July 4, 2021 – filing 2021-139
• AMENDED: June 1, 2025 – filing 2025-121
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 11 Medications, Prohibited Substances and Testing

Code Me. R. 01-017 Ch. 11 Medications, Prohibited Substances and Testing {#sec-01-017-ch.-11 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 11}

SUMMARY: This chapter contains standards for equine medications and prohibited substances including, but not limited to types of tests, methods of testing and responsibilities of race track personnel.

Section 1. GENERAL PROVISIONS

1. Interpretation of this Chapter

This chapter is promulgated to protect the integrity of live harness racing, to protect the health and welfare of participating horses and to safeguard the interest of the public and the racing participants through the prohibition or control of medications and substances. This chapter shall be interpreted to accomplish that purpose.

2. General Standards

A. Licensed participants shall exercise a high standard of care in the administration of medications, vitamins, supplements and other substances to ensure that the health and welfare of the horse takes precedence over performance. Licensed participants shall not permit a horse participating in a race or programmed to participate in a race, to carry in its body any prohibited substance.

B. Licensed participants and veterinarians treating participating horses shall carefully adhere to product labeling for medications, vitamins, supplements or other substances used in the treatment or feeding of participating horses. No person may exceed the recommended dosage rates for medications, vitamins, supplements or other substances when treating participating horses. Except as otherwise provided by this chapter, violation of this paragraph shall be considered a Class C violation pursuant to Chapter 17 of Commission rules.

C. Licensed participants and veterinarians treating participating horses may not use, possess or distribute unlabeled medications, vitamins, supplements or other substances intended for administration to participating horses. Except as otherwise provided by Commission rule, violation of this paragraph shall be considered a Class C violation pursuant to Chapter 17 of Commission rules.

D. Except as provided under this chapter, no person may administer injectable substances to participating horses, nor possess injectable substances on the grounds of an Association, without written directions from a licensed veterinarian.

E. The standards contained in this chapter relating to the presence of prohibited substances are considered “strict liability” standards, which do not depend upon knowledge, negligence nor intent on the part of the licensed participants, but instead are based on the breach of an absolute duty to ensure that no horse participating in a race or programmed to participate in a race, has the presence of a prohibited substance in its body.

F. Licensed participants and veterinarians treating participating horses, found to be responsible for the improper or intentional administration of any drug resulting in a positive test sample from a participating horse, may, after the proper notice and hearing, be subject to the same penalties set forth for the licensed trainer.

G. In addition to any sanctions imposed by the Commission, any veterinarian treating participating horses found to be involved in the administration of any drug carrying the penalty class of “A” shall be referred to the Maine Board of Veterinary Medicine for consideration of further disciplinary action and/or license revocation.

H. Any person who the State Stewards or the Commission believe may have committed acts in violation of statutes outside Commission jurisdiction may be referred to the appropriate agency. Administrative action taken by the Commission in no way prohibits referral of the matter to other agencies by the Commission.

3 . Trainer Responsibility

A. A trainer shall be responsible for the condition of a horse in his or her care.

B. A trainer shall be responsible for the presence of a prohibited drug, medication, substance, or metabolic derivative, including permitted medications in excess of the maximum-allowable concentration, in horses in his or her care.

C. A trainer shall prevent the administration of a drug, medication, substance, or metabolic derivative that may constitute a violation of this chapter.

D. A trainer whose horse has been claimed shall remain responsible for a violation of this Commission rule regarding that horse’s participation in the race in which the horse was claimed.

E. A trainer shall be responsible for:

(1) The proper identity, custody, care, health, condition, and safety of horses in his or her care;

(2) Promptly reporting the alteration of the sex of a horse to the Presiding Judge and the Race Secretary;

(3) Promptly reporting to the Presiding Judge if a posterior digital neurectomy (heel nerving) is performed on a horse in his or her care and ensuring that this fact is designated on its certificate of registration;

(4) Promptly reporting to the Presiding Judge the name of a mare in his or her care that has been bred and is entered to race;

(5) Promptly notifying the Presiding Judge and Commission Veterinarian of a reportable disease or communicable illness in a horse in his or her care;

(6) Promptly reporting the serious injury or death of a horse in his or her care at a location under the jurisdiction of the Commission or a horse that is entered to race or programmed to participate in a race to the State Steward and the Commission Veterinarian and ensuring compliance with Chapter 1, section 20 of Commission rules;

(7) Promptly notifying the State Stewards and the Commission Veterinarian if the trainer has knowledge or reason to believe that there has been an administration to a horse of a drug, medication, or other substance prohibited by Commission rules or has knowledge or reason to believe that a prohibited practice has occurred as set forth in this chapter;

(8) Ensuring the fitness of every horse in his or her care to perform a creditable race at the distance entered; and,

(9) Ensuring the horse’s presence in the paddock at least one hour prior to post time of the race in which the horse is to compete.

F. The trainer is responsible for, and is the absolute ensurer of the condition of, the horse that the trainer enters, regardless of the acts of other parties.

Section 2. Prohibited Substances

1. No person may permit, authorize, or conspire to permit or authorize, the administration of a substance to a horse which results in the presence of a prohibited substance, as described in this subsection, in a horse that participates in a race or that is programmed to participate in a race.

2. Except when otherwise identified as a Permitted Substance under Section 4 of this chapter, a substance is a prohibited substance if it appears on the Uniform Classification Guidelines for Foreign Substances And Recommended Penalties Model Rule . March 2024 (V.18.0) published by the Association of Racing Commissioners International, unless the substance is permitted substance as described in Section 4 of this chapter and is present below the Maximum Allowable Concentration established by Commission rule in this chapter.

3. Except when otherwise identified as a Permitted Substance under Section 4 of this chapter, while participating in a race, a horse shall not carry in its body any drug, medication, substance, or metabolic derivative that:

A. Is a narcotic;

B. Could serve as an anesthetic or tranquilizer;

C. Could stimulate, depress, or affect the circulatory, respiratory, cardiovascular, musculoskeletal, or central nervous system of a horse; or

D. Might mask or screen the presence of a prohibited drug, or might prevent or delay testing procedures;

E. Is considered likely blood doping agents including, but not limited to, Erythropoietin (EPO), Darbepoetin, Oxyglobin, Hemopure, Aranesp, or any substance that abnormally enhances the oxygenation of body tissues;

F. Is considered likely gene doping agents or the non-therapeutic use of genes, genetic elements, and/or cells that have the capacity to enhance athletic performance or produce analgesia.

4. Except when otherwise identified as a Permitted Substance under Section 4 of this chapter, a substance shall not be present in a horse in excess of a concentration at which the substance would occur naturally, or at a level that would occur through the appropriate and responsible use of labeled supplements consistent with label directions.

5. Except when otherwise identified as a Permitted Substance under Section 4 of this chapter, a substance shall not be present in a horse if there is credible scientific evidence that it may affect the performance of a horse at the level found, as evidenced by Commission sample result.

6. It shall be prima facie evidence that a horse was administered and carried in its body, while participating in a race, a drug, medication, substance, or metabolic derivative thereof prohibited by this section if:

A. A biologic specimen from the horse was taken under the supervision of the Commission Veterinarian promptly after a horse participated in a race; and

B. The laboratory designated by the Department presents to the Commission a report of a positive finding.

7. No person may possess or use a drug, substance or medication on the grounds of a licensed Association for which:

A. A recognized analytical method has not been developed to detect and confirm the administration of such substance; or

B. The use of which may endanger the health and welfare of the horse or endanger the safety of the driver; or

C. The use of which may adversely affect the integrity of harness racing in the state; or

D. No generally-accepted use in equine care exists.

8. Anabolic Androgenic Steroids (AAS). It shall be considered a violation of the trainer responsibilities for a horse participating in a race to carry in its body an androgenic-anabolic steroid as evidenced by a test sample result except for endogenous concentrations of the naturally occurring substances nandrolone, boldenone and testosterone at concentrations less than the indicated thresholds described in this section.

A. Concentrations of these AASs shall not exceed the following free (i.e., not conjugated) steroid concentrations in plasma or serum:

Boldenone – A confirmatory threshold not greater than 25 picograms/milliliter for all horses, regardless of sex;

(2) Nandrolone – A confirmatory threshold not greater than 25 picograms/milliliter for fillies, mares, and geldings; males horses other than geldings shall be tested for Nandrolone in urine;

(3) Testosterone – A confirmatory threshold not greater than 25 picograms/milliliter for fillies, mares, and geldings.

B. Total concentrations of these AAS shall not exceed the following total concentrations in urine after hydrolysis of conjugates:

(1) Boldenone - A confirmatory threshold not greater than 1 nanogram/milliliter for fillies, mares, and geldings; a confirmatory threshold not greater than 15 nanograms/milliliter in male horses other than geldings;

(2) Nandrolone - A confirmatory threshold not greater than 1 nanogram/milliliter for fillies, mares, and geldings; a confirmatory threshold not greater than 45 nanograms/milliliter (as 5α-estrane-3β,17α-diol) of urine in male horses other than geldings;

(3) Testosterone – A confirmatory threshold of not greater than 55 nanograms/milliliter of urine in fillies and mares (unless in foal); a confirmatory threshold of not less than 20 nanograms/milliliter in geldings;

C. Any other AAS are prohibited in racing horses.

D. The sex of the horse must be identified to the laboratory on all pre-race and postrace samples designated for AAS testing.

E. If an anabolic steroid has been administered to a horse in order to assist in its recovery from illness or injury, that horse may be placed on the Commission Veterinarian’s List in order to monitor the concentration of the drug or metabolite in urine or blood. After the concentration has fallen below the designated threshold for the administrated AAS, the horse is eligible to be removed from the list.

9. Alkalizing Agents

A. As described in this section, it shall be considered a violation of the trainer responsibilities for a horse to carry in its system an elevated level of Total Carbon Dioxide (TCO₂) as evidenced by a biological sample result.

B. Samples taken post-race may be tested at the Department’s designated laboratory. Positive test results will be reported immediately by the designated laboratory to the Department, as with any prohibited substance.

C. Maximum Acceptable Test Levels

(1) Maximum acceptable test levels of TCO₂ shall be 37.0 mmol/l for horses not racing on furosemide.

(2) Maximum acceptable test levels of TCO₂ shall be 39.0 mmol/l for horses racing on furosemide.

(3) When test levels of TCO₂ exceed the acceptable level, it shall constitute prima facie evidence that the horse has been administered an alkalinizing agent and constitutes a violation of the rules.

(4) When TCO2 test levels exceed the acceptable level, it shall be an affirmative defense that the horse’s physiologically natural TCO2 level was not exceeded. To demonstrate the horse’s natural TCO2 level, the horse’s owner or trainer must make a written request to the State Steward for a guarded quarantine. The written request must be received by the State Steward within three days of the trainer’s and owner’s receipt of notice of the horse’s TCO2 test result. At the State Steward’s direction, a commercial track operator shall make available a guarded quarantine for a time determined by the executive director, not to exceed 72 hours, at the sole expense of the requesting party. During the guarded quarantine blood samples shall be taken every 12 hours of quarantine for subsequent testing at a laboratory approved by the Commission and paid for by the requesting party.

D. Pattern of High TCO₂Levels

The Department shall maintain TCO₂test data relative to specific trainers, stables and owners, and analyze the data for patterns of TCO₂levelsthat are consistently higher than average. The Department shall notify any affected trainers upon discovery of such a pattern, and that it will selectively test horses where such patterns appear evident.

E. Prohibition Against Tubing or Dosing a Horse. Use of a nasogastric tube or a dosing syringe for the purpose of delivering any substance to the stomach of a horse within 24 hours prior to a scheduled race shall be considered a violation of this chapter, carrying a Class A penalty, unless administered due to a medical emergency by a licensed veterinarian, in which case the horse shall be scratched. The trainer shall be accountable under this section for any violations that occur.

10. Penalty Classification of Prohibited Substances

A prohibited substance shall be classified in accordance with the Uniform Classification Guidelines for Foreign Substances And Recommended Penalties Model Rule . March, 2024 (V.18.0) published by the Association of Racing Commissioners International. Any substance not contained in the Alphabetical Substance List shall be classified by referring to the Classification Definitions contained in the Uniform Classification Guidelines for Foreign Substances And Recommended Penalties Model Rule . March, 2024 (V.18.0) published by the Association of Racing Commissioners International.

Section 3. Collection and Analysis of Biological Samples

1. For the purpose of determining the presence of any prohibited substance, the Department, at its discretion, may collect a biological sample from every winning horse in every race or performance against time. The Presiding Judge or a representative of the Department, at any race meeting, may order any other horse that has raced or that has been "declared in" to any race to have a biological sample taken for the purpose of determining the presence of any prohibited substance.

2. Pre-race testing may be conducted any time after the horse enters the paddock.

3. A Department representative or the Presiding Judge may order any horse designated for testing to be offered water in order to encourage a successful urine collection. Horses will be watered under supervision of the trainer and Department Veterinarian utilizing watering containers supplied by the trainer.

4. State Testing Area

The following rules shall apply to a state testing area.

A. Every owner, trainer, or authorized agent of an owner or trainer for any horse or horses programmed to race shall immediately, whenever provided for in Commission rules, submit the horse or horses to the Department Veterinarian for such examination or sampling as the Department Veterinarian may deem advisable.

B. The state testing area will be operated in accordance with Commission rules and supervised by Department representatives.

C. Unless otherwise directed by a Department representative, the winning horse, in every race and any other horse specified by the Presiding Judge or a Department representative, shall be taken by an owner, trainer or authorized agent of an owner or trainer to the state testing area immediately following the race. Horses may be held in the state testing area for up to one and one-half hours in order to obtain a biological sample. Compliance with this paragraph shall be the responsibility of the trainer. Failure to comply is a Level One violation of Commission rules.

D. A winning horse claimed in a race, and any other claimed horse specified for examination, must be taken to the state testing area by the former owner, trainer or that former owner or trainer's authorized agent and by the successful claimant. The former owner, trainer or that former owner or trainer's authorized agent and the successful claimant must be present to observe the procedures and to sign for the biological sample or samples when taken from the horse. The successful claimant must then receive the horse. The responsibility for any violation(s) arising from the chemical analysis of samples taken from the claimed horse, does not follow the claimant for the particular race, but remains with the trainer of the horse at the time raced.

E. The horse shall remain in the state testing area until released by an authorized Department representative.

F. No stable equipment other than that necessary for washing off and cooling out will be permitted in the state testing area. The trainer or the trainer’s authorized agent may perform the duties of bathing, cooling out and watering the horse.

G. An owner, trainer or authorized agent of a trainer of a horse in the state testing area may enter for the purpose of inspecting the horse after making it known to the person in charge of the testing area. If the service of a veterinarian is required, that service must be performed in the presence of the Department Veterinarian. No medications, whether topical, oral, or injectable, shall be administered in the state testing area, except as administered by the Department Veterinarian.

H. An owner, trainer or authorized agent of a trainer of any horse being tested must remain with the horse while the test sample is drawn and witness the sealing of the test sample and any split sample. Failure to do so is prima facie evidence that the trainer accepts the validity of the procedure and samples.

5. Samples - How Taken

Biological samples shall be taken in accordance with Commission rules and following established protocols.

A. The Department Veterinarian shall make every reasonable attempt to collect sufficient sample medium to provide for the necessary analysis and a split sample where applicable.

B. All samples obtained shall immediately be sealed in a suitable container and witnessed by the trainer or trainer’s authorized agent and certified to by his or her signature.

C. Samples collected for analysis shall be sent with dispatch to the laboratory designated by the Department.

D. Split samples, when feasible to collect, shall be retained in accordance with established procedures so as to maintain the integrity of the sample and the chain of custody.

6. Out-of-Competition Testing

A. Any horse on the grounds at a racetrack under the jurisdiction of the Commission, or stabled off association grounds while under the care or control of trainer or owner licensed by the Commission, is subject to testing without advance notice.

B. Horses to be tested shall be selected at the discretion of a Department representative.

C. Trainers shall fully comply with the instructions of the Commission, which may include but are not limited to the following: trainers shall present their horse(s) for testing at the specified time and place mandated by the Commission; testing procedures may be performed on the grounds of any Commission licensed Association, trainer’s training facility or any other location under Commission jurisdiction. Failure to comply shall result in the horse(s) being ineligible to race, and shall be considered a violation equivalent to a Class A violation. It is a defense to any action brought against an owner and/or trainer that good cause existed that prohibited the owner and/or trainer from complying with the time limits set forth in this subsection. The owner and/or trainer has the burden of proving that good cause existed by a preponderance of the evidence.

D. The Commission may require a licensed trainer to allow, at any time, the Department Veterinarian accompanied by a Department Representative, access to a premises where the horse(s) is/are kept for the purpose of obtaining a blood sample from such horse(s). Such sample(s) would be for the purpose of “out of competition testing”. All such samples obtained, shall immediately be sealed in a suitable container, and witnessed by the trainer of record, the authorized and/or certified agent of such trainer, or both. The proper signatures shall be applied in the presence of a State Steward for the purposes of the integrity of the chain of custody.

7. Failure to Allow Tests. A refusal to allow the taking of a biological sample, or any act or threat to impede or prevent or otherwise interfere with the taking of a biological sample is a Level One violation of Commission rule Chapter 17. The matter shall be referred to the Commission for further review.

8. Presence of Prohibited Substances – Procedures

Whenever there is a sample result indicating the presence of a prohibited substance in violation of these rules, the following procedures shall apply:

A. In the case of a pre-race test for the which the results are known prior to a race, the horse shall be scratched from the race and a report sent to the Department. The Department will initiate a hearing before the Commission at the earliest appropriate date.

B. In the case of a post-race test, the laboratory designated by the Department shall notify the Department pursuant to the established timeframes. Positive test results shall be administered in accordance with the following procedures:

(1) The Department shall notify the trainer of the laboratory findings as soon as feasible.

(2) The Department shall advise the trainer of his/her right to have a split and/or DNA sample processed, when applicable, which shall be shipped and tested, at his/her expense, to a laboratory approved by the Department. The trainer must make such request in writing to the Department within seventy‑two hours of receipt of notification of the primary testing laboratory’s findings.

(4) When a confirmatory sample is requested, the Department shall cause the split sample to be shipped in accordance with procedures developed by the Department to maintain the integrity of the sample and chain of custody to the approved laboratory as soon as practicable after receiving the written request.

(5) The Department shall pursue resolution of the matter consistent with Commission policy and Chapter 17 of the Commission rules at the earliest possible date.

C. The trainer shall cooperate with the Commission Veterinarian accompanied by a State Steward, by:

(1) Assisting in the immediate location and identification of the horse(s) selected for out-of-competition testing;

(2) Providing a stall or safe location to collect the samples;

(3) Assisting in properly procuring the samples; and

(4) Obeying any instruction necessary to accomplish the provisions of this rule.

Refusal to comply with the Commission’s directives for obtaining a sample under this rule is a basis for suspension of a trainer’s license.

D. The collection of blood, urine or hair samples under this rule shall be sufficient to provide sample matrix for the:

(1) Approved primary laboratory for screening;

(2) Approved primary laboratory for confirmation; and,

(3) Approved laboratory for split sample testing. The Commission shall approve the laboratories for screening, confirmation, and split sample testing.

E. In the event of an initial finding of a prohibited substance in violation of Commission rules, the laboratory shall notify the Commission in writing, and an oral and written notice shall be issued by the Commission to the trainer or other responsible person no more than seventy-two (72) hours after receipt of the initial finding. The owner shall also be notified of the violation with a written notice.

F. If a confirmatory test is desired of the third sample, the owner, trainer or other responsible person shall so notify the Commission in writing within seventy‑two (72) hours after receipt of the written notification of the initial positive test.

Section 4. Permitted Substances

1. Therapeutic Medications

Veterinarians may administer the following medications to participating horses provided that, on any day for which the horse is entered to race, the urine and/or blood concentrations are below the Maximum Allowable Concentrations listed in the table below. Administration of medications not described in this section is prohibited.

Therapeutic Medication

Maximum Allowable Concentration

Acepromazine

10 nanograms per milliliter as 2-(1-hydroxyethyl) promazine sulfoxide (HEPS) in urine

Albuterol

1 nanogram per milliliter of urine

Betamethasone

10 picograms per milliliter of plasma or serum

Butorphanol

300 nanograms of total butorphanol in urine or 2 nanograms of free butorphanol per milliliter of plasma or serum

Cetirzine

6 nanograms per milliliter of plasma or serum

Cimetidine

400 nanograms per milliliters of plasma or serum

Clenbuterol

140 picograms per milliliter or urine or Level of Detection in plasma or serum

Dantrolene

100 picograms per milliliter of 5-hydroxydantrolene in plasma or serum

Detomidine

2 nanograms per milliliter of carboxydetomidine in urine or 1 nanogram per milliliter in blood

Dexamethasone

5 picograms per milliliter of plasma or serum

Diclofenac

5 nanograms per milliliter of plasma or serum

Dimethyl sulfoxide (DMSO)

10 micrograms per milliliter of plasma or serum

Firocoxib

20 nanograms per milliliter of plasma or serum

Flunixin

20 nanograms per milliliter of plasma or serum

Furosemide

100 nanograms per milliliter of plasma or serum

Glycopyrrolate

3 picograms per milliliter of plasma or serum

Guaifenesin

12 nanograms per milliliter of plasma or serum

Isoflupredone

100 nanograms permilliliter of plasma or serum

Ketoprofen

2 nanograms per milliliter of plasma or serum

Lidocaine

20 picograms per milliliter of total 30H-lidocaine in plasma or serum

Mepivacaine

10 nanograms total hydroxymepivacaine per milliliter of urine or above the Level of Detection of mepivacaine in plasma or serum

Methocarbamol

1 nanogram per milliliter of plasma or blood

Methylprednisolone

100 picograms per milliliter of plasma or serum

Omeprazole

Omeprazole sulfide – 10 nanograms per milliliter of plasma or serum

Phenylbutazone

5 micrograms per milliliter of plasma or serum

Prednisolone

1 nanogram per milliliter of plasma or serum

Procaine penicillin (administration must be reported to the Commission)

25 nanograms per milliliter of plasma or serum

Ranitidine

40 nanograms per milliliter of plasma or serum

Triamcinolone

100 picograms per milliter of plasma or serum

Xylazine

200 picograms per milliliter of plasma or serum

2. Furosemide Program

A. Stakes horses eligible to participate in the Furosemide Program:

(1) Two year olds are not allowed on the Furosemide Program.

(2) Three year old horses eligible to participate in the Maine Sire Stakes Program are allowed on the Furosemide Program under these conditions:

The horse must race in the State of Maine and be endoscopically examined by a Commission Veterinarian following the race to verify exercise induced pulomanry hemorrhage (EIPH) in order to be eligible for the furosemide program in its three year old stakes season.

If a horse is placed into the furosemide program it will not be allowed to participate for eight (8) days after its last start beginning with the day after the race. This rule does not pertain to entering a horse.

B. Furosemide

(1) Eligibility. In order to be eligible for the use of furosemide on race day, a horse must be certified as "Furosemide Eligible" by a veterinarian on a form approved by the Department. A copy of that certification must be on file in the Department office. The Commission Veterinarian may certify a horse as “furosemide eligible” based on a finding of a "good cause showing" of the need for the use of furosemide to treat the horse for Exercised Induced Pulmonary Hemorrhage (EIPH). A good cause showing may be determined by:

(a) The Commission Veterinarian attesting to the medical need for the therapeutic administration of furosemide to treat EIPH based on personal observation,or an endoscopic examination of the horse, and evaluation of the horse's medical condition by the Commission Veterinarian;

(b) A written statement by a veterinarian attesting to the medical need for the therapeutic administration of furosemide to treat EIPH based on personal observation,or an endoscopic examination of the horse, and evaluation of the horse's medical condition by that veterinarian; or

(c) The horse has raced on furosemide in its last race in another jurisdiction.

(2) Declaration. The trainer of a horse certified as "Furosemide Eligible" shall indicate that the horse is "Furosemide Eligible" on the declaration form each time the horse is entered to race. If the horse is racing with furosemide for the first time, the trainer shall indicate that on the declaration form. A trainer who violates this subsection shall be subject to a fine or suspension of their license, or both.

Each Association shall ensure that the official program correctly identifies all horses racing on the Furosemide Program. All horses racing on furosemide for the first time must be noted in the official program as “first time Lasix” at the bottom of the program page. Failure to provide an accurate official program shall be a Level Three violation of these rules.

(3) Administration of Furosemide

(a) Schedule. All horses entered to race on furosemide must report to the area within the paddock designated by the paddock judge for the administration of furosemide not less than three hours prior to the published post time for that horse's race.

The Commission Veterinarian shall establish a schedule for the administration of the furosemide.

(b) Procedures. Horses may be administered furosemide only by hypodermic injection by or under the supervision of the Commission Veterinarian.

(c) Permitted dosage. A horse eligible to use furosemide will be permitted a dosage equal to a minimum of 100 milligrams (2 cc.) and a maximum of 250 milligrams (5cc.).The dosage must be administered no less than 3 hours and no more than 3 ½ hours prior to the published post time for that horse's race. Any horse that is past the 3 hour mark for furosemide will be considered late for Lasix. The horse will be allowed to receive furosemide up to 10 minutes past the 3 hour mark with a warning or fine. After 10 minutes the horse will be ineligible to start.

(4) Log of Treated Horses. The Commission Veterinarian shall keep a log of the name of each horse given furosemide, the name of the trainer, and the time the furosemide was given.

(5) Removal from the furosemide list. A horse that has been eligible for the administration of furosemide may be removed from the list upon authorization from the Presiding Judge by the trainer completing an Off Lasix Form. This must be complete prior to the clearing of the official race program.

C. User fee. A user fee shall be paid by the trainer for each horse which races on furosemide. The fee shall be determined by the Department and shall be paid prior to the administration of the furosemide to offset the cost of the Furosemide Program. All funds collected shall be dedicated to the administration of the Furosemide Program. The Department shall consider the following criteria when establishing the fee for this program:

(1) Compensation of the Commission Veterinarian administering the furosemide;

(2) Cost of medication and medical supplies;

(3) Compensation of additional paddock personnel; and,

(4) Other reasonable administrative costs of the Furosemide Program.

D. Exercise Induced Pulmonary Hemorrhage Monitoring.

Whenever there is evidence that a participating horse has experienced Exercise Induced Pulmonary Hemorrhage (EIPH), the following procedures shall apply:

(1) First time. Any horse known to have bled externally from its nostrils or observed via endoscopic examination to have bled internally during a race or workout shall be subject to the following: The first time EIPH occurs the horse may not race for a period of eight days.

(2) Second Time. If a horse bleeds a second time, within 365 days of the first time, that horse shall be placed on the State Steward's List and prohibited from racing for a period of 30 days.

(3) Third Time. If a horse bleeds a third time, within 365 days of when the horse bled the first time, that horse shall be placed on the State Steward's List and prohibited from racing for a minimum of 90 days.

(4) Fourth Time. In the event a horse bleeds a fourth time, within 365 days of the first time, that horse shall be permanently prohibited from racing in this state.

(5) EIPH. The Judges and Department Veterinarian shall maintain a data base of all horses which they know to have experienced EIPH during a race.

3. Stacking of Non-Steroidal Anti-Inflammatory Drugs (NSAIDs)

The use of NSAIDs shall be governed by the following conditions:

A. Except as provided in this section relative to the phenylbutazone thresholds, NSAIDs shall be used in a manner consistent with the restrictions contained in the Uniform Classification Guidelines for Foreign Substances and Recommended Penalties Model Rule . March 2024 (V.18.0) published by the Association of Racing Commissioners International. NSAIDs not listed in this Section of this chapter shall not be present in a biological sample from a participating horse at the laboratory concentration of detection.

B. The presence of NSAIDs in a manner inconsistent with the Uniform Classification Guidelines for Foreign Substances And Recommended Penalties Model Rule . March, 2024 (V.18.0) published by the Association of Racing Commissioners International, as evidenced by a biological sample result, shall constitute prima facie evidence of violation of the trainer responsibilities. Use of withdrawal guidelines may not prevent a violation of this section. Adherence to those guidelines does not constitute a defense.

C. The presence of more than one NSAID may constitute a NSAID stacking violation consistent with the following restrictions:

(1) A Class 1 NSAID Stacking Violation (Penalty Class B) occurs when:

(a) Two non-steroidal anti-inflammatory drugs are found at individual levels determined to exceed the following restrictions:

(i) Diclofenac – 5 nanograms per milliliter of plasma or serum;

(ii) Firocoxib - 20 nanograms per milliliter of plasma or serum;

(iii) Flunixin – 20 nanograms per milliliter of plasma or serum;

(iv) Ketoprofen – 2 nanograms per milliliter of plasma or serum;

(v) Phenylbutazone – 5 micrograms per milliliter of plasma or serum; or

(vi) all other non-steroidal anti-inflammatory drugs – laboratory concentration of detection.

(b) Three or more non-steroidal anti-inflammatory drugs are found at individual levels determined to exceed the following restrictions:

(i) Diclofenac – 5 nanograms per milliliter of plasma or serum;

(ii) Firocoxib - 20 nanograms per milliliter of plasma or serum;

(iii) Flunixin – 3 nanograms per milliliter of plasma or serum;

(iv) Ketoprofen – 1 nanograms per milliliter of plasma or serum;

(v) Phenylbutazone – 0.5 micrograms per milliliter of plasma or serum; or

(vi) all other non-steroidal anti-inflammatory drugs – laboratory concentration of detection.

(2) A Class 2 NSAID Stacking Violation (Penalty Class C) occurs when:

(a) Any one substance noted in Subsection (1)(a) above is found in excess of the restrictions contained therein in combination with any one of the following substances at levels below the restrictions so noted but in excess of the following levels:

(i) Flunixin – 3 nanograms per milliliter of plasma or serum;

(ii) Ketoprofen – 1 nanogram per milliliter of plasma or serum; or

(iii) Phenylbutazone – 0.5 micrograms per milliliter of plasma or serum;

(3) A Class 3 NSAID Stacking Violation (Penalty Class C, fines only) occurs when:

(a) Any combination of two of the following non-steroidal anti-inflammatory drugs are found at or below the restrictions in Subsection (1) (a) (i through vi) above but in excess of the noted restrictions:

(i) Flunixin – 3 nanograms per milliliter of plasma or serum;

(ii) Ketoprofen – 1 nanogram per milliliter of plasma or serum; or

(iii) Phenylbutazone – 0.5 micrograms per milliliter of plasma or serum;

(4) Any horse to which a NSAID has been administered shall be subject to having a blood and/or urine sample(s) taken at the direction of the Department Veterinarian to determine the quantitative NSAID level(s) and/or the presence of other drugs which may be present in the blood or urine sample(s).

4. Other Permitted Substances

Liniments, antiseptics, antibiotics, ointments, leg paints, washes, and other products commonly used in the daily care of horses may be administered by a person, other than a licensed veterinarian if:

A. The treatment does not include any drug, medication, or substance otherwise prohibited by Section 2 of this chapter;

B. The treatment is not injected, and

C. The person is acting under the jurisdiction of a licensed trainer.

Section 5. Prohibited Practices

1. Possession of hypodermic apparatus

A. Except as provided in this subsection, it is a violation of this chapter for a licensee, while in the paddock area, to have in his or her possession during a licensed race meet any equipment for hypodermic injections.

(1) A licensed veterinarian may possess equipment for hypodermic injections.

(2) A licensee may possess equipment for hypodermic injections to humans if:

(a) The equipment is solely for the purpose of administering chemical or biological substances to the licensee who possesses that equipment or to a minor child of the licensee;

(b) The licensee has notified the Presiding Judge clearly identifying to the Judge the type and size of the equipment and the chemical or biological substances to be administered by that equipment; and,

(c) The Presiding Judge has given written permission for the possession and use of that equipment.

2. Possession of drug paraphernalia

It is a violation of this chapter for a licensee to have in his or her possession in the paddock of an Association during a licensed race meet or be responsible for bringing into the paddock area of an Association during a licensed race meet any drug paraphernalia.

A. As used in this section the term "drug paraphernalia" means all equipment, products and materials of any kind which are used or intended for use in injecting, ingesting, inhaling, applying or otherwise introducing into or onto the body of a horse a prohibited substance in violation of this chapter.

B. For purposes of this section, drug paraphernalia does not include hypodermic apparatus. Possession of hypodermic apparatus constitutes a separate offense under section 15 of this chapter.

C. In determining whether an object is drug paraphernalia, the Commission, the court, or other authority should consider, in addition to all other logically relevant factors, the following:

(1) Statements by an owner of the object or by anyone in control of the object concerning its use;

(2) Prior violations of this section, if any, of an owner of the object or of anyone in control of the object;

(3) The proximity of the object, in time and space, to circumstances that constitute a direct violation of this section;

(4) The proximity of the object to a prohibited substance;

(5) The existence of any residue of prohibited substance on the object;

(6) The existence and scope of legitimate uses of the object in the paddock area; and,

(7) Expert testimony concerning its use.

D. Any drug paraphernalia possessed in violation of this section is declared to be contraband and may be seized and confiscated by the Commission.

3. Possession of drug or prescription medication

Except as provided in this section, it is a violation of this chapter for a licensee to have in his or her possession in the paddock area of an Association during a licensed race meet or be responsible for bringing in the paddock area of an Association any drug or prescription medication.

A. A licensed veterinarian may possess a drug or prescription medication.

B. A licensee may possess a drug or prescription medication for a horse if it is for an existing condition and is prescribed by a veterinarian and it is a Permitted Substance identified in Section 4 of this chapter. The supply of the drug or prescription medication permitted shall be limited by ethical practice consistent with the purposes of this chapter.

C. A licensee may possess a chemical or biological substance for humans if:

(1) The substance is solely for the use of the licensee who possesses that substance or to a minor child of the licensee;

(2) The licensee has submitted a sworn statement to the Presiding Judge clearly identifying to the Judge the chemical or biological substance and the intended use of that substance;

(3) The licensee has in his or her possession documentary evidence of a valid prescription for that substance, if a prescription is required by state or federal law for that substance to be dispensed; and,

(4) The Presiding Judge has given written permission for the possession of that substance.

4. Treatment Restrictions

A. Except as provided in Section 1, subsection 15, of this chapter, a person other than a licensed veterinarian shall not administer a prescription or controlled drug, medication, or other substance to a horse while in the paddock area of a licensed Association.

B. The only injectable allowed within twenty-four (24) hours prior to post time of the race in which the horse is entered shall be furosemide, as set forth in this chapter.

C. Except as provided in Section 1, subsection 13 of this chapter, a person other than a licensed veterinarian shall not possess a hypodermic needle, syringe, or injectable of any kind while in the paddock area of a licensed Association.

5. Prohibited Treatments

It shall be considered a violation of the trainer responsibilities to practice, administer, or treat or otherwise permit a therapy or method identified below, which may endanger the health and welfare of the horse or endanger the safety of the driver, or the use of which may adversely affect the integrity of racing:

A. Intermittent Hypoxic Treatment by External Device

B. Shock Wave Therapy/Instruments

(1) Only a licensed veterinarian may possess an instrument used for shock wave therapy.

(2) No horse shall be treated with any form of shock wave therapy within seven (7) days of racing (the day of the treatment shall be considered the first day in counting the number of days).

(3) Only a licensed veterinarian shall perform the administration of shock wave therapy. A veterinarian using shock wave therapy shall document and report each treatment to the Commission and/or the Department Veterinarian.

(4) A violation of this section of the rules shall be considered a Class “C” violation.

History

• STATUTORY AUTHORITY: 8 M.R.S. §§ 263-A, 268, 275-C, 279-A, 279-B, 281
• REPEALED AND REPLACED: February 22, 1993 - was previously Chapter 21
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• AMENDED: May 22, 1998 - EMERGENCY - Subchapter 3, Section 20 -
• AMENDED: expires August 20, 1998; conversion to MS Word
• AMENDED: September 1, 1998 - Subchapter 3, Section 20
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: October 16, 2003 - EMERGENCY - Section 1(5), filing 2003-362, expires January 14, 2004
• AMENDED: October 16, 2003 - EMERGENCY - Section 3, filing 2003-363, expires January 14, 2004
• AMENDED: May 5, 2004 - Section 1(5), Section (3), filing 2004-152
• AMENDED: June 6, 2004 - Section 1(5), Section 4(1)(B)(1)
• AMENDED: September 13, 2004 - Section 5 added, filing 2004-390
• AMENDED: October 21, 2008 - Section 5(B) added, filing 2008-482
• AMENDED: August 18, 2009 - Section 7 added, filing 2009-437
• AMENDED: November 9, 2010 - Section 7 amended, filing 2010-551
• AMENDED: July 22, 2013 – filing 2013-168
• AMENDED: August 19, 2014 - Sections 2, 7, 8, 9 - filing 2014-192
• AMENDED: December 26, 2016 - Section 4, sub-Section 4, filing 2016-229
• REPEALED AND REPLACED: May 7, 2017 - filing 2017-069
• AMENDED: January 22, 2019 - filing 2019-014
• MINOR CORRECTIONS: April 4, 2019 - two misspellings in Section 4.1 table
• AMENDED: August 17, 2020 - Section 4.2.B(3)(a), filing 2020-185
• AMENDED: June 1, 2025 – filing 2025-122
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 13 Pari-Mutuel Wagering

Code Me. R. 01-017 Ch. 13 Pari-Mutuel Wagering {#sec-01-017-ch.-13 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 13}

SUMMARY: This chapter discusses methods of maintaining and verifying pari-mutuel pools, requirements for racing facility security and conduct within the pari-mutuel department.

Section 1. Commission Oversight

The Commission shall have general supervision over all pari-mutuel matters and the pari-mutuel department.

Section 2. Pari-Mutuel Director

All pari-mutuel directors must be licensed by the Commission. A pari-mutuel director shall furnish the Association with a bond in the amount of $10,000 before being allowed to operate. A copy of the bond must be on file with the Commission prior to opening. An Association may waive the requirement for the bond if the pari-mutuel director is a regular employee of the Association. The pari-mutuel director, on behalf of the Association, shall be responsible for all reports, and ensure the Association’s pari-mutuel operations are in conformity with the rules of the Commission.

There must be a pari-mutuel director licensed by the Commission on the grounds of the Association overseeing pari-mutuel operations at all times from the opening of the pari-mutuel pools to the close of the day’s live racing card.

Section 3. Totalisator Suppliers

All companies supplying totalisator equipment at any location within the State must be licensed as a vendor by the Commission.

Section 4. Criminal Record

No person having a criminal record involving moral turpitude shall be permitted to work in the pari-mutuel department.

Section 5. Conduct

Persons employed within the pari-mutuel department shall conduct themselves, at all times, in the best interest of the wagering public, the pari-mutuel Association, and the State of Maine..

Section 6. Authorized Persons Only in Pari-Mutuel Department

All pari-mutuel areas shall be secured by the Association and only authorized persons shall be

permitted into the Association’s pari-mutuel areas.

Section 7. In-House Booking

Any person soliciting or placing bets other than licensed pari-mutuel entities within the State shall be barred from all grounds under the jurisdiction of the Commission.

Section 8. Communication

Each Association conducting pari-mutuel wagering shall install and maintain in good working order, a secure method of communication between the Judges' Stand and the Association representative.

Section 9. Minimum Wagers

Minimum wagers shall be as follows:

Pool

Minimum Wager

Box

Wheel

Win/Place/Show

$1.00

Exacta

Quinella

$1.00

$1.00

$0.50

$0.50

$0.50

$0.50

Trifecta

Twin Trifecta

$1.00

$1.00

$0.50

$0.50

$0.50

$0.50

Superfecta

$1.00

$0.10

$0.10

Pentafecta

Daily Double

$1.00

$1.00

$0.10

$1.00

$0.10

$1.00

Pick 3

Pick (n)

$1.00

$1.00

$0.50

$0.50

Box or Wheel wagers must equal at least the minimum wager amount. An Association may vary from the minimum wagers described in this section by receiving permission from the Commission.

Section 10. Pari-Mutuel Wagering

No pari-mutuel ticket or voucher to purchase pari-mutuel tickets may be sold to any person unless the individual making the sale receives immediate payment from the person making the wager. Any pari-mutuel employee or Association accepting a form of payment not permitted by the Commission is guilty of a Level One violation of these rules.

When a person presents a winning ticket for payment, the person must be paid in cash or check in accordance with that Association’s written policy.

Section 11. Scratched Horse

No wagers may be sold on a horse after it is officially scratched from a pari-mutuel race.

Section 12. Straight Pools

The Association shall determine races in which Win, Place or Show wagering may be offered to the public.

Horses may be barred from betting by the Judges if they stand out in their field or upon request by the Association. Alternatively, if a horse stands out in the field, the Judges, upon request for consideration by the Association may approve a revised type of betting for that race.

Section 13. Pari-mutuel Equipment

All pari-mutuel departments must have equipment satisfactory to the Commission.

Section 14. Odds Display

The Association shall display approximate straight odds, straight amounts, or win-pays wagered in view of the general public. All pari-mutuel payouts shall be displayed to the general public.

Section 15. Mutilated Tickets

Tickets torn or mutilated beyond recognition will not be redeemable.

Section 16. First Place - (Dead Heat)

In the event multiple horses finish in a dead heat for first place, whether the purse be divided or not divided, the money in the Win pari-mutuel pool is divided the same as in a "Place" pool calculation except for a dead heat in a match or two horse race, when the pool shall be declared off and the money refunded.

Section 17. Second Place - (Dead Heat)

If multiple horses finish in a dead heat for second place, the division is made as follows: The holder of a winning ticket receives a full share of one-half the "Place" money, and the two dead heaters receive one-half each of the balance or one-fourth each of the whole.

Section 18. Third Place - (Dead Heat)

If multiple horses finish in a dead heat for third place, the division is made as follows: The holder of the winning tickets receives a third of the net show pool and the dead heaters shall each receive one-half of the balance or one-sixth of the total net pool.

Section 19. Coupled Horses - Two in Money

All horses coupled in the betting on a race shall be considered as one and a wager on any horse constitutes a wager on all such coupled horses. In the event two of such coupled horses finish first and second, or first and third, or second and third, the net "Show" pool is divided into three parts, two-thirds going to said coupled horses. If the coupled horses should finish first, second, and third, the net "Show" pool goes to holders of "Show" tickets on the entry. In the event two field horses finish first and second, the net "Place" pool will go to holders of "Place" tickets on such coupled horses.

Section 20. Coupled Horses - Three in Money

If three coupled horses finish first, second, and third, all the net "Place" money and all the net "Show" money as well as the net “Win” money shall go to the holders of Win, Place or Show tickets on the coupled horses.

Section 21. Coupled Entries

Only the highest finishing horse of a coupled entry shall be included in a winning combination. All other parts of the same entry shall be excluded. Any position or positions of a winning combination vacated by an exclusion shall be filled by advancing, in order, the remaining finishers.

If two or more parts of the same entry finish in a dead heat only one part will be included in a winning combination and the other part or parts excluded.

Section 22. Coupled Horses, Refunds

If two or more horses in a race are coupled on the same pari-mutuel ticket, there shall be no refunds unless all of the horses so coupled are excused before off-time. Discretion is, however, vested in the Judges to order a refund when it is in the public interest to do so. In such an instance the remaining part of the entry shall race for the purse only.

Section 23. No Bets on Winners

If a horse wins and there is no money wagered on him to win, the win pool shall be apportioned among the holders of the place tickets on that horse, if any, otherwise holders of the show tickets.

Section 24. No Bets on Place

If a horse should finish second upon which no "Place" tickets have been sold, all of the net "Place" pool is apportioned to the "Place" tickets sold on the horse that finished first. If a horse should finish first upon which no "Place" tickets have been sold, all of the net "Place" pool is apportioned to the "Place" tickets on the horse that finished second. In either case, the calculation shall be made in the same manner as in a Win pool.

Section 25. No Bets on Show

If no money has been wagered to "Show" on a horse which finished first, second, or third, in a race, the "Show" pool in that race shall be apportioned among the holders of "Show" tickets on the other horses which finished first, second, or third in that race.

Section 26. Pools Declared Off

In the event of a pool being declared off after pari-mutuel tickets have been sold a refund shall be made.

Section 27. Non Finishers

Except in the event of a “no contest”, after the word "go" is given in any race, and because of an accident or for some other reason some of the horses in a race fail to finish, no refunds shall be made, the entire net pool shall be paid providing that one or more horses finish the race. However, if in the opinion of the Judges one or more horses shall be declared a non-starter, or the race declared a non-wagering race, all wagers on such horses, or for certain wagers, or the entire race, may be refunded.

Section 28. Error in Final Posting

If an error is made in posting the pay-off figures to the general public, it shall be corrected promptly, and only the correct amounts shall be used in the pay-off irrespective of the error. As soon as practical a statement shall be made over the public address system to the general public stating the facts and the corrections and noted on the simulcast broadcast. The Association and totalisator vendor shall be responsible for ensuring all winning ticket holders are paid the correct amounts.

Section 29. Outstanding Tickets

At the close of every meet at which pari-mutuel wagering has been permitted, the value of all unredeemed or outstanding tickets shall be deposited with the Association for payment and paid for up to one year after the close of the meet.

Section 30. Interstate Simulcasting

1. DEFINITIONS: For the purpose of this rule, the following terms shall have the following meanings:

a. “Horse races” shall include thoroughbred, quarter horse and harness races.

b. “Broadcast” means the broadcast, transmission or exhibition of a race by any communication medium.

2. Any licensed Association may transmit broadcasts of horse races conducted at the track to locations outside this state. All broadcasts of horse races transmitted to locations outside this state shall comply with the provisions of the Interstate Horse Racing Act of 1978 , 92 Stat. 181 I, 15 United States Code . s. 3001 et seq . An Association is required to make payments to the representative horsemen's association and such payments shall not exceed 50 percent of the net proceeds paid to the Association by tracks or entities accepting such wagers on Association’s races, less costs associated with the transmitting and accepting wagers on the signal or conduct of simulcasting in this section.

3. Any licensed Association may receive broadcasts of horse races conducted at other horse race tracks located outside this state. All broadcasts of horses races received from locations outside the state shall comply with the provisions of the Interstate Horse Racing Act of 1978 , 92 Stat. 181 I, 15 United State Code . s. 3001 et seq . Subject to the limitations of Title 8, Section 1071 (5), all forms of pari-mutuel wagering may be allowed on races broadcast under this paragraph, and all money wagered by patrons on such races will have the same rates of takeout and breakage as for live races conducted by the track located outside of this state. Nothing in this paragraph shall authorize the acceptance of pari-mutuel wagers made from advance deposit wagering account holders who are residents of the State of Maine by telephone or via electronic device. An in-person advance deposit wager at a licensed commercial track or off-track betting facility is permitted to the extent allowed under Title 8, Section 1071 (5).

4. No Association shall make any payment on any pari-mutuel ticket purchased on any race transmitted pursuant to this section until the race is made official by the Judges.

Section 31. Win Pools

1. The amount wagered on the betting interest which finishes first is deducted from the net pool, the balance remaining being the profit; the profit is divided by the amount wagered on the betting interest finishing first, such quotient being the profit per dollar wagered to Win on that betting interest.

2. The net Win pool shall be distributed as a single price pool to winning wagers in the following precedence, based upon the official order of finish:

a. To those whose selection finished first; but if there are no such wagers, then

b. To those whose selection finished second; but if there are no such wagers then

c. To those whose selection finished third; but if there are no such wagers, then

d. The entire pool shall be refunded on Win wagers for that contest.

3. If there is a dead heat for first involving:

a. contestants representing the same betting interest, the Win pool shall be distributed as if no dead heat occurred.

b. contestants representing two or more betting interests, the Win pool shall be distributed as a profit split.

Section 32. Place Pools

1. The amounts wagered to Place on the first two betting interests to finish are deducted from the net pool, the balance remaining being the profit; the profit is divided into two equal portions, one being assigned to each winning betting interest and divided by the amount wagered to Place on that betting interest, the resulting quotient is the profit per dollar wagered to Place on that betting interest.

2. The net Place pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

3. If contestants of a coupled entry or mutuel field finished in the first two places, as a single price pool to those who selected the coupled entry or mutuel field; otherwise

4. As a profit split to those whose selection is included within the first two finishers; but if there are no such wagers on one of those two finishers, then

5. As a single price pool to those who selected the one covered betting interest included within the first two finishers; but if there are no such wagers, then

6. As a single price pool to those who selected the third-place finisher; but if there are no such wagers, then

7. The entire pool shall be refunded on Place wagers for that contest.

8. If there is a dead heat for first involving:

a. contestants representing the same betting interest, the Place pool shall be distributed as a single price pool.

b. contestants representing two or more betting interests, the Place pool shall be distributed as a profit split.

4. If there is a dead heat for second involving:

a. contestants representing the same betting interest, the Place pool shall be distributed as if no dead heat occurred.

b. contestants representing two or more betting interests, the Place pool is divided with one-half (1/2) of the profit distributed to Place wagers on the betting interest finishing first and the remainder is distributed equally amongst Place wagers on those betting interests involved in the dead heat for second.

Section 33. Show Pools

1. The amounts wagered to Show on the first three betting interests to finish are deducted from the net pool, the balance remaining being the profit; the profit is divided into three equal portions, one being assigned to each winning betting interest and divided by the amount wagered to Show on that betting interest, the resulting quotient being the profit per dollar wagered to Show on that betting interest. The net Show pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

2. If contestants of a coupled entry or mutuel field finished in the first three places, as a single price pool to those who selected the coupled entry or mutuel field; otherwise

3. If contestants of a coupled entry or mutuel field finished as two of the first three finishers, the profit is divided with two-thirds (2/3) distributed to those who selected the coupled entry or mutuel field and one-third (1/3) distributed to those who selected the other betting interest included within the first three finishers; otherwise

4. As a profit split to those whose selection is included within the first three finishers; but if there are no such wagers on one of those three finishers, then

5. As a profit split to those who selected one of the two covered betting interests included within the first three finishers; but if there are no such wagers on two of those three finishers, then

6. As a single price pool to those who selected the one covered betting interest included within the first three finishers; but if there are no such wagers, then

7. As a single price pool to those who selected the fourth-place finisher; but if there are no such wagers, then

8. The entire pool shall be refunded on Show wagers for that contest.

9. If there is a dead heat for first involving:

10. two contestants representing the same betting interest, the profit is divided with two thirds (2/3) distributed to those who selected the first-place finishers and one-third (1/3) distributed to those who selected the betting interest finishing third.

11. three contestants representing a single betting interest, the Show pool shall be distributed as a single price pool.

12. contestants representing two or more betting interests, the Show pool shall be distributed as a profit split.

13. If there is a dead heat for second involving:

14. contestants representing the same betting interest, the profit is divided with one-third (1/3) distributed to those who selected the betting interest finishing first and two-thirds (2/3) distributed to those who selected the second-place finishers.

15. contestants representing two betting interests, the Show pool shall be distributed as a profit split.

16. contestants representing three betting interests, the Show pool is divided with one-third (1/3) of the profit distributed to Show wagers on the betting interest finishing first and the remainder is distributed equally amongst Show wagers on those betting interests involved in the dead heat for second.

17. If there is a dead heat for third involving:

18. contestants representing the same betting interest, the Show pool shall be distributed as if no dead heat occurred.

19. contestants representing two or more betting interests, the Show pool is divided with two-thirds (2/3) of the profit distributed to Show wagers on the betting interests finishing first and second and the remainder is distributed equally amongst Show wagers on those betting interests involved in the dead heat for third.

Section 34. Double Pools - “Daily Double”

The Double requires selection of the first-place finisher in each of two specified contests.

The net Double pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose selection finished first in each of the two contests; but if there are no such wagers, then
2. As a profit split to those who selected the first-place finisher in either of the two contests; but if there are no such wagers, then
3. As a single price pool to those who selected the one covered first-place finisher in either contest; but if there are no such wagers, then
4. As a single price pool to those whose selection finished second in each of the two contests; but if there are no such wagers, then
5. The entire pool shall be refunded on Double wagers for those contests.

If there is a dead heat for first in either of the two contests involving:

1. contestants representing the same betting interest, the Double pool shall be distributed as if no dead heat occurred.
2. contestants representing two or more betting interests, the Double pool shall be distributed as a profit split if there is more than one covered winning combination.

Should a betting interest in the first-half of the Double be scratched prior to the first Double contest being declared official, all money wagered on combinations including the scratched betting interest shall be deducted from the Double pool and refunded.

Should a betting interest in the second-half of the Double be scratched prior to the close of wagering on the first Double contest, all money wagered on combinations including the scratched betting interest shall be deducted from the Double pool and refunded.

Should a betting interest in the second-half of the Double be scratched after the close of wagering on the first Double contest, all wagers combining the winner of the first contest with the scratched betting interest in the second contest shall be allocated a consolation payout. In calculating the consolation payout the net Double pool shall be divided by the total amount wagered on the winner of the first contest and an unbroken consolation price obtained. The broken consolation price is multiplied by the dollar value of wagers on the winner of the first contest combined with the scratched betting interest to obtain the consolation payout. Breakage is not declared in this calculation. The consolation payout is deducted from the net Double pool before calculation and distribution of the winning Double payout. Dead heats including separate betting interests in the first contest shall result in a consolation payout calculated as a profit split.

If either of the Double contests are cancelled prior to the first Double contest, or the first Double contest is declared "no contest", the entire Double pool shall be refunded on Double wagers for those contests.

If the second Double contest is cancelled or declared "no contest" after the conclusion of the first Double contest, the net Double pool shall be distributed as a single price pool to wagers selecting the winner of the first Double contest. In the event of a dead heat involving separate betting interests, the net Double pool shall be distributed as a profit split.

Section 35. Win 3/Pick 3 Pools – “Daily Triple”

The Win Three requires selection of the first-place finisher in each of three specified contests.

The net Win Three pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

As a single price pool to those whose selection finished first in each of the three contests; but if there are no such wagers, then

As a single price pool to those who selected the first-place finisher in any two of the three contests; but if there are no such wagers, then

As a single price pool to those who selected the first-place finisher in any one of the three contests; but if there are no such wagers, then

The entire pool shall be refunded on Win Three wagers for those contests.

If there is a dead heat for first in any of the three contests involving:

1. contestants representing the same betting interest, the Win Three pool shall be distributed as if no dead heat occurred.
2. contestants representing two or more betting interests, the Win Three pool shall be distributed as follows. 1. as a profit split to those whose selections finished first in each of the three contests; but if there are no such wagers, then 2. as a single price pool to those who selected the first place finisher in any two of the three contests; but if there are no such wagers, then 3. as a single price pool to those who selected the first place finisher in any one of the three contests; but if there are no such wagers, then 4. the entire Win Three pool shall be refunded.

Should a betting interest be scratched from a leg of the Win Three all bets with the scratched betting interest will be handled as follows:

1. If the scratch (which herein after includes being declared a non-starter or a non-betting starter) was made prior to the start of the first leg, all bets containing such scratched betting interest shall be refunded to determine the gross pool and removed from further consideration in the pool;
2. If the scratch was made in the second leg after the start of the first leg, a consolation payoff shall be computed for those bets combining the winners of the first and third legs with the scratched betting interest as follows: from the gross pool shall be deducted the statutory take-out and then the amount represented by the bets on combinations involving betting interests scratched from the third leg (reduced by the take-out thereon). The resulting remainder shall be divided by the amounts bet on the combination of such first and third leg winners with all betting interests (less breaks) to determine the consolation price per dollar payable to those bets combining winners of the first and third legs with the betting interest scratched in the second leg. The break shall not be deduced from the pool.
3. If a betting interest is scratched in the third leg after the start of the first leg, a consolation payoff shall be computed as for those bets combining the winners of the first and second legs with such scratched betting interest as follows: from the gross pool shall be deducted the statutory take-out and then the amount represented by bets on combinations involving betting interests scratched from the second leg (reduced by the rate of the take-out thereon). The resulting remainder shall be divided by the amount bet on the combination of such first and second leg winners with all betting interests in the third leg (less breaks) to determine the consolation price per dollar payable to those bets combining winners of the first and second legs with an betting interest scratched in the third leg. The breaks shall not be deducted from the pool.
4. If betting interests are scratched in both the second and third legs after the start of the first leg, a consolation payoff shall be computed for those bets combining the winner of the first leg with the betting interests scratched in both the second and third legs as follows: from the gross pool shall be deducted the takeout and the remainder shall be divided by the amount bet on the winner of the first leg combined with all other betting interests (less breaks) to determine the consolation price per dollar payable to those tickets combining the winner of the first leg with the scratch betting interests from both the second and third legs.

If all three Win Three contests are cancelled or declared "no contest", the entire pool shall be refunded on Win Three wagers for those contests.

If one or two of the Win Three contests are cancelled or declared "no contest", the Win Three pool will remain valid and shall be distributed in accordance with subsection 2 of this rule.

In the Win Three pool is distributed according to subparagraphs 3.b.ii or iii a public announcement shall be made as to the possible winning three combinations.

Section 36. Pick (n) Pools

The Pick (n) requires selection of the first-place finisher in each of a designated number of contests. The association must obtain written approval from the Commission concerning the scheduling of Pick (n) contests, the designation of one of the methods prescribed in subsection 2, and the amount of any cap to be set on the carryover. Any changes to the approved Pick (n) format require prior approval from the Commission.

The Pick (n) pool shall be apportioned under one of the following methods:

1. Method 1, Pick (n) with Carryover: The net Pick (n) pool and carryover, if any, shall be distributed as a single price pool to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. If there are no such wagers, then a designated percentage of the net pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests; and the remainder shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one of the Pick (n) contests, based upon the official order of finish, the day’s net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.
2. Method 2, Pick (n) with 100% Carryover: The net Pick (n) pool and carryover, if any, shall be distributed as a single price pool to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. If there are no such wagers, then 100% of that day’s net pool shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one of the Pick (n) contests, based upon the official order of finish, the day’s net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.
3. Method 3, Pick (n) with Minor Pool and Carryover: The major share of the net Pick (n) pool and the carryover, if any, shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher of all Pick (n) contests, the minor share of the net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests; and the major share shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one of the Pick (n) contests, based upon the official order of finish, the day’s net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.
4. Method 4, Pick (n) with No Minor Pool and No Carryover: The net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, based upon the official order of finish. If there are no winning wagers, the pool is refunded.
5. Method 5, Pick (n) with Minor Pool and No Carryover: The major share of the net Pick (n) pool shall be distributed to those who selected the first place finisher in the greatest number of Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in a second greatest number of Pick (n) contests, the minor share of the net Pick (n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests. If the greatest number of first-place finishers selected is one (1), the major and minor shares are combined for distribution as a single price pool. If there are no winning wagers, the pool is refunded.
6. Method 6, Pick (n) with Minor Pool and No Carryover: The major share of net Pick (n) pool shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The minor share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher in all Pick (n) contests, the entire net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests. If there are no wagers selecting the first-place finisher in a second greatest number of Pick (n) contests, the minor share of the net Pick (n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first-place finisher in each of the Pick (n) contests. If there are no winning wagers, the pool is refunded.
7. Method 7, Pick (n) with Carryover and “Unique Winning Ticket” Provision: The net Pick (n) pool and carryover, if any, shall be distributed to the holder of a unique winning ticket that selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. If there is no unique ticket selecting the first-place finisher in each of the Pick (n) contests, or if there are no wagers selecting the first-place finisher of all Pick (n) contests, the minor share of the net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, and the major share shall be added to the carryover. Associations may suspend previously approved unique winning ticket wagering with the prior approval of the Commission. Any carryover shall be held until the suspended unique winning ticket wagering is reinstated. Where there is no correct selection of the first-place finisher in at least one of the Pick (n) contests, based upon the official order of finish, the day’s net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool. In obtaining authorization for operating the Pick (n) pool under this subsection, associations must clearly identify which definition under paragraph 16.b will be relied upon for determining the existence of a unique winning ticket.
8. Method 8, Pick (n) with the Pool split into three shares, one share having a Carryover: The share percentages are determined by the pool host and approved by the Commission. The first share of the net Pick (n) pool and the carryover, if any, shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The second share of the net Pick (n) pool shall be distributed to those who selected (n-1) of the Pick (n) contests, based upon the official order of finish and a third share of the Pick (n) pool shall be distributed to those who selected (n-2) of the Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher of all Pick (n) contests, the first share shall be added to the carryover. If there are no wagers selecting (n-1) of the Pick (n) contests, this second share shall be added to the carryover. If there are no wagers selecting (n-2) of the Pick (n) contests, this third share shall be added to the carryover. Where there is no correct selection of the first-place finisher in at least one of the Pick (n) contests, based upon the official order of finish, the day’s net pool shall be refunded and the previous carryover pool amount, if any, shall be carried over to the next scheduled corresponding pool.
9. Method 9, Pick (n) with the pool split into three shares, with Carryovers, and a Unique Winning Ticket Provision: The share percentages are determined by the pool host and approved by the Commission. The first share of the net Pick (n) pool and the first share carryover, if any, shall be distributed to those who selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. The second share of the net Pick (n) pool shall be distributed to those who selected the first-place finisher in the second greatest number of Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first-place finisher of all Pick (n) contests, the second share of the net Pick (n) pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, and the first share shall be added to the first share carryover. The third share and the third share carryover, if any, shall be distributed to the holder of a unique winning ticket that selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish. If there is no unique winning ticket selecting the first-place finisher in each of the Pick (n) contests, the third share shall be added to the third share carryover. For greater certainty, the holder of a unique winning ticket shall receive both the first share, and first share carryover, if any as well as the third share, and the third share carryover, if any. Where there is no correct selection of the first-place finisher in at least one of the Pick (n) contests, based upon the official order of finish, the day’s net pool shall be refunded and the previous carryover pool(s) amount(s), if any, shall be carried over to the next scheduled corresponding pool. In obtaining authorization for operating the Pick (n) pool under this subsection, associations must clearly identify which definition under paragraph 16.b will be relied upon for determining the existence of a unique winning ticket.

If there is a dead heat for first in any of the Pick (n) contests involving:

1. contestants representing the same betting interest, the Pick (n) pool shall be distributed as if no dead heat occurred.
2. contestants representing two or more betting interests, the Pick (n) pool shall be distributed as a single price pool with each winning wager receiving an equal share of the profit.

If a wagering interest is “scratched” for a Pick (n) contest, or is designated to run for purse money only, the association shall use the actual favorite, as evidenced by total amounts wagered in the Win pool at the host association for the contest at the close of wagering on that contest, and shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalizator shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination. Notwithstanding the provisions of this subsection, an association may also obtain authorization from the Commission to allow patrons to select an alternate wagering interest in any of the Pick (n) contests.

Subject to subsection 9, 10, or 12, the Pick (n) pool shall be cancelled and all Pick (n) wagers for the individual performance shall be refunded if:

1. at least two contests included as part of a Pick 3 are cancelled or declared "no contest."
2. at least three contests included as part of a Pick 4, Pick 5 or Pick 6 are cancelled or declared "no contest."
3. at least four contests included as part of a Pick 7, Pick 8 or Pick 9 are cancelled or declared "no contest."
4. at least five contests included as part of a Pick 10 are cancelled or declared "no contest."

Subject to subsection 9, 10, or 12, if at least one contest included as part of a Pick (n) is cancelled or declared "no contest", but not more than the number specified in subsection 5 of this rule, the net pool shall be distributed as a single price pool to those whose selection finished first in the greatest number of Pick (n) contests for that performance. Such distribution shall include the portion ordinarily retained for the Pick (n) carryover but not the carryover from previous performances.

If the condition of the course warrants a change of racing surface in any of the legs of the Pick (n) races, and such change was not known to the public prior to the closing of wagering for the Pick (n) pool, the stewards shall declare the changed leg(s) a “no contest” for Pick (n) wagering purposes only. A “no contest” race is not to be considered as a contested race.

The Pick (n) carryover may be capped at a designated level approved by the Commission so that if, at the close of any performance, the amount in the Pick (n) carryover equals or exceeds the designated cap, the Pick (n) carryover will be frozen until it is won or distributed under other provisions of this rule. After the Pick (n) carryover is frozen, 100 percent of the net pool, part of which ordinarily would be added to the Pick (n) carryover, shall be distributed to those whose selection finished first in the greatest number of Pick (n) contests for that performance.

A written request for permission to distribute the Pick (n) carryover on a specific performance may be submitted to the Commission. The request must be for a specified date no greater than one (1) year from the date the request is submitted and contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

Should the Pick (n) carryover be designated for distribution on a specified date and performance in which there are no wagers selecting the first-place finisher in each of the Pick (n) contests, the entire pool shall be distributed as a single price pool to those whose selection finished first in the greatest number of Pick (n) contests. The Pick (n) carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the Commission as provided in subsection 8 of this rule.
2. Upon written approval from the Commission when there is a change in the carryover cap, a change from one type of Pick (n) wagering to another, or when the Pick (n) is discontinued.
3. On the closing performance of the meet or split meet.

A written request for permission to transfer the Pick (n) carryover to another Pick (n) pool operated by the same pool host may be submitted to the Commission. The request must contain justification for the transfer, including an explanation of the benefit to be derived, a description of the method by which the pool host will present the information to the public that identifies the racetrack(s) for which the pool will be operated and the intended date(s) and performance(s) of the transfer.

Unless otherwise stated in writing by the Commission under subsection 9, on the last Pick (n) race on the final day of the meeting, the net pool, including any applicable carryover, shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests, based upon the official order of finish.

Notwithstanding subsections 9 and 11, if for any reason the Pick (n) carryover must be held over to the corresponding Pick (n) pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Pick (n) carryover plus accrued interest shall then be added to the net Pick (n) pool of the following meet on a date and performance so designated by the Commission.

With the written approval of the Commission, the association may contribute to the Pick (n) carryover a sum of money up to the amount of any designated cap.

The association may suspend previously-approved Pick (n) wagering with the prior approval of the Commission. Any carryover shall be held until the suspended Pick (n) wagering is reinstated. An association may request approval of a Pick (n) wager or separate wagering pool for specific performances.

As it relates to any distribution method under section 2 which contains a unique winning ticket provision:

• 1. A written request for permission to distribute the Pick (n) unique winning ticket carryover on a specific performance may be submitted to the Commission. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution. Should the Pick (n) unique winning ticket net pool and any applicable carryover be designated for distribution on a specified date and performance in which there is no unique winning ticket, the entire pool shall be distributed as a single price pool to those who selected the first-place finisher in the greatest number of Pick (n) contests. 2. Associations must clearly identify which selection under clauses (i) and (ii) below will be relied upon for determining the existence of a unique winning ticket: 1. there is one and only one winning ticket that correctly selected the first-place finisher in each of the Pick (n) contests, based upon the official order of finish, to be verified by the unique serial number assigned by the tote company that issued the winning ticket; or 2. the total amount wagered on one and only one winning combination selecting the first-place finisher in each of the Pick (n) contests, based up on the official order of finish, is equal to the minimum allowable wager.

Section 37. Place Pick (n) Pools

The Place Pick (n) requires selection of the first or second-place finisher in each of a designated number of contests. The association must obtain written approval from the Commission concerning the scheduling of Place Pick (n) contests, the designation of one of the methods prescribed in Part (2), the distinctive name identifying the pool and the amount of any cap to be set on the carryover. Any changes to the approved Place Pick (n) format require prior approval from the Commission.

The Place Pick (n) pool shall be apportioned under one of the following methods:

Method 1, Place Pick (n) with Carryover: The net Place Pick (n) pool and carryover, if any, shall be distributed as a single price pool to those who selected the first or second-place finisher in each of the Place Pick (n) contests, based upon the official order of finish. If there are no such wagers, then a designated percentage of the net pool shall be distributed as a single price pool to those who selected the first or second-place finisher in the greatest number of Place Pick (n) contests; and the remainder shall be added to the carryover.

Method 2, Place Pick (n) with Minor Pool and Carryover: The major share of the net Place Pick (n) pool and the carryover, if any, shall be distributed to those who selected the first or second-place finisher in each of the Place Pick (n) contests, based upon the official order of finish. The minor share of the net Place Pick (n) pool shall be distributed to those who selected the first or second-place finisher in the second greatest number of Place Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first or second-place finisher of all Place Pick (n) contests, the minor share of the net Place Pick (n) pool shall be distributed as a single price pool to those who selected the first or second-place finisher in the greatest number of Place Pick (n) contests; and the major share shall be added to the carryover.

Method 3, Place Pick (n) with No Minor Pool and No Carryover: The net Place Pick (n) pool shall be distributed as a single price pool to those who selected the first or second-place finisher in the greatest number of Place Pick (n) contests, based upon the official order of finish. If there are no winning wagers, the pool is refunded.

Method 4, Place Pick (n) with Minor Pool and No Carryover: The major share of the net Place Pick (n) pool shall be distributed to those who selected the first or second-place finisher in the greatest number of Place Pick (n) contests, based upon the official order of finish. The minor share of the net Place Pick (n) pool shall be distributed to those who selected the first or second-place finisher in the second greatest number of Place Pick (n) contests, based upon the official order of finish. If there are no wagers selecting the first or second-place finisher in a second greatest number of Place Pick (n) contests, the minor share of the net Place Pick (n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first or second-place finisher in the greatest number of Place Pick (n) contests. If the greatest number of first or second-place finishers selected is one (1), the major and minor shares are combined for distribution as a single price pool. If there are no winning wagers, the pool is refunded.

Method 5, Place Pick (n) with Minor Pool and No Carryover: The major share of net Place Pick (n) pool shall be distributed to those who selected the first or second-place finisher in each of the Place Pick (n) contests, based upon the official order of finish. The minor share of the net Place Pick (n) pool shall be distributed to those who selected the first or second-place finisher in the second greatest number of Place Pick (n)contests, based upon the official order of finish. If there are no wagers selecting the first or second-place finisher in all Place Pick (n) contests, the entire net Place Pick (n) pool shall be distributed as a single price pool to those who selected the first or second-place finisher in the greatest number of Place Pick (n) contests. If there are no wagers selecting the first or second-place finisher in a second greatest number of Place Pick (n) contests, the minor share of the net Place Pick (n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first or second-place finisher in each of the Place Pick (n) contests. If there are no winning wagers, the pool is refunded.

If there is a dead heat for first in any of the Place Pick (n) contests involving:

1. contestants representing the same betting interest, the Place Pick (n) pool shall be distributed as if no dead heat occurred.
2. contestants representing two or more betting interests, the Place Pick (n) pool shall be distributed as a single price pool with a winning wager including each betting interest participating in the dead heat.

If there is a dead heat for second in any of the Place Pick (n) contests involving:

1. contestants representing the same betting interest, the Place Pick (n) pool shall be distributed as if no dead heat occurred.
2. contestants representing two or more betting interests, the Place Pick (n) pool shall be distributed as a single price pool with a winning wager including the betting interest which finished first or any betting interest involved in the dead heat for second.

Should a betting interest in any of the Place Pick (n) contests be scratched, the actual favorite, as evidenced by total amounts wagered in the Win pool at the host association for the contest at the close of wagering on that contest, shall be substituted for the scratched betting interest for all purposes, including pool calculations. In the event that the Win pool total for two or more favorites is identical, the substitute selection shall be the betting interest with the lowest program number. The totalisator shall produce reports showing each of the wagering combinations with substituted betting interests which became winners as a result of the substitution, in addition to the normal winning combination.

The Place Pick (n) pool shall be cancelled and all Place Pick (n) wagers for the individual performance shall be refunded if:

1. at least two contests included as part of a Place Pick 3 are cancelled or declared "no contest."
2. at least three contests included as part of a Place Pick 4, Place Pick 5 or Place Pick 6 are cancelled or declared "no contest."
3. at least four contests included as part of a Place Pick 7, Place Pick 8 or Place Pick 9 are cancelled or declared "no contest."
4. at least five contests included as part of a Place Pick 10 are cancelled or declared "no contest."

If at least one contest included as part of a Place Pick (n) is cancelled or declared "no contest", but not more than the number specified in subsection 6 of this rule, the net pool shall be distributed as a single price pool to those whose selection finished first or second in the greatest number of Place Pick (n) contests for that performance. Such distribution shall include the portion ordinarily retained for the Place Pick (n) carryover but not the carryover from previous performances.

The Place Pick (n) carryover may be capped at a designated level approved by the Commission so that if, at the close of any performance, the amount in the Place Pick (n) carryover equals or exceeds the designated cap, the Place Pick (n) carryover will be frozen until it is won or distributed under other provisions of this rule. After the Place Pick (n) carryover is frozen, 100 percent of the net pool, part of which ordinarily would be added to the Place Pick (n) carryover, shall be distributed to those whose selection finished first or second in the greatest number of Place Pick (n) contests for that performance.

A written request for permission to distribute the Place Pick (n) carryover on a specific performance may be submitted to the Commission. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

Should the Place Pick (n) carryover be designated for distribution on a specified date and performance in which there are no wagers selecting the first or second-place finisher in each of the Place Pick (n) contests, the entire pool shall be distributed as a single price pool to those whose selection finished first or second in the greatest number of Place Pick (n) contests. The Place Pick (n) carryover shall be designated for distribution on a specified date and performance under any of the following circumstances:

1. Upon written approval from the Commission as provided in subsection 9 of this rule.
2. Upon written approval from the Commission when there is a change in the carryover cap, a change from one type of Place Pick (n) wagering to another, or when the Place Pick (n) is discontinued.
3. On the closing performance of the meet or split meet.

If, for any reason, the Place Pick (n) carryover must be held over to the corresponding Place Pick (n) pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Place Pick (n) carryover plus accrued interest shall then be added to the net Place Pick (n) pool of the following meet on a date and performance so designated by the Commission.

With the written approval of the Commission, the association may contribute to the Place Pick (n) carryover a sum of money up to the amount of any designated cap.

Providing information to any person regarding covered combinations, amounts wagered on specific combinations, number of tickets sold, or number of live tickets remaining is strictly prohibited. This shall not prohibit necessary communication between totalisator and parimutuel department employees for processing of pool data.

The association may suspend previously-approved Place Pick (n) wagering with the prior approval of the Commission. Any carryover shall be held until the suspended Place Pick (n) wagering is reinstated. An association may request approval of a Place Pick (n) wager or separate wagering pool for specific performances.

Section 38. Quinella Pools

The Quinella requires selection of the first two finishers, irrespective of order, for a single contest.

The net Quinella pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. If contestants of a coupled entry or mutuel field finish as the first two finishers, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish; otherwise
2. As a single price pool to those whose combination finished as the first two betting interests; but if there are no such wagers, then
3. As a profit split to those whose combination included either the first- or second-place finisher; but if there are no such wagers on one of the those two finishers, then
4. As a single price pool to those whose combination included the one covered betting interest included within the first two finishers; but if there are no such wagers, then
5. The entire pool shall be refunded on Quinella wagers for that contest.

If there is a dead heat for first involving:

1. contestants representing the same betting interest, the Quinella pool shall be distributed to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish.
2. contestants representing two betting interests, the Quinella pool shall be distributed as if no dead heat occurred.
3. contestants representing three or more betting interests, the Quinella pool shall be distributed as a profit split.

If there is a dead heat for second involving contestants representing the same betting interest, the Quinella pool shall be distributed as if no dead heat occurred.

If there is a dead heat for second involving contestants representing two or more betting interests, the Quinella pool shall be distributed to wagers in the following precedence, based upon the official order of finish:

1. As a profit split to those combining the winner with any of the betting interests involved in the dead heat for second; but if there is only one covered combination, then
2. As a single price pool to those combining the winner with the one covered betting interest involved in the dead heat for second; but if there are no such wagers, then
3. As a profit split to those combining the betting interests involved in the dead heat for second; but if there are no such wagers, then
4. As a profit split to those whose combination included the winner and any other betting interest and wagers selecting any of the betting interests involved in the dead heat for second; but if there are no such wagers, then
5. The entire pool shall be refunded on Quinella wagers for that contest.

Section 39. Quinella Double Pools

The Quinella Double requires selection of the first two finishers, irrespective of order, in each of two specified contests.

The net Quinella Double pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. If a coupled entry or mutuel field finishes as the first two contestants in either contest, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish for that contest, as well as the first two finishers in the alternate Quinella Double contest; otherwise
2. As a single price pool to those who selected the first two finishers in each of the two Quinella Double contests; but if there are no such wagers, then
3. As a profit split to those who selected the first two finishers in either of the two Quinella Double contests; but if there are no such wagers on one of those contests, then
4. As a single price pool to those who selected the first two finishers in the one covered Quinella Double contest; but if there were no such wagers, then
5. The entire pool shall be refunded on Quinella Double wagers for those contests.

If there is a dead heat for first in either of the two Quinella Double contests involving:

1. contestants representing the same betting interest, the Quinella Double pool shall be distributed to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish for that contest.
2. contestants representing two betting interests, the Quinella Double pool shall be distributed as if no dead heat occurred.
3. contestants representing three or more betting interests, the Quinella Double pool shall be distributed as a profit split.

If there is a dead heat for second in either of the Quinella Double contests involving contestants representing the same betting interest, the Quinella Double pool shall be distributed as if no dead heat occurred.

If there is a dead heat for second in either of the Quinella Double contests involving contestants representing two or more betting interests, the Quinella Double pool shall be distributed as profit split.

Should a betting interest in the first-half of the Quinella Double be scratched prior to the first Quinella Double contest being declared official, all money wagered on combinations including the scratched betting interest shall deducted from the Quinella Double pool and refunded.

Should a betting interest in the second-half of the Quinella Double be scratched prior to the close of wagering on the first Quinella Double contest, all money wagered on combinations including the scratched betting interest shall be deducted from the Quinella Double pool and refunded.

Should a betting interest in the second-half of the Quinella Double be scratched after the close of wagering on the first Quinella Double contest, all wagers combining the winning combination in the first contest with a combination including the scratched betting interest in the second contest shall be allocated a consolation payout. In calculating the consolation payout the net Quinella Double pool shall be divided by the total amount wagered on the winning combination in the first contest and an unbroken consolation price obtained. The unbroken consolation price is multiplied by the dollar value of wagers on the winning combination in the first contest combined with a combination including the scratched betting interest in the second contest to obtain the consolation payout. Breakage is not declared in this calculation. The consolation payout is deducted from the net Quinella Double pool before calculation and distribution of the winning Quinella Double payout. In the event of a dead heat involving separate betting interests, the net Quinella Double pool shall be distributed as a profit split.

If either of the Quinella Double contests is cancelled prior to the first Quinella Double contest, or the first Quinella Double contest is declared "no contest", the entire Quinella Double pool shall be refunded on Quinella Double wagers for those contests.

If the second Quinella Double contest is cancelled or declared "no contest" after the conclusion of the first Quinella Double contest, the net Quinella Double pool shall be distributed as a single price pool to wagers selecting the winning combination in the first Quinella Double contest. If there are no wagers selecting the winning combination in the first Quinella Double contest, the entire Quinella Double pool shall be refunded on Quinella Double wagers for those contests.

Section 40. Show Quinella Pools

The Show Quinella requires selection of two (2) of the first three (3) finishers, irrespective of order, for a single contest.

The Show Quinella pool shall be apportioned under one of the following methods:

1. Method 1, Single Price and Refund: The net Show Quinella pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish: 1. As a single price pool to those whose combinations finished as the first two betting interests, the first and third betting interests and/or the second and third betting interests; but if there are no such wagers, then 2. The entire pool shall be refunded on Show Quinella wagers for that contest.
2. Method 2, Single Price and Carryover: The net Show Quinella pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish: 1. As a single price pool to those whose combinations finished as the first two betting interests, the first and third betting interests and/or the second and third betting interests; but if there are no such wagers, then 2. The net pool will be carried forward and added to the next Show Quinella pool.
3. Method 3, Profit Split and Refund: The net Show Quinella pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish: 1. As a profit split to those whose combinations finished as the first two betting interests, the first and third betting interests and/or the second and third betting interests; but if there are no such wagers, then 2. The entire pool shall be refunded on Show Quinella wagers for that contest.
4. Method 4, Profit Split and Carryover: The net Show Quinella pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish: 1. As a profit split to those whose combinations finished as the first two betting interests, the first and third betting interests and/or the second and third betting interests; but if there are no such wagers, then 2. The net pool will be carried forward and added to the next Show Quinella pool.

If there is a dead heat for first involving:

1. contestants representing two or three betting interests, the Show Quinella pool shall be distributed as if no dead heat occurred.
2. contestants representing four or more betting interests, the Show Quinella pool shall be distributed between all possible winning combinations based upon the method selected in subparagraph 2.

If there is a dead heat for second involving:

1. contestants representing two betting interests, the Show Quinella pool shall be distributed as if no dead heat occurred.
2. contestants representing three or more betting interests, the Show Quinella pool shall be distributed between all possible winning combinations based upon the method selected in subparagraph 2.

If there is a dead heat for third involving contestants representing two or more betting interests, the Show Quinella pool shall be distributed between all possible winning combinations, including those betting interests in the dead heat, based upon the method selected in subparagraph 2.

Should any betting interest entered in the Show Quinella pool be scratched or excused from the contest, wagers including such betting interest shall be deducted from the Show Quinella pool and money refunded.

If, for any reason, the Show Quinella carryover must be held over to the corresponding Show Quinella pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Show Quinella carryover plus accrued interest shall be added to the net Show Quinella pool of the following meet on a date and performance so designated by the Commission.

Section 41. Exacta-Pools

The Exacta requires selection of the first two finishers, in their exact order, for a single contest.

The net Exacta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. If contestants of a coupled entry or mutuel field finish as the first two finishers, as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish; otherwise
2. As a single price pool to those whose combination finished in correct sequence as the first two betting interests; but if there are no such wagers, then
3. As a profit split to those whose combination included either the first-place betting interest to finish first or the second-place betting interest to finish second; but if there are no such wagers on one of those two finishers, then
4. As a single price pool to those whose combination included the one covered betting interest to finish first or second in the correct sequence; but if there are no such wagers, then
5. The entire pool shall be refunded on Exacta wagers for that contest.

If there is a dead heat for first involving:

1. contestants representing the same betting interest, the Exacta pool shall be distributed as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish.
2. contestants representing two or more betting interests, the Exacta pool shall be distributed as a profit split.

If there is a dead heat for second involving contestants representing the same betting interest, the Exacta pool shall be distributed as if no dead heat occurred.

If there is a dead heat for second involving contestants representing two or more betting interests, the Exacta pool shall be distributed to ticket holders in the following precedence, based upon the official order of finish:

1. As a profit split to those combining the first-place betting interest with any of the betting interests involved in the dead heat for second; but if there is only one covered combination, then
2. As a single price pool to those combining the first-place betting interest with the one covered betting interest involved in the dead heat for second; but if there are no such wagers, then
3. As a profit split to those wagers correctly selecting the winner for first-place and those wagers selecting any of the dead-heated betting interests for second-place; but if there are no such wagers, then
4. The entire pool shall be refunded on Exacta wagers for that contest.

Section 42. Trifecta Pools

The Trifecta requires selection of the first three finishers, in their exact order, for a single contest.

The net Trifecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

1. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then
4. The entire pool shall be refunded on Trifecta wagers for that contest.

If less than three betting interests finish and the contest is declared official, payouts will be made based upon the order of finish of those betting interests completing the contest. The balance of any selection beyond the number of betting interests completing the contest shall be ignored.

If there is a dead heat for first involving:

1. contestants representing three or more betting interests, all of the wagering combinations selecting three betting interests which correspond with any of the betting interests involved in the dead heat shall share in a profit split.
2. contestants representing two betting interests, both of the wagering combinations selecting the two dead-heated betting interests, irrespective of order, along with the third-place betting interest shall share in a profit split.

If there is a dead heat for second, all of the combinations correctly selecting the winner combined with any of the betting interests involved in the dead heat for second shall share in a profit split.

If there is a dead heat for third, all wagering combinations correctly selecting the first two finishers, in correct sequence, along with any of the betting interests involved in the dead heat for third shall share in a profit split.

Coupled entries and mutuel fields shall be prohibited in Trifecta contests except in Grade I races (as determined by the North American Graded Stakes Committee) with written approval of the Commission.

Section 43. Superfecta Pools

The Superfecta requires selection of the first four finishers, in their exact order, for a single contest.

2. Distribution of Winnings – Option #1

a. The net Superfecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish:

i. As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but if there are no such wagers, then

ii. As a single price pool to those whose combination included, in correct sequence, the first three betting interests; but if there are no such wagers, then

iii. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then

iv. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then

v. The entire pool shall be refunded on Superfecta wagers for that contest.

3. Distribution of Winnings, Option #2

a. The net Superfecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

• • 1. As a single price pool, including any applicable carryover, to those whose combination finished in correct sequence as the first four betting interests, but if there are no such wagers, then 2. The net pool will be divided into two separate pools. The major pool of the net pool shall be retained and added to a corresponding carryover pool into the next designated Superfecta race. The remaining minor pool shall be paid as a Superfecta consolation pool, which will be equally divided among those ticket holders who correctly select the first three betting interests, but if there are no such wagers, then 3. The Superfecta consolation pool will be divided among those ticket holders who correctly select the first two interests, but if there are no such wagers, then 4. The Superfecta consolation pool will be divided among those ticket holders who correctly select the first betting interest, but if there are no such wagers, then 5. The entire net pool shall become a carryover pool to be retained and added to the next designated Superfecta race. 1. On the last Superfecta race on the final day of the meeting, the net pool, including any applicable carryover, shall be distributed using the method described in subsection 2. 2. Where a net pool is divided into two separate pools in accordance with this subsection any odd cents remaining shall be retained and added to the part of the net pool that will be added to the corresponding carryover pool.

4. Distribution of Winnings – Option #3

a. The net Superfecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

• • 1. As a single price pool to those whose combination finished in correct sequence as the first four betting interests, but if there are no such wagers, then 2. The entire net pool shall be retained and added to a corresponding carryover pool into the next designated Superfecta race.

b. On the last Superfecta race on the final day of the meeting, the net pool, and include any applicable carryover shall be distributed using the method described in subsection 2.

5. If, for any reason, the Superfecta carryover must be held over to the corresponding Superfecta pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Superfecta carryover plus accrued interest shall then be added to the net Superfecta pool of the following meet on a date and performance so designated by the Commission.

6. If fewer than four betting interests finish and the contest is declared official, payouts will be made based upon the order of finish of those betting interests completing the contest. The balance of any selection on any ticket beyond the number of betting interests completing the contest shall be ignored. If the pools are being distributed under paragraph (3)(a) or (4)(a), any previous Superfecta contest’s carryover will not be included in the payoff and will be retained for the next contest’s carryover, and this contest’s net Superfecta pool will be distributed using the method described in subsection 2.

7. If there is a dead heat for first involving:

8. contestants representing four or more betting interests, all of the wagering combinations selecting the four betting interests , irrespective of order, shall share in a profit split.

9. contestants representing three betting interests, all of the wagering combinations selecting the three dead-heated betting interests, irrespective of order, along with the fourth-place betting interest shall share in a profit split.

10. contestants representing two betting interests, both of the wagering combinations selecting the two dead-heated betting interests, irrespective of order, along with the third-place and fourth-place betting interests shall share in a profit split.

11. If there is a dead heat for second involving:

a. contestants representing three or more betting interests, all of the wagering combinations correctly selecting the winner combined with all of the three betting interests , irrespective of order, shall share in a profit split.

b. contestants representing two betting interests, all of the wagering combinations correctly selecting the winner, the two dead-heated betting interests, irrespective of order, and the fourth-place betting interest shall share in a profit split.

9. If there is a dead heat for third, all wagering combinations correctly selecting the first two finishers, in correct sequence, along with any two of the betting interests involved in the dead heat for third, irrespective of order, shall share in a profit split.

10. If there is a dead heat for fourth, all wagering combinations correctly selecting the first three finishers, in correct sequence, along with any of the betting interests involved in the dead heat for fourth shall share in a profit split.

11. In the event that more than one component of a coupled entry or mutuel field finishes within the first four positions, the first member of the coupled entry or mutuel field to finish shall determine the position of the single betting interest. The net pool shall be distributed to those whose selection included the coupled entry or mutuel field and each of the other three betting interests.

Section 44. Twin Quinella Pools

The Twin Quinella requires selection of the first two finishers, irrespective of order, in each of two designated contests. Each winning ticket for the first Twin Quinella contest must be exchanged for a free ticket on the second Twin Quinella contest in order to remain eligible for the second-half Twin Quinella pool. Such tickets may be exchanged only at attended ticket windows prior to the second Twin Quinella contest. There will be no monetary reward for winning the first Twin Quinella contest. Both of the designated Twin Quinella contests shall be included in only one Twin Quinella pool.

In the first Twin Quinella contest only, winning wagers shall be determined using the following precedence, based upon the official order of finish for the first Twin Quinella contest:

1. If a coupled entry or mutuel field finishes as the first two finishers, those who selected the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish shall be winners; otherwise
2. Those whose combination finished as the first two betting interests shall be winners; but if there are no such wagers, then
3. Those whose combination included either the first- or second-place finisher shall be winners; but if there are no such wagers on one of those two finishers, then
4. Those whose combination included the one covered betting interest included within the first two finishers shall be winners; but if there are no such wagers, then (e) The entire pool shall be refunded on Twin Quinella wagers for that contest.

In the first Twin Quinella contest only, if there is a dead heat for first involving:

1. contestants representing the same betting interest, those who selected the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish shall be winners.
2. contestants representing two betting interests, the winning Twin Quinella wagers shall be determined as if no dead heat occurred.
3. contestants representing three or more betting interests, those whose combination included any two of the betting interests finishing in the dead heat shall be winners.

In the first Twin Quinella contest only, if there is a dead heat for second involving contestants representing two or more betting interests, the Twin Quinella pool shall be distributed to wagers in the following precedence, based upon the official order of finish:

1. As a profit split to those combining the winner with any of the betting interests involved in the dead heat for second; but if there is only one covered combination, then
2. As a single price pool to those combining the winner with the one covered betting interest involved in the dead heat for second; but if there are no such wagers, then
3. As a profit split to those combining the betting interests involved in the dead heat for second; but if there are no such wagers, then
4. As a profit split to those whose combination included the winner and any other betting interest and wagers selecting any of the betting interests involved in the dead heat for second; but if there are no such wagers, then
5. The entire pool shall be refunded on Twin Quinella wagers for that contest.

In the second Twin Quinella contest only, the entire net Twin Quinella pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish for the second Twin Quinella contest:

1. If a coupled entry or mutuel field finishes as the first two finishers, as a single price pool to those who selected the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish; otherwise
2. As a single price pool to those whose combination finished as the first two betting interests; but if there are no such wagers, then
3. As a profit split to those whose combination included either the first- or second-place finisher; but if there are no such wagers on one of those two finishers, then
4. As a single price pool to those whose combination included the one covered betting interest included within the first two finishers; but if there are no such wagers, then
5. As a single price pool to all the exchange ticket holders for that contest; but if there are no such tickets, then
6. In accordance with subsection 2 of the Twin Quinella rules.

In the second Twin Quinella contest only, if there is a dead heat for first involving:

1. contestants representing the same betting interest, the net Twin Quinella pool shall be distributed to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish.
2. contestants representing two betting interests, the net Twin Quinella pool shall be distributed as if no dead heat occurred.
3. contestants representing three or more betting interests, the net Twin Quinella pool shall be distributed as a profit split to those whose combination included any two of the betting interests finishing in the dead heat.

In the second Twin Quinella contest only, if there is a dead heat for second involving contestants representing two or more betting interests, the Twin Quinella pool shall be distributed to wagers in the following precedence, based upon the official order of finish:

1. As a profit split to those combining the winner with any of the betting interests involved in the dead heat for second; but if there is only one covered combination, then
2. As a single price pool to those combining the winner with the one covered betting interest involved in the dead heat for second; but if there are no such wagers, then
3. As a profit split to those combining the betting interests involved in the dead heat for second; but if there are no such wagers, then
4. As a profit split to those whose combination included the winner and any other betting interest and wagers selecting any of the betting interests involved in the dead heat for second, then
5. As a single price pool to all the exchange ticket holders for that contest; but if there are no such tickets, then
6. In accordance with subsection 2 of the Twin Quinella rules.

If a winning ticket for the first-half of the Twin Quinella is not presented for exchange prior to the close of betting on the second-half Twin Quinella contest, the ticket holder forfeits all rights to any distribution of the Twin Quinella pool resulting from the outcome of the second contest.

Should a betting interest in the first-half of the Twin Quinella be scratched, those Twin Quinella wagers including the scratched betting interest shall be refunded.

Should a betting interest in the second-half of the Twin Quinella be scratched, an announcement concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest. If tickets have not been exchanged prior to the close of betting for the second Twin Quinella contest, the ticket holder forfeits all rights to the Twin Quinella pool.

If either of the Twin Quinella contests is cancelled prior to the first Twin Quinella contest, or the first Twin Quinella contest is declared "no contest", the entire Twin Quinella pool shall be refunded on Twin Quinella wagers for that contest.

If the second-half Twin Quinella contest is cancelled or declared "no contest" after the conclusion of the first Twin Quinella contest, the net Twin Quinella pool shall be distributed as a single price pool to wagers selecting the winning combination in the first Twin Quinella contest and all valid exchange tickets. If there is no such wagers, the net Twin Quinella pool shall be distributed as described in subsection 2 of the Twin Quinella rules.

Section 45. Twin Trifecta Pools

The Twin Trifecta requires selection of the first three finishers, in their exact order, in each of two designated contests. Each winning ticket for the first Twin Trifecta contest must be exchanged for a free ticket on the second Twin Trifecta contest in order to remain eligible for the second-half Twin Trifecta pool. Such tickets may be exchanged only at attended ticket windows prior to the second Twin Trifecta contest. Winning first-half Twin Trifecta wagers will receive both an exchange and a monetary payout. Both of the designated Twin Trifecta contests shall be included in only one Twin Trifecta pool.

After wagering closes for the first-half of the Twin Trifecta and commissions have been deducted from the pool, the net pool shall then be divided into separate pools: the first-half Twin Trifecta pool and the second-half Twin Trifecta pool.

In the first Twin Trifecta contest only, winning wagers shall be determined using the following precedence, based upon the official order of finish for the first Twin Trifecta contest:

1. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then
4. The entire Twin Trifecta pool shall be refunded on Twin Trifecta wagers for that contest and the second-half shall be cancelled.

If no first-half Twin Trifecta ticket selects the first three finishers of that contest in exact order, winning ticket holders shall not receive any exchange tickets for the second-half Twin Trifecta pool. In such case, the second-half Twin Trifecta pool shall be retained and added to any existing Twin Trifecta carryover pool.

Winning tickets from the first-half of the Twin Trifecta shall be exchanged for tickets selecting the first three finishers of the second-half of the Twin Trifecta. The second-half Twin Trifecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish for the second Twin Trifecta contest:

1. As a single price pool, including any existing carryover monies, to those whose combination finished in correct sequence as the first three betting interests; but if there are no such tickets, then
2. The entire second-half Twin Trifecta pool for that contest shall be added to any existing carryover monies and retained for the corresponding second-half Twin Trifecta pool of the next consecutive performance.

If a winning first-half Twin Trifecta ticket is not presented for cashing and exchange prior to the second-half Twin Trifecta contest, the ticket holder may still collect the monetary value associated with the first-half Twin Trifecta pool but forfeits all rights to any distribution of the second-half Twin Trifecta pool.

Coupled entries and mutuel fields shall be prohibited in Twin Trifecta contests.

Should a betting interest in the first-half of the Twin Trifecta be scratched, those Twin Trifecta wagers including the scratched betting interest shall be refunded.

Should a betting interest in the second-half of the Twin Trifecta be scratched, an announcement concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest. If tickets have not been exchanged prior to the close of betting for the second Twin Trifecta contest, the ticket holder forfeits all rights to the second-half Twin Trifecta pool.

If, due to a late scratch, the number of betting interests in the second-half of the Twin Trifecta is reduced to fewer than the minimum, all exchange tickets and outstanding first-half winning tickets shall be entitled to the second-half Twin Trifecta pool for that contest as a single price pool, but not the Twin Trifecta carryover.

If there is a dead heat or multiple dead heats in either the first- or second-half of the Twin Trifecta, all Twin Trifecta wagers selecting the correct order of finish, counting a betting interest involved in a dead heat as finishing in any dead-heated position, shall be a winner. In the case of a dead heat occurring in:

1. The first-half of the Twin Trifecta, the payout shall be calculated as a profit split.
2. The second-half of the Twin Trifecta, the payout shall be calculated as a single price pool.

If either of the Twin Trifecta contests are cancelled prior to the first Twin Trifecta contest, or the first Twin Trifecta contest is declared "no contest", the entire Twin Trifecta pool shall be refunded on Twin Trifecta wagers for that contest and the second-half shall be cancelled.

If the second-half Twin Trifecta contest is cancelled or declared "no contest", all exchange tickets and outstanding first-half winning Twin Trifecta tickets shall be entitled to the net Twin Trifecta pool for that contest as a single price pool, but not Twin Trifecta carryover. If there are no such tickets, the net Twin Trifecta pool shall be distributed as described in subsection 3 of the Twin Trifecta rules.

The Twin Trifecta carryover may be capped at a designated level approved by the Commission so that if, at the close of any performance, the amount in the Twin Trifecta carryover equals or exceeds the designated cap, the Twin Trifecta carryover will be frozen until it is won or distributed under other provisions of this rule. After the Twin Trifecta carryover is frozen, 100 percent of the net Twin Trifecta pool for each individual contest shall be distributed to winners of the first-half of the Twin Trifecta pool.

A written request for permission to distribute the Twin Trifecta carryover on a specific performance may be submitted to the Commission. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

Should the Twin Trifecta carryover be designated for distribution on a specified date and performance, the following precedence will be followed in determining winning tickets for the second-half of the Twin Trifecta after completion of the first-half of the Twin Trifecta:

1. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then
4. As a single price pool to holders of valid exchange tickets.
5. As a single price pool to holders of outstanding first-half winning tickets.

Contrary to subsection 4 of the Twin Trifecta rules, during a performance designated to distribute the Twin Trifecta carryover, exchange tickets will be issued for those combinations selecting the greatest number of betting interests in their correct order of finish for the first-half of the Twin Trifecta. If there are no wagers correctly selecting the first-, second-, and third-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first- and second-place betting interests. If there are no wagers correctly selecting the first- and second-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first-place betting interest only. If there are no wagers selecting the first-place betting interest only in the first-half of the Twin Trifecta, all first-half tickets will become winners and will receive 100 percent of that performance's net Twin Trifecta pool and any existing Twin Trifecta carryover.

The Twin Trifecta carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the Commission as provided in subsection 15 of the Twin Trifecta rules.
2. Upon written approval from the Commission when there is a change in the carryover cap or when the Twin Trifecta is discontinued.
3. On the closing performance of the meet or split meet.

If, for any reason, the Twin Trifecta carryover must be held over to the corresponding Twin Trifecta pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Twin Trifecta carryover plus accrued interest shall then be added to the second-half Twin Trifecta pool of the following meet on a date and performance so designated by the Commission.

Providing information to any person regarding covered combinations, amounts wagered on specific combinations, number of tickets sold, or number of valid exchange tickets is prohibited. This shall not prohibit necessary communication between totalisator and parimutuel department employees for processing of pool data.

The association must obtain written approval from the Commission concerning the scheduling of Twin Trifecta contests, the percentages of the net pool added to the first-half pool and second-half pool, and the amount of any cap to be set on the carryover. Any changes to the approved Twin Trifecta format require prior approval from the Commission.

Section 46. Tri-Superfecta Pools

The Tri-Superfecta requires selection of the first three finishers, in their exact order, in the first of two designated contests and the first four finishers, in exact order, in the second of the two designated contests. Each winning ticket for the first Tri-Superfecta contest must be exchanged for a free ticket on the second Tri-Superfecta contest in order to remain eligible for the second-half Tri-Superfecta pool. Such tickets may be exchanged only at attended ticket windows prior to the second Tri-Superfecta contest. Winning first-half Tri-Superfecta tickets will receive both an exchange and a monetary payout. Both of the designated Trisuperfecta contests shall be included in only one Tri-Superfecta pool.

After wagering closes for the first-half of the Tri-Superfecta and commissions have been deducted from the pool, the net pool shall then be divided into two separate pools: the first-half Tri-Superfecta pool and the second-half Tri-Superfecta pool.

In the first Tri-Superfecta contest only, winning tickets shall be determined using the following precedence, based upon the official order of finish for the first Tri-Superfecta contest:

1. As a single price pool to those whose combination finished in correct sequence as the first three betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then
4. The entire Tri-Superfecta pool shall be refunded on Tri-Superfecta wagers for that contest and the second-half shall be cancelled.

If no first-half Tri-Superfecta ticket selects the first three finishers of that contest in exact order, winning ticket holders shall not receive any exchange tickets for the second-half TriSuperfecta pool. In such case, the second-half Tri-superfecta pool shall be retained and added to any existing Tri-Superfecta carryover pool.

Winning tickets from the first-half of the Tri-Superfecta shall be exchanged for tickets selecting the first four finishers of the second-half of the Tri-Superfecta. The second-half TriSuperfecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish for the second Tri-Superfecta contest:

1. As a single price pool, including any existing carryover monies, to those whose combination finished in correct sequence as the first four betting interests; but if there are no such tickets, then
2. The entire second-half Tri-Superfecta pool for that contest shall be added to any existing carryover monies and retained for the corresponding second-half Tri‑Superfecta pool of the next performance.

If a winning first-half Tri-Superfecta ticket is not presented for cashing and exchange prior to the second-half Tri-Superfecta contest, the ticket holder may still collect the monetary value associated with the first-half Tri-Superfecta pool but forfeits all rights to any distribution of the second-half Tri-Superfecta pool.

Coupled entries and mutuel fields shall be prohibited in Tri-Superfecta contests.

Should a betting interest in the first-half of the Tri-Superfecta be scratched, those TriSuperfecta tickets including the scratched betting interest shall be refunded.

Should a betting interest in the second-half of the Tri-Superfecta be scratched, an announcement concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest. If tickets have not been exchanged prior to the close of betting for the second Tri-Superfecta contest, the ticket holder forfeits all rights to the second-half Tri-Superfecta pool.

If, due to a late scratch, the number of betting interests in the second-half of the TriSuperfecta is reduced to fewer than the minimum, all exchange tickets and outstanding first-half winning tickets shall be entitled to the second-half Tri-Superfecta pool for that contest as a single price pool, but not the Tri-Superfecta carryover.

If there is a dead heat or multiple dead heats in either the first- or second-half of the TriSuperfecta, all Tri-Superfecta tickets selecting the correct order of finish, counting a betting interest involved in a dead heat as finishing in any dead-heated position, shall be a winner. In the case of a dead heat occurring in:

1. the first-half of the Tri-Superfecta, the payout shall be calculated as a profit split.
2. the second-half of the Tri-Superfecta, the payout shall be calculated as a single price pool.

If either of the Tri-Superfecta contests are cancelled prior to the first Tri-Superfecta contest, or the first Tri-Superfecta contest is declared "no contest", the entire Tri-Superfecta pool shall be refunded on Tri-Superfecta wagers for that contest and the second-half shall be cancelled.

If the second-half Tri-Superfecta contest is cancelled or declared "no contest", all exchange tickets and outstanding first-half winning Tri-Superfecta tickets shall be entitled to the net Tri-Superfecta pool for that contest as a single price pool, but not the Tri-Superfecta carryover. If no there are no such tickets, the net Tri-Superfecta pool shall be distributed as described in subsection 3 of the Tri-Superfecta rules.

The Tri-Superfecta carryover may be capped at a designated level approved by the Commission so that if, at the close of any performance, the amount in the Tri-Superfecta carryover equals or exceeds the designated cap, the Tri-Superfecta carryover will be frozen until it is won or distributed under other provisions of this rule. After the second-half TriSuperfecta carryover is frozen, 100 percent of the net Tri-Superfecta pool for each individual contest shall be distributed to winners of the first-half of the Tri-Superfecta pool.

A written request for permission to distribute the Tri-Superfecta carryover on a specific performance may be submitted to the Commission. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

Should the Tri-Superfecta carryover be designated for distribution on a specified date and performance, the following precedence will be followed in determining winning tickets for the second-half of the Tri-Superfecta after completion of the first-half of the Tri-Superfecta:

1. As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first three betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
4. As a single price pool to those whose combination included, in correct sequence, the first-place betting interest only; but if there are no such wagers, then (e) As a single price pool to holders of valid exchange tickets.

f. As a single price pool to holders of outstanding first-half winning tickets.

Contrary to subsection 4 of the Tri-Superfecta rules, during a performance designated to distribute the Tri-Superfecta carryover, exchange tickets will be issued for those combinations selecting the greatest number of betting interests in their correct order of finish for the first-half of the Tri-Superfecta. If there are no wagers correctly selecting the first-, second-, and third-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first- and second-place betting interests. If there are no wagers correctly selecting the first- and second-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first-place betting interest only. If there are no wagers selecting the first-place betting interest only in the first-half of the Tri-Superfecta, all first-half tickets will become winners and will receive 100 percent of that performance's net Tri-Superfecta pool and any existing Tri-Superfecta carryover as a single price pool.

The Tri-Superfecta carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the Commission as provided in subsection 15 of the TriSuperfecta rules.
2. Upon written approval from the Commission when there is a change in the carryover cap or when the Tri-Superfecta is discontinued.
3. On the closing performance of the meet or split meet.

If, for any reason, the Tri-Superfecta carryover must be held over to the corresponding TriSuperfecta pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Tri-Superfecta carryover plus accrued interest shall then be added to the second-half Tri-superfecta pool of the following meet on a date and performance so designated by the Commission.

Providing information to any person regarding covered combinations, amounts wagered on specific combinations, number of tickets sold, or number of valid exchange tickets is prohibited. This shall not prohibit necessary communication between totalisator and parimutuel department employees for processing of pool data.

The association must obtain written approval from the Commission concerning the scheduling of Tri-Superfecta contests, the percentages of the net pool added to the first-half pool and second-half pool, and the amount of any cap to be set on the carryover. Any changes to the approved Tri-Superfecta format require prior approval from the Commission.

Section 47. Twin Superfecta Pools

The Twin Superfecta requires selection of the first four finishers, in their exact order, in each of two designated contests. Each winning ticket for the first Twin Superfecta contest must be exchanged for a free ticket on the second Twin Superfecta contest in order to remain eligible for the second-half Twin Superfecta pool. Such tickets may be exchanged only at attended ticket windows prior to the second Twin Superfecta contest. Winning first-half Twin Superfecta tickets will receive both an exchange and a monetary payout. Both of the designated Twin Superfecta contests shall be included in only one Twin Superfecta pool.

After wagering closes for the first-half of the Twin Superfecta and commissions have been deducted from the pool, the net pool shall then be divided into two separate pools: the first-half Twin Superfecta pool and the second-half Twin Superfecta pool.

In the first Twin Superfecta contest only, winning wagers shall be determined using the following precedence, based upon the official order of finish for the first Twin Superfecta contest:

1. As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first three betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
4. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then
5. The entire Twin Superfecta pool shall be refunded on Twin Superfecta wagers for that contest and the second-half shall be cancelled.

If no first-half Twin Superfecta ticket selects the first four finishers of that contest in exact order, winning ticket holders shall not receive any exchange tickets for the second-half Twin Superfecta pool. In such case, the second-half Twin Superfecta pool shall be retained and added to any existing Twin Superfecta carryover pool.

Winning tickets from the first-half of the Twin Superfecta shall be exchanged for tickets selecting the first four finishers of the second-half of the Twin Superfecta. The second-half Twin Superfecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish for the second Twin Superfecta contest:

1. As a single price pool, including any existing carryover monies, to those whose combination finished in correct sequence as the first four betting interests; but if there are no such tickets, then
2. The entire second-half Twin Trifecta pool for that contest shall be added to any existing carryover monies and retained for the corresponding second-half Twin Superfecta pool of the next performance.

If a winning first-half Twin Superfecta ticket is not presented for cashing and exchange prior to the second-half Twin Superfecta contest, the ticket holder may still collect the monetary value associated with the first-half Twin Superfecta pool but forfeits all rights to any distribution of the second-half Twin Trifecta pool.

Coupled entries and mutuel fields shall be prohibited in Twin Superfecta contests.

Should a betting interest in the first-half of the Twin Superfecta be scratched, those Twin Superfecta tickets including the scratched betting interest shall be refunded.

Should a betting interest in the second-half of the Twin Superfecta be scratched, an announcement concerning the scratch shall be made and a reasonable amount of time shall be provided for exchange of tickets that include the scratched betting interest. If tickets have not been exchanged prior to the close of betting for the second Twin Superfecta contest, the ticket holder forfeits all rights to the second-half Twin Superfecta pool.

If, due to a late scratch, the number of betting interests in the second-half of the Twin Superfecta is reduced to fewer than the minimum, all exchange tickets and outstanding first-half winning tickets shall be entitled to the second-half Twin Superfecta pool for that contest as a single price pool, but not the Twin Superfecta carryover.

If there is a dead heat or multiple dead heats in either the first- or second-half of the Twin Superfecta, all Twin Superfecta tickets selecting the correct order of finish, counting a betting interest involved in a dead heat as finishing in any dead-heated position, shall be a winner. In the case of a dead heat occurring in:

1. The first-half of the Twin Superfecta, the payout shall be calculated as a profit split.
2. The second-half of the Twin Superfecta, the payout shall be calculated as a single price pool.

If the either of the Twin Superfecta contests are cancelled prior to the first Twin Superfecta contest, or the first Twin Superfecta contest is declared "no contest", the entire Twin Superfecta pool shall be refunded on Twin Superfecta wagers for that contest and the second-half shall be cancelled.

If the second-half Twin Superfecta contest is cancelled or declared "no contest", all exchange tickets and outstanding first-half winning Twin Superfecta tickets shall be entitled to the net Twin Superfecta pool for that contest as a single price pool, but not the Twin Superfecta carryover. If there are no such tickets, the net Twin Superfecta pool shall be distributed as described in subsection 3 of the Twin Superfecta rules.

The Twin Superfecta carryover may be capped at a designated level approved by the Commission so that if, at the close of any performance, the amount in the Twin Superfecta equals or exceeds the designated cap, the Twin Superfecta carryover will be frozen until it is won or distributed under other provisions of this rule. After the second-half Twin Superfecta carryover is frozen, 100 percent of the net Twin Superfecta pool for each individual contest shall be distributed to winners of the first-half of the Twin Superfecta pool.

A written request for permission to distribute the Twin Superfecta carryover on a specific performance may be submitted to the Commission. The request must contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution.

Should the Twin Superfecta carryover be designated for distribution on a specified date and performance, the following precedence will be followed in determining winning tickets for the second-half of the Twin Superfecta after completion of the first-half of the Twin Superfecta:

1. As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but if there are no such wagers, then
2. As a single price pool to those whose combination included, in correct sequence, the first three betting interests; but if there are no such wagers, then
3. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then
4. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then
5. As a single price pool to holders of valid exchange tickets.
6. As a single price pool to holders of outstanding first-half winning tickets.

Contrary to subsection 4 of the Twin Superfecta rules, during a performance designated to distribute the Twin Superfecta carryover, exchange tickets will be issued for those combinations selecting the greatest number of betting interests in their correct order of finish for the first-half of the Twin Superfecta. If there are no wagers correctly selecting the first-, second, third-, and fourth-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first-, second-, and third-place betting interests. If there are no wagers correctly selecting the first-, second-, and third-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first- and second-place betting interests. If there are no wagers correctly selecting the first- and second-place finishers, in their exact order, then exchange tickets shall be issued for combinations correctly selecting the first-place betting interest only. If there are no wagers selecting the first-place betting interest only in the first-half of the Twin Superfecta, all first-half tickets will become winners and will receive 100 percent of that performance's net Twin Superfecta pool and any existing Twin Superfecta carryover as a single price pool.

The Twin Superfecta carryover shall be designated for distribution on a specified date and performance only under the following circumstances:

1. Upon written approval from the Commission as provided in subsection 15 of the Twin Superfecta rules.
2. Upon written approval from the Commission when there is a change in the carryover cap or when the Twin Superfecta is discontinued.
3. On the closing performance of the meet or split meet.

If, for any reason, the Twin Superfecta carryover must be held over to the corresponding Twin Superfecta pool of a subsequent meet, the carryover shall be deposited in an interest bearing account approved by the Commission. The Twin Superfecta carryover plus accrued interest shall then be added to the second-half Twin Superfecta pool of the following meet on a date and performance so designated by the Commission.

Providing information to any person regarding covered combinations, amounts wagered on specific combinations, number of tickets sold, or number of valid exchange tickets is prohibited. This shall not prohibit necessary communication between totalisator and parimutuel department employees for processing of pool data.

The Association must obtain written approval from the Commission concerning the scheduling of Twin Superfecta contests, the percentages of the net pool added to the first-half pool and second-half pool, and the amount of any cap to be set on the carryover. Any changes to the approved Twin Superfecta format require prior approval from the Commission.

Section 48. Exacta (n)

The Exacta(n) requires selection of the first two finishers, in their exact order, in each of a designated number of contests. The association must obtain written approval from the Commission concerning the scheduling of Exacta(n) contests, the designation of one of the methods prescribed in Part 4, and the amount of any cap to be set on the carryover. Any changes to the approved Exacta(n) format require prior approval from the Commission.

The Exacta(n) pool shall be apportioned under one of the following methods:

1. Method 1, Exacta(n) With No Minor Pool and No Carryover: The net Exacta(n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta(n) contests, based upon the official order of finish. If there are no wagers selecting the first and second place finishers, in exact order, in each of the Exacta(n) contests, the net Exacta(n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in the greatest number of Exacta(n) contests. If there are no winning wagers, the entire pool shall be refunded on Exacta(n) wagers for those contests.
2. Method 2, Exacta(n) With No Minor Pool and Carryover Instead of a Refund: The net Exacta(n) pool and the carryover, if any, shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta(n) contests, based upon the official order of finish. If there are no wagers selecting the first and second place finishers, in exact order, in each of the Exacta(n) contests, the net Exacta(n) pool and the carryover shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in the greatest number of Exacta(n) contests. If there are no winning wagers, the net Exacta(n) pool shall be added to the carryover.
3. Method 3, Exacta(n) With No Minor Pool and Carryover: The net Exacta(n) pool and the carryover, if any, shall be distributed as a single price pool to those who selected the first and second place finishers, in the exact order, in each of the Exacta(n) contests, based upon the official order of finish. If there are no winning wagers, the net Exacta(n) pool shall be added to the carryover.
4. Method 4, Exacta(n) With Minor Pool and No Carryover: The major share of the net Exacta(n) pool shall be distributed as a single price pool to those who selected the first and second finishers, in exact order, in each of the Exacta(n) contests, based upon the official order of finish. The minor share of the net Exacta(n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in the second greatest number of Exacta(n) contests, based upon the official order of finish. If there are no wagers selecting the first and second place finishers, in exact order, in each of the Exacta(n) contests, the major share of the net Exacta(n) pool shall be combined with the minor share for distribution as a single price pool to those who selected the first and second place finishers, in exact order, in the greatest number of exacta(n) contests. If there are no wagers selecting the first and second place finishers, in exact order, in a second greatest number of Exacta(n) contests, the minor share of the net Exacta(n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta(n) contests. If there are no winning wagers, the pool shall be refunded on Exacta(n) wagers for those contests.
5. Method 5, Exacta(n) With Minor Pool and Carryover: The major share of the net Exacta(n) pool and the carryover, if any, shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta(n) contests, based upon the official order of finish. The minor share of the net Exacta(n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in the second greatest number of Exacta(n) contests, based on the official order of finish. If that are no wagers selecting the first and second place finishers, in exact order, in each of the Exacta(n) contests, the minor share of the net Exacta(n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in the greatest number of Exacta(n) contests, and the major share shall be added to the carryover. If there are no wagers selecting the first and second place finishers, in exact order, in a second greatest number of Exacta(n) contests, the minor share of the net Exacta(n) pool shall be combined with the major share for distribution as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta(n) contests, or if there are no such winning wagers, added to the carryover.
6. Method 6, Exacta(n) With Minor Pool Based Upon Any One Exacta, and No Carryover: The major share of the net Exacta (n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta (n) contests, based upon the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool to those (including recipients of the major share of the net Exacta (n) pool) who selected the first and second place finishers, in exact order, in at least one of the Exacta (n) contests, based upon the official order of finish. If there are no wagers selecting the first and second place finishers, in exact order, in each of the Exacta (n) contests, the major share of the net Exacta (n) pool shall be combined with the minor share for distribution as a single price pool to those who selected the first and second place finishers, in exact order, in at least one of the Exacta (n) contests. If there are no winning wagers, the pool is refunded.
7. Method 7, Exacta (n) With Minor Pool Based Upon Any One Exacta, and Carryover: The major share of the net Exacta (n) pool and the carryover, if any, shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta (n) contests, based upon the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool to those (including recipients of the major share of the net Exacta (n) pool) who selected the first and second place finishers, in exact order, in at least one of the Exacta (n) contests, based upon the official order of finish. If there are no wagers selecting the first and second place finishers, in exact order, in each of the Exacta (n) contests, the major share shall be added to the carryover. If there are no wagers selecting the first and second place finishers, in exact order, in any of the Exacta (n) contests, the minor share of the net Exacta (n) pool shall also be added to the carryover.
8. Method 8, Exacta (n) With Minor Pool Based Upon Individual Exactas, and No Carryover

i. The major share of the net Exacta (n) pool shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta (n) contests, based upon the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool based upon the sum of the dollar value of wagers for each of the Exacta (n) contests considered separately, in which the first and second place finishers, in exact order, were correctly selected, based on the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool to those (including recipients of the major share of the net Exacta (n) pool) who selected the first and second place finishers, in exact order, in one or more of the Exacta (n) contests. Each recipient of a minor share shall receive an amount equal to the single price times the number of Exacta (n) contests in which the recipient correctly selected the winning combination.

ii. If there are no wagers selecting the first and second place finishers, in exact order, in all Exacta (n) contests, the major share shall be combined with the minor share and the entire net Exacta (n) pool shall be distributed in accordance with the rules in the preceding paragraph for distributing the minor share of the net Exacta (n) pool. If there are no winning wagers, the pool shall be refunded.

i. Method 9, Exacta (n) With Minor Pool Based Upon Individual Exactas, and Carryover

i. The major share of the net Exacta (n) pool and the carryover, if any, shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta (n) contests, based upon the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool based upon the sum of the dollar value of wagers, for each of the Exacta (n) contests considered separately, in which the first and second place finishers, in exact order, were correctly selected, based on the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool to those (including recipients of the major share of the net Exacta (n) pool) who selected the first and second place finishers, in exact order, in one or more of the Exacta (n) contests. Each recipient of a minor share shall receive an amount equal to the single price times the number of Exacta (n) contests in which the recipient correctly selected the winning combination.

ii. If there are no wagers selecting the first and second place finishers, in exact order, in all Exacta (n) contests, the minor share shall be distributed in accordance with the rules in the preceding paragraph for distributing the minor share of the net Exacta (n) pool, and the major share shall be added to the carryover; except that if there are no winning wagers in either the major or the minor pool, the performance's pool shall be refunded and the carryover shall be carried over.

j. Method 10, Exacta (n) With Minor Pool Based Upon Individual Exactas, and Carryover; 100% Carryover if no Winning Wagers

i. The major share of the net Exacta (n) pool and the carryover, if any, shall be distributed as a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta (n) contests, based upon the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool based upon the sum of the dollar value of wagers, for each of the Exacta (n) contests considered separately, in which the first and second place finishers, in exact order, were correctly selected, based upon the official order of finish. The minor share of the net Exacta (n) pool shall be distributed as a single price pool to those (including recipients of the major share of the net Exacta (n) pool) who selected the first and second place finishers, in exact order, in one or more of the Exacta (n) contests. Each recipient of a minor share shall receive an amount equal to the single price times the number of Exacta (n) contests in which the recipient correctly selected the winning combination.

ii. If there are no wagers selecting the first and second place finishers, in exact order, in all Exacta (n) contests, the minor share shall be distributed in accordance with the rules in the preceding paragraph for distributing the minor share of the net Exacta (n) pool, and the major share shall be added to the carryover. If there are no winning wagers, the minor share shall also be added to the carryover.

3. Dead Heats. In the event of a dead heat in any of the Exacta (n) contests, the net Exacta(n) shall be distributed to winning wagers in the following precedence, based upon the official order of finish, for each exacta contest within the Exacta(n) wager:

4. If there is a dead heat for first in any of the Exacta (n) contests involving contestants representing the same betting interest, the Exacta (n) pool shall be distributed as a single price pool to those selecting the coupled entry or mutuel field combined with the next separate betting interest in the official order of finish for that contest.

5. If there is a dead heat for first in any of the Exacta (n) contests involving contestants representing two or more betting interests, the Exacta (n) pool shall be distributed as a single price pool with a winning wager including each betting interest involved in the dead heat.

6. If there is a dead heat for second in any of the Exacta (n) contests involving contestants representing the same betting interest, the Exacta (n) pool shall be distributed as if no dead heat occurred.

7. If there is a dead heat for second in any of the Exacta (n) contests involving contestants representing two or more betting interests, the Exacta (n) pool shall be distributed as a single price pool with a winning wager including the betting interest which finished first together with any betting interest involved in the dead heat for second.

8. Scratches

a. Should a betting interest in any contest of the Exacta (n) be scratched or excused from the contest prior to the first Exacta (n) contest being declared official, all money wagered on combinations including the scratched betting interest shall be deducted from the Exacta (n) pool and refunded.

b. Should a betting interest in any contest of the Exacta (n) be scratched or excused from the contest after the first Exacta (n) contest has been declared official, all money wagered on combinations including this betting interest shall remain in the Exacta (n) pool and the ticket holder may still collect the monetary value of any distribution evidenced by the ticket containing the scratched betting interest.

c. If, due to a late scratch, the number of betting interests in a contest of the Exacta (n) is reduced to fewer than two, for purposes of the Exacta (n) such contest shall be declared "no contest" and the Exacta (n) pool shall be subject to the rules set forth in Subsection 5 of these rules.

5. Cancelled Contests

a. If any of the Exacta (n) contests are cancelled or declared "no contest" prior to the first Exacta (n) contest being declared official, the entire Exacta (n) pool shall be refunded on Exacta (n) wagers for those contests.

b. If all remaining Exacta (n) contests are cancelled or declared "no contest" after the first Exacta (n) contest is declared official, the net Exacta (n) pool shall be distributed as a single price pool to wagers selecting the winning combination in the first Exacta (n) contest, but not the Exacta (n) carryover. However, if there are no wagers selecting the winning combination in the first Exacta (n) contest, the entire Exacta (n) pool shall be refunded on Exacta (n) wagers for those contests.

c. If any of the remaining Exacta (n) contests are cancelled or declared "no contest" after the first Exacta (n) is declared official, the net Exacta (n) pool shall be distributed in accordance with rules governing distribution of the minor share where there is no winner of the major share.

6. Mandatory Distribution

a. A written request for permission to distribute the Exacta (n) carryover on a specific performance may be submitted to the Commission. The request shall contain justification for the mandatory distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution. The association must notify the Commission at least 10 days prior to implementation. If the Exacta (n) pool cannot be distributed during a designated performance, the mandatory distribution shall resume on the next scheduled mandatory distribution performance.

b. If the Exacta (n) carryover is designated for distribution on a specified date and performance, the following precedence shall be followed in determining winning tickets for the net Exacta (n) pool and the carryover pool:

i. As a single price pool to those who selected the first and second place finishers, in exact order, in each of the Exacta (n) contests, based upon the official order of finish. If there are no wagers selecting the first and second place finishers, in exact order, in all Exacta (n) contests, then

ii. As a single price pool to those who selected the first and second place finishers, in exact order, in at least one of the Exacta (n) contests, based upon the official order of finish.

iii. If there are no wagers which correctly selected the first and second place finishers, in exact order, in at least one of the Exacta (n) contests, based upon the official order of finish, then all Exacta (n) tickets shall become winners and receive 100% of that performance’s net Exacta (n) pool and the Exacta (n) carryover pool as a single price pool.

7. If, for any reason, the Exacta (n) carryover must be held over to the corresponding Exacta (n) pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Exacta (n) carryover plus accrued interest shall then be added to the net Exacta (n) pool of the following meet on a date and performance so designated by the Commission.

Section 49. Pentafecta Pools

The Pentafecta requires selection of the first five finishers, in their exact order, for a single contest.

Distribution of Winnings – Option #1

a. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based upon the official order of finish

• • 1. As a single price pool to those whose combination finished in correct sequence as the first five betting interests; but if there are no such wagers, then 2. As a single price pool to those whose combination finished in correct sequence as the first four betting interests; but if there are no such wagers, then 3. As a single price pool to those whose combination included, in correct sequence, the first three betting interests; but if there are no such wagers, then 4. As a single price pool to those whose combination included, in correct sequence, the first two betting interests; but if there are no such wagers, then 5. As a single price pool to those whose combination correctly selected the first-place betting interest only; but if there are no such wagers, then 6. The entire pool shall be refunded on Pentafecta wagers for that contest.

Distribution of Winnings – Option #2

a. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

• • 1. As a single price pool, including any applicable carryover, to those whose combination finished in correct sequence as the first five betting interests, but if there are no such wagers, then 2. The net pool will be divided into two separate pools. The major pool of the net pool shall be retained and added to a corresponding carryover pool into the next designated Pentafecta race. The remaining minor pool shall be paid as a Pentafecta consolation pool, which will be equally divided among those ticket holders who correctly select the first four betting interests, but if there are no such wagers, then 3. The Pentafecta consolation pool will be divided among those ticket holders who correctly select the first three interests, but if there are no such wagers, then 4. The Pentafecta consolation pool will be divided among those ticket holders who correctly select the first two interests, but if there are no such wagers, then 5. The Pentafecta consolation pool will be divided among those ticket holders who correctly select the first betting interest, but if there are no such wagers, then 6. The entire net pool shall become a carryover pool to be retained and added to the next designated Pentafecta race.

1. On the last Pentafecta race on the final day of the meeting, the net pool, including any applicable carryover shall be distributed using the method described in subsection 2.

2. Where a net pool is divided into two separate pools in accordance with this subsection any odd cents remaining shall be retained and added to the part of the net pool that will be added to the corresponding carryover pool.

3. Distribution of Winnings – Option #3

4. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish: 1. As a single price pool, including any applicable carryover, to those whose combination finished in correct sequence as the first five betting interests, but if there are no such wagers, then 2. The entire net pool shall be retained and added to a corresponding carryover pool into the next designated Pentafecta race.

5. On the last Pentafecta race on the final day of the meeting, the net pool, including any applicable carryover shall be distributed using the method described in subsection 2.

6. Distribution of Winnings – Option #4

a. The net Pentafecta pool shall be distributed to winning wagers in the following precedence, based on the official order of finish:

• • 1. As a single price pool, including any applicable carry-over, to the holder of a unique winning ticket whose combination finished in correct sequence as the first five betting interests, but if there is no such unique winning ticket, then 2. The net pool will be divided into two separate pools. The major pool of the net pool shall be paid as a carryover pool into the next regularly scheduled Pentafecta race. The remaining minor pool shall be paid as a Pentafecta consolation pool, which will be equally divided among those ticket holders who correctly select the first five interests, but if there are no such wagers, then 3. The entire net pool shall become a carryover pool into the next regularly scheduled Pentafecta race.

b. Unique winning ticket, as used in this paragraph 5.a, shall be defined as having occurred when there is one and only one winning ticket whose combination finished in correct sequence as the first five betting interests, to be verified by the unique serial number assigned by the totalisator company that issued the winning ticket. In the event that there is more than one winning ticket whose combination finished in correct sequence as the first five betting interests, the unique winning ticket shall be deemed to not have occurred.

c. The association shall specify the minimum monetary amount of a unique winning ticket wager approved by the Commission.

d. A written request for permission to distribute the Pentafecta carryover on a specific performance may be submitted to the Commission. The request must be for a specified date no greater than one year from the date the request is submitted and contain justification for the distribution, an explanation of the benefit to be derived, and the intended date and performance for the distribution. Should the Pentafecta net pool and any applicable carryover be designated for distribution on a specified date and performance in which there is no unique winning ticket, the entire pool shall be distributed using the method described in subsection 2.

e. A written request for permission to transfer the Pentafecta carryover to another Pentafecta pool operated by the same pool host may be submitted to the Commission. The request must contain justification for the transfer, including an explanation of the benefit to be derived, a description of the method by which the pool host will present the information to the public that identifies the racetrack(s) for which the pool will be operated and the intended date(s) and performance(s) of the transfer.

f. Unless otherwise stated in writing by the Commission under paragraph d, on the last Pentafecta race on the final day of the meeting, the net pool, including any applicable carryover, shall be distributed using the method described in subsection 2.

6. Notwithstanding paragraphs 5.d and e, if for any other reason the Pentafecta carryover must be held over to the corresponding Pentafecta pool of a subsequent meet, the carryover shall be deposited in an interest-bearing account approved by the Commission. The Pentafecta carryover plus accrued interest shall then be added to the net Pentafecta pool of the following meet on a date and performance so designated by the Commission.

7. If fewer than five betting interests finish and the contest is declared official, payoffs will be made based upon the order of finish of those betting interests completing the contest. The balance of any selection on any ticket beyond the number of betting interests completing the contest shall be ignored. If the pools are being distributed under paragraph 3.a, 4.a, or 5.a any previous Pentafecta contest’s carryover will not be included in the payoff and will be retained for the next contest’s carryover, and this contest’s net Pentafecta pool will be distributed using the method described in subsection 2.

8. If there is a dead heat for first involving:

a. contestants representing five or more betting interests, all of the wagering combinations selecting the five betting interests, irrespective of order, shall share in a profit split.

b. contestants representing four betting interests, all of the wagering combinations selecting the four dead heated betting interests, irrespective of order, along with the fifth place betting interest shall share in a profit split.

c. contestants representing three betting interests, all of the wagering combinations selecting the three dead heated betting interests, irrespective of order, along with the fourth place and fifth place betting interests, in correct order, shall share in a profit split.

d. contestants representing two betting interests, both of the wagering combinations selecting the two dead heated betting interests, irrespective of order, along with the third place, fourth place and fifth place betting interests, in correct order, shall share in a profit split.

9. If there is a dead heat for second involving:

a. contestants representing four or more betting interests, all of the wagering combinations correctly selecting the winner along with the four dead heated betting interests shall share in a profit split.

b. contestants representing three betting interests, all of the wagering combinations correctly selecting the winner, the three dead heated betting interests, irrespective of order, and the fifth place betting interests shall share in a profit split.

c. contestants representing two betting interests, all of the wagering combinations correctly selecting the winner, the two dead heated betting interests, irrespective of order, and the fourth place and fifth place betting interests, in correct order, shall share in a profit split.

10. If there is a dead heat for third involving:

a. contestants representing three or more betting interests, all of the wagering combinations correctly selecting the first two finishers, in correct order, and the three dead heated betting interests, irrespective of order, shall share in a profit split.

b. contestants representing two betting interests, both of the wagering combinations selecting the first two finishers, in correct order, and the two dead heated betting interests, irrespective of order, along with the fifth place betting interest shall share in a profit split.

11. If there is a dead heat for fourth, all wagering combinations correctly selecting the first three finishers, in correct sequence, along with any two of the betting interests involved in the dead heat for fourth, irrespective of order, shall share in a profit split.

12. If there is a dead heat for fifth, all wagering combinations correctly selecting the first four finishers, in correct sequence, along with any of the betting interests involved in the dead heat for fifth shall share in a profit split.

13. In the event that more than one component of a coupled entry or mutuel field finishes within the first five positions, the first member of the coupled entry or mutuel field to finish shall determine the position of the single betting interest. The net pool shall be distributed to those whose selection included the coupled entry or mutuel field and each of the other four betting interests.

History

• STATUTORY AUTHORITY: 8 MRS §§ 263-A, 263-C, 264, 267-A, 268, 272-B, 272-C, 279, 279-A, 279-E, 281, 298
• REPEALED AND REPLACED: February 22, 1993 this revision was previously incorporated in sections in Chapters 1, 26 & 27 (adoption 93-50 filed February 17, 1993)
• AMENDED: September 8, 1993 - Section 39(F, G, H, I) (adoption 93-316 filed September 3, 1993)
• AMENDED: June 5, 1994 - Section 39(K) added (adoption 94-228 filed May 31, 1994)
• AMENDED: October 19, 1994 - Section 11-A (EMERGENCY - expired January 17, 1995)
• AMENDED: (adoption 94-431 filed October 19, 1994)
• AMENDED: April 11, 1995 - Sections 11-A, 13, 17 (adoption 95-159 filed April 6, 1995)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• AMENDED: July 7, 1999 - Section 46(H) (EMERGENCY - expires October 5, 1999)
• AMENDED: (adoption 99-282 filed July 7, 1999)
• REVERTED TO APRIL 11, 1995 TEXT: October 5, 1999
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• CORRECTIONS: April 3, 2001 - history note update
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: December 17, 2001 - Section 51 added
• NON-SUBSTANTIVE CORRECTIONS: March 15, 2004 - misspellings in Section 51(3)(B) corrected
• AMENDED: June 7, 2008 – Section 48, filing 2008-241
• NON-SUBSTANTIVE CORRECTIONS: August 4, 2010 - heading for Sections 14
• AMENDED: May 15, 2012 - Section 48, filing 2012-155
• NON-SUBSTANTIVE CORRECTIONS: July 24, 2013 - agency name corrected in title
• AMENDED: February 21, 2018 – Section 47(8), filing 2018-026
• AMENDED: March 29, 2021 – filing 2021-065
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 15 Off-Track Betting

Code Me. R. 01-017 Ch. 15 Off-Track Betting {#sec-01-017-ch.-15 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 15}

SUMMARY: This chapter contains the licensing rules and operational criteria for off-track betting.

Section 1. Definitions

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

1. Decoder. "Decoder" means a device and/or means to convert encrypted audiovisual signals and/or data emanating from an organization licensee, and includes the electronic transfer of received signals from the receiving antenna to TV monitors within the off-track betting facility.

2. Downlink. "Downlink" means a receiving antenna coupled with an audiovisual signal receiver compatible with and capable of receiving simultaneous audiovisual signals and/or data emanating from an organization licensee, and includes the electronic transfer of received signals from the receiving antenna to TV monitors within the off-track betting facility.

3. Encryption, encrypted, or encoded. "Encryption, encrypted, or encoded" means the scrambling or other manipulation of the audiovisual signals to mask the original video content of the signal and so cause those signals to be indecipherable and unrecognizable to any person receiving that signal without a decoder.

4. Off-track betting facility. "Off-track betting facility" means the physical premises, structure, and equipment utilized by an off-track betting location or off-track betting locations licensee for the conduct of off-track betting. The off-track betting facility shall include, but not be limited to, the following: television display units, a display system for racing performance, odds, and payout prices; areas for viewing and seating, a food and beverage facility; and any other conveniences regularly provided at racetracks in this state.

5. Satellite transponder or transponder. "Satellite transponder or transponder" means leased space segment time of an earth-orbit communication satellite.

6. Uplink. "Uplink" means an earth station broadcasting facility, whether mobile or fixed, which is used to transmit audiovisual signals and/or data on FCC-controlled frequencies, and includes any electronic transfer of audiovisual signals from within a racing enclosure to the location of the transmitter at the uplink.

Section 2. Application for Off-track Betting License

1. Each application for an off-track betting license filed with the commission must contain such information and be accompanied by such documents or exhibits as specified by the commission.

A. Initial Application

B. Renewal Application must be received by November 1, of the year preceding the renewal. Any application for license renewal received after December 31, will be considered an initial application.

2. An application for an off-track betting license shall also contain a plan of operation which must include:

A. A feasibility report that shows:

(1) the anticipated revenue to be generated from the off-track betting facility;

(2) the expenditures expected to be incurred by the facility;

(3) the level of attendance expected and the area from which that attendance is anticipated to be drawn to the off-track betting facility;

(4) the level of anticipated off-track betting;

(5) a demographic study or market survey depicting the applicants market area; and

(6) the probable impact of the off-track betting facility on revenue to local government

B. Additional information deemed relevant, including, but not limited to:

(1) the number of simulcast racing programs to be displayed;

(2) the amount and source of revenue necessary to acquire and construct the off-track betting facility;

(3) the type of communication and transmission equipment to be utilized;

(4) the type and operation of the totalizer equipment;

(5) a security plan which shall include, but not be limited to, a description of the security measures to protect the off-track betting facility, to control crowds, to safeguard the transmission and reception of simulcast signals, and to control the transmission of wagering data to effect combined common pari-mutuel wagering pools;

(6) the accommodations available to the public; and

(7) a good faith affirmative action plan to recruit, train, and upgrade minorities and females in all classifications within the licensee.

Section 3. Commission approval of an Application

The commission shall consider every completed application for a license to conduct off-track betting at an off-track betting facility at a hearing before the commission. The commission shall approve or deny the application.

Section 4. Licenses and Conditioned Licenses

1. Each license shall specify the person to whom it is issued, the dates on which wagering is permitted, the tracks or location where the wagering is to be conducted, and a recital that all wagering under the license is subject to the applicable provisions of the Maine Revised Statutes , the rules of the commission and any requirements imposed by the commission as a condition for the exercise of the license. The commission may impose as a condition of licensing any provision which it determines meets the criteria contained in the applicable provisions of the Maine Revised Statutes .

2. Any modification of the conditions of licensure licensing may be requested by the commission or licensee and may be approved at a public meeting of the commission.

3. No licensee of an off-track betting facility shall discontinue operations at the facility until a reasonable period of time after notice of such intention has been transmitted to the Commission.

Section 5. Penalties

The Commission may impose penalties of up to $1,000 against individuals, organization licensees, off-track betting licensees and off-tack betting location licensees for each violation to the Maine Revised Statutes relating to the conduct of off-track betting, any rules adopted by the Commission, any order of the Commission, any action, or failure to act, which the Commission finds and determines a detriment or impediment to off-track betting, or any requirement imposed as a condition of licensing pursuant to subsection 1.

Section 6. Commission office space at the facility

Each off-track betting facility shall provide adequate working space at the off-track betting facility for commission employees to carry out their duties of inspection and regulation.

Section 7. Simulcast requirements

1. The organization licensee conducting the horse race upon which off-track betting is being conducted is responsible for the content of its simulcast and shall use all reasonable effort to present a simulcast which offers the viewers an exemplary depiction of its racing program.

2. Every simulcast shall be encrypted using a time displacement decoding algorithm.

3. Every simulcast will contain in its video content a digital display of the actual time of day, the name of the race track from where it emanates, and the number of the race being displayed, a periodic display of wagering information, and continuity programming between horse racing events.

4. In the event that one instate live racing facility is simulcasting its live racing program every licensed off-track betting facility shall have at least one monitor in each bank of monitors carrying that instate signal. In the event that more than one instate live racing facility is simulcasting its live racing program every licensed off-track betting facility shall have at least one monitor in each bank of monitors carrying each instate signal.

5. In the event that the signal for instate live racing is being sent out, the off-track betting facility shall remain open until the final race has been declared official.

Section 8. Audio transmission

In the event that the simulcast of the racing program is interrupted temporarily, the transmission of only the audio description of the racing program to the off-track betting facility may be continued until the temporary interruption can be corrected, provided the commission or its designee has given advance approval.

Section 9. Off-track wagering pool

The wagering pools offered by the licensee of the off-track betting facility shall be combined with those wagers placed at the organization licensee so a to produce a combined common pari-mutuel wagering pool for the purpose of calculating price. Each off-track betting licensee or off-track betting location licensee shall be solely responsible for conducting its own wagering pool and making all payoffs.

Section 10. Pari-mutuel Wagering

All pari-mutuel wagering at an off-track betting facility shall be conducted in accordance with the Maine State Harness Racing Commission Rules. Pari-mutuel tickets utilized at off-track betting locations licensee facilities shall be distinct from pari-mutuel tickets utilized by off-track betting licensee facilities or by organization licensees. The form of the ticket utilized shall be approved by the commission or its designee prior to the operation of the off-track betting facility if it meets this standard.

Section 11. Licensing of Employees

1. All persons employed as security guards, pari-mutuel directors or pari-mutuel employees or simulcast coordinator at an off-track betting facility shall be licensed by the Commission. Security Guards need not be licensed if they are full-time law enforcement officers.

2. The commission shall require all persons licensed pursuant to this Section who routinely come into contact with the public to display an identification badge on their outer garment during the course of their employment.

Section 12. Concessionaire License

No concessionaire shall operate at any off-track betting facility in Maine without an occupational license issued by the commission.

Section 13. Prohibited Practices by Employees

1. No pari-mutuel clerk parking attendant or security guard shall commit any act prohibited under Title 8, Chapter 11, Maine Revised Statutes during the period of their employment at an off-track betting facility.

2. The licensee of an off-track betting facility shall provide the commission with immediate written notice of any prohibited activity by pari-mutuel clerks, security guards or parking lot attendants at an off-track betting facility.

Section 14. Customer Relations

Each licensee of an off-track betting facility shall have a customer relations employee on duty during all times the facility is open to the public.

Section 15. Duties of Organization Licensee

An organization licensee shall provide:

1. An uplink system which shall not interfere with the closed circuit television system utilized by the racing association for officiating and on-track patron information;

2. An uplink consisting of a Ku/C-band earth station with steerable reflector feed, Ku/C- band transmit/receive antenna compliant with the FCC two degree beam width regulation, Ku/C-band transmitters, microwave or fiber optic link or other means of video communications, switching unit, TV color monitors, video tape recorders, encryption system and controlling computer terminals, an to be of network broadcast quality and meet applicable FCC and commission regulations and orders,

3. A transponder,

4. pari-mutuel terminals, pari-mutuel odds display, modems and/or switching units at the organization licensee providing direct voice contact between the stewards and pari-mutuel departments;

5. A voice communication system between each off-track betting facility and the organization licensee providing direct voice contact between the stewards and pari-mutuel departments;

6. A video record of all simulcasts, in decoded form, and shall provide a copy of that record on either 1/2" or 3/4" video cassette when requested by the commission;

7. Not less than 30 minutes prior to the commencement of transmission of the racing program for each day or night, a test program of its transmitter, encryption, and decoding, and data communication to assure proper operation of the system;

8. At the request of any representative of the commission, a listing of all locations able to receive the simulcast in decoded form;

9. Such security controls over its uplink and communications system as directed by the commission;

10. A report of its pari-mutuel operations at the off-track betting facility not more than 90 days following the conclusion of each race meeting conducted by a contracting organization licensee and shall offer its business records far examination by the commission at its request; and

11. An annual report of its simulcast operations and an audited financial statement.

Section 16. Duties of the off-track betting facility

An off-track betting facility shall provide:

1. A downlink system which shall not interfere with the closed circuit television system utilized by the off-track betting facility.

2. An downlink consisting of a Ku/C-band earth station with steerable reflector feed, Ku/C-band receive antenna compliant with the FCC two degree beam width regulation, Ku/C-band receivers, microwave or fiber optic link or other means of video communications, switching unit, TV color monitors, video tape recorders, description system and controlling computer terminals; all to be of network broadcast quality and meet applicable FCC and commission regulations and orders;

3. Pari-mutuel terminals, pari-mutuel odds display, modems and/or switching unit at the off-track betting facility enabling pari-mutuel data transmissions, and data communication to and from the totalizer utilized by the organization licensee;

4. A voice communication system between each off-track betting facility and the organization licensee providing direct voice contact between the stewards and pari-mutuel departments;

5. A video record of all simulcasts, in decoded form and shall provide a copy of that record on either 1/2" or 3/4" video cassette when requested by the commission;

6. Not less than 30 minutes prior to the commencement of transmission of the racing program for each day or night, a test program of its receiver, description, and decoding, and date communication to assure proper operation of the system;

7. A separate outstanding ticket liability account must be maintained if the totalizer system utilized by the off-track betting facility is independent from that of the organization licensee;

8. Such security controls over its downlink and communications system as directed by the commission;

9. It shall be the responsibility of the off-track betting facility to comply with the commission emergency stop betting procedures;

10. A report of its pari-mutuel operations not more than 90 days following the conclusion of each race meeting conducted by contracting organization licensee; and shall offer its business records for examination by the commission at its request; and

11. An annual report of its simulcast operations and an audited financial statement.

History

• STATUTORY AUTHORITY: 8 MRSA §§ 263-A, 268, 275-C, 279-A, 279-B, 281
• REPEALED AND REPLACED: February 22, 1993
• AMENDED: April 11, 1995
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 29, 2001
• NON-SUBSTANTIVE CORRECTION: August 4, 2010 - heading for Section 5
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 – agency name corrected in title
• AMENDED: February 21, 2018 – Sections 7(5), minor corrections to Section 9 and 10, filing 2019-027
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 17 Rule Violations; Penalties

Code Me. R. 01-017 Ch. 17 Rule Violations; Penalties {#sec-01-017-ch.-17 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 17}

SUMMARY: This chapter contains the penalty provisions for violations of Commission statutes and rules.

Section 1. General Provisions

Whenever the penalty of suspension is prescribed in these rules, it shall be construed to mean an expulsion from the time of receipt of written notice of suspension from any participation either directly of indirectly, in the privileges and uses of the course and grounds of an Association during the progress of a race meeting, unless otherwise specifically limited when such suspension is imposed, such as a suspension from driving. If two penalties in these rules apply to the same offense, the stricter of the penalties shall prevail.

When a violation of the rules has affected or may affect the outcome of a race, all winnings of the horse involved in the violation shall be forfeited and redistributed among the remaining horses in the race entitled to the winnings. No forfeiture and redistribution of winnings under this section shall affect the distribution of the pari-mutuel pools, when distribution of pools is made upon the official placing at the conclusion of the race.

Any racing official, licensee or other participant found in violation of a Commission rule for which no penalty is specified in Sections 4 or 5 of this chapter, may be subject to a fine not to exceed $1,000 and/or a one year suspension.

A violation of any of the Commission rules by a corporate licensee may also subject the

Officers of the corporation to a fine and/or suspension as provided for by this chapter.

Section 2. Licensing and License Renewals

1. The Commission may refuse to issue a license or to renew any and all of a person’s licenses in any of the following circumstances:

A. When these rules or the statute provide for a lifetime suspension of the person or otherwise provide for revocation;

B. When a person has been convicted or otherwise judged guilty of a crime in Maine or in another jurisdiction; or

C. When a person has displayed conduct found by the Commission to pose a significant threat to harness racing in Maine by threatening:

(1) the confidence of the wagering public;

(2) the integrity of pari-mutuel pools;

(3) the health and welfare of spectators and/or participating owners, trainers, drivers, grooms and others involved in harness racing; or

(4) the health and welfare of Standardbred horses.

Section 3. Attempt

Any attempt to violate any of the rules falling short of actual accomplishment shall constitute an offense, and may be punishable as herein above provided.

Section 4. Penalty Schedule

1. Level 1 violations

VIOLATION

LEVEL

FINE NOT TO EXCEED

SUSPENSION NOT TO EXCEED

1. Assault on another person

1

$1,000.00

1 year

2. Inconsistent drive to perpetrate or to aid a fraud

1

$1,000.00

1 year

3. Conduct detrimental to racing

1

$1,000.00

1 year

4. Knowingly failing to take horse for a test

1

$1,000.00

1 year

5. Have in your possession within the grounds of race track any drug, hypodermic needles or supplies for administering medications or drugs in violation of chapter 11

1

$1,000.00

1 year

6. Accepting or allowing a non-cash payment for a pari-mutuel wager

1

$1,000.00

1 year

7. Any act of cruelty to a horse

1

$1,000.00

1 year

8. The use of any goading device

1

$1,000.00

1 year

2. Level 2 violations

VIOLATION

LEVEL

FINE NOT

TO EXCEED

SUSPENSION

NOT TO EXCEED

1. Altering a horse’s hopples without permission

2

$500.00

6 months

2. Any act of helping another person in a race

2

$500.00

6 months

3. Driving in a careless and reckless manner

2

$500.00

6 months

4. Excessive or indiscriminate use of the whip

2

$500.00

6 months

5. Leaving paddock after it has closed

2

$500.00

6 months

6. Let a horse pass inside needlessly

2

$500.00

6 months

7. Violating any part of the claiming rule

2

$500.00

6 months

8. Whipping horse under the arch

2

$500.00

6 months

9. Welting a horse

2

$500.00

6 months

3. Level 3 violations (Not intended to be all inclusive). A minimum fine of $100.00 and/or a minimum suspension of 3 days or both.

VIOLATION

LEVEL

FINE NOT

TO EXCEED

SUSPENSION

NOT TO EXCEED

1. Carry a horse out or sit down in front of him

3

$250.00

90 days

2. Causing another horse to break

3

$250.00

90 days

3. Changing course in the homestretch or swerving in or out

3

$250.00

90 days

4. Crossing over in front of a horse or a field of horses in a reckless manner

3

$250.00

90 days

5. Crowd a horse or put a wheel under him

3

$250.00

90 days

6. Failure to obey the instructions of the racing official

3

$250.00

90 days

7. Failure to obey the judge’s or steward’s orders

3

$250.00

90 days

8. Failure to set and maintain pace comparable to class

3

$250.00

90 days

9. Inconsistent drive due to carelessness or lack of effort

3

$250.00

90 days

10. Indulge in shouting or any other improper conduct

3

$250.00

90 days

11. Interference causing another horse not to finish

3

$250.00

90 days

12. Laying off a normal pace, leaving a hole

3

$250.00

90 days

13. Slow down a field of horses

3

$250.00

90 days

14. Using threatening language to a racing official

3

$250.00

90 days

15. Foot out of stirrup with intent

3

$250.00

90 days

16. Failure to pass the breath analyzer test

3

$250.00

90 days

4. Level 4 violations (Not intended to be all inclusive). A minimum fine of $100.00 and/or a minimum suspension of 3 days or both.

VIOLATION

LEVEL

FINE NOT

TO EXCEED

SUSPENSION

NOT TO EXCEED

1. After being called for a race, leaving the track without permission

4

$200.00

30 days

2. Coming to the gate out of position

4

$200.00

30 days

3. Crossing over before reaching the starting point

4

$200.00

30 days

4. Delaying the start

4

$200.00

30 days

5. Drawing a horse from race without permission

4

$200.00

30 days

6. Failure to adhere to the breaking rule

4

$200.00

30 days

7. Failure to come into position

4

$200.00

30 days

8. Failure to have horse in paddock by prescribed time

4

$200.00

30 days

9. Impeding the progress of a horse

4

$200.00

30 days

10. Interference

4

$200.00

30 days

11. Interfering with another driver during the start

4

$200.00

30 days

12. Leaving the course

4

$200.00

30 days

13. Participating without a license

4

$200.00

30 days

14. Rushing ahead of the gate

4

$200.00

30 days

15. Using offensive or profane language

4

$200.00

30 days

16. Chapter 7, Section 54.S

4

$200.00

30 days

5. Level 5 violations (Not intended to be all inclusive). A minimum fine of $50.00 and/or a minimum suspension of 3 days or both.

VIOLATION

LEVEL

FINE NOT

TO EXCEED

SUSPENSION

NOT TO EXCEED

1. Appearing on the track without proper colors and white pants

5

$100.00

10 days

2. Chin strap not in place and fastened

5

$100.00

10 days

3. Drivers arriving late for paddock

5

$100.00

10 days

4. Failure to drive when programmed

5

$100.00

10 days

5. Failure to keep feet in stirrups

5

$100.00

10 days

6. Failure to name proper driver/late driver change

5

$100.00

10 days

7. Failure to participate in post parade

5

$100.00

10 days

8. Failure to take breathalyzer test by prescribed time

5

$100.00

10 days

9. Failure to use mud fenders when prescribed

5

$100.00

10 days

10. Riding a passenger on the sulky

5

$100.00

10 days

11. Smoking in colors while on race track

5

$100.00

10 days

12. Using non-prescribed wheel discs

5

$100.00

10 days

6. Unclassified violations (Not intended to be all inclusive)

VIOLATION

FINE NOT TO

EXCEED

SUSPENSION NOT

TO EXCEED

1. Failure to pay fines or purse redistributions

No fine

Suspension until all fines or purse redistributions are paid

2. Positive test on a horse

See Chapter 17 Section 6

See Chapter 17 Section 6

Section 5. Penalty Schedule for Violations of Chapter 11

The following guidelines shall be used to establish minimum and maximum penalties for violation of the prohibited substance rule. For the purposes of prohibited substance penalty classes, multiple positive tests shall be treated as a 1st, 2nd, 3rd, etc. offenses based on other positives within the same penalty class. However, the Commission may consider the overall pattern and history of prohibited substance violations by a licensee in determining the appropriate penalty within a range. Penalty enhancements based on a history of prohibited substance violations may be levied consistent with Section 6.

Class “A” Penalty - The following are recommended penalties for violations due to the presence of a drug carrying a Class “A” penalty and for violations of Prohibited Practices:

LICENSED TRAINER

1^ST Offense

2^nd Lifetime Offense

3^rd Lifetime Offense

-Minimum one-year suspension, not to exceed a three year suspension.

AND

-Minimum fine of $1,000, not to exceed $2,500.

-Minimum three-year suspension, not to exceed a 5 year suspension.

AND

-Minimum fine of $2,500, not to exceed $5,000.

-Minimum five-year suspension, not to exceed a 7 year suspension.

AND

-Minimum fine of $5,000, not to exceed $10,000.

LICENSED OWNER

1st Offense

2^nd Lifetime Offense in owner’s stable

3^rd Lifetime Offense in owner’s stable

- Loss of Purse

AND

-Horse shall be disqualified and placed on the steward’s list for 45 days, and must pass a Commission approved examination to be eligible to be entered.

-Loss of Purse

AND

-Horse shall be disqualified and placed on the steward’s list for 60 days, and must pass a Commission approved examination to be eligible to be entered.

-Loss of Purse

AND

-Horse shall be disqualified and placed on the steward’s list for 90 days and must pass a Commission-approved examination before becoming eligible to be entered.

Class “B” Penalty- The following are recommended penalties for violations due to the presence of a drug carrying Class “B” penalty or for the presence of more than one NSAID in a plasma/serum sample, subject to the provisions set forth in Chapter 11 and for violations of the established levels for carbon dioxide.

LICENSED TRAINER

1^ST Offense

2^nd Offense (365 day period)

3^rd Offense (365 day period)

-Minimum 15- day suspension. Not to exceed a 60 day suspension.

AND

-Minimum fine of $500, not to exceed $1,000.

-Minimum 30-day suspension.

Not to exceed a 180 day suspension.

AND

-Minimum fine of $1,000, not to exceed $2,500.

-Minimum 60-day suspension. Not to exceed 365 day suspension.

AND

-Minimum fine of $2,500, not to exceed $5,000.

LICENSED OWNER

1st Offense

2^nd Offense in owner’s stable (365 day period)

3^rd Offense in owner’s stable (365 day period)

- Loss of Purse

AND

- Horse shall be disqualified for 30 days and must pass a Commission approved examination before becoming eligible to be entered.

-Loss of Purse

AND

• Horse shall be disqualified for 30 days and must pass a Commission approved examination before becoming eligible to be entered.

-Loss of Purse

AND

-Horse shall be disqualified, placed on the steward’s list for 45 days and must pass a Commission approved examination before becoming eligible to be entered.

Class “C” Penalty- The following are recommended penalties for violations due to the presence of a drug carrying a Class “C” penalty; overages for permitted NSAIDs; and the presence of more than one NSAID in a plasma/serum sample.

LICENSED TRAINER

Phenylbutazone (>5.0-8.0 mcg/ml)

Flunixin (>20-100 ng/ml)

Ketoprofen(>2-50 ng/ml)

Phenylbutazone (>8.0 mcg/ml)

Flunixin (>100 ng/ml)

Ketoprofen (>50 ng/ml)

Class C Violations

1^st Offense (365 day period)

-Minimum penalty of a written warning to a maximum fine of $250.00

-Minimum penalty of $500

2^nd Offense (365 day period)

-Minimum penalty of a written warning to a maximum fine of $500.00

-Minimum penalty of $1,000 and 15- day suspension

3^rd Offense (365 day period)

-Minimum penalty of $500 to a maximum fine of $1,000

-Minimum penalty of $2,500 and 30-day suspension

LICENSED OWNER

Phenylbutazone (>5.0-8.0 mcg/ml)

Flunixin (>20-100 ng/ml)

Ketoprofen (>2-50 ng/ml)

Phenylbutazone (>8.0 mcg/ml)

Flunixin (>100 ng/ml)

Ketoprofen (>50 ng/ml)

Class C Violations

1^st Offense (365 day period)

-Minimum penalty of a written warning

-Loss of Purse

2^nd Offense (365 day period)

-Minimum penalty of a written warning

-Loss of Purse

3^rd Offense (365 day period)

-Loss of Purse

-Loss of Purse. If same horse, placed on the steward’s list for 45 days.

Class “D” Penalty- The recommended penalty for a violation involving a drug that carries a Class D penalty is a written warning to the trainer and owner. Multiple violation may result in fines and/or suspensions.

Section 6. Multiple Medication Violations (MMV)

A trainer who receives a penalty for a medication or prohibited substance violation based upon a horse testing positive for a Class 1-5 medication with Penalty Class A-C, as provided in the most recent version of the Association of Racing Commissioners International (ARCI) Uniform Classification Guidelines for Foreign Substances shall be assigned points as follows.

Penalty Class

Points If Controlled

Therapeutic Substance

Points If Non-Controlled

Substance

Class A

N/A

6

Class B

2

4

Class C

½ for first violation with an additional ½ point for each additional violation within 365 days

1 for first violation with an additional ½ point for each additional violation within 365 days

Class D

0

0

If the Commission determines that the violation is due to environmental contamination, it may assign fewer or no points against the trainer based upon the specific facts of the case.

2. The Commission shall assign and record points consistent with Section 6 (1). Points assigned by Commission rulings shall reflect, in the case of multiple positive tests as described in paragraph (3), whether they constitute a single violation.

3. Multiple positive tests for the same medication incurred by a trainer prior to delivery of official notice by the Commission may, depending on circumstances, be treated as a single violation. In the case of a positive test indicating multiple substances found in a single post-race sample, the Commission may treat each substance found as an individual violation for which points will be assigned, depending upon the facts and circumstances of the case.

4. The Commission shall consider all points for violations when determining whether mandatory enhancements provided in this section shall be imposed.

5. In addition the penalty for the underlying offense, the following enhancement shall be imposed upon a licensed trainer based upon the cumulative points contained in his/her record:

Points

5-5.5

Suspension in days

15 to 30

6-8.5

30 to 60

9-10.5

90-180

11 or more

180 to 360

MMV penalties are not a substitute for the current penalty system and are intended to be an additional uniform penalty when the licensee:

A. Has had more than one medication violation for the relevant time period, and

B. Exceeds the permissible number of points.

6. The Commission shall consider the trainer’s prior record for medication violations, when determining the appropriate penalty for the underlying offense. The MMV is intended to be a separate and additional penalty for a pattern of violations.

A. The suspension periods as provided in Section 6(5) shall run consecutive to any suspension imposed for the underlying offense.

B. The Commission ruling shall distinguish between the penalty for the underlying offense and any enhancement based upon a Commission’s review of the trainer’s cumulative points and violation history, which may be considered an aggravating factor in a case.

C. Points shall expire as follows:

Penalty Classification

Time to Expire

A

3 years

B

2 years

C

1 year

D. In the case of a medication violation that results in a suspension, any points assessed expire on the anniversary date of the date the suspension is completed.

Section 7. Penalties Without a Hearing

In the event the Judges believe that a person has committed a rule violation other than a racing violation and has left the grounds and the Judges are unable to contact him/her and hold a hearing thereon, the Judges may make an investigation and send a detailed written report to the Commission, with a copy to the United States Trotting Association and the Judges may impose a suspension of up to 30 days without a hearing based upon the findings. No suspension may exceed 30 days without a hearing.

Section 8. Unfitness to participate.

Any person whose character and general fitness are such that continued participation in harness racing by that person is inconsistent with the public interest and the best interests of racing generally, shall be suspended for a period not to exceed one year.

Section 9. Improper Language

Any person acting as a Judge or an official who uses insulting language to an owner, driver, or other person, or who is guilty of other offensive conduct, shall be subject to suspension by the Commission.

Section 10. Frivolous Demands

Any person demanding the identification of a horse without cause or merely with the intent to embarrass another participant, shall be punished by suspension or expulsion.

Section 11. Judges’ Decisions

Licensed participants of race meets shall abide by the Commission statutes and rules, and accept the Judges’ decisions on any and all questions to which their authority extends, unless and until acted upon by appeal to the Commission.

Section 12. Fines

Licensed participants who have been fined or suspended under these rules shall remain suspended until the fine is paid in full, subject to the appeal process.

Section 13. Recording Penalties

Any person imposing a penalty on any other person or horse on the grounds of a track shall record that penalty in the Judges’ Book and shall deliver written or printed notice thereof to the person penalized, mail notice immediately to the office of the United States Trotting Association and to the Maine State Harness Racing Commission.

Section 14. Penalty Extension

When the penalty is for a driving violation that does not exceed a period of 5 days, the driver shall complete the engagement of all horses programmed before the penalty becomes effective. Such driver may drive in a stake, a futurity, an early or late closing and feature races during a suspension of 5 days or fewer; however, the suspension will be extended one race day for each date he or she drives in such race.

Section 15. Not Allowed to Compete

No horse may compete while owned or controlled wholly or in part by a suspended, expelled, disqualified, or excluded person. No entry in any race shall be accepted for a horse owned wholly or in part, or trained by, a person whose spouse is under license suspension at the time of entry. However, if the person’s spouse has a driver’s license that has been suspended for a routine driving offense, the judges may accept entry of the horse.

An entry made by or for a person or of a horse suspended, expelled, or disqualified, shall be held liable for the entrance fee thus contracted without the right to compete unless the penalty is removed. A suspended, disqualified or excluded person who shall perform in a race shall be penalized. No person or horse may compete while under suspension, disqualified or excluded; however, a declaration may be filed for a person or horse under suspension, disqualified or excluded so long as the race will not be held until that suspension, disqualification or exclusion is terminated.

Section 16. Fraudulent Transfer

The transfer of ownership of a horse by any person or persons under suspension in order to circumvent a suspension or purse return, shall constitute a violation, unless approved by the Commission.

Section 17. Association Responsibility

Any Association knowingly and willfully allowing a suspended, disqualified or excluded person to participate, after the Association has received notice shall be, together with its officers, subject to suspension or expulsion for each offense.

Section 18. Use of Racing Facility

Any Association knowingly and willfully allowing the use of its grounds by an expelled or unconditionally suspended person or horse, together with its officers, shall be subject to suspension or expulsion.

Section 19. Notification

Whenever a person is excluded from a pari-mutuel track by the Association, the Commission and the United States Trotting Association shall be notified.

Section 20. Employment of Expelled Persons

An expelled, suspended, disqualified or excluded person cannot act as an officer of a track. An Association shall not, after notice from the Commission, employ or retain in its employ an expelled, suspended, disqualified or excluded person. Any track found violating this rule shall be subject to suspension.

Section 21. Penalties of Other Jurisdictions Enforced

All penalties imposed by any Racing Commission in any racing jurisdiction shall be recognized and enforced by this Commission unless application is made for a hearing before this Commission wherein the applicant must show cause as to why such penalty should not be enforced against him/her in this state.

History

• STATUTORY AUTHORITY: 8 M.R.S.A. §§ 263-A, 268, 275-C, 279-A, 279-B, 281
• REPEALED AND REPLACED: February 22, 1993- (this revision incorporated sections from the-previous Chapters 1, 3, 6, 7, & 22)
• AMENDED: October 24, 1994 (EMERGENCY)
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: June 30, 2002 - Sections 5(2), 5(4) (filing 2002-224)
• AMENDED: October 16, 2003 - EMERGENCY - Section 5(1)(4), filing 2003-364,
• AMENDED: expires January 14, 2004
• AMENDED: June 6, 2004 - Sections 5, 6, 21, filing 2004-190
• AMENDED: October 25, 2010 - Section 2(3), filing 2010-501
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 - agency name in title
• AMENDED: May 28, 2015 – filing 2015-090
• AMENDED: May 7, 2017 - filing 2017-070
• AMENDED: June 8, 2024 - filing 2024-139
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 19 Protests, Appeals and Race Date Assignment Hearings

Code Me. R. 01-017 Ch. 19 Protests, Appeals and Race Date Assignment Hearings {#sec-01-017-ch.-19 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 19}

SUMMARY: This chapter discusses protests and appeals of decisions and rulings of judges and officials of tracks, including filing requirements and deadlines, and Licensing and Race Date Assignment Hearings.

Section 1. General Provisions

1. Pools

Nothing in this rule shall affect the distribution of the pari-mutuel pools when such distribution is made upon the official placing at the conclusion of the heat or dash.

Section 2. Protests

Protests may be made only by an owner, trainer or driver of one of the contending horses, at any time prior to the running of the race, and shall be reduced to writing and sworn to before a judge of the meeting, and shall contain at least one specific charge which, if true, would prevent the horse from winning or competing in the race.

Procedure after protest

The judges shall investigate each protest and where appropriate shall summon the parties thereto and examine them. In the event that the parties to the horses being protested refuse to appear or be examined the horse shall be scratched or disqualified and all entrance fees forfeited.

Disposition of protest

(a) Where a protest is made prior to a race, and the judges find satisfactory evidence to warrant excluding a horse, such horse shall be scratched unless the owner thereof in good faith requests that the horse start under protest and waives any right of reimbursement against the track, in the event the commission should thereafter make a determination allowing said protest. Such request shall be granted by the judges except where permitting said horse to compete would be contrary to the public interest.

(b) Where a protest is made prior to the race and the horse protested has started the judges shall notify the track to withhold payment of the portion of the purse affected pending determination by the commission.

False protest

Any person found guilty of protesting a horse falsely and without cause or merely with intent to embarrass a race, shall be subject to a penalty consistent with a level 2 violation.

Appeals

(I) In case of an appeal or protest, the purse money affected will be retained by the track subject to the direction of the commission.

Section 3. Appeals

1. Appeal to Commission

All decisions and rulings of the Judges or the officers of tracks may be appealed to the Commission in writing within 3 days after notice of the decision or ruling. The appeal may be taken upon any question in the conduct of a race, interpretation of the rules, decisions relative to the outcome of a race, application of penalties or other action affecting owners, drivers, or horses, but it must be based on a specific charge which, if true, would warrant modification or reversal of the decision.

In order to take an appeal under Chapter 7, sections 53-61, a driver must have first made complaint, claim, or objection as required in Chapter 7, section 55.

A final appeal in the case of any person penalized or disciplined by the racing officials of a meeting licensed by the Commission, may be taken to the Commission.

A. An appeal to the commission must be filed in writing at the office of the Commission within 3 days after notice of the decision or ruling.

B. The request shall be signed by the person making it and must set forth his reason for believing he is entitled to a hearing.

C. An applicant for a hearing will be heard in person, or by counsel, or he may submit his case in writing.

D. All complaints and requests to the Commission must be in writing, and all papers filed with the Commission shall be the property of the Commission.

E. Unless a stay is granted pursuant to chapter, an appeal from a decision of a racing official to the Commission shall not affect such decision until the appeal has been acted upon by the Commission unless otherwise ordered by a court of competent jurisdiction.

F. Such appeal shall be sworn to and security of $100 or an amount equal to the monetary fine shall be posted with the appeal. Upon final disposition of the appeal the security posted will be first applied to the monetary penalty imposed if any, and the balance returned to the person appealing.

G. Failure of the person to pursue the appeal shall result in a forfeiture of the security posted.

H. The Commission may vacate, modify, or increase any penalty imposed by the Judges. In the event a person fails to appear at any disciplinary hearing affecting him or her a default judgment may be rendered against that person, unless excused for good cause. Notice shall be provided of the possibility of a default judgment for failure to appear.

2. Stay of Penalty

In the event a penalty is imposed by the officials, the Commission or Chair may, in cases of a disputed rule interpretation, or where a close question of fact exists, grant a stay of the enforcement of such penalty until the appeal is decided.

Section 4. Date Assignment Hearings

1. Definitions

As used in this subchapter, unless the context otherwise indicates, the following words shall have the following meanings:

A. Date assignment hearing

"Date assignment hearing" means a hearing conducted by the Commission to determine either or both of the following issues:

(1) Whether a person, association, or corporation desiring to hold a harness horse race or meet at which pari-mutuel betting is permitted shall be granted a license to do so;

(2) The particular dates and times of day on which a licensee may conduct harness horse races or meets and the location where such racing may be conducted.

B. License

"License" means a license required to hold, conduct or operate any harness horse race meet where pari-mutuel betting is allowed.

2. Generally

The provisions of Chapter 21, entitled "General Hearing Procedures," shall apply to date assignment hearings to the extent they are not inconsistent with the provisions of this subchapter.

3. License required

No person, association or corporation may hold, conduct, or operate any harness horse race meet at which pari-mutuel betting is allowed without a license from the Commission.

4. Licensing Provisions

A. The Commission reserves the right to refuse a license to any person, association, or corporation proposing to hold a race meet under conditions not satisfactory to the Commission. No license will be granted to hold any race meet until facilities of the applicant have been approved annually by the Commission in all respects. This includes pari-mutuel facilities, grandstand facilities, ground conditions, toilets, paddock, lights, and any other facilities pertaining to racing.

B. Bonds

A surety bond, acceptable in form, in an amount not to exceed $100,000, must be filed with the Commission by December 15th of the preceding year.

C. Change of ownership

The license of any corporation is automatically revoked, subject to Title 5, chapter 375, upon the change in ownership, legal or equitable of 50% or more of the voting stock of the corporation and the corporation may not hold a harness horse race or meet for public exhibition without a new license.

5. Applications; consolidated proceedings

All applications for license renewals and requests for specific racing dates will be heard on a consolidated basis in one proceeding. In order that all potentially competing date requests may be simultaneously considered, the Commission may establish a deadline for the submission of license renewal applications and accompanying date requests. The Commission may refuse to consider renewal applications and accompanying date requests which are not timely submitted.

6. Automatic intervention

All applicants for licenses for any one calendar year shall be considered intervenors with respect to all license applications and date requests submitted by other persons, associations, or corporations for the same calendar year. The following entities shall also be considered intervenors in date assignment hearings:

A. Downeast Harness Horsemen's Association

B. Maine Association of Agricultural Fairs

C. Maine Department of Agriculture, Conservation and Forestry

D. Maine Harness Horsemen's Association

E. Maine Standardbred Breeders and Owners Association

Other persons desiring to intervene in date assignment hearings must apply to intervene as described in Chapter 21, section 7.

7. Appearance; order of presentation

All applicants must appear at the date assignment hearing at which their applications are scheduled to be heard for the purpose of answering questions from the Commission and intervenors and presenting such other evidence in support of their applications and date requests as they desire. The Commission shall establish the order of appearances of applicants and intervenors.

8. Staff participation

Department staff may prepare and compile statistical and other information for presentation to the Commission as exhibits. The staff shall mail or make available any such exhibits to applicants and intervenors prior to the hearing if possible, but shall not be required to do so. Staff members may testify at any time during hearing.

9. Partial decisions

At any time prior to the conclusion of the proceedings the Commission may rule on license applications already heard and may award racing dates which have not been requested by more than one applicant.

10. Reopening of proceedings

A. The Commission may reopen a date assignment proceeding at any time prior to the final decision or, for purposes of reallocating forfeited race dates, after the final decision. A forfeited race date is any race date that was originally assigned to a licensee but will no longer be used by that licensee.

B. The Commission may in its discretion reopen a race date assignment after final decision upon motion of a licensee that its assigned racing dates be increased, decreased or changed.

C. The Commission may in its discretion reopen, upon motion of a licensee, that any conditions to its license be modified or removed.

When a hearing is reopened under this sub-section, either before or after final decision, the Commission shall give notice, no later than 10 days prior to the hearing, to all parties to the earlier proceeding, and to the public as well if the determination of issues of substantial public interest is involved

Any order reopening the hearing after final decision shall be conditioned upon the moving party reimbursing the Commission for its expenses of preparing, copying, mailing and publishing notice of the reopening hearing.

11. Criteria for licensing and for the award of harness racing dates

The criteria for licensing and for the award of harness racing dates by the Commission shall, in addition to the criteria contained in 8 M.R.S.A., Section 271. include but not be limited to the following factors:

A. The quality of race programming, facilities, and customer amenities offered and to be offered by the applicant and the suitability of the applicant's racing facilities for operation at the season for which the dates are requested;

B. With respect to agricultural societies seeking licenses to conduct harness racing meets at the time of their annual fairs, the scheduling of agricultural fairs as determined by the Commissioner of Agriculture, Conservation and Forestry pursuant to 7 M.R.S.A., Sections 65 and 65-A;

C. The revenues to be generated, consistent with the profitability and financial health of the applicant, for the promotion and breeding of Maine standardbred horses; for the agricultural associations of Maine; and for the General Fund, the purse supplements and other benefits to be provided to horsemen, the Sire Stakes Fund, and the Stipend Fund;

D. The quality of the applicant's observance and enforcement of racing laws and rules during the past year;

E. The feasibility of the applicant conducting a race meet on dates other than those applied for;

F. The winter training and stabling facilities provided by the applicant;

G. Competitive situations affecting certain applicants;

H. The necessity of having and maintaining proper physical facilities for racing meetings; and consequently, to insure the continuance of the facilities, the quality of the licensee's maintenance of its track and plant, the adequacy of its provisions for rehabilitation and capital improvements and the necessity of fair treatment of the economic interests and investments of those who, in good faith, have provided and maintained racing facilities;

I. The desirability of reasonable consistency in the pattern of date assignments from year to year;

J. The preservation of a diversity of harness racing tracks in the State;

K. The extent to which the licensee fully utilized racing dates granted to it for the past year;

L. The personnel and resources available to the Department for the enforcement of the rules and harness racing laws;

M. The likely availability of race-worthy horses throughout the year; and

N. All other factors consistent with the betterment of harness racing affecting the public health, safety, and welfare.

Section 5. Requests for reconsideration

A person aggrieved by a decision of the Commission may petition the Commission once to reconsider that decision. A petition for reconsideration must be made in writing within 10 days after the Commission's decision and may be made for:

A. Correction of any part of the decision that the petitioner believes to be in error and not intended by the Commission, or

B. An opportunity to present new or additional evidence that was not readily available at any prior time in the proceedings,

The petition must set forth in detail the findings or conclusions to which the petitioner objects, the basis of the objections, the nature of any new or additional evidence to be offered and the nature of the relief requested. Within 30 days of receiving a complete reconsideration petition, the Commission shall decide whether to reconsider its decision. The Commission may hold a hearing if it desires to reconsider its decision.

In considering the petition, the Commission may grant the petition in full or in part. or dismiss the petition. The Commission shall provide reasonable notice to the petitioner and other parties in the proceedings.

The Commission may allow the record to be supplemented when it finds that the evidence offered is relevant and material and that an interested party seeking to supplement the record has shown due diligence in bringing the evidence to the process at the earliest possible time and the evidence could not, by the exercise of diligence, have been discovered in time to be presented earlier in the process.

History

• STATUTORY AUTHORITY: 8 MRS §§ 263-A, 268, 275-C, 279-A, 279-B, 281
• REPEALED AND REPLACED: February 22, 1993 (this revision incorporated sections from the previous Chapter 23)
• AMENDED: April 11, 1995
• AMENDED: January 27, 1996 - Section 21(H)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTION: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: June 30, 2002 - Section 3(2) corrected (filing 2002-225)
• AMENDED: October 21, 2008 – Section 2, filing 2008-483
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 – agency name
• AMENDED: July 6, 2020 – Section 4(10)(D), EMERGENCY FILING - EXPIRES 9/30/2020, filing 2020-150
• AMENDED: February 7, 2022 – Section 4(10)(D), reverted (emergency expired)
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 21 General Hearing Procedures

Code Me. R. 01-017 Ch. 21 General Hearing Procedures {#sec-01-017-ch.-21 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-017 Ch. 21}

SUMMARY: This chapter establishes hearing procedures which apply to all hearings conducted by the Commission.

Section 1. Scope

Except as otherwise indicated, the hearing procedures contained in this chapter shall apply to all adjudicatory hearings held by the Commission.

Section 2. De Novo Hearings

Appeals of track judges’ decisions shall be conducted as de novo hearings. The track judge’s findings of violations and remedies shall be vacated, and the burden of persuasion shall lie with the appellee. The appellee must prove violations by a preponderance of the evidence presented at the appeal hearing.

Section 3. Filings

Filings to the Commission may be accomplished by submitting a document at a Commission office to a duly designated representative of the Commission. Commission office means its Augusta office, and during the time in which racing is conducted in the State, at any track holding a sanctioned meet on the day of filing. A duly designated representative of the Commission means personnel employed by the department to carry out the purposes of Title 8 Chapter 11.

Section 4. Hearings conducted before Commission chair

Hearings held subject to the requirements of this chapter shall be conducted before the full Commission or, as provided in this section, by the chair of the Commission.

The Chair of the Commission may conduct hearings as a sole member hearing board on the following matters:

1. Violations of the rules that could result in a level 3, 4, or 5 penalty and unclassified penalties involving failure to pay fines or purse distributions.

2. Violations of the rules involving first and second positive test violations involving a Class 3, 4, or 5 banned substance.

3. Violations of the rules by a racing association; and

4. Positive tests by a licensee.

All other hearings, including Licensing Hearings and Date Assignment Hearings must be conducted by a quorum of the full Commission.

The Commission, with reasonable notice to the chair, may require the full Commission to conduct a hearing normally held by the chair. The chair, with reasonable notice to the Commission, may schedule a full Commission hearing on any issue normally heard solely by the chair.

The Chair of the Commission may suspend a license in conformity with 5 M.R.S.A. §10004(5)(B) if required to immediately remedy the needs of the sport, provided that suspension shall not continue for more than 30 days.

Section 5. Evidence

1. Video Recording. In any hearing in which a video recording of the race at issue was made and is relevant to the dispute, the racing judges shall be responsible for bringing the video recording to the hearing. If the Commission does not have access to compatible playback equipment the racing judges shall also be responsible for furnishing same. Explanatory testimony may be given while the videotape is being run.

2. Any party may move to introduce into evidence any part of an audio recording of a judges' hearing in an appeal of the judge’s ruling. The racing judges shall be responsible for bringing the audio recording to the hearing if requested to do so by a party reasonably in advance of the hearing. If the Commission does not have access to compatible playback equipment the racing judges shall also be responsible for furnishing same.

Section 6. Conclusion of hearing; reopening of record; further proceedings

Upon the conclusion of the evidentiary hearing, no other evidence or testimony shall be permitted unless the record is held open by the Commission for the receipt of additional material specifically designated. The Commission may reopen the record for further proceedings at any time prior to decision upon provision of appropriate notice to parties and other interested persons. In a hearing involving a proposed modification or amendment of a license which was the subject of an earlier hearing, the Commission shall give notice thereof to all parties to the earlier proceeding and to the public as well if the determination of issues of substantial public interest is involved.

Section 7. Service of Written Materials

Copies of all pleadings, briefs, motions or documentary evidence filed by a party with the Commission shall also be served, by first-class mail or by hand, upon all other parties to the proceeding. For violation of this rule the presiding officer may refuse to accept the material filed in the record.

Section 8. Requests for reconsideration

A person aggrieved by a decision of the Commission may request that the Commission reconsider that decision. A request for reconsideration must be made in writing within 10 business days after the Commission's decision and may be made for:

1. Correction of any part of the decision that the party believes to be in error, or

2. An opportunity to present new or additional evidence that was not readily available at any prior time in the proceedings,

The request must set forth the findings or conclusions to which the party objects, the basis of the objections, the nature of any new or additional evidence to be offered and the nature of the relief requested. Within 30 days of receiving a complete reconsideration request, the Commission shall decide whether to reconsider its decision. The Commission may hold a hearing if it desires to reconsider its decision.

In considering the request, the Commission may grant the party in full or in part or deny the request. The Commission shall provide reasonable notice to the party and other parties in the underlying proceedings.

The Commission may allow the record to be supplemented when it finds that the evidence offered is relevant and material and that an interested party seeking to supplement the record has shown that bringing the evidence to the process earlier in the proceeding was not possible.

History

• STATUTORY AUTHORITY: 8 MRSA §§ 263-A, 263-C, 264, 267-A, 268, 272-B, 272-C, 279, 279-A, 279-E, 281, 298
• REPEALED AND REPLACED: February 22, 1993 (this revision was previously Chapter 28)
• AMENDED: March 3, 1995 (EMERGENCY)
• AMENDED: January 27, 1996 - Section 11
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 17, 1997
• NON-SUBSTANTIVE CORRECTIONS: March 2, 2000 - converted to MS Word
• REPEALED AND REPLACED: May 29, 2001
• AMENDED: October 5, 2005 – Section 11, last paragraph, filing 2005-406 (EMERGENCY)
• AMENDED: July 19, 2006 – Section 11, sub-section 4, last paragraph, filing 2006-319
• NON-SUBSTANTIVE CORRECTION: July 24, 2013 – agency name in title
• REPEALED AND REPLACED: May 28, 2022 – filing 2022-094

01-020 Maine Agricultural Bargaining Board

Chapter 1 Rules of the Agricultural Bargaining Board

Code Me. R. 01-020 Ch. 1 Maine Agricultural Bargaining Board {#sec-01-020-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-020 Ch. 1}

SUMMARY: The purpose of this Board is to provide standards for the qualifications of agricultural cooperative organizations for bargaining purposes, to define the mutual obligation of handlers and agricultural cooperative organizations to bargain with respect to the production, sale and marketing of agricultural products and to provide for the enforcement of such obligation.

1. Filing Requirements

A. Each association of producers seeking qualification as bargaining agency must file with the Board a copy of its bylaws.

2. Notice of Hearing

A. Notice of hearings to be held as provided in Sec. 1957-3 of the Maine Agricultural Marketing & Bargaining Act of 1973, 13 MRSA., Sec. 1953-65 shall be sent to involved parties by registered mail at least ten (10) business days prior to the date set for the hearing, and published in a newspaper circulating in the area concerned.

3. Annual Report

A. Each accredited association of producers shall file an annual report with the Board by February 1. This report shall include:

1. The names and addresses of the association's officers and members who actually will bargain with a particular handler.

2. An accounting of the association's expenses in providing bargaining services.

3. Dues and fees received from members and non-members.

4. A copy of the association's latest financial statement.

5. Any changes in bylaws since the previous annual report.

6. Single-Member Hearing

A. Single-member hearings, as provided in Sec. 1958-6, may be conducted only by one of the board's public members.

5. Hearing Record

A. The hearing record required in Sec. 1958-7 shall be kept by means of a tape recording. Transcriptions of such recordings may be obtained by any interested party, the cost of transcribing to be borne by that party.

6. Time Limitation

A. The "reasonable time" for supplying products referred to in Sec. 1958-5 shall be determined by the Board on the basis of the circumstances presented to it in each case.

7. Confidential Information

A. No member of the Board shall divulge any information about the business of an interested party in a case before the Board that comes to the member by word-of-mouth or examination of records unless: (a) the interested party consents; (b) a court of competent record so orders; (c) the information becomes a matter of recorded, relevant and material testimony in evidence in the case being heard.

History

• STATUTORY AUTHORITY: Title 13 §1956 sub-section 6
• EFFECTIVE DATE: March 24, 1974
• ACCEPTED FOR FILING: October 30, 1978
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 29, 2000 - converted to MS Word
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-020 Chapter 1 page 2

Chapter 2 Conduct of Public Hearings

Code Me. R. 01-020 Ch. 2 Conduct of Public Hearing {#sec-01-020-ch.-2 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-020 Ch. 2}

SUMMARY: Producers of agricultural products felt they were not being treated fairly by handlers with respect to the production, sale and marketing of their products. Accordingly the Maine Agricultural Marketing and Bargaining Act provides for the producers and handlers to negotiate in good faith with regard to the production, sale and marketing of the products involved. Any agricultural organization who feels it is qualified, may submit an application to the board for consideration to be qualified as a bargaining agent.

1. Scope of Rules

A. These rules and regulations shall govern all public hearings conducted by the Agricultural Bargaining Board (hereinafter "the Board") concerned with the petition by an association of producers (hereinafter "the petitioner") desiring qualification, pursuant to 13 MRSA §1957, and concerned with the revocation by the Board of the qualification of an association pursuant to 13 MRSA §1957(7). These rules and regulations shall be liberally construed to secure the just, speedy and inexpensive adjudication of such matters. In special cases, where good cause appears, the Board may permit deviation from these rules insofar as it may find compliance therewith to be impracticable or unnecessary.

2. Notice and Location

A. Notice of the hearing shall be sent to the petitioner and to the handler or handlers with whom bargaining is proposed (hereinafter "the handler") by registered mail at least 14 days prior to the date set for the hearing. Notice shall also be published at least 7 day prior to the date set for the hearing in a newspaper circulating in the area concerned. Hearings shall be held in a place as is determined to be most convenient to the Board, the petitioner, and the handler, at the discretion of the Chairman of the Board.

3. Presiding Officer

A. The Presiding Officer at any hearing shall be either (1) the Chairman of the Board, if present and willing to preside, otherwise (2) a member designated by the Board to act for the Chairman. The Presiding Officer shall have the authority to:

1. Administer oaths or affirmations

2. Rule upon issues of evidence

3. Rule upon issues of procedure

4. Regulate the course of the hearing

5. Certify questions to the Board for its determination

6. Take such other actions as may be order by the Board or that are necessary for the efficient and orderly conduct of the hearing, consistent with these regulations and applicable statutes

7. Prehearing and Midhearing Conferences

A. The Presiding Officer may upon notice to the petitioner and the handler hold a prehearing conference with the petitioner and the handler for the purpose of formulating or simplifying the issues, obtaining admissions of fact and of documents, arranging for the exchange of proposed exhibits or prepared expert testimony, limitation of number of witnesses and consolidation of the examination of witnesses, procedure at the hearing and such other matters which may expedite orderly conduct and disposition of the proceedings. The Presiding Officer may, in his discretion, recess the hearing and call the petitioner and the handler for a conference to effectuate the purposes of this Rule 4. The action taken at any such prehearing or midhearing conference shall be stated on the record by the Presiding Officer.

5. General Conduct of the Hearing

A. Recording of Testimony: All testimony at hearings before the Board shall be recorded and, as necessary transcribed.

B. Witnesses: Witnesses shall be sworn. Witnesses may be compelled to attend, testify and produce records if subpoenaed by the Board. Witnesses will be required to state for the record their name, residence, business or professional affiliation, if any, and whether or not they represent another individual, firm, association, state or federal agency or other legal entity for the purpose of the hearing.

C. Regulations of certain devices: The placement and use of television cameras, still cameras, motion picture cameras, tape recorders, microphones or similar devices at Board hearings may be regulated by the Presiding Officer in a manner consistent with the provisions of Title 1 M.R.S.A. § 401 et seq.

6. Evidence

A. Evidence which is relevant and material to the subject matter of the hearing and is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs shall be admissible. Evidence which is irrelevant, immaterial, or unduly repetitious shall be excluded.

B. Official Notice: The Board may, at any time, take official notice of relevant laws, official regulations, judicially recognizable facts, generally recognized facts of common knowledge to the general public and physical, technical, agricultural or scientific facts within its specialized knowledge. The Board shall include in its final decision those facts of which it took official notice, unless those facts are included in the transcript of the record.

C. Proof of Official Record: The Presiding Officer may require that an official record, or lack thereof, be evidenced by an official publication or by a copy or a statement attested by a person having, or who would ordinarily have, the legal custody of the record.

D. Documentary and Real Evidence: All documents, materials and objects offered in evidence as exhibits shall, if accepted, be numbered or otherwise identified. Documentary evidence may be received in the form of copies or excerpts if the original is not readily available.

E. Objections: All objections to rulings of the Presiding Officer regarding evidence or procedure and the grounds therefor shall be timely stated during the course of the hearing. If during the course of or after the close of the hearing and during its deliberations the Board determines that the ruling of the Presiding Officer was in error, it may reopen the hearing and take such other action as it deems appropriate to correct such error.

7. Record

A. The record of the hearing shall consist of the petition filed with the Board by petitioner (including exhibits and documents and amendments thereto), the transcript of the hearing, all exhibits, the proposed findings of fact and conclusion of the Presiding Officer, if any, and the findings of fact and conclusions of the Board, if any.

8. Participation by Interested Persons

A. Any person may, in the discretion of the Presiding Officer, be permitted to make oral or written statements on the issues, introduce documentary, photographic and real evidence, within such limits and on such terms and conditions as may be fixed by the Presiding Officer or the Board.

9. Testimony and Cross-Examination

A. Direct testimony shall be offered in the following order:

1. Petitioner

2. Handler

3. Other interested persons

B. Cross-examination and Questions: At the conclusion of the testimony of each witness, the Board members, the petitioner, and handler shall have the right of oral cross-examination. Cross-examination shall be conducted in the following order:

1. Board members, and counsel for the Board may be permitted by the Presiding Officer to ask questions at any time.

2. The Petitioner

3. The Handler

4. All other persons may have the opportunity to question such witnesses within such limits, and on such terms as may be fixed by the Presiding Officer or the Board.

C. In usually complex situations, or where there are large number of participants in the hearing, or where the circumstances are such that oral examination by the public would unreasonably impede the orderly procedure of such hearing, the Presiding Officer may require that such examination be conducted in the form of written questions submitted to the Presiding Officer and read to the witnesses, or the Presiding Officer may prohibit such persons from asking any questions.

D. The Presiding Officer may require that all examinations, either written or orally be conducted at the conclusion of the testimony of each category of witness rather than at the conclusion of the testimony of each witness.

E. Rebuttal: A person who has concluded his presentation cannot thereafter introduce further evidence except in rebuttal unless by leave of the Presiding Officer. Rebuttal evidence shall be directed only to matters brought out by another person except by leave of the Presiding Officer.

F. Varying Order of Appearance: When circumstances warrant, the Presiding Officer may vary the order in which witnesses appear and the order in which testimony is given or witnesses cross-examined.

10. Continuance

A. All hearings conducted pursuant to these regulations may be continued for reasonable cause and reconvened from time to time and from place to place by the Presiding Officer, as circumstances require.

The Presiding Officer shall notify the petitioner and the handler, and the public, in such a manner as is appropriate to insure that reasonable notice will be given of the time and place of such reconvened hearing.

11. Oral Argument

A. Oral argument by the petitioner, and the handler, may be permitted before the Board at the conclusion of the evidence. The petitioner and the handler shall each have 20 minutes for oral argument.

12. Reopening the Record Prior to Decision

A. Prior to issuance of a final decision, the Board may, either on its own motion, or for good cause shown on motion of the petitioner or the handler, reopen the hearing for the submission of additional evidence. The Presiding Officer shall give written notice of such re-opened hearing to the petitioner and the handler at least 7 days prior to the reopening, by registered mail, and shall give appropriate notice to the public

13. Computation of Time

A. All computations of time under these Rules shall be in the same manner as provided by Maine Rules of Civil Procedure, Rule 6 (A).

14. Burden of Proof

A. Unless otherwise provided by law or regulation, the petitioner shall have the burden of proof.

15. Conduct of Public Hearings

A. All previous regulations regarding the conduct of public hearings concerned with the petition of an association of producers desiring qualification pursuant to §1957 are hereby repealed.

History

• STATUTORY AUTHORITY: Title 13 §1956 sub-section 6
• EFFECTIVE DATE: November 24, 1975
• ACCEPTED FOR FILING: October 16, 1978
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 29, 2000 - converted to MS Word
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-020 Chapter 2 page 6

01-026 Board of Pesticides Control

Chapter 10 Definitions and Terms

Code Me. R. 01-026 Ch. 10 Definitions and Terms {#sec-01-026-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 10}

SUMMARY: These definitions and terms are defined as they specifically relate to the use of pesticides, the certification and licensing of pesticide applicators and dealers, and other areas as regulated by the Board in succeeding chapters.

Section 1. Consistent with Statute

All terms used in these Chapters shall be defined as indicated in Title 22 M.R.S.A., Chapter 258‑A unless specifically provided herein.

Section 2. Definitions

A. "Aerial applicator" means all persons who dispense pesticides by means of any machine or device used or designed for navigation of or flight in the air.

B. “Agricultural pesticide application” means any application of a pesticide upon an agricultural commodity which is performed by or for a commercial agricultural producer.

C. "Air-carrier application equipment" means any application equipment that utilizes a mechanically generated airstream to propel the spray droplets.

D. "Applicant" means a person or persons who apply for a certification, license or permit authorized in 22 M.R.S.A. §1471‑D or §1471‑N.

E. "Branch office" means:

1. any home, store or other business location where an employee of a spray contracting firm directly accepts requests for pest control services from clients through mail, telephone or walk-in inquiries, and

2. any government or university office where employees receive regular direction to apply pesticides in connection with their duties.

3. It does not include the home of an employee who receives work assignments and directions from a branch office with a master applicator.

F. “Calibration of equipment” means measurement of dispersal or output of application equipment and adjustment of such equipment to control the rate of dispersal, and droplet or particle size of a pesticide dispersed by the equipment.

G. "Certification" means the recognition by the Board that an applicant has successfully fulfilled all the appropriate competency criteria as set forth in these Chapters.

H. "Commercial agricultural producer" means, for the purposes of Chapter 50, any person who produces an agricultural commodity for commercial purposes.

I. "Commercial applicator" means any person, unless exempted in I(4) hereunder, whether or not the person is a private applicator with respect to some uses, who:

1. Uses or supervises the use of any limited or restricted use pesticide other than as a private applicator; or

2. Makes or supervises a custom application of a general use pesticide; or

3. Applies a pesticide in connection with their duties as an official or an employee of federal, state, county, university or local government.

4. The following classes of applicators are exempt from commercial certification/licensing requirements. Applications not listed below must be performed under the direct on-site supervision of a licensed commercial applicator Master and/or Operator.

Persons applying ready-to-use general use pesticides by hand or with non-powered equipment:

to control stinging insects when there is an urgent need to mitigate or eliminate a pest that is a threat to health or safety; or

to repel biting insects on patients and other persons under their care or supervision who are unable to apply the material to themselves; or

to repel biting insects on minors, such as students and campers, provided that a parent or legal guardian has authorized the application of insect repellents.

b. Persons applying general use antimicrobial products by hand or with non-powered equipment to interior or exterior surfaces and furnishings of buildings during the course of routine cleaning procedures.

c. Persons applying general use paints, stains or wood preservatives, except for the treatment of standing utility poles.

d. Persons installing hardware such as doorknobs and pushplates.

J. "Commercial applicator/Master" means a commercial applicator who, unless exempted in Chapter 31, Section 1(Company/Agency Licensing Requirements), is responsible for the major pest control decisions including, but not limited to, identifying unusual pests and choosing the appropriate pest control strategies and techniques. This person is also responsible for establishing policies relating to the operating practices of others applying pesticides within the company or agency. Such practices may include equipment maintenance and calibration, employee training, safety and hygiene, pesticide and container disposal, accident mitigation and ensuring that applications are conducted in compliance with all state and federal laws and regulations.

K. "Commercial applicator/Operator" means a commercial applicator who:

1. applies or directs the application of a pesticide according to the instructions of the master when a master is required according to Chapter 31, Section 1 (Company /Agency Licensing Requirements); or

2. applies or directs the application of a pesticide and performs the function of the master applicator when a separate master is not required according to Chapter 31, Section 1(Company/Agency Licensing Requirements).

L. "Compact urban line" means that delineation made by the Maine Department of Transportation which denotes a section of the highway where structures are nearer than 200 feet apart for a distance of one-quarter of a mile.

M. Compatibility” means that property of a pesticide that permits its use with other chemicals without undesirable results being caused by the combination.

N. “Competent” means properly qualified to perform functions associated with pesticide application, the degree of capability required being directly related to the nature of the activity and the associated responsibility.

O. “Common exposure route” means a likely way (oral, dermal, respiratory) by which a pesticide may reach and/or enter an organism.

P. "Custom application" means an application of a pesticide:

1. Under contract or for which compensation is received;

a. For the purposes of this definition, "under contract" includes: verbal or written agreements to provide services which include the use of any pesticide; i.e., private or commercial rental agreements, pest control service agreements, landscape maintenance agreements, etc.

b. For purposes of this definition, compensation is deemed to have been received for a pesticide application where any form of remuneration has been or will be exchanged, including payment of cash, rent, or other financial consideration, or by the exchange of goods and/or services. This also includes any agreements where crops grown on rented land will be sold to the landowner or are otherwise grown for the benefit of the land owner.

2. To a property open to use by the public;

a. For purposes of this definition, property is deemed to be open to use by the public where its owner, lessee or other lawful occupant operates, maintains or holds the property open or allows access for routine use by members of the public. Persons are considered to be members of the public even though they may pay a fee or other compensation in order to make use of the property or may visit the property for a commercial purpose.

b. Property open to use by the public includes but is not limited to: shopping centers, office and store space routinely open to the public (i.e. rest rooms, self-service areas and display aisles), common areas of apartment buildings, occupied apartments, public pools and water parks, schools and other institutional buildings, public roads, organized recreational facilities, golf courses, campgrounds, parks, parking lots, ornamental and turf areas around condominiums, apartment buildings, stores malls and retail areas of greenhouses and nurseries if the public is allowed access before the pesticide restricted-entry or re-entry interval elapses.

c. Examples of property not open to use by the public include without limitation: farms, forest lands, and private residential or commercial property which is not routinely operated or maintained for use by the public or otherwise held open to public use.

d. Notwithstanding this definition, property shall not be deemed to be open for use by the public in the following cases:

i. where the property is devoted primarily to agricultural, forest, ornamental tree or plant production, but this exception shall not apply to campgrounds, leased inholdings or roads within such property which are open for use by the public;

ii. where the public has not been permitted upon the property at any time within seven days of when the property received a pesticide application;

iii. forestry rights of way where the property has been closed during the time of spraying or during the label restricted entry interval or re‑entry period, whichever is greater.

Iv where the public has not been permitted on the treated portion of privately held recreational land within seven days of a pesticide application for vegetation management.

3. In a food establishment licensed under M.R.S. 22, Chapter 551, or an eating establishment licensed under M.R.S. 22, Chapter 562, except that “custom application” does not include a pesticide application at a licensed food or eating establishment when:

a. The establishment is ancillary to the production of an agricultural commodity;

b. The owner or an employee of that establishment is certified as a private applicator under section 1471-C, subsection 2; and

c. The property is not open to the public.

4. A pesticide application shall not be deemed a custom application where it is undertaken by a licensed private applicator on property owned or rented by him or his employer or in trade for personal agricultural services between producers of agricultural commodities.

Q. "Distribute" means to offer for sale, hold for sale, sell, barter, ship, deliver for shipment or receive and, having so received, deliver or offer to deliver pesticides in this state. This also means giving free samples of unregistered products to any person. Sales of hardware, such as doorknobs and pushplates, shall not be considered distribution for the purposes of this definition.

R “Environment” means water, air, land, and all plants and man and other animals living therein, and the interrelationships that exist among them.

S. "Forest" means a concentration of trees and related vegetation managed primarily for the production of forest agricultural commodities such as timber, fiber or other wood products, including other similar areas managed for recreation or resource conservation.

T. For the purposes of 22 M.R.S. §1471-D (9), “Government Employee” means a person who is employed full- or part-time as a regular employee of any governmental or quasi-governmental organization including federal, state, county and municipal governments and public universities.

U. “Hazard” means a probability that a given pesticide will have an adverse effect on man or the environment in a given situation, the relative likelihood of danger or ill effect being dependent on a number of interrelated factors present at any given time.

V. “Host” means any plant or animal on or in which another lives for nourishment, development, or protection.

W. "Integrated Pest Management" (IPM) means the selection, integration and implementation of pest damage prevention and control based on predicted socioeconomic and ecological consequences, including: (1) understanding the system in which the pest exists, (2) establishing dynamic economic or aesthetic injury thresholds and determining whether the organism or organism complex warrants control, (3) monitoring pests and natural enemies, (4) when needed, selecting the appropriate system of cultural, mechanical, genetic, including resistant cultivars, biological or chemical prevention techniques or controls for desired suppression, and (5) systematically evaluating the pest management approaches utilized.

X. "Integrated Pest Management Coordinator" means the lead person in a school system or school who is knowledgeable about integrated pest management and is designated by each school to implement the school pest management policy.

Y. "License" means a commercial applicator license, a private applicator certification, a dealer license, a permit to chemically control vertebrate animals, or a permit to apply limited use pesticides.

Z. "Licensing" means the issuance by the Board of a document signifying that the applicant has been certified and has met all applicable employee, fee, insurance and reporting requirements.

AA. "Major application project" means any pesticide application contract that requires the applicator to apply pesticides to more than 1000 acres in the aggregate within a given year. This does not include repeat applications to the same site.

BB. "Major pesticide storage facility" means any fixed-site, totally enclosed building or portion of such building owned and/or operated by a pesticide distributor where pesticides are held in storage and which meets one of the following criteria:

1. contains at any one time an amount greater than or equal to 6,000 pounds of dry pesticide product, other than dry formulations of products listed in Chapter 24, Section 2, "Exempted Products," or

2. contains at any one time an amount greater than or equal to 600 gallons of liquid pesticide product, other than liquid formulations of products listed in Chapter 24, Section 2, "Exempted Products," or

3. contains liquid pesticides in containers that are thirty (30) gallons or greater in size, other than liquid formulations of products listed in Chapter 24, Section 2, "Exempted Products."

CC. "Minor pesticide storage facility" means any fixed-site, totally enclosed building or portion of such building owned and/or operated by a pesticide distributor where pesticides are held in storage and which meets one of the following criteria:

1. contains at any one time an amount greater than 100 pounds but less than 6,000 pounds of dry pesticide product, other than dry formulations of products listed in Chapter 24, Section 2, "Exempted Products," or

2. contains at any one time an amount greater than 50 gallons but less than 600 gallons of liquid pesticide, other than liquid formulations of products listed in Chapter 24, Section 2, "Exempted Products," or

3. contains liquid pesticides in containers greater than three (3) gallons but less than thirty (30) gallons in size, other than liquid formulations of products listed in Chapter 24, Section 2, "Exempted Products."

DD. “Non-agricultural pesticide application” means any application of a pesticide that is not an agricultural pesticide application.

EE. "Non‑powered equipment" means pesticide spray equipment which pumps and disperses pesticides without utilization of an electric, gasoline, wind‑driven or other motorized power source. By way of example, non‑powered equipment includes manual pump spray equipment and self‑contained aerosol spray cans or bottles but does not include equipment which employs a motor, except one powered only by hand.

FF. “Non-target organism” means a plant or animal other than the one against which the pesticide is applied.

GG. "Off‑target direct discharge of pesticides" means the direct application of pesticides onto property beyond the boundaries of the target area intended to be treated. Presence of off‑target direct discharge of pesticides may be determined by any evidence, through observation, residue samples or other techniques, that an off‑target area has received substantially the same dose of pesticide as a target area.

HH. "Off‑target drift of pesticides" means the drifting of pesticides by air currents or diffusion with resulting deposition of pesticides onto property beyond the boundaries of the target area intended to be treated. The detection of pesticides beyond the boundaries of the target area intended to be treated shall be presumed to be as a result of off‑target drift unless there is evidence of off‑target direct discharge of pesticides.

II. "Ornamental plant" means shrubs, trees and related vegetation in and around habitation generally, but not necessarily, located in urban and suburban areas, including residences, parks, streets, retail outlets, and industrial and institutional buildings.

JJ. "Other forest pests" means forest pests, other than insects and include, but are not limited to, weeds, mites, nematodes, fungi, bacteria, and viruses.

KK. "Owner" means sole proprietor, partner or stockholder.

LL. "Person" means any individual, partnership, fiduciary, corporation, governmental entity, association or public or private organization of any character, other than the Board.

MM. "Pesticide" means any substance or mixture of substances intended for preventing, destroying, repelling or mitigating any pest; any substance or mixture of substances intended for use as a plant regulator, defoliant or desiccant; and any nitrogen stabilizer. It does not include multicellular biological controls such as mites, nematodes, parasitic wasps, snails or other biological agents not regulated as pesticides by the U.S. Environmental Protection Agency.

NN. "Pesticide dealer" means any person who distributes limited or restricted‑use pesticides, including but not limited to sales personnel in an outlet, field salesmen, and manufacturers' representatives selling pesticides directly to the consumer or who accept orders for pesticides.

OO. "Pesticide distributor" means any person required to be licensed to distribute general, restricted or limited use pesticides.

PP. "Pesticide storage facility" means any fixed-site, totally enclosed building or portion of such building where pesticides are held for storage.

QQ. “Practical knowledge” means the possession of pertinent facts and comprehension together with the ability to use them in dealing with specific problems and situations.

RR. “Principal place of business” means the principal location, either residence or office, in the State in which an individual, partnership, or corporation applies pesticides.

SS. "Private Applicator" means any person who uses or supervises the use of any pesticide which is classified for restricted or limited use for purposes of producing any agricultural commodity on property owned or rented by him or his employer or, if applied without compensation other than the trading of personal services between producers of agricultural commodities, on the property of another person. In situations where the applicator is applying pesticides to crops on rented land, there must be a written contract showing that the grower/applicator retains control over the property as well as the disposition or sale of the harvested crop.

TT. "Private domestic well" means any well used for drinking water other than one which serves a public water system.

UU. "Project" means, for the purposes of Chapter 51, the aerial application of pesticides to control an individual forest insect pest complex provided by:

1. Any number of applicator businesses for a single person, or

2. One applicator business on contiguous parcels of land.

VV. “Public precautions" means those statements which appear on the pesticide label directed towards the non-applicator public. Public precautions may include, but are not limited to, re-entry intervals.

WW. "Public water system" means any water supply system that provides water to at least 15 service connections or serves water to at least 25 individuals daily for at least 30 days a year.

XX. “Regulated pest” means a specific organism considered by a State or Federal agency to be a pest requiring regulatory restrictions, regulations, or control procedures in order to protect the host, man and/or his environment.

YY. "School" means any public or private elementary or secondary school, kindergarten or nursery school that is part of an elementary or secondary school or a tribally funded school.

ZZ. "School Building" means any structure used or occupied by students or staff of any school.

AAA. "School Grounds" means:

1. land associated with a school building including playgrounds, athletic fields and agricultural fields used by students or staff of a school, and

any other outdoor area used by students or staff that is under the control of a school.

BBB. "Self-service sales area" means any area within or immediately outside a retail or wholesale business in which members of the public have direct access to pesticide products. For the purposes of this chapter, self-service sales areas shall be limited to those pesticide products which require a pesticide dealer to be licensed under 22 M.R.S.A. §1471-W, "General Use Pesticide Dealers."

CCC. "Sensitive area" means any of the following, except where the area involved is the intended target of the pesticide application:

1. Apiaries, the location of which is registered with the Department of Agriculture, Conservation and Forestry pursuant to 7 M.R.S.A.§2701;

2. Critical areas designated by the Board pursuant to 22 M.R.S.A. §1471‑M(2);

3. Public wells, drinking water springs used by the public, and public water supply intake points, provided the location of the same is known or should reasonably be known to the pesticide applicator;

4. Private sources of drinking water, where the owner or legal user thereof has given prior notice of the location of such source to the landowner or lessee of the area which will be subject to a pesticide application;

5. Water bodies, including streams, brooks, rivers, ponds, lakes, estuaries and marine waters, provided that any such water body contains water at the time of the pesticide application and is known to the spray applicator or is reasonably detectable from visual observation, reasonably available maps or reasonable inquiry. This term shall not include: (a) in the case of forest aerial spray programs, streams and brooks that are neither shown on reasonably available maps nor visible from an aircraft operating at 1000 feet in elevation above ground level; and (b) waters that are confined and retained completely upon the property of the person conducting or contracting for spray services, and that do not drain into or connect with any other water body;

6. Wetlands of Special Significance.

7. Cleared areas where livestock are contained or pastured, cultivated land, cropland or gardens.

8. A “Sensitive Area Likely to Be Occupied” is an area where humans are likely to be present including the following:

a. Residential buildings, together with any associated maintained areas likely to be occupied by humans, such as lawns, gardens, recreational areas and livestock management and housing areas;

b. School buildings, together with any associated maintained areas that are areas likely to be occupied by humans, such as playgrounds, athletic fields or courts;

c. Commercial, institutional, or other structures likely to be occupied by humans, together with any associated maintained areas such as lawns, gardens, parking and recreational areas;

d. Maintained recreational areas likely to be occupied by humans including campgrounds, picnic areas, marked roadside rest areas, marked hiking trails, park and recreation facilities, athletic fields, and other areas for organized sports or recreation. This definition does not include trails located on privately owned lands which are used by permission of the landowner.

DDD. "Spray application" means, for the purposes of Chapter 51, the dispensing of pesticides in any manner from an aircraft.

EEE. "Spray contracting firm" means any person, including a corporation, employed or contracted to conduct a public or private custom application of one or more pesticides. This term does not include:

1. the owner or lessee of land to be sprayed and employees of that landowner or lessee,

2. the Division of Forestry and the employees of the Division of Forestry,

3. individuals who are certified as commercial applicators providing that individual does not have in his/her employment one or more others to undertake pesticide applications; or

4. persons who perform custom applications of pesticides solely on or within a premises which they own or lease.

5. persons and corporations that subcontract for pesticide applications, but do not maintain any control over the pesticide application including which pesticides are applied, when they are applied or how they are applied.

FFF. "Spray period report" means a written description of the spray activity certifying he date and time, the area usually sprayed, the pesticide used, and including a description of the weather conditions during spray activity. The report must also include a map showing where spray booms were turned on and off, with notation of any non‑target areas that were sprayed.

GGG. “Standard” means the measure of knowledge and ability that must be demonstrated as a requirement for certification.

HHH. "Storage" means holding pesticides for distribution in locations other than self-service sales areas.

III. “Susceptibility” means the degree to which an organism is affected by a pesticide at a particular level of exposure.

JJJ. “Toxicity” means the property of a pesticide to cause any adverse physiological effects.

KKK. “Uncertified person” means any person who is not holding a currently valid certification document indicating that he is certified under section 4 of FIFRA in the category of the restricted use pesticide made available for use.

LLL. "Wetlands of Special Significance" means all coastal wetlands and great ponds. In addition, certain freshwater wetlands are considered wetlands of special significance if they have one or more of the following characteristics.

1. Critically imperiled or imperiled community. The freshwater wetland contains a natural community that is critically imperiled (S1) or imperiled (S2) as defined by the Natural Areas Program.

2. Significant wildlife habitat. The freshwater wetland contains significant wildlife habitat as defined by 38 M.R.S.A. §480-B(10).

3. Location near coastal wetland. The freshwater wetland area is located within 250 feet of a coastal wetland.

4. Location near GPA great pond. The freshwater wetland area is located within 250 feet of the normal high water line, and within the same watershed, of any lake or pond classified as GPA under 38 M.R.S.A. §465-A.

5. Aquatic vegetation, emergent marsh vegetation or open water. The freshwater wetland contains under normal circumstances at least 20,000 square feet of aquatic vegetation, emergent marsh vegetation or open water, unless the 20,000 or more square foot area is the result of an artificial ponds or impoundment.

6. Wetlands subject to flooding. The freshwater wetland area is inundated with floodwater during a 100-year flood event based on flood insurance maps produced by the Federal Emergency Management Agency or other site-specific information.

7. Peatlands. The freshwater wetland is or contains peatlands, except that the Department of Environmental Protection may determine that a previously mined peatland, or portion thereof, is not a wetland of special significance.

8. River, stream or brook. The freshwater wetland area is located within 25 feet of a river, stream or brook.

History

• STATUTORY AUTHORITY: 22 M.R.S.A., Chapter 258-A
• EFFECTIVE DATE: July 6, 1979
• AMENDED: April 27, 1988
• AMENDED: May 21, 1996
• AMENDED: August 17, 1996
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: April 14, 1998 - inserted definitions for “Agricultural pesticide application” and “Non-agricultural pesticide application”; renumbered; converted to MS Word.
• AMENDED: March 5, 2003
• NON-SUBSTANTIVE CORRECTION: February 17, 2004 - cross reference in Section 2.H
• AMENDED: January 4, 2005 – filing 2004-602
• AMENDED: March 4, 2007 – Section 2(I)(4)(c), filing 2007-64
• AMENDED: July 16, 2009 – filing 2009-251 (major substantive final adoption)
• AMENDED: January 29, 2013 – filing 2013-014
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: July 23, 2019 – Section 2(A), (P)(2)(d), filing 2019-130

Chapter 20 Special Provisions

Code Me. R. 01-026 Ch. 20 Special Provisions {#sec-01-026-ch.-20 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 20}

SUMMARY: These provisions regulate the use, storage and disposal of pesticides with specific emphasis on registered pesticides, right of way and aquatic applications and employer/employee requirements.

Section 1. Registered Pesticides

A. Definitions

“Perfluoroalkyl and Polyfluoroalkyl Substances” or “PFAS” means substances that include any member of the class of fluorinated organic chemicals containing at least one fully fluorinated carbon atom.

B. The use of any pesticide not registered by the Maine Board of Pesticides Control in accordance with Title 7 M.R.S.A. §601 is prohibited except as otherwise provided in this chapter or by FIFRA, Section 2(ee).

C. The use of registered pesticides for other than registered uses, or at greater than registered dosages, or at more frequent than registered intervals is prohibited, provided that application or use of unregistered pesticides and unregistered applications or uses of registered pesticides may be made for experimental purposes if in accordance with requirements of the Maine Board of Pesticides Control, and the U.S. Environmental Protection Agency.

D. Retailers and end users of pesticides no longer registered in Maine may continue to sell and use those items provided they were properly registered when obtained and such distribution and use is not prohibited by FIFRA or other Federal law.

E. In conducting review of registration or re‑registration pursuant to 7 M.R.S.A. §607‑A, the Board may consider the potential for environmental damage by the pesticide through direct application on or off‑target or by reason of drift. If the Board finds that the use of the pesticide is anticipated to result in significant adverse impacts on the environment, whether on or off‑target, which cannot be avoided or adequately mitigated, registration or re‑registration will not be granted unless the Board finds that anticipated benefits of registration clearly outweigh the risks. In any case where the Board may request data in connection with registration or re‑registration of any pesticide, such data may include that concerning pesticide residues, propensity for drift and testing therefor. Such data, if requested, shall provide information regarding residues and residue effects on plant tissues, soil and water and other potential deposition sites, and shall take into consideration differences in plants, soils, climatic conditions at the time of application and application techniques.

F. In conducting review of registration or reregistration pursuant to 7 M.R.S.A §607-A, the Board shall require submission of the confidential statement of formula as defined in 7 M.R.S.A. §607 (5-A) and the following affidavits:

a completed and signed form provided by the Board at the time of application for product registration review or reregistration which attests that the pesticide has or has never been stored, distributed, or packaged in a fluorinated container; and

a completed and signed form provided by the Board at the time of application for product registration review or reregistration which attests that the pesticide formulation does or does not contain perfluoroalkyl or polyfluoroalkyl substances as defined by the Board for this purpose of this section.

Section 2. Right-of-Way

Deciduous growth over six feet in height and evergreen growth over three feet in height shall not be sprayed with a herbicide within the right‑of‑way of any public way except that deciduous growth which has been cut to the ground and which has grown more than six feet during the growing season following the cutting, may be sprayed that following season. In addition, chemical pruning of single limbs of trees over the prescribed heights may be performed.

Section 3. Pesticide Storage and Disposal

A. Unused pesticides, whether in sealed or open containers, must be kept in a secure enclosure and otherwise maintained so as to prevent unauthorized use, mishandling or loss; and so as to prevent contamination of the environment and risk to public health.

B. Obsolete, expired, illegal, physically or chemically altered or unusable pesticides, except household pesticide products, shall be either:

1. stored in a secure, safe place under conditions that will prevent deterioration of containers or any contamination of the environment or risk to public health, or

2. returned to the manufacturer or formulator for recycling, destruction, or disposal as appropriate, or

3. disposed of in a licensed hazardous waste facility or other approved disposal site that meets or exceeds all current requirements of the Maine Department of Environmental Protection and the U.S. Environmental Protection Agency for facilities receiving such waste.

Section 4. Aquatic Applications

No person, firm, corporation or other legal entity shall, for the purpose of controlling aquatic pests, apply any pesticide to or in any waters of the state as defined in 38 M.R.S.A. §361-A(7) without approval of the Maine Department of Environmental Protection.

Section 5. Employer/Employee Requirements

A. Any person applying pesticide shall instruct their employees and those working under their direction about the hazards involved in the handling of pesticides to be employed as set forth on the pesticide label and shall instruct such persons as to the proper steps to be taken to avoid such hazards.

B. Any person applying pesticides shall provide and maintain, for the protection of their employees and persons working under their direction, the necessary safety equipment as set forth on the label of the pesticide to be used.

Section 6. Authorization for Pesticide Applications

A. Authorization to apply pesticides to private property is not required when a pesticide application is made by or on behalf of the holder of an easement or right of way, for the purposes of establishing or maintaining such easement or right of way.

B. When the Maine Center for Disease Control and Prevention (CDC) has identified that an organism is a vector of human disease and the vector and disease are present in an area, a government entity shall obtain authorization for ground-based applications by:

1. Sending a written notice to the person(s) owning property or using residential rental, commercial or institutional buildings within the intended target site at least three days but not more than 60 days before the commencement of the intended spray applications. For absentee property owners who are difficult to locate, mailing of the notice to the address listed in the Town tax record shall be considered sufficient notice; and

2. Implementing an “opt out” option whereby residents and property owners may request that their property be excluded from the application by submitting written notice to the government entity at least 24 hours before spraying is scheduled to commence. Authorization is considered given for any property for which written notice was submitted and no “opt out” request was received by the sponsoring government entity.

C. When the Maine Center for Disease Control and Prevention (CDC) recommends control of disease vectors, government entities are not required to receive prior authorization to apply pesticides to private property, provided that the government entity sponsoring the vector control program:

1. Provides advance notice to residents about vector control programs using multiple forms of publicity which may include, but is not limited to, signs, newspaper, television or radio notices, direct mailings, electronic communication or other effective methods; and

2. Implements an “opt out” option whereby residents and property owners may request that their property be excluded from any ground based control program and the government entity makes a reasonable effort to honor such requests; and

3. If aerial applications are made, takes affirmative steps, to the extent feasible, to avoid applications to exclusion areas as identified by Board policy.

D. General Provisions. For any pesticide application not described in Chapter 20.6(A),(B) or (C), the following provision apply:

1. No person may contract with, or otherwise engage, a pesticide applicator to make any pesticide application to property unless that person is the owner, manager, or legal occupant of the property to which the pesticide is to be applied, or that person has the authorization of the owner, manager or legal occupant to enter into an agreement for pesticide applications to be made to that property. The term “legal occupant” includes tenants of rented property.

2. No person may apply a pesticide to a property of another unless prior authorization for the pesticide application has been obtained from the owner, manager or legal occupant of that property. The term “legal occupant” includes tenants of rented property.

3. No commercial applicator may perform ongoing, periodic non-agricultural pesticide applications to a property unless:

i. there is a signed, written agreement with the property owner, manager or legal occupant that explicitly states that such pesticide applications shall continue until a termination date specified in the agreement, unless sooner terminated by the applicator or property owner, manager or legal occupant; or

ii. the commercial applicator utilizes another system of verifiable authorization approved by the Board that provides substantially equivalent assurance that the customer is aware of the services to be provided and the terms of the agreement.

Section 7. Positive Identification of Proper Treatment Site

Commercial applicators making outdoor treatments to residential properties must implement a system, based on Board approved methods, to positively identify the property of their customers. After December 31, 2023, the master applicator responsible for the supervision of certified and noncertified applicators at each branch location must ensure that all applicators under their supervision are trained, annually, on positive identification of proper treatment sites. This master applicator must maintain records of the method of positive identification of proper treatment sites as adopted by the branch location. Appropriate positive identification methods that must be employed include at least one of the following:

Obtain the customer’s electric meter number in advance of the treatment, list it on the work order or invoice, and require the applicator to check for that number before initiating the treatment.

Visit the customer in advance of the treatment, and using a global positioning system (GPS), identify the coordinates of each property to be treated. Include the coordinates on the work order or invoice, equip the applicator with a GPS unit, and require that employee to check for those coordinates before initiating any treatment.

Visit the customer in advance of the treatment and take a digital time/date stamped photo of the home and any distinctive features of the property. Include the photo on the work order or invoice and require the applicator to carefully check the photo before initiating any treatment.

Visit the customer in advance of the treatment and attach a company logo or other unique identifying tag on the property. Include the location of the logo/tag on the work order or invoice and require the applicator to carefully check for its presence before initiating any treatment.

Any methods that were submitted in writing to the Board prior to March 1, 2024. Any methods submitted after this date may be subject to approval by staff.

B. Violations of Chapter 20, Section 7 is grounds for the suspension of certification or licensure under 22 M.R.S.A §1471-D(7).

For a first violation the applicators license/certification may be suspended;

For a second violation under the same master applicator and within the same company within a 5-year period the applicator’s and master’s licensure/certification may be suspended; and

For a third violation violation under the same master applicator and within the same company within a five-year period the applicator’s, master’s, and firm’s licensure/certification may be suspended.

Penalties may also be imposed pursuant to 7 M.R.S.A. § 616-A (2) for violations of Chapter 20, Section 7 in addition to any suspensions imposed under Chapter 20, Section 7 (B)(1), (2) or (3). Nothing in this subsection may be construed as prohibiting the Board from seeking license or certification revocation pursuant to 22 M.R.S.A. §§ 1471-D(6) and 1471-J where the Board determines revocation is warranted under the circumstances.

History

• STATUTORY AUTHORITY: Title 22 M.R.S.A., Chapter 258-A
• EFFECTIVE DATE: July 6, l979
• AMENDMENT EFFECTIVE: April 1, 1985
• AMENDMENT EFFECTIVE: January 1, 1988
• AMENDMENT EFFECTIVE: May 21, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: May 7, 1997 - Section 5
• CONVERTED TO MS WORD: March 11, 2003
• CORRECTED HEADER CHAPTER NUMBER: January 10, 2005
• AMENDED: January 1, 2008 – new Sections 6 and 7, filing 2007-65
• AMENDED: September 13, 2012 – Section 6(E) and references added, filing 2012-270 (Emergency – expires in 90 days unless proposed and adopted in the meantime as non-emergency)
• AMENDED: December 12, 2012 – emergency filing expires, chapter reverts to January 1, 2008 version
• AMENDED: September 13, 2012 – Section 6(E) and references added, filing 2012-270 (Emergency – expires in 90 days unless proposed and adopted in the meantime as non-emergency)
• AMENDED: December 12, 2012 – emergency filing expires, chapter reverts to January 1, 2008 version
• AMENDED: June 12, 2013 – Emergency major substantive filing 2013-134
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: September 11, 2014 – filing 2014-163 (Final adoption, major substantive)
• AMENDED: December 9, 2014 – Section 7 added, filing 2014-279
• AMENDED: May 16, 2022 – filing 2022-085
• AMENDED: January 30, 2024 – filing 2024-015
• APAO ACCESSIBILITY CHECK: January 7, 2026 (no issues detected)

Chapter 22 Standards for Outdoor Application of Pesticides by Powered Equipment in Order to Minimize Off-Target Deposition

Code Me. R. 01-026 Ch. 22 Standards for Outdoor Application of Pesticides by Powered Equipment in Order to Minimize Off-Target Deposition {#sec-01-026-ch.-22 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 22}

SUMMARY: These regulations establish procedures and standards for the outdoor application of pesticides by powered equipment in order to minimize spray drift and other unconsented exposure to pesticides. The primary purpose of these regulations is to implement the legislative mandate of the Board, as expressed by 7 M.R.S.A. §606(2)(G), to design rules which “minimize pesticide drift to the

maximum extent practicable under currently available technology.”

SECTION 1. EXEMPTIONS

The regulations established by this chapter shall not apply to pesticide applications in any of the following categories:

A. Applications of pesticides confined entirely to the interior of a building;

B. Applications of pesticides by non-powered equipment;

C. Applications of pesticides exclusively in granular or pelletized form;

D. Applications of pesticides injected underground or otherwise injected directly into the target medium. Such applications must involve no spraying of pesticides whatsoever.

SECTION 2. STANDARDS OF CONDUCT FOR PESTICIDE APPLICATIONS

All pesticide applications subject to these regulations shall be undertaken in compliance with the following standards of conduct:

A. Equipment

I. Pesticide spray equipment shall be used in accordance with its manufacturer’s recommendations and instructions, and shall be in sound mechanical condition, free of leaks and other defects or malfunctions which might cause pesticides to be deposited off-target.

II. Pesticide spray equipment shall be properly calibrated consistent with Board or University published guidance. Sufficient records to demonstrate proper calibration must be maintained and made available to representatives of the Board upon request.

III. Pesticide application equipment shall have properly functioning shut-off valves or other mechanisms which enable the operator to prevent direct discharge and minimize drift to non-target areas. Spray equipment designed to draw water must also have a properly functioning antisiphoning device.

B. Weather Conditions

I. Spray applications shall not be undertaken when weather conditions favor pesticide drift onto Sensitive Areas or otherwise prevent proper deposition of pesticides on target.

II. Pesticide application must cease immediately when visual observation reveals or should reveal that spray is not being deposited on target.

III. Without limitation of the other requirements herein, under no circumstances shall pesticide application occur when wind speed in the area is in excess of 15 miles per hour.

C. Identifying and Recording Sensitive Areas

I. Prior to spraying a pesticide, the applicator must become familiar with the area to be sprayed and must identify and record the existence, type and location of any Sensitive Area located within 500 feet of the target area. Applicators shall prepare a site map or other record, depicting the target area and adjacent Sensitive Areas. The map or other record shall be updated annually. The site map or other record shall be retained by the applicator for a period of two years following the date of applications and shall be made available to representatives of the Board upon request.

II. This requirement shall not apply to commercial applications conducted under categories 3A (outdoor ornamental), 3B (turf), 6A (rights-of-way vegetation management), 6B (industrial/commercial/municipal vegetation management), 7A (structural general pest control applications), or 7E (biting fly & other arthropod vectors [ticks]).

D. Presence of Humans, Animals

Pesticide applications shall be undertaken in a manner which minimizes exposure to humans, livestock and domestic animals.

The applicator shall cease spray activities at once upon finding evidence showing the likely presence of unprotected persons in the target area or in such proximity as to result in unconsented exposure to pesticides.

E. Other Requirements

These regulations are intended to be minimum standards. Other factors may require the applicator to take special precautions, beyond those set forth in these regulations, in order to avoid adverse impacts on off-target areas and to protect public health and the environment.

SECTION 3. STANDARDS FOR AERIAL APPLICATION OF PESTICIDES

A. Positive Identification of the Target Site

The person contracting for an aerial pesticide application shall ensure that the application site (i.e., target area) is positively identified prior to application, using a unique and verifiable method, including;

I. An onboard, geo-referenced electronic mapping and navigation system (e.g., GPS); or

II. Effective site markings visible to the applicator; or

III. Other method(s) approved by the Board.

B. Site Plans Required

Prior to spraying by aerial application within 1,000 feet of a Sensitive Area Likely to Be Occupied, the person contracting for the application shall provide to the applicator a site plan that includes:

I. a site map drawn to scale that:

(i) delineates the boundaries of the target area and the property lines;

(ii) depicts significant landmarks and flight hazards;

(iii) depicts the type and location of any Sensitive Area Likely to Be Occupied within 1,000 feet of the target area; and

(iv) depicts other Sensitive Areas within 500 feet of the target area.

II. If applicable, a school bus schedule shall accompany the site map.

III. The site plan and site map with identified sensitive areas required under Section 3(B) shall be retained by the applicator for a period of two years following the date of applications and shall be made available to representatives of the Board upon request.

IV. Compliance with this section satisfies the requirements of Section 2(C).

C. Site-Specific Application Checklist

Prior to conducting an aerial pesticide application within 1,000 feet of a Sensitive Area Likely to Be Occupied, the applicator shall complete a Board-approved pre-application checklist for each distinct field or target site. The checklist shall be maintained by the applicator for a period of two years and shall be available for inspection by representatives of the Board at reasonable times, upon request. The checklist shall include, at a minimum, the following elements:

I. The date, time, description of the target site and name of the applicator;

II. Confirmation that the notification requirements contained in CMR 01-026, Chapters 28 and 51, have been carried out;

III. Confirmation that the target site has been positively identified;

IV. The location of where weather conditions are measured and a description of the equipment used to measure the wind speed and direction;

V. Confirmation that conditions are acceptable to treat the proposed target site, considering the location of any Sensitive Area Likely to Be Occupied and current weather conditions;

VI. Wind speed and direction;

VII. The measures used to protect all Sensitive Areas;

VIII. Confirmation that there are no humans visible in or near the target area.

D. Buffer Zones for any Sensitive Area Likely to Be Occupied

Aerial applicators shall employ site-specific buffer zones adjacent to any Sensitive Area Likely to Be Occupied sufficient to prevent unlawful pesticide drift, unless consent has been granted by the landowner, lessee and occupant (when applicable), consistent with the provisions of Section 4(C) of this rule.

E. Wind Speeds for Aerial Applications

Unless otherwise specified by the product label, an applicator may not conduct an aerial application of pesticides within 1,000 feet of a Sensitive Area Likely to Be Occupied unless the wind speed is between 2 and 10 miles per hour.

SECTION 4. GENERAL STANDARDS FOR OFF-TARGET PESTICIDE DISCHARGE AND RESIDUE

A. Prohibition of Unconsented, Off-Target Direct Discharge of Pesticides

Pesticide applications shall be undertaken in a manner which does not result in off-target direct discharge of pesticides, unless prior authorization and consent is obtained from the owner or lessee of the land onto which such discharge may occur in a manner consistent with the pesticide label.

B. Standards for Unconsented, Off-Target Drift of Pesticides

I. General Standard. Pesticide applications shall be undertaken in a manner which minimizes pesticide drift to the maximum extent practicable, having due regard for prevailing weather conditions, toxicity and propensity to drift of the pesticide, presence of Sensitive Areas in the vicinity, type of application equipment and other pertinent factors.

II. Prima Facie Evidence. Pesticide residues in or on any off-target Sensitive Area Likely to Be Occupied resulting from off-target drift of pesticides from a nearby application that are 1% or greater of the residue in the target area are considered prima facie evidence that the application was not conducted in a manner to minimize drift to the maximum extent practicable. The Board shall review the site-specific application checklist completed by the applicator and other relevant information to determine if a violation has occurred. For purposes of this standard, the residue in the target area, and the residue in the Sensitive Area Likely to Be Occupied, may be adequately determined by evaluation of one or more soil, foliage or other samples, or by extrapolation or other appropriate techniques.

III. Standard of Harm. An applicator may not apply a pesticide in a manner that results in:

(i) Off-target pesticide residue detected in or on any nearby crop which violates EPA tolerances for that crop, as established under 40 CFR, Part 180.

(ii) Off-target pesticide residue detected in or on any nearby organic farm or garden which causes the agricultural products thereof to be excluded from organic sale in accordance with 7 CFR, Part 205, Section 205.671.

(iii) Off-target pesticide residue detected on any nearby persons or vehicles using public roads.

(iv) Documented human illness. For this standard to be met, the Board must receive verification from two physicians that an individual has experienced a negative health effect from exposure to an applied pesticide and that the effect is consistent with epidemiological documentation of human sensitivity to the applied pesticide.

(v) Off-target damage or injury to any organism.

IV. Enforcement Considerations. The Board shall consider the particular circumstances of violations arising from Subsections 4(B)(I) and (III) in determining an appropriate response, including, but not limited to:

(i) The standard of care exercised by the applicator;

(ii) The degree of harm or potential harm that resulted from or could have resulted from off-target drift from the application;

(iii) The risk (toxicity and exposure) of adverse effects from the pesticide applied.

C. Consent

Consent, How Given. Authorization and consent by the owner or lessee and occupant (when applicable) of land receiving a pesticide discharge or drift in a manner consistent with the pesticide label may be given in any manner, provided that the consent is reasonably informed and is given prior to the onset of the spray activity in question. The burden of proof shall be upon the applicator to demonstrate that requisite authorization and consent has been given. For this reason, applicators are encouraged to obtain such consent in writing and to maintain records thereof.

II. The residue and harm standards in Sections 4(B)(II) and (III) for off-target drift do not apply where the owner, lessee and occupant (when applicable) of the off-target area receiving the pesticide drift have given authorization and consent as prescribed in Section 4(C).

III. Except with the prior written approval of the Board, no authorization or consent may be given with regard to off-target direct discharge or off-target drift of pesticides upon any bodies of water or critical areas as defined in CMR 01-026, Chapter 10, “Definitions; Sensitive Area.”

SECTION 5. VARIANCES FROM STANDARDS

A. Variance Permit Application

An applicator may vary from any of the standards imposed under this chapter by obtaining a permit to do so from the Board. Permit applications shall be made on such forms as the Board provides and shall include at least the following information:

I. The name, address, and telephone number of the applicant;

II. The area(s) where pesticides will be applied;

III. The type(s) of pesticides to be applied;

IV. The purpose for which the pesticide application(s) will be made;

V. The approximate date(s) of anticipated spray activities;

VI. The type(s) of spray equipment to be employed;

VII. The particular standards from which the applicant seeks a variance;

VIII. The particular reasons why the applicant seeks a variance from such standards, including a detailed description of the techniques to be employed to assure a reasonably equivalent degree of protection and of the monitoring efforts to be made to assure such protection;

IX. The names and addresses of all owners or lessees of land within 500 feet of the proposed spray activity, and evidence that such persons have been notified of the application. The Board may waive this requirement where compliance would be unduly burdensome and the applicant attempts to notify affected persons in the community by another means which the Board finds reasonable.

B. Board Review; Legal Effect of Permit, Delegation of Authority to Staff

I. Within 60 days after a complete application is submitted, the Board shall issue a permit if it finds that the applicant will achieve a substantially equivalent degree of protection as adherence to the requirements of this chapter would provide and will conduct spray activities in a manner which protects human health and the environment. Such permit shall authorize a variance only from those particular standards for which variance is expressly requested in the application and is expressly granted in the permit. The Board may place conditions on any such permit, and the applicant shall comply with such conditions. Except as conditioned in the permit, the applicant shall undertake spray activities in accordance with all of the procedures described in the application and all other applicable legal standards. Permits issued by the Board under this section shall not be transferable or assignable except with further written approval of the Board and shall be valid only for the period specified in the permit.

II. The Board may delegate authority to review applications and issue permits to the staff as it feels appropriate. All conditions and limitations as described in Section 5(B) I shall remain in effect for permits issued by the staff. If the staff does not grant the variance permit, the applicator may petition the Board for exemption following the requirements set forth in 22 M.R.S.A. §1471-T, “Exemptions.”

SECTION 6. EMERGENCIES

In the event that severe pest or weather conditions threaten to cause a significant natural resource and/or economic loss, as determined by the Commissioner of the Maine Department of Agriculture, Conservation and Forestry, the requirements contained in Section 3 of this Chapter shall be waived, subject to the following conditions:

I. The severe pest and/or weather conditions must necessitate immediate wide-scale aerial application of pesticides.

II. The immediate need for aerial pesticide application does not provide sufficient time to complete the requirements of Section 3 of this Chapter,

III. Prior to any aerial application, the Commissioner shall issue a press release notifying residents of affected regions about the emergency, the likelihood of aerial application in the affected regions and the approximate dates that the emergency may continue.

IV. The Commissioner, in consultation with the Board’s staff, shall specify the requirements in Section 3 that will be waived.

V. Land managers and aerial applicators shall make good faith efforts to comply with the intent of Section 3 and minimize off-target drift to Sensitive Areas.

B. When the Maine Center for Disease Control and Prevention (CDC) recommends control of disease vectors, government sponsored vector control programs are exempt from Sections 2C, 2D, 3B, 3C, 3D, 3E and 4 of this chapter, provided that reasonable efforts are made to avoid spraying non-target areas.

June 12, 2009 amendments become effective on January 1, 2010.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §606(2)(G):
• STATUTORY AUTHORITY: 22 M.R.S.A. §1471-M(2)(D)
• EFFECTIVE DATE: January 1, 1988
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: September 22, 1998 - also converted to MS Word
• AMENDED: January 4, 2005 – filing 2004-603 affecting Section 3.B.II.(iii)
• AMENDED: January 1, 2010 by request of agency in filing 2009-252
• AMENDED: June 12, 2013 – filing 2013-135 (Emergency major substantive)
• CORRECTIONS: February, 2014 - formatting
• AMENDED: September 11, 2014 – Section 6, filing 2014-164
• AMENDED: May 24, 2015 – filing 2015-075 (Final adoption, major substantive)
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 24 Pesticide Storage Facility Standards / Pesticide Distributors

Code Me. R. 01-026 Ch. 24 Pesticide Storage Facility Standards/Pesticide Distributors {#sec-01-026-ch.-24 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 24}

SUMMARY: These regulations provide minimum criteria for the siting, construction and operation of facilities and businesses which store pesticides for wholesale or retail purposes. They are intended to protect the public health of employees and persons who live near these facilities and to minimize adverse environmental impacts that might result from emergencies caused by fires or spills. This chapter divides storage facilities into three groups and imposes requirements commensurate with their potential threat to public health and the environment. These regulations also describe display requirements for retail businesses which offer pesticides for sale in self-service areas.

Section 1. Applicability of this Chapter

A. Pesticide storage facilities owned and/or operated by distributors who are not required to hold either a general use or restricted use pesticide dealer license are exempt from this chapter.

B. All pesticides held for storage by pesticide distributors to whom this regulation applies must be stored in pesticide storage facilities as set forth in this chapter.

Section 2. Exempted Products

For the purpose of calculating the total amount of pesticide in storage in a pesticide storage facility, the following products shall be exempt from consideration.

A. Pesticide products with solely household uses and with no more than 3% active ingredients;

B. Dichlorvos (DDVP) impregnated strips with concentrations not more than 25% in resin strips and pet collars;

C. Pet supplies such as shampoos, tick and flea collars and dusts;

D. Disinfectants, germicides, bactericides and virucides;

E. Insect repellents;

F. Indoor and outdoor animal repellents;

G. Moth flakes, crystals, cakes and nuggets;

H. Indoor aquarium supplies;

I. Swimming pool supplies;

J. Pediculocides and mange cure on man;

K. Aerosol products;

L. General use paints, stains, and wood preservatives and sealants; and

M. Dry pesticides with percent active ingredient less than or equal to 5% .

Section 3. Siting and Structural Requirements for New Major Pesticide Storage Facilities

A. Applicability

All major pesticide storage facilities that become operational after the effective date of this chapter must conform with the provisions of this section.

B. Siting Requirements for New Major Pesticide Storage Facilities

I. No new major pesticide storage facility may be located:

a. in a 100 year flood plain;

b. overlying any aquifer which has been identified by a municipal as a current or future source of public drinking water; or

c. overlying any sand and gravel aquifer with a yield greater than 10 gallons per minute which has been mapped by the Department of Conservation, Maine Geological Survey.

II. No new major pesticide storage facility may be sited closer than 1,000 feet from any:

a. school, hospital, nursing home, correctional facility, or other similar institutional building;

b. densely populated area as defined by the Maine Department of Transportation Compact Urban Line, unless the storage facility is located next to an office building or retail store which meets the criteria in Section 3(B)III(b) below;

c. pesticide critical control area as defined by 22 M.R.S.A. §1471-F, "Critical areas" and 01-026 CMR Chapter 60, "Designation of Critical Pesticide Control Areas;" and

d. water body or well which serves any public water supply.

III. No new major pesticide storage facility may be sited closer than 250 feet from any:

a. residential building;

b. office building or retail store, unless it meets one of the following exceptions:

i. the office building or retail store is owned and/or operated by the licensed pesticide dealer;

ii. the office building or retail store is located in an area zoned or identified by a municipality for industrial use; or

iii. the office building or retail store is located in an area zoned by a municipality for business or commercial use and the construction of that pesticide storage facility has been approved by the municipal planning or zoning board;

c. state water body;

d. wetlands of special significance;

e. private domestic well unless it solely serves the building owned and/or operated by the licensed pesticide dealer; and

f. area used for livestock.

C. Structural Requirements for New Major Pesticide Storage Facilities

I. Basement

All new major pesticide storage facilities shall be constructed without a basement.

II. Walls and Ceiling

The exterior walls and ceiling of a new major pesticide storage facility shall be constructed to have a fire resistance rating of two hours.

III. Doors

a. All doors shall have a fire resistance rating of 1 hour.

b. All new major pesticide storage facilities shall have, at least:

i. two means of egress, one of which must be a standard door on which panic hardware is installed. The standard door must latch shut when closed and open outward from where products are stored when a person depresses the horizontal bar on the panic hardware. If there is a smaller room or partitioned area within the facility, it too must have an outward opening standard door with panic hardware as previously described in this sub-section.

ii. one outside door at ground level with a minimum opening of 10' by 12'. This door shall not qualify as a means of egress as described in Section 3(C)III(b)i unless it is equipped with a device which allows it to be easily and quickly opened in an emergency.

Section 4. Structural Requirements for All New and Existing Major Pesticide Storage Facilities

A. Applicability

I. All new major pesticide storage facilities that become operational after the effective date of this chapter must conform with the provisions of this section.

II. All existing major pesticide storage facilities must be upgraded to conform with the provisions of this section by no later than January 1, 1997.

B. Walls

All major pesticide storage facilities shall be structurally separated by a wall with a fire resistance rating of two hours from office, retail or residential spaces, livestock quarters, water supply sources, and food, feed, fertilizer or seed storages. This does not preclude having a small area for warehouse employees to maintain inventory and shipping records.

C. Doors

Any partitioned area within a major pesticide storage facility must be equipped with a standard door on which panic hardware is installed.

D. Floors

I. All floors shall be made impervious to liquid and dry pesticide spills.

II. The outside edges of floors shall have at least a four-inch, sealed concrete berm.

III. Any floor drains must be sealed or connected to a waste storage tank of sufficient size to hold 25% of liquid volume stored.

E. Lighting

All major pesticide storage facilities shall have:

I. lighting installed so that labels may be easily read and any leaks quickly detected;

II. a battery powered emergency lighting system that automatically activates during power outages and illuminates all exits; and

III. exterior lighting that provides coverage around the perimeter of the building.

F. Heating

I. All pesticides must be stored at temperatures that conform to label directions.

II. When and where applicable, heat sources must be provided by one of the following:

a. an outside furnace room with hot water fixtures in the pesticide storage area; or

b. permanent oil or gas furnaces inside the storage, with sealed flames and an explosion proof thermostat; or

c. roof installed heat exchangers; or

d. any other heating source which would meet applicable fire safety and electrical codes.

G. Ventilation

All major pesticide storage facilities shall have one of the following:

I. gravity ventilation to the outside with a capacity of one cubic foot per minute per square foot of floor space; or

II. mechanical ventilation with on/off switches at points of ingress that is capable of exhausting to the outside at a rate of not less than 150 cubic feet per minute.

H. Security

All major pesticide storage facilities shall have:

I. locked doors and windows which prohibit unauthorized access; and

II. an automatic alarm system that is connected to a supervised central station. This system shall have a backup power system so it will operate during power outages.

I. Fire Protection

I. All major pesticide storage facilities shall be equipped with an automatic heat and smoke detector alarm system connected to a supervised central station. The system shall have both audible and visible devices and shall have a backup power system so it will operate during power outages.

II. Water sprinkler systems shall not be allowed in any portion of a major pesticide storage facility.

J. Emergency Showers

All major pesticide storage facilities shall have emergency showers available. These emergency showers must be located either in the facility or in an adjacent building on the premises within 200 feet of the major pesticide storage facility. There must also be a plan for collecting any water used in emergency showers.

K. Design Certification

I. New Major Pesticide Storage Facilities

a. Anyone constructing a new building which is intended to serve as a new major pesticide storage facility shall obtain a certification from a licensed architect or professional engineer that the plans for the facility meet all the requirements of this chapter. Copies of the certified plans shall be included in the building permit application to the municipality and shall be maintained by the licensed pesticide dealer at the facility and made available to the Board of Pesticides Control or its agents upon request.

b. Anyone converting an existing building or portion of an existing building to a new major pesticide storage facility shall obtain a certification from a licensed architect or professional engineer that the plans for the facility meet all the requirements of this chapter. Copies of the certified plans shall be included in the building permit application to the municipality and shall be maintained by the licensed pesticide dealer at the facility and made available to the Board of Pesticides Control or its agents upon request.

II. Existing Major Pesticide Storage Facilities

a. A general contractor renovating an existing major pesticide storage facility shall obtain certification from a licensed architect or professional engineer that the plans for the facility meet all the requirements of this chapter. Copies of the certified plans shall be included in the building permit application to the municipality and shall be maintained by the licensed pesticide dealer at the facility and made available to the Board of Pesticides Control or its agents upon request.

b. A licensed pesticide dealer who undertakes renovations to an existing major pesticide storage facility without the services of a general contractor, licensed architect or professional engineer shall provide written self-certification that the pesticide storage facility meets all requirements of this chapter. This self-certification shall be maintained by the licensed pesticide dealer at the facility and made available to the Board of Pesticides Control or its agents upon request.

Section 5. Structural Requirements for All New and Existing Minor Pesticide Storage Facilities

A. Applicability

I. All new minor pesticide storage facilities that become operational after the effective date of this chapter must conform with the provisions of this section.

II. All existing minor pesticide storage facilities must be upgraded to conform with the provisions of this section by no later than January 1, 1997.

B. Walls

Minor pesticide storage facilities shall be structurally separated from and sealed to prevent air movement to other occupied spaces and livestock quarters. This does not preclude having a small area for employees to maintain inventory and shipping records.

C. Doors

Any interior room or otherwise partitioned area in which pesticides are stored within a minor pesticide storage facility must be equipped with a standard door on which panic hardware is installed. The standard door must latch shut when closed and open outward from where the products are stored when a person depresses the horizontal bar on the panic hardware. If there is a smaller room or partitioned area within the facility, it too must have an outward opening standard door with panic hardware as previously described in this sub-section.

D. Floors

All floors shall be made impervious to liquid and dry pesticide spills.

E. Lighting

Minor pesticide storage facilities shall have lighting installed so that labels may be easily read and any leaks quickly detected.

F. Ventilation

Minor pesticide storage facilities shall have one of the following:

I. gravity ventilation to the outside with a capacity of one cubic foot per minute per square foot of floor space; or

II. mechanical ventilation with on/off switches at points of ingress that is capable of exhausting to the outside at a rate of not less than 150 cubic feet per minute.

G. Security

Minor pesticide storage facilities shall have doors and windows capable of being locked to prohibit unauthorized access.

Section 6. Operational and Emergency Equipment Requirements for All Major and Minor Pesticide Storage Facilities

A. All pesticide storage facilities shall be kept securely locked at all times, except when authorized personnel are present.

B. Each entrance to the pesticide storage facility shall be prominently posted with the words, "Danger - Pesticide Storage - Keep Out."

C. No smoking shall be allowed in any pesticide storage area. All entrances to the pesticide storage facility shall be posted with signs indicating smoking is not allowed.

D. All pesticide containers shall be stored in a manner that prevents damage and allows inspection for rusting, bulging or leaking. All containers held in storage shall be in good condition and have full labeling intact. Pesticide distributors must conduct periodic inspection of containers for rust and/or leaks.

E. Emergency Equipment

I. All pesticide storage facilities shall be equipped with at least one eye wash station capable of flushing eyes for a minimum of fifteen minutes.

II. All pesticide storage facilities shall be equipped with fire extinguishers that are capable of extinguishing all types of fires that may occur in the pesticide storage facility. These fire extinguishers must be clearly marked as to their fire suppression capabilities. The number and placements of fire extinguishers shall conform with the National Fire Protection Association Standard No. 10.

III. All pesticide storage facilities shall be equipped with spill response and clean-up equipment, including, but not limited to, absorbents, empty containers, brooms and shovels and personal protective equipment for employees.

a. Compatible absorbents for water and oil-based products shall be present in sufficient quantity to clean up two-times the volume of the largest container stored in the facility.

b. Proper personal protective clothing and equipment, as well as training to use that equipment, shall be provided to employees and emergency responders.

c. Pesticide distributors may coordinate the provision of spill response equipment with other facilities in the locality as will as with appropriate municipal safety agencies.

F. Pesticides shall not be stored within 10 feet from products intended for human or animal consumption.

Section 7. Special Requirements for Pesticide Distributor Self-Service Sales Areas

A. All pesticides, unless they are exempted products under 22 M.R.S.A. §1471-W(5), shall be displayed in a separate area that is identified by a Board approved sign informing the public where to obtain additional information. The signs must be positioned between four and seven feet above the floor and prominently posted in all areas where non-exempt pesticides are displayed.

B. All pesticide containers in the self-service sales area shall be in good condition and have full labeling intact. It is prohibited to have torn, punctured, rusted or leaking pesticide containers in the self-service sales area.

C. All pesticide products not exempted under 22 M.R.S.A. §1471-W(5) shall not be displayed within 10 feet of food or animal feed products unless they are stored in adjoining aisles separated by a solid barrier. Pesticides shall not be on display above food or animal feed products.

D. Any outdoor pesticide display area must be securely fenced and must have a roof to protect the material from the elements.

E. Each retail or wholesale establishment must be equipped with spill cleanup materials sufficient to absorb 2 times the volume of the largest container stored. These cleanup materials must be readily available and easily accessible.

Section 8. Local Ordinances

These regulations are minimum standards and are not meant to preempt any local ordinances which may be more stringent.

Section 9. 40 CFR, Part 165, Federal Pesticide Management and Disposal Rule Adopted by Reference

The Federal Pesticide Management and Disposal Rule, 40 CFR, Part 165 (July 1, 2008), is incorporated herein by reference

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §1471-O and 7 M.R.S.A. §610(2)(B)
• EFFECTIVE DATE: May 12, 1992
• AMENDED: June 30, 1996
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: March 5, 2003 - filing 2003-59
• AMENDED: January 4, 2005 – filing 2004-6704 affecting Sections 3.C.III.b.i., 5.C., 7.A
• AMENDED: April 12, 2009 – filing 2009-153
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 26 Standards for Pesticide Applications and Notification for All Occupied Buildings Except K-12 Schools

Code Me. R. 01-026 Ch. 26 Standards for Indoor Pesticide Applications and Notification for All Occupied Buildings Except K - 12 Schools {#sec-01-026-ch.-26 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 26}

SUMMARY: These regulations establish procedures and standards for applicators applying pesticides inside occupied private and public buildings other than K - 12 schools that are covered by Chapter 27. This chapter also sets forth the requirements for notification about pending pesticide applications to residents of rented space, employees of agencies, businesses and institutions, and parents or guardians of children in licensed child care facilities and nursery schools.

Section 1. Definitions

A. Applicator. For the purposes of this regulation, Applicator means a commercial applicator or other persons who apply pesticides to occupied buildings.

B. Client. For the purposes of this regulation, Client is the person who either owns or manages the Occupied Building and who contracts with a commercial applicator to monitor and/or control pests.

C. Crack and Crevice Treatment. For the purposes of this regulation, Crack and Crevice Treatment means using an injector tip and placing the tip inside an opening to apply small amounts of pesticides into cracks and crevices in which pests hide or through which they may enter a building. Such openings commonly occur at expansion joints, between elements of construction, and between equipment and floors. These openings may lead to voids such as hollow walls, equipment legs and bases, conduits, motor housings, and junction or switch boxes. This does not include spraying a band covering the baseboards or mopboards or spraying above the baseboards or mopboards.

D. Integrated Pest Management. For the purposes of this regulation, Integrated Pest Management (IPM) is a process that utilizes regular monitoring to determine if and when a treatment is needed. It employs physical, mechanical, cultural, chemical, biological and educational programs to keep pest populations low enough to prevent intolerable damage or annoyance. Pesticides should be only one of many options considered for solving a pest problem, and when required, target-specific, low impact pesticides and application techniques should be employed. Furthermore, pesticide applications are not made according to a pre-determined schedule but are only made when and where monitoring, or a previous history of pest incidence has indicated that the pest will cause unacceptable economic, medical or aesthetic damage. The IPM program must as a result be environmentally, socially, and economically compatible to meet current public expectations.

E. Occupied Building. For the purposes of this regulation, Occupied Building means any public, private, commercial or institutional structure used or occupied by persons on a regular, long-term basis as a residence or for occupations. These include but are not limited to rented residential buildings, condominiums, licensed childcare facilities and nursery schools, and governmental, commercial and institutional buildings.

Section 2. Exemptions

A. The following pesticide uses are exempt from the requirements of this Chapter:

1. application of ready-to-use general use pesticides by hand or with non-powered equipment to control or repel stinging or biting insects when there is an urgent need to mitigate or eliminate a pest that threatens the health or safety of any person;

2. application of general use antimicrobial products by hand or with non-powered equipment to interior or exterior surfaces and furnishings during the course of routine cleaning procedures;

application of paints, stains or wood preservatives that are classified as general use pesticides;

application of pesticides by a resident to his or her own residential unit;

commercial application of pesticides where the resident has contracted for application to his or her own personal residential unit; and

indoor applications of pesticides injected into closed systems for control of nuisance microbial organisms.

• 1. The use of baits, gels, pastes, dusts and granular materials placed in areas not readily accessible to residents, employees or children is exempt from the requirements of Sections 3(A), 3(B) and 3(C) of this Chapter. 2. The use of crack and crevice treatments placed in areas not readily accessible to residents, employees or children and done in a manner that minimizes exposure to vapors and/or aerosolized materials is exempt from the requirements in Sections 3(A), 3(B) and 3(C) of this Chapter.

Section 3. Notification

Notice to Residents

1. At least 24 hours and no more than seven days in advance of a pesticide application not exempted by Section 2, the applicator must provide or cause to be provided a Board approved written notice (see Appendix A) to the resident or residents of an apartment unit, condominium unit or other rented residential unit to be treated, where the residents of that unit did not request the impending pesticide application. The notice may be mailed or provided directly to the residents and shall explain that pesticides may be used in their residential unit and that they have the right to ask for and receive more specific information described in Section 3(D) of this regulation. If the resident asks for further information specified in Section 3(D), the applicator must provide it.

If an application not exempted by Section 2 will be made to common areas of these rental residential buildings, the applicator must post or cause to be posted a Board approved written notice (see Appendix A) at least 24 hours in advance and no more than seven days in advance of the planned application informing the residents of that building that pesticides will be used in the common areas and that they have the right to ask for and receive more specific information as described in Section 3(D). The Board approved written notice must remain posted for at least 48 hours following the application.

The applicator may fulfill the requirements of subsections 3(A)(1) and 3(A)(2) by providing the Board approved notice and instructing the landlord or building manager to distribute the notice to the residents as described in subsection 3(A)(1) or to post the notice as described in subsection 3(A)(2) as appropriate. The applicator must confirm with the landlord or building manager that the requirements of subsections 3(A)(1) and 3(A)(2) have been met before making any application not exempt under Section 2 of this Chapter. The person who carries out the notification and confirms that the requirements have been fulfilled is responsible for that notification.

B. Notice to Employees of Agencies, Businesses and Institutions

At least 24 hours and no more than seven days in advance of a pesticide application in a building housing an agency, business or institution that is not exempted under Section 2, the applicator must post or cause to be posted a Board approved written notice (see Appendix A) in a conspicuous place or places where notices to employees are customarily posted. The notice must inform employees of the planned application and about their right to ask for and receive more specific information, as described in Section 3(D). The Board approved written notice must remain posted for at least 48 hours following the application. If an employee asks for further information specified in Section 3(D), the applicator must provide it. The applicator may fulfill the requirements of subsection 3(B) by providing the Board approved notice and instructing the building manager, the person requesting the application or another responsible individual to post the notice as described in this subsection. The applicator must confirm with the building manager, the person requesting the application or another responsible individual that the requirements of this section have been met before making any application not exempt under Section 2 of this Chapter. The person who carries out the notification and confirms that the requirements have been fulfilled is responsible for that notification.

C. Notice to Parents and Guardians of Children in Licensed Childcare Facilities or Nursery Schools

At least 24 hours and no more than seven days in advance of a pesticide application in a licensed child care facility or nursery school that is not exempted by Section 2, the applicator must provide or cause to be provided a Board approved written notice of the planned application (see Appendix A) to parents or guardians of currently enrolled children. The notice must inform parents or guardians that pesticides will be used in the building and that they have the right to ask for and receive more specific information, as described in Section 3D. If a parent or guardian asks for information specified in Section 3(D), the applicator must provide it. The applicator may fulfill the requirements of subsection 3(C) by providing the Board approved notice and instructing the manager of the daycare or nursery or another responsible individual to distribute the notice to parents or guardians as described in this subsection. The applicator must confirm with the manager or responsible individual of the daycare or nursery that the requirements of this subsection have been met before making any application not exempt under Section 2 of this Chapter. The person who carries out the notification and confirms that the requirements have been fulfilled is responsible for that notification.

D. If residents, employees, parents or guardians ask for information about a pesticide application, the applicator shall provide the information requested, including as applicable: (a) the trade name and EPA Registration number of the pesticide(s) intended to be applied; (b) the approximate date and time of the application; (c) the location of the application; (d) the re-entry interval listed on the product label; and (e) the name and phone number of the person to whom further inquiry regarding the application may be made. If requested, the applicator shall also provide a copy of the pesticide product label and Material Safety Data Sheet, and shall make reasonable efforts to fulfill any other requests for pesticide information. However, such requests for additional information will not delay nor prohibit the applicator from performing the pesticide application as scheduled.

Section 4. Integrated Pest Management Techniques

A. Applicators must undertake pest management activities using appropriate elements of integrated pest management. In all cases, any application shall be conducted in a manner to minimize exposure and human risk to the maximum extent practicable using currently available technology.

B. Applicators must identify conditions conducive to the development of pest problems. Commercial applicators must provide to the client a written evaluation of pest conducive conditions and must provide specific recommendations for practical non-pesticide control measures.

C. Prior to any pesticide application, applicators must identify the pest specifically and evaluate the infestation severity and any associated damage except as provided in Section 4(C)(1) and (2) below.

1. Where there is a history of pest infestation and conditions are conducive to pest infestations, baits, gels, pastes or granular materials placed in areas not readily accessible to residents, employees, patients, or children and crack and crevice treatments designed to control commonly occurring pests in these areas may be used without specific evidence that a significant population is currently present.
2. For specific public health pests designated by Board policy, baits, gels, pastes, granular materials or crack and crevice treatments placed in areas not readily accessible to residents, employees or customers may be used without specific evidence of an infestation.

Section 5. Risk Minimization

A. Prior to pesticide application, applicators must take into account the toxicity of recommended product(s) and choose low risk product(s) based on efficacy, volatility, the potential for exposure, the signal word on the pesticide label, the material safety data sheet and any label language imposing a ventilation requirement.

B. Unless prohibited by the label, only baits, gels, pastes or granular materials and crack and crevice treatments may be used when residents, patients, children, customers and unconsenting employees are in the same room.

C. Prior to making an application, applicators must also consider the following:

1. The principal uses for the room to be treated including if it is primarily occupied by sensitive individuals such as children, older adults or persons with chronic illnesses.

2. The type of treatment being made and the likelihood that people or pets will come into contact with the treated area following the application.

3. The volatility of the product being applied and the practical need to ventilate the treated room(s) prior to re-entry. In all cases, label statements relative to ventilation or re-entry shall be minimum requirements.

4. The type of ventilation system, if present, including whether it serves only the treated room(s) or the entire building, and whether it can and should be shut off while the treatment is performed.

Section 6. Tenant’s Consent

Except in cases where a public health or code enforcement official with jurisdiction has determined a need for immediate pest management, application to a tenant’s residential unit is prohibited if the tenant is opposed to such treatment. A pesticide application may not be made until such time as alternative control measures have been tried and documented as to their failure to control a pest problem, which poses health risks, threatens significant property damage or threatens to infest other parts of the building.

Section 7. Other Requirements

These regulations do not affect pesticide label instructions, which may be more restrictive in certain cases. Under federal and state law, wherever particular label instructions impose standards that are more restrictive than these regulations, such label instructions must be followed. Similarly, these regulations do not affect more restrictive regulations or guidelines applicable to particular types of pesticide applications.

Section 8. Transition

This regulation will become effective on January 1, 2007.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 601-625 and 22 M.R.S.A. §§ 1471-A-X.
• EFFECTIVE DATE: January 1, 2007 – filing 2006-204
• AMENDED: May 1, 2008 – filing 2008-153 (Final Adoption, major substantive)
• CORRECTIONS: February, 2014 – agency names, formatting
• APAO ACCESSIBILITY CHECK: November 12, 2025 (no issues detected following agency action)

Chapter 27 Standards for Pesticide Application and Public Notification in Schools

Code Me. R. 01-026 Ch. 27 Standards for Pesticide Applications and Public Notification in Schools {#sec-01-026-ch.-27 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 27}

SUMMARY: This rule establishes procedures and standards for applying pesticides in school buildings and on school grounds. This rule also sets forth the requirements for notifying school staff, students, visitors, parents and guardians about pending pesticide applications.

Section 1. Definitions

A. Integrated Pest Management. For the purposes of this rule, Integrated Pest Management (IPM) means the selection, integration and implementation of pest damage prevention and control based on predicted socioeconomic and ecological consequences, including:

(1) understanding the system in which the pest exists,

(2) establishing dynamic economic or aesthetic injury thresholds and determining whether the organism or organism complex warrants control,

(3) monitoring pests and natural enemies,

(4) when needed, selecting the appropriate system of cultural, mechanical, genetic, including resistant cultivars, biological or chemical prevention techniques or controls for desired suppression, and

(5) systematically evaluating the pest management approaches utilized.

B. School. For the purposes of this rule, School means any public, private or tribally funded:

(1) elementary school,

(2) secondary school,

(3) kindergarten or

(4) nursery school that is part of an elementary or secondary school.

C. School Building. For the purposes of this rule, School Building means any structure used or occupied by students or staff of any school.

D. School Grounds. For the purposes of this rule, School Grounds means:

(1) land associated with a school building including playgrounds, athletic fields and agricultural fields used by students or staff of a school, and

(2) any other outdoor area used by students or staff including property owned by a municipality or a private entity that is regularly utilized for school activities by students and staff. School grounds do not include land utilized primarily for non‑school activities, such as golf courses and museums.

E. Integrated Pest Management Coordinator. An employee of the school system or school who is knowledgeable about integrated pest management and is designated by each school to implement the school pest management policy.

F. School Session. For the purposes of this rule, school is considered to be in session during the school year including weekends. School is not considered to be in session during any vacation of at least one week.

Section 2. Requirements for All Schools

A. All public and private schools in the State of Maine shall adopt and implement a written policy for the application of Integrated Pest Management techniques in school buildings and on school grounds.

Each school shall appoint an IPM Coordinator who shall act as the lead person in implementing the school's Integrated Pest Management policy. The IPM Coordinator shall be responsible for coordinating pest monitoring and pesticide applications, and making sure all notice requirements as set forth in this rule are met. In addition, the IPM Coordinator shall:

complete Board-approved IPM Coordinator overview training within one month of his/her first appointment as an IPM Coordinator and obtain Board documentation thereof;

complete Board-approved IPM Coordinator comprehensive training within one year of his/her first appointment as an IPM Coordinator and obtain Board documentation thereof;

obtain at least one hour of Board-approved continuing education annually;

maintain and make available to parents, guardians and staff upon request:

1. the school’s IPM Policy,

b. a copy of this rule (CMR 01-026 Chapter 27),

c. a “Pest Management Activity Log,” which must be kept current. Pest management information must be kept for a minimum of two years from date of entry, and must include:

i. the specific name of the pest and the IPM steps taken, as described under Section 5C of this rule; and

ii. a list of pesticide applications conducted on school grounds, including the date, time, location, trade name of the product applied, EPA Registration number, company name (if applicable) and the name and license number of the applicator. If the product has no EPA Registration number, then a copy of the label must be included.

(5) authorize any pesticide application not exempted under Sections 3A(2), 3A(3), 3B, 3C, or 3D made in school buildings or on school grounds and so indicate by completing and signing an entry on the Pest Management Activity Log prior to, or on the date on which the minimum notification requirements must be implemented; and

(6) ensure that any applicable notification provisions required under this rule are implemented as specified.

C. By September 1, every school shall inform the Board of the identity and the contact information for the IPM Coordinator. This requirement can be fulfilled through a Board approved reporting system.

Section 3. Exemptions

A. The following pesticide uses are exempt from the requirements of Sections 4 and 5 of this rule:

(1) application of ready-to-use general use pesticides by hand or with non-powered equipment to control or repel stinging or biting insects when there is an urgent need to mitigate or eliminate a pest that threatens the health or safety of a student, staff member or visitor,

(2) application of general use antimicrobial products by hand or with non-powered equipment to interior or exterior surfaces and furnishings during the course of routine cleaning procedures, and

(3) application of paints, stains or wood preservatives that are classified as general use pesticides.

B. The following pesticide uses are exempt from the requirements of Section 4 of this rule:

(1) pesticides injected into cracks, crevices or wall voids,

(2) bait blocks, gels, pastes, granular and pelletized materials placed in areas inaccessible to students,

(3) indoor application of a pesticide with no re-entry or restricted entry interval specified on its label but entry to the treated area is restricted for at least 24 hours.

C. When the Maine Center for Disease Control has identified arbovirus positive animals (including mosquitoes and ticks) in the area, powered applications for mosquito control are exempt from Section 4B(1) and 5C. Applicators should post the treated area as soon as practical, in a manner consistent with Section 4B(2).

D. School education facilities utilized for agricultural or horticultural education, and not normally used by the general school population, such as, but not limited to, greenhouses, nursery plots or agricultural fields, are exempt from the application limitations contained in Section 5E and notification provisions contained in Section 4B(1) provided that parents, staff and students are informed about the potential for pesticide applications in such areas. The posting requirements contained in Section 4B(2) must be complied with. In addition, students entering treated areas must be trained as agricultural workers, as defined by the federal Worker Protection Standard.

Section 4. Notification

A. A notice shall be included in the school’s policy manual or handbook describing the school’s IPM program including that a school integrated pest management policy exists and where it may be reviewed, that pesticides may periodically be applied in school buildings and on school grounds and that applications will be noticed in accordance with Section 4B hereof. This notice shall describe how to contact the IPM Coordinator and shall also state that the school’s IPM Policy, a copy of the Standards for Pesticide Applications and Public Notification in Schools rule (CMR 01-026 Chapter 27), and the Pest Management Activity Log, are available for review.

B. When school is in session, schools shall provide notice of pesticide applications in accordance with Sections 4B(1)and 4B(2). When school is not in session, notice shall be accomplished by posting of signs as described in Section 4B(2) of this rule.

(1) The school shall provide notification of each application not exempted by Section 3 performed inside a school building or on school grounds to all school staff and parents or guardians of students. Notices given shall state, at a minimum: (a) the trade name and EPA Registration number of the pesticide to be applied; (b) the approximate date and time of the application; (c) the location of the application; (d) the reasons for the application; and (e) the name and phone number of the person to whom further inquiry regarding the application may be made. These notices must be sent at least five days prior to the planned application.

(2) In addition to the notice provisions above, whenever pesticide applications not exempted by Section 3 are performed in a school building or on school grounds, a sign shall be posted at each point of access to the treated area and in a common area of the school at least two working days prior to the application and for at least forty-eight hours following the application. Posting of the notification signs as required by this rule satisfies the posting requirements of Chapter 28 of the Board’s rules (CMR 01-026 Chapter 28).

a. The signs shall:

i. be light colored (white, beige, yellow or pink) with dark, bold letters (black, blue, red or green).

ii. bear the word CAUTION in 72 point type,

iii. bear the words PESTICIDE APPLICATION NOTICE in 30 point type or larger,

iv. state any reentry precautions from the pesticide labeling in at least 12 point type,

v. state the approximate date and time of the application in at least 12 point type, and

vi. state the name of the company or licensed applicator making the pesticide application and a contact telephone number in at least 12 point type,

b. The signs for indoor applications must:

i. be at least 8.5 inches wide by 11 inches tall,

ii. state the trade name and EPA Registration number(s) of the pesticide(s) to be applied in at least 12 point type,

iii. state the location of the application in at least 12 point type, and

iv. state the reason(s) for the application in at least 12 point type.

c. The signs for outdoor applications must:

i. be at least 5 inches wide by 4 inches tall,

ii. be made of rigid, weather-resistant material that will last at least ninety-six (96) hours when placed outdoors,

iii. bear the Board designated symbol (see appendix A), and

iv. state a date and/or time to remove the sign.

Section 5. Integrated Pest Management Techniques

A. All pest management activities shall be undertaken with the recognition that it is the policy of the State to work to find ways to use the minimum amount of pesticides needed to effectively control targeted pests in all areas of application. In all cases, applications should be conducted in a manner to minimize human risk to the maximum extent practicable using currently available technology.

B. All pest management activities should be conducted using appropriate elements of integrated pest management as described in the latest Cooperative Extension or Department of Agriculture training manuals for pest management in and/or on school property. Pest management activities should also be conducted in accordance with the Best Management Practices for Athletic Fields & School Grounds, or other applicable Best Management Practices approved by the Board.

C. Prior to any pesticide application the following steps must be taken and recorded:

(1) monitor for pest presence or conditions conducive to a pest outbreak,

(2) identify the pest specifically,

(3) determine that the pest population exceeds acceptable safety, economic or aesthetic threshold levels, and

(4) utilize non-pesticide control measures that have been demonstrated to be practicable, effective and affordable.

D. When a pesticide application is deemed necessary, the applicator must comply with all the requirements of CMR 01-026 Chapter 31–Certification and Licensing Provisions/Commercial Applicator. The applicator must also take into account the toxicity of recommended products and choose lowest risk products based on efficacy, the potential for exposure, the signal word on the pesticide label, the material safety data sheet, other toxicology data and any other label language indicating special problems such as toxicity to wildlife or likelihood of contaminating surface or ground water.

E. Indoor pesticide use must be limited to placement of baits and wall void or crack and crevice and pool and spa disinfectant treatments unless the pest threatens the health and safety of persons in the buildings as determined by the school's integrated pest management coordinator.

F. Pesticide applications must not be conducted when people are in the same room to be treated except that applicators may set out bait blocks, pastes or gels when only informed staff members are present. When space, spot, surface or fumigation applications are conducted the ventilation and air conditioning systems in the area must be shut off or the entire building must be evacuated. Applications should be planned to occur on weekends or vacations to allow maximum time for sprays to dry and vapors to dissipate.

G. Outdoor applications should be scheduled so as to allow the maximum time for sprays to dry and vapors to dissipate and shall not occur when unprotected persons are in the target area or in such proximity as to likely result in unconsenting exposure to pesticides. Applications must also be conducted in accordance with all other applicable Board rules designed for minimizing pesticide drift and posting of treated sites. Spot treatments should be considered in lieu of broadcast applications.

Section 6. Requirements for Commercial Pesticide Applicators Making Applications in School Buildings or on School Grounds

A. Prior to conducting a pesticide application not exempted in Section 3 in a school building or on school grounds, commercial pesticide applicators shall obtain written authorization from the IPM Coordinator. Authorization must be specific to each application and given no more than 10 days prior to the planned application.

B. Commercial pesticide applicators shall, within one business day of each pesticide application, provide the IPM Coordinator with a written record of the application including the date, time, location, trade name of the product applied, EPA Registration number and the name of the licensed applicator. If the product has no EPA Registration number then the applicator will provide a copy of the label.

C. Commercial pesticide applicators shall inform the IPM Coordinator about any pest monitoring activity and results. If it is acceptable to the IPM Coordinator, this may be achieved by recording them in the Pest Management Activity Log.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 601-625 and 22 M.R.S.A. §§ 1471-A-X
• EFFECTIVE DATE: August 30, 2003, filing 2002-408 accepted October 24, 2002.
• AMENDED: July 5, 2005 – filing 2005-266
• AMENDED: March 4, 2007 – Section 3(C), filing 2007-67
• AMENDED: August 29, 2013 – filing 2013-188 (Final adoption, major substantive)
• APAO ACCESSIBILITY CHECK: September 9, 2025 (nonsubstantive accessibility issues were resolved by agency)
• APAO ACCESSIBILITY CHECK: Appendix A
• APAO ACCESSIBILITY CHECK: Board Designated Symbol for Posting Outdoor Pesticide Applications to School Grounds

Chapter 28 Notification Provisions for Outdoor Pesticide Applications

Code Me. R. 01-026 Ch. 28 Notification Provisions for Outdoor Pesticide Applications {#sec-01-026-ch.-28 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 28}

SUMMARY: These regulations establish procedures and standards for informing interested members of the public about outdoor pesticide applications in their vicinity. This chapter sets forth the requirements for requesting notification about pesticide applications, for posting property on which certain commercial pesticide applications have occurred and also establishes the Maine Pesticide Notification Registry structure and fees.

Section 1. Requesting Notification About Outdoor Pesticide Applications

The purpose of the following notification requirement is to enable individuals an opportunity to obtain information regarding outdoor pesticide application activities in their vicinity.

A. Requests for Notification; How Made

The owner, lessee or other legal occupant of a sensitive area may make a request to be notified about any outdoor pesticide application(s) which may occur within 500 feet of that sensitive area and any aerial application(s) which may occur within 1,000 feet of the sensitive area.

1. The request may be made in any fashion, so long as it is effective in informing the person receiving the request of the name, address, telephone number, and interest in receiving notification of the person making the request.

2. The request for notification should be made to the person responsible for management of the land on which the pesticide application will take place. If the person making the request for notification is uncertain as to the identity of the person to whom the request should be made, he/she may make the request for notification to the person who owns the land involved, as such ownership is ascertainable from the tax records of the municipality. That landowner shall then be responsible for assuring compliance with provisions of this section.

B. Procedure of Notification

Once a request for notification has been made as provided in Section 1(A), the person receiving the request shall cause notification to be given as follows:

1. General notification of intent to apply pesticides out-of-doors shall be given to the person making the request for notification. Such general notification may be given in any fashion, provided that it is effective in informing the person receiving the notice of the following:

a. the approximate date(s) when pesticide(s) may be applied;

b. the pesticide(s) which may be applied;

c. in general terms, the manner of application; and

d. the name, address and telephone number of a person responsible for the pesticide application from whom additional information may be obtained.

e. If requested, the person responsible for managing the land shall make reasonable efforts to supply a copy of the MSDS(s) and/or the pesticide label(s). However such requests for additional information will not delay nor prohibit the intended pesticide application.

Where feasible, such general notification shall be given within one week after the request for notification is received and at least one day before any pesticide application is to occur. Such notification may cover outdoor pesticide applications which are planned over a period of up to one growing season.

2. If, following receipt of the general notification as provided by Section 1(B)(1) above, the person seeking notification believes there is a need for additional or updated information regarding impending pesticide application activities, he/she may make a further request for additional information from the person identified in the general notification. This request for additional information must specify the type of information needed, including, for example, more specific information regarding the date or dates on which pesticides will be applied when known. The person responsible for the notification shall make reasonable efforts to comply with such request for additional information.

3. If any person is dissatisfied with the efforts made by any other person at complying with these notification provisions, a complaint may be filed with the Board. The Board shall then make efforts to attempt to reach a reasonable and fair resolution between the parties.

Section 2. Maine Pesticide Notification Registry for Non-Agricultural Pesticide Applications

The Board shall maintain a list of individuals who must be notified of outdoor, non-agricultural pesticide applications in their vicinity. This list shall be referred to as the Maine Pesticide Notification Registry .

A. Individuals to be Included on the Registry

1. Individuals requesting to be listed on the Maine Pesticide Notification Registry shall pay all appropriate fees and provide the following information on forms supplied by the Board:

a. Name;

b. Mailing address;

c. Listed registry residence, including street or road address and city;

d. Daytime and evening telephone number(s), one of which is designated as the primary contact number; and

e. The names and addresses of all landowners or lessees within 250 feet of the boundary of the listed registry residence.

2. Individuals may register more than one residence by completing additional forms and paying all appropriate fees.

3. The effective period of the registry will be from March 1 to February 28 of the following year. Individuals must submit their request for inclusion on the next effective registry by December 31. All submissions received after that date will be included on the following registry. Individuals may notify the Board at any time of changes in their listed registry residence, however, changes will not take effect until the following registry. An individual will not be considered officially included on the Maine Pesticide Notification Registry unless their name appears on the current effective registry.

4. The Board shall mail renewal notices to individuals listed on the Maine Pesticide Notification Registry on or before November 1 of each year. An individual must re-apply and pay all appropriate fees annually to remain on the registry for the next twelve month period.

B. Alerting Neighbors to the Presence of an Individual on the Registry

1. All individuals on the Maine Pesticide Notification Registry shall annually provide a letter to all landowners and lessees within 250 feet of their property boundary from whom they want to receive notification.

2. This letter, approved and supplied by the Board, must inform neighbors of the existence of the Maine Pesticide Notification Registry , the individual's request to be notified in the event of an outdoor pesticide application, the distance from the property boundary which shall cause notification to be given for non-agricultural pesticide applications, and the notification requirements of this chapter.

3. The individual on the registry requesting notification bears the burden of proof for demonstrating that this provision has been met.

4. Failure to distribute the letter will not prohibit an individual from being added to or remaining on the registry.

C. Registry Provided to Commercial Applicators

The Maine Pesticide Notification Registry shall be printed and distributed annually to affected licensed Commercial Master Applicators on or before its effective date of March 1. Newly licensed Commercial Master Applicators will be provided a copy of the current effective registry upon licensing.

D. Notification to Individuals on the Maine Pesticide Notification Registry

1. Commercial applicators shall notify an individual listed on the registry when performing an outdoor, non-agricultural pesticide application that is within 250 feet of the property boundary of the listed registry residence.

2. A person who receives a letter in accordance with Section 2(B) and who performs any outdoor, non-agricultural pesticide application within 250 feet to the property boundary of the listed registry residence shall notify the individual from whom the letter was given or sent.

3. Notification must consist of providing the following information to the individual on the registry:

a. The location of the outdoor pesticide application;

b. The date and approximate start time of the pesticide application (within a 24 hour time period) and, in the event of inclement weather, an alternative date or dates on which the application may occur;

c. The brand name and EPA registration number of the pesticide product(s) which will be used; and

d. The name and telephone number of the person or company making the pesticide application.

4. An individual on the registry who receives notification may request a copy of the pesticide product label or Material Safety Data Sheet. The person or company performing the pesticide application shall make reasonable efforts to comply with such request for additional information. However, such requests for additional information will not delay nor prohibit the person or company from performing the pesticide application as scheduled.

5. Notification must be received between 6 hours and 14 days prior to the pesticide application.

6. Notification must be made by telephone, personal contact or mail.

a. In cases where personal contact with the individual listed on the registry is not achieved, notification requirements are met via telephone if:

i. the information is placed on a telephone answering device activated by calling the individual's primary contact telephone number; or

ii. the information is given to a member of the household or workplace contacted by dialing the primary contact telephone number.

b. If notification cannot be made after at least two telephone contact attempts and personal contact is not feasible, notification may be made by securely affixing the notification information in written form on the principal entry of the listed registry location.

7. The person or company performing the pesticide application bears the burden of proof for demonstrating that they have complied with this section.

E. Exceptions

1. Any person providing written notices to property owners in accordance with Chapter 51, “Notice of Aerial Pesticide Applications,” shall be exempt from this section.

2. The following types of pesticide applications do not require notification under this section:

a. The application of pesticides indoors;

b. Agricultural pesticide applications;

c. The outdoor commercial application of pesticides to control vegetation in rights-of-way in certification and licensing category 6A (rights-of-way vegetation management);

d. The outdoor commercial application of pesticides in certification and licensing category 7A (structural general pest control) within five (5) feet of a human dwelling, office building, institution such as a school or hospital, store, restaurant or other occupied industrial, commercial or residential structure which is the intended target site;

e. The application of general use pesticides by hand or with non-powered equipment to control stinging insects;

f. The placement of pesticidal baits;

g. The injection of pesticides into trees or utility poles;

h. The placement of pesticide-impregnated devices on animals, such as ear tags and flea collars;

i. The application of pesticidal pet supplies, such as shampoos and dusts;

j. The application of disinfectants, germicides, bactericides and virucides, such as bleach. The use of disinfectants in the pressure-washing of the exterior of buildings is not exempt under this section;

k. The application of insect repellents to the human body;

l. The application of swimming pool products;

m. The application of general use paints, stains, and wood preservatives and sealants applied with non-powered equipment or by hand or within an enclosure which effectively prevents the escape of spray droplets of the product being applied; and

n. The injection of pesticides into wall voids.

F. Exemption from this section

If an individual on the current effective registry and a person or company performing pesticide applications subject to this rule can reach an agreement on notification provisions acceptable to both parties other than those described herein, then the requirements as described in this section may be waived. For such an exemption to be in effect, the details of the notification agreement must be placed in writing and signed by both parties. Either party may terminate the notification agreement with a 14-day, written notice.

G. Fee

The annual application fee for an individual requesting to be on the registry will be $20.00. The Board may waive the fee for individuals who demonstrate an inability to pay, or where other extenuating circumstances exist which justify granting a waiver. Evidence of an individual’s inability to pay shall include, but not be limited to, the individuals participation in any of the following programs:

1. Food Stamps

2. Temporary Assistance for Needy Families (TANF)

3. Supplemental Security Income (SSI)

4. Social Security Disability (SSD)

5. Maine Care (Medicaid)

Requests for a fee waiver must be in writing and be made by the individual at the time of application for listing on the registry. The written request must contain sufficient information for the Board to determine that a basis for granting a fee waiver has been demonstrated in accordance with this rule.

Section 3. Public Notice and Posting Requirements for Certain Pesticide Applications

A. Sidewalks and Trails

Public notice must be provided consistent with Board policy for the outdoor commercial application of pesticides within category 6B to sidewalks and trails.

B. Posting

1. Categories Requiring Posting

a. 3A (outdoor ornamentals)

b. 3B (turf)

c. 6B (industrial/commercial/municipal vegetation management), except applications to sidewalks, trails, railroad sidings, and power substations

d. 7A (general pest control)

e. 7E (biting fly & other arthropod vectors)

2. Posting Requirements

Areas treated under the categories listed in Section 3B(1) shall be posted in a manner and at locations designed to reasonably assure that persons entering such area will see the notice. Such notice shall be posted before application activities commence and shall remain in place at least two days following the completion of the application. The sign shall be sufficient if it meets the following minimum specifications:

a. The sign must be at least five (5) inches wide and four (4) inches high;

b. The sign must be made of rigid, weather resistant material that will last at least forty-eight (48) hours when placed outdoors;

c. The sign must be light colored (white, beige, yellow or pink) with dark, bold letters (black, blue or green);

d. The sign must bear:

i. the word CAUTION in 72 point type;

ii. the words PESTICIDE APPLICATION in 30 point type or larger;

iii. the Board designated symbol;

iv. any reentry precautions from the pesticide labeling;

v. the name of the company making the pesticide application and its telephone number;

vi. the date and time of the application; and

vii. a date and/or time to remove the sign.

C. Exemption from this section

1. The placement of marked bait stations in outdoor settings shall be exempt from this section.

2. Any person providing notice in accordance with Chapter 51 - Notice of Aerial Pesticide Applications, Section III. - Ornamental Plant Applications, shall be exempt from this section.

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §1471-M(2)D
• EFFECTIVE DATE: September 22, 1998
• AMENDED: April 27, 1999
• AMENDED: June 26, 2000
• AMENDED: March 4, 2007 – Section 1(B)(e), filing 2007-68
• AMENDED: December 26, 2011 – filing 2011-473
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: May 24, 2015 – filing 2015-076 (Final adoption, major substantive)
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 29 Standards for Water Quality Protection

Code Me. R. 01-026 Ch. 29 Standards for Water Quality Protection {#sec-01-026-ch.-29 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 29}

SUMMARY: These regulations establish standards for protecting surface water. This chapter establishes a fifty-foot setback from surface water for mixing and loading of pesticides, sets forth requirements for securing containers on sprayers and cleaning up spills occurring within the setback zone, establishes restrictions on pesticide applications to control browntail moths near marine waters and requires an untreated 25-foot buffer zone for outdoor terrestrial broadcast pesticide applications near waters of the State.

Section 1. Protecting Waters of the State during Pesticide Mixing and Loading Operations

A. No person shall mix or load any pesticides or fill a sprayer or mix tank within fifty (50) feet from the high water mark of any surface waters of the State as defined in 38 M.R.S.A. §361-A(7).

B. No person shall use a pump that pumps pesticide concentrate or formulation or any hose that has been in contact with pesticide solution to draw liquid from any surface waters.

C. All pesticide pumping systems that come in contact with any surface waters shall be equipped with an anti-siphoning device.

Section 2. Securing Pesticide Product Containers and Mix Tanks on Sprayers, Nurse Vehicles and Other Support Vehicles during Transportation

No person shall transport any pesticide unless it is secured so as to prevent release of pesticides onto the vehicle or from the vehicle. All tanks, liquid containers, cartons and bags must be securely held so they may not shift and become punctured or spilled.

Section 3. Cleaning up Pesticide Spills within Setback Zone in Section 1

Any person who spills a pesticide within fifty (50) feet from the high water mark of any surface water shall take immediate steps to recover the pesticide by the most efficient means available and remove all contaminated soil to prevent water contamination.

Section 4. Exemptions

The following persons are exempt from Section 1(A) regarding mixing and loading within fifty (50) feet of the high water mark of any surface water:

A. Applicators with a variance approved by staff for an impervious mixing/loading pad with containment features. Applications for a variance must be submitted to the Board on or before December 31, 1999;

B. Applicators using chemigation equipment specified on labels to draw water from their tail-water ponds;

C. Commercial applicators using small individually packaged concentrates to mix no more than five (5) gallons for use in non powered equipment; and

D. Commercial applicators making aquatic applications from boats and barges.

Section 5. Restrictions on Pesticide Applications to Control Browntail Moths Near Marine Waters

Pesticide applications for control of browntail moths within 250 feet of the mean high tide mark adjacent to coastal waters and extending upriver or upstream to the first bridge are subject to the requirements of this section:

A. Exemptions

The prohibitions and restrictions in Section 5 do not apply to biological pesticides, to the injection of pesticides directly into the soil or shade and ornamental trees or to the application of pesticides by licensed commercial pesticide applicators using non-powered equipment.

B. Prohibitions and Restrictions

I. A person may not apply a pesticide to control browntail moths on shade or ornamental trees within 50 feet of the mean high water mark.

II. A person may not apply a pesticide to control browntail moths on shade or ornamental trees in coastal areas located between 50 and 250 feet from the mean high water mark except in accordance with this subsection.

a. Only products with active ingredients specifically approved by the Board for this purpose may be applied.

b. Applications may be performed only with a hydraulic hand-held spray gun or air-assisted sprayers.

c. Applications may be performed only in a manner in which the applicator directs the spray away from marine waters.

d. Applications may not be made when the wind is blowing toward marine waters.

e. Applications may be performed only when the wind is equal to or greater than 2 miles per hour and blowing away from marine waters.

Section 6. Buffer Requirement

A. No person shall make an outdoor terrestrial broadcast application of pesticides, except for applications made to control arthropod vectors of human disease or stinging insects, within twenty-five (25) feet from the mean high water mark of:

I. Any lake or pond, except ponds that are confined and retained completely upon the property of one person and do not drain into or have a surficial connection with any other waters of the State;

II. Rivers

III. Any stream depicted as a solid or broken blue line on the most recent edition of the U.S. Geological 7.5-minute series topographic map or, if not available, a 15-minute series topographic map;

IV. Estuarine and marine waters as defined under 38 M.R.S.A. §361-A (5); or

V. Wetlands, except man-made wetlands that are designed and managed for agricultural purposes, which are:

a. connected to great ponds at any time of the year; or

b. characterized by visible surface water; or

c. dominated by emergent or aquatic plants.

B. An applicator may vary from the standards imposed under Chapter 29, Section 6 (A) by obtaining a permit to do so from the Board. Permit applications shall be made on such forms as the Board provides and shall include at least the following information:

I. The name, address and telephone number of the applicant;

II. The area(s) where pesticides will be applied;

III. The type(s) of pesticides to be applied;

IV. The purpose for which the pesticide application(s) will be made;

V. The approximate application date(s);

VI. The type(s) of application equipment to be employed; and

VII. The particular reasons why the applicant seeks a variance from the requirements of this section, including a detailed description of the techniques to be employed to assure that a reasonably equivalent degree of protection of the water body will be obtained.

C. Within 30 days after a complete application is submitted, the Board or its staff shall issue a permit if it finds that the applicant will:

I. Achieve a substantially equivalent degree of protection as adherence to the requirements of this section would provide; or

II. Demonstrate an appropriate balance of risk and benefit; and

III. Will conduct the application in a manner which protects surface waters as defined in Chapter 29, section 6 (A).

The Board may place conditions on any such permit, and the applicant shall comply with such conditions. Except as required by the permit, the applicant shall undertake the application in accordance with all of the procedures described in his variance request and all other applicable legal standards. Permits issued by the Board under this section shall not be transferable or assignable except with further written approval of the Board and shall be valid only for the period specified in the permit.

History

• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 601-625 and 22 M.R.S.A. §§ 1471-A-X.
• EFFECTIVE DATE: April 14, 1999
• AMENDED: February 3, 2008 – filing 2008-35 (except that the major substantive language of Section 6, which was undergoing legislative review)
• AMENDED: May 1, 2008 - filing 2008-154, including Section 6’s final adoption
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-026 Chapter 29 page 4

Chapter 31 Certification and Licensing Provisions / Commercial Applicators

Code Me. R. 01-026 Ch. 31 Certification and Licensing Provisions/Commercial Applicators {#sec-01-026-ch.-31 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 31}

SUMMARY: These regulations describe the requirements for certification and licensing of commercial applicators.

1. Individual Certification and Company/Agency Licensing Requirements

A. Any commercial applicator must be either:

I. licensed as a commercial applicator/master; or

II. licensed as a commercial applicator/operator; or

supervised on-site by either a licensed commercial applicator/master or a commercial applicator/operator who is physically present on the property of the client the entire time it takes to complete an application conducted by an unlicensed applicator. This supervision must include visual and voice contact. Visual contact must be continuous except when topography obstructs visual observation for less than five minutes. Video contact does not constitute visual observation. The voice contact requirement may be satisfied by real time radio or telephone contact. In lawn care and other situations where both the licensed and unlicensed applicator are operating off the same application equipment, the licensed applicator may move to an adjoining property on the same side of the street and start another application so long as he or she is able to maintain continuous visual and voice contact with the unlicensed applicator. Applicators must also follow the standards outlined in 40 CFR 171.201 (2023).

B. All commercial applicators responsible for the supervision of noncertified applicators of restricted use pesticides must ensure compliance with training, record keeping, and all other requirements as indicated in 40 CFR 171.201(c) “Supervision of Noncertified Applicators” (2017).

C. All commercial applicator licenses shall be affiliated with a company/agency and shall terminate when the employee leaves the employment of that company or agency.

D. Individuals certified as commercial applicators are eligible to license with one or more companies/agencies upon submission of the application and fee as described in Section 6 of this regulation. The individual’s certification remains in force for the duration of the certification period as described in Section 5 of this regulation.

E. Each branch office of any company, agency, organization or self-employed individual ("employing entity") required to have personnel licensed commercially under state pesticide law shall have in its employment at least one master applicator. This Master must be licensed in all categories which the branch office of the company or agency performs applications and any Operators must also be licensed in the categories in which they perform or supervise pesticide applications. This master applicator must actively supervise persons applying pesticides within such employing entity and have the ability to be on site to assist such persons within six (6) hours driving time. Whenever an out-of-state employing entity is conducting a major application project they must have a master applicator within the state.

F. Exemptions

I. Persons applying pesticides to household pets and other non agricultural domestic animals are exempt from commercial applicator licensing.

II. Swimming pool and spa operators that are certified by the National Swimming Pool Foundation, National Spa and Pool Institute or other organization approved by the Board are exempt from commercial applicator licensing. However, these persons must still comply with all provisions of C.M.R. 10-144, Chapter 202 – Rules Relating to Public Swimming Pools and Spas, administered by the Maine Department of Health and Human Services, Division of Environmental Health..

III. Certified or licensed Wastewater or Drinking Water Operators applying registered disinfectants to waste or drinking water as part of their employment.

VI. Adults applying repellents to children with the consent of parents/guardians.

VII. Persons installing antimicrobial metal hardware.

2. Categories of Commercial Applicators

A. All commercial applicators shall be categorized according to the type of work performed as outlined below:

I. Agricultural Animal and Plant Pest Control

a. Agricultural Animal - This subcategory includes commercial applicators using or supervising the use of pesticides on animals and to places on or in which animals are confined. Doctors of Veterinary Medicine engaged in the business of applying pesticides for hire as pesticide applicators are included in this subcategory; however, those persons applying pesticides as drugs or medication during the course of their normal practice are not included.

b. Agricultural Plant - This subcategory includes commercial applicators using or supervising the use of pesticides in the production of crops including blueberries, orchard fruit, potatoes, vegetables, forage, grain and industrial or non-food crops.

Option I - Limited Commercial Blueberry - This option includes commercial applicators using or supervising the use of pesticides in the production of blueberries only.

Option II - Chemigation - This option includes commercial applicators using or supervising the use of pesticides applied through irrigation equipment in the production of crops.

Option III - Agricultural Soil Fumigation - This option includes commercial applicators using or supervising the use of soil fumigant pesticides in the production of crops.

Option IV - Post Harvest Treatment - This option includes commercial applicators using or supervising the use of pesticides in the post harvest treatment of food crops.

II. Forest Pest Management

This category includes commercial applicators using or supervising the use of pesticides in forests, forest nurseries, Christmas trees, and forest seed producing areas.

III. Ornamental and Turf Pest Control

a. Outdoor Ornamentals - This subcategory includes commercial applicators using or supervising the use of pesticides to control pests in the maintenance and production of outdoor ornamental trees, shrubs and flowers.

b. Turf - This subcategory includes commercial applicators using or supervising the use of pesticides to control pests in the maintenance and production of turf, such as at turf farms, golf courses, parks, cemeteries, athletic fields and lawns.

c. Indoor Ornamentals - This subcategory includes commercial applicators using or supervising the use of pesticides to control pests in the maintenance and production of live plants in shopping malls, businesses, residences and institutions.

IV. Seed Treatment

This category includes commercial applicators using or supervising the use of pesticides on seeds.

V. Aquatic Pest Control

a. General Aquatic - This subcategory includes commercial applicators using or supervising the use of pesticides applied directly to surface water, including but not limited to outdoor application to public drinking water supplies, golf course ponds, rivers, streams and wetlands. Excluding applicators engaged in public health related activities included in categories VII(e) and VIII below.

b. Sewer Root Control - This subcategory includes commercial applicators using or supervising the use of pesticides applied to sewers to control root growth in sewer pipes.

VI. Vegetation Management

a. Rights-of-Way Vegetation Management - This subcategory includes commercial applicators using or supervising the use of pesticides in the management of vegetation on utility, roadside, maintenance of public roads, and railroad rights-of-way.

b. General Vegetation Management - This subcategory includes commercial applicators using or supervising the use of pesticides in the management of vegetation (including invasive plants) on sites not included in category VI a including, but not limited to, municipal and other publicly owned properties, maintenance of public roads, industrial or commercial plants and buildings, lumber yards, airports, tank farms, storage areas, parking lots, sidewalks, and trails.

VII. Industrial, Institutional, Structural and Health Related Pest Control

a. General - This subcategory includes commercial applicators using or supervising the use of pesticides in, on or around human dwellings, office buildings, institutions such as schools and hospitals, stores, restaurants, industrial establishments (other than in Category 6) including factories, warehouses, food processing plants, food or feed transportation facilities and other structures, vehicles, railroad cars, ships, aircraft and adjacent areas; and for the protection of stored, processed or manufactured products. This subcategory also includes commercial applicators using or supervising the use of pesticides to control rodents on refuse areas and to control other pests, including but not limited to birds and mammals.

b. Fumigation - This subcategory includes commercial applicators using or supervising the use of fumigants or fumigation techniques in any type of structure or transportation device.

c. Disinfectant and Biocide - This subcategory includes commercial applicators using or supervising the use of pesticides to treat mold or microbial growth problems, to treat water in manufacturing, industrial cooling towers, public drinking water treatment plants, sewers, air conditioning systems, and in swimming pools and spas.

d. Wood Preserving - This subcategory includes commercial applicators using or supervising the use of restricted use pesticides to treat lumber, poles, railroad ties and other types of wooden structures including bridges, shops and homes. It also includes commercial applicators applying general use pesticides for remedial treatment to utility poles.

e. Biting Fly & other Arthropod Vectors - This subcategory includes commercial applicators and non-public health governmental officials using or supervising the use of pesticides in management and control of biting flies & other arthropod vectors of public health and public nuisance importance including, but not limited to, ticks, mosquitoes, black flies, midges, and members of the horsefly family.

f. Termite Pests - This subcategory includes commercial applicators using or supervising the use of pesticides to control termites.

VIII. Public Health Pest Control

a. Biting Fly Pests - This subcategory includes governmental officials using pesticides in management and control of potential disease vectors or other pests having medical and public health importance including, but not limited to, mosquitoes, black flies, midges, and members of the horsefly family.

b. Other Pests - This subcategory includes governmental officials using pesticides in programs for controlling other pests of concern to public health including, but not limited to, ticks and birds and mammal vectors of human disease.

IX. Regulatory Pest Control

This category includes governmental employees using pesticides in the control of pests regulated by the U.S. Animal and Plant Health Inspection Service or some other governmental agency.

X. Demonstration and Research Pest Control

This category includes all individuals who (1) demonstrate to the public the proper use and techniques of application of pesticides or supervise such demonstration, (2) conduct field research with pesticides, and in doing so, use or supervise the use of pesticides . Individuals who conduct only laboratory-type research are not included. Applicants seeking certification in this category must also become certified in whatever category/subcategory they plan to make applications under; e.g., Categories I - IX.

XI. Aerial Pest Control

This category includes commercial applicators, including pilots and co-pilots, applying or supervising the application of pesticides by means of any aircraft. Applicants seeking certification in this category must also become certified in whatever category/subcategory they plan to make applications under; e.g., Categories I - IX.

3. Competency Standards for Certification of Commercial Applicators

A. Applicants seeking commercial certification must establish competency in the general principles of safe pest control by demonstrating knowledge of basic subjects including, but not limited to, pesticide labeling, safety, environmental concerns, pest organisms, pesticides, equipment, application techniques and applicable laws and regulations. (Core Exam).

B. Applicants seeking commercial certification must demonstrate competency in each applicable category or subcategory. (Category Exam). Competency in the applicable category or subcategory shall be established as follows:

I. Agricultural Animal and Plant Pest Control

a. Agricultural Animals. Applicants seeking certification in the subcategory of Animal Pest Control as described in Section 2(A)(I)(a) must demonstrate knowledge of animals, their associated pests, and methods of pest control. Areas of practical knowledge shall include specific toxicity, residue potential, relative hazards of different formulations, application techniques, and hazards associated with age of animals, stress, and extent of treatment.

b. Agricultural Plant

Option I - Limited Commercial Blueberry - Applicants seeking certification in Limited Commercial Blueberry must demonstrate practical knowledge of blueberries. This option includes commercial applicators using or supervising the use of pesticides in producing blueberries only. Areas of such practical knowledge shall include IPM, soil and water problems, preharvest intervals, reentry intervals, phytotoxicity, potential for environmental contamination, non-target injury, and community problems related to pesticide use in certain areas. Also required shall be knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals, or humans.

Option II - Chemigation - This option includes commercial applicators using or supervising the use of pesticides applied through irrigation equipment in the production of crops. Areas of such practical knowledge shall include IPM, soil and water problems, preharvest intervals, reentry intervals, phytotoxicity, potential for environmental contamination, non-target injury, and community problems related to pesticide use in certain areas. The proper meteorological conditions for applying pesticides and the potential adverse effect of pesticides on plants, animals, or humans.

Option III - Agricultural Soil Fumigation - This option includes commercial applicators using or supervising the use of fumigant pesticides in the production of crops. Applicants seeking certification must demonstrate practical knowledge of the crops grown and the specific pests of those crops on which they may be using pesticides. Areas of such practical knowledge shall include IPM, soil and water problems, preharvest intervals, reentry intervals, phytotoxicity, potential for environmental contamination, non-target injury, and community problems related to pesticide use in certain areas. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans. Applicants must demonstrate practical knowledge of agricultural soil fumigation as outlined in 40 CFR 171.103(d)(13) and 40 CFR 171.103(c)(1)-(10) (2023).

Option IV - Post-Harvest Treatment - This option includes commercial applicators using or supervising the use of pesticides in the post-harvest treatment of food crops. Applicators must demonstrate practical knowledge of the crops being treated, the specific pests of those crops on which they may be using pesticides, and the potential adverse effect of pesticides on animals or humans.

II. Forest Pest Management

Applicants seeking certification in the category of Forest Pest Management as described in Section 2(A)(II) must demonstrate practical knowledge of forest vegetation management, forest tree biology and associated pests. Such required knowledge shall include population dynamics of pest species, pesticide-organism interactions, integration of pesticide use with other pest control methods, environmental contamination, pesticide effects on non-target organisms, and use of specialized equipment. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

III. Ornamental and Turf Pest Control

a. Outdoor Ornamentals. Applicants seeking certification in the Outdoor Ornamental subcategory as defined in Section 2(A)(III)(a) must demonstrate practical knowledge of pesticide problems associated with the production and maintenance of trees, shrubs and floral plantings. Such knowledge shall include potential phytotoxicity, undue pesticide persistence, and application methods, with particular reference to techniques used in proximity to human habitations. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

b. Turf. Applicants seeking certification in the Turf subcategory as described in Section 2(A)(III)(b) must demonstrate practical knowledge of pesticide problems associated with the production and maintenance of turf. Such knowledge shall include potential phytotoxicity, undue pesticide persistence, and application methods, with particular reference to techniques used in proximity to human habitations. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

c. Indoor Ornamentals. Applicants seeking certification in the Indoor Ornamental subcategory described in Section 2(A)(III)(c) must demonstrate practical knowledge of pesticide problems associated with the production and maintenance of indoor ornamental plantings. Such knowledge shall include pest recognition, proper pesticide selection, undue pesticide persistence, and application methods with particular reference to techniques used in proximity to human presence.

IV. Seed Treatment

Applicants seeking certification in the category of Seed Treatment as described in Section 2(A)(IV) must demonstrate practical knowledge of seed types and problems requiring chemical treatment. Such knowledge shall include seed coloring agents, carriers and binders which may affect germination, hazards associated with handling, sorting, and mixing in the treatment process, hazards of introduction of treated seed into food and feed channels, and proper disposal of unused treated seeds.

V. Aquatic Pest Control

a. General Aquatic - Applicants seeking certification in the subcategory of General Aquatic as described in Section 2(A)(V)(a) must demonstrate practical knowledge of proper methods of aquatic pesticide application, application to limited area, and a recognition of the adverse effects which can be caused by improper techniques, dosage rates, and formulations. Such knowledge shall include basic factors contributing to the development of nuisance aquatic plant growth such as algal blooms, understanding of various water use situations and potential downstream effects from pesticide use, and potential effects of various aquatic pesticides on plants, fish, birds, insects and other organisms associated with the aquatic environment. Also required shall be an understanding of the Department of Environmental Protection laws and regulations pertaining to aquatic discharges and aquatic weed control and a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

b. Sewer Root Control - Applicants seeking certification in the subcategory of Sewer Root Control as described in Section 2(A)(V)(b) must demonstrate practical knowledge of proper methods of sewer root control pesticide application, application to pipes, and a recognition of the adverse effects which can be caused by improper techniques, dosage rates, and formulations. Such knowledge shall include potential effects on water treatment plants, movement of pesticides into off target pipes or buildings and the hazards of sewer gases.

VI. Vegetation Management

Rights-of-Way Vegetation Management - This subcategory includes commercial applicators using or supervising the use of pesticides in the management of vegetation on utility, roadside, and railroad rights-of-way.

Applicants seeking certification must demonstrate practical knowledge of the impact of pesticide use on a wide variety of environments. Such knowledge shall include maintenance of public roads to Maine vegetation management rights of ways vegetation management. The ability to recognize target organisms and circumstances specific to the subcategory, awareness of problems of runoff, root pickup, and aesthetic considerations associated with excessive foliage destruction and "brown-out," and an understanding of the mode of action of herbicides and reasons for the choice of particular chemicals for particular problems, the importance of the assessment of the potential impact of spraying on adjacent public and private properties and activities, and effects of spraying on fish and wildlife species and their habitat. Also required shall be knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals, or humans.

b. General Vegetation Management - This subcategory includes commercial applicators using or supervising the use of pesticides in managing vegetation (including invasive plants). Applicants seeking certification must demonstrate practical knowledge of the impact of pesticide use on a wide variety of environments. Such knowledge shall include the ability to recognize target organisms and circumstances specific to the subcategory, awareness of problems of runoff, root pickup, and aesthetic considerations associated with excessive foliage destruction and "brown-out," and an understanding of the mode of action of herbicides and reasons for the choice of particular chemicals for particular problems, and effects of spraying on fish and wildlife species and their habitat. Also required shall be knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals, or humans.

VII. Industrial, Institutional, Structural and Health Related Pest

a. General. Applicants seeking certification in the subcategory of General Pest Control as described in Section 2(A)(VII)(a) must demonstrate a practical knowledge of a wide variety of pests and methods for their control. Such knowledge shall include identification of pests and knowledge of life cycles, formulations appropriate for various indoor and outdoor uses, methods to avoid contamination of food and feed, and damage to structures and furnishings, avoidance of risk to humans, domestic animals, and non-target organisms and risks to the environment associated with structural pesticide use.

b. Fumigation. Applicants seeking certification in the subcategory Fumigation as described in Section 2(A)(VII)(b) must demonstrate a practical knowledge of wide variety of pests and fumigation methods for their control. Such knowledge shall include identification of pests and knowledge of life cycles, fumigant formulations, methods to avoid contamination of food and damage to structures and furnishings, and avoidance of risks to employees and customers. Applicants must also demonstrate practical knowledge of topics indicated in 40 CFR 171.103(d)(14) and 40 CFR 171.103(c)(1)-(10) (2023).

c. Disinfectant and Biocide. Applicants seeking certification in the subcategory of Disinfectant and Biocide as described in Section 2(A)(VII)(c) must demonstrate practical knowledge of water organisms and their life cycles, pool and spa design systems, drinking water treatment plant designs, cooling water system designs, mold and problematic microbial organisms, labels, hazards of disinfectants and biocides and proper application techniques to ensure adequate control while minimizing exposure to humans and the environment.

d. Wood Preserving. Applicants seeking certification in the Wood Preserving Subcategory described in Section 2(A)(VII)(d) must demonstrate practical knowledge in wood destroying organisms and their life cycles, nonchemical control methods, pesticides appropriate for wood preservation, hazards associated with their use, proper handling of the finished product, proper disposal of waste preservatives, and proper application techniques to assure adequate control while minimizing exposure to humans, livestock and the environment.

e. Biting Fly and Other Arthropod Vector Pests. Applicants seeking certification in the subcategory of Biting Fly and Other Arthropod Vector Pest control as described in Section 2(A)(VII)(e) must demonstrate a practical knowledge of the species involved, their potential roles in disease transmission, and the use of pesticides in their control. Such knowledge shall include identification of and familiarity with life cycles and habitat requirements, special environmental hazards associated with the use of pesticides in control programs, and knowledge of the importance of integrating chemical and non-chemical control methods. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

f. Termite Pests. Applicants seeking certification in this subcategory must demonstrate a practical knowledge of Termite pests and methods for their control. Such knowledge shall include identification of termites and knowledge of life cycles, formulations appropriate for various indoor and outdoor uses, methods to avoid contamination of food and feed, and damage to structures and furnishings, avoidance of risk to humans, domestic animals, and non-target organisms and risks to the environment associated with structural pesticide use.

VIII. Public Health Pest Control

a. Biting Fly and Other Arthropod Vector Pests. Applicants seeking certification in the subcategory of Biting Fly and Other Arthropod Vector Pest Control as described in Section 2(A)(VIII)(a) must demonstrate a practical knowledge of the species involved, their potential roles in disease transmission, and the use of pesticides in their control. Such knowledge shall include identification of and familiarity with life cycles and habitat requirements, special environmental hazards associated with the use of pesticides in control programs, and knowledge of the importance of integrating chemical and non-chemical control methods. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

b. Other Pests. Applicants seeking certification in the subcategory of Other Pest Control as described in Section 2(A)(VIII)(b) must demonstrate a practical knowledge of the species involved, their potential roles in disease transmission, and the use of pesticides in their control. Such knowledge shall include identification of and familiarity with life cycles and habitat requirements, special environmental hazards associated with the use of pesticides in control programs, and knowledge of the importance of integrating chemical and non-chemical control methods. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

IX. Regulatory Pest Control

Applicants seeking certification in the category of Regulatory Pest Control as described in Section 2(A)(IX) must demonstrate practical knowledge of regulated pests and applicable laws relating to quarantine and other regulations of pests. Such knowledge shall also include environmental impact of pesticide use in eradication and suppression programs, and factors influencing introduction, spread, and population dynamics of relevant pests. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

X. Demonstration and Research Pest Control

Applicants seeking certification in the category of Demonstration and Research Pest Control as described in Section 2(A)(X) must demonstrate practical knowledge in the broad spectrum of activities involved in advising other applicators and the public as to the safe and effective use of pesticides. Persons involved specifically in demonstration activities will be required to demonstrate knowledge of pesticide-organism interactions, the importance of integrating chemical and non-chemical control methods, and a grasp of the pests, life cycles and problems appropriate to the particular demonstration situation. Field researchers will be required to demonstrate general knowledge of pesticides and pesticide safety, as well as a familiarity with the specific standards of this Section which apply to their particular areas of experimentation. All individuals certified in this category must also be certified in one or more of the previous categories or subcategories which represent at least 80% of their practice. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

XI. Aerial Pest Control

Applicants seeking certification in the category of Aerial Pest Control as described in Section 2(A)(XI) must demonstrate at least a practical knowledge of problems which are of special significance in aerial application of pesticides, including chemical dispersal equipment, tank, pump and plumbing arrangements; nozzle selection and location; ultra-low volume systems; aircraft calibration; field flight patterns; droplet size considerations; flagging methods; and loading procedures. Applicants must also demonstrate competency in the specific category or subcategory in which applications will be made, as described in paragraphs I, II, VI and VIII herein. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans. Applicants must also demonstrate practical knowledge of topics indicated in 40 CFR 171.103(d)(15) and 40 CFR 171.103(c)(1)-(10) (2023).

4. Competency Standards for Certification of Commercial Applicator/Master

A. Regulations Exam. An applicant seeking certification as a commercial applicator/master must successfully complete a closed book exam on the appropriate chapters of the Board's regulations. The passing grade shall be 80%. An applicant must successfully complete the regulations exam before being allowed to proceed to the master exam. The staff may waive the requirements for the closed book regulation exam if it determines that a pest management emergency exists necessitating the issuance of a nonresident license pursuant to Section 6 B. of this chapter, provided that the staff verbally reviews thepertinent regulations with the applicant prior to issuing a nonresident license.

B. Master Exam. An applicant seeking certification as a commercial applicator/master must also demonstrate practical knowledge in ecological and environmental concerns, pesticide container and rinsate disposal, spill and accident mitigation, pesticide storage and on site security, employee safety and training, potential chronic effects of exposure to pesticides, pesticide registration and special review, the potential for groundwater contamination, principles of pesticide drift and measures to reduce drift, protection of public health, minimizing public exposure and use of non pesticide control methods. In addition, applicant must demonstrate the ability to interact with a concerned public.

5. Certification Procedures for Commercial Applicators

A. Initial Certification. Individuals attempting to certify as a commercial applicator must be at least 18 years of age.

I. Application for Exams. Individuals applying to take exams must submit a completed application and associated fees. All fees are waived for governmental employees.

a. Information shall include name, home address, company address, name and telephone number of supervisor and categories for which certification is desired.

b. A non-refundable fee of $10.00 for each core, category or subcategory exam shall accompany the application.

c. Study materials for other than the regulations exam are available through the University of Maine Cooperative Extension Pest Management Office for a fee.

d. A non-refundable fee of $10.00 for the regulations exam and $40.00 for the Master exam shall accompany the application for Master exams. Study material for the regulations exam will be sent to the applicant upon receipt of their application and the required fees.

II. Appointment for Exams

a. Exams will be scheduled by Board staff. It is the responsibility of the applicant to reschedule if necessary.

b. All exam fees shall be forfeited if an applicant fails to notify the Board that he/she cannot sit for the exams on the scheduled date at least 24 hours in advance of the scheduled exam. Applicants who cancel their exam appointment two times in a row shall also forfeit their exam fees. Re-application shall require an additional $15.00 fee.

c. Exams will be available year-round on an appointment basis at the Board's office in Augusta.

d. Exams may also be offered at other locations designated by the Board staff. Appointments for these exams should be arranged by application with the Board's office in Augusta.

III. Exams

a. Applicants t shall take a closed book core exam plus a closed book category technical exam on each applicable category or subcategory for which they anticipate making pesticide applications.

b. In addition to the exams described above in sections (a), applicants for commercial applicator/master certification must complete a closed book written regulations exam as well as a master exam. Applicants for commercial applicator/master must successfully complete the core and at least one category exam or the combined exam before being eligible to take the master exams. Applicants must also successfully complete the regulations exam before being allowed to commence on the master exam.

IV. Examination Procedures. All applicants shall comply with these rules or forfeit their opportunity to complete the exams at a specified appointment.

a. Applicant shall present a government issued identification to the moderator prior to commencement of exams.

b. Applicants should be present and ready to take the exams at the appointed time.

c. Applicants shall not talk during the examination period.

d. Applicants shall not be allowed to bring any books, papers, cellular telephones, calculators or electronically stored data into the examining room. Pencils and work sheets will be provided and all papers shall be collected at the end of the period.

e. Applicants shall not make notes of the exams and shall not leave the table during an exam unless authorized by the staff.

V. Qualification Requirements. An applicant must achieve a passing score of 80 percent on each exam.

a. An applicant who fails the core exam must re-apply and pay all required fees and may not retake that examination prior to 6 days after the date of such failed examination. If an applicant fails again the applicant must reapply and pay all required fees and wait 6 more days before retaking again.

b. An applicant who fails a category exam must re-apply and pay all required fees and may not retake that examination prior to 6 days after the date of such failed examination. If an applicant fails again the applicant must reapply and pay all required fees and wait 6 more days before retaking again.

c. An applicant who passes the core and one category exam shall be considered eligible for operator level licensing in that particular category so long as that person will be working under the supervision of a Master applicator. If at a later date the applicant wishes to add another category, only the appropriate category exam shall be required.

d. An applicant who fails a master exam must re-apply and pay all required fees and may not retake the examination prior to 6 days after the date of such failed examination.

e. Any applicant must pass both the core and at least one category exam by December 31 of the third year from the date on which the first exam was passed.

f. Any applicant who violates any of the rules pertaining to examinations shall wait a minimum of 60 days before retaking.

VI. Expiration. Certification under this Section will expire on December 31st of the third year after the date of successful completion of required exams and on December 31st of every third year thereafter unless a special restricted certification period is assigned by the Board or Board staff.

VII. An applicant’s original certification period shall not be extended due to the applicant qualifying for another category or upgrading to the master level.

B. Recertification of Applicators

I. Persons with current valid certification may renew that certification by either providing documentation from a substantially equivalent professional certification program approved by the board or by accumulating recertification credits during the certification period described in Section 5(A)VI according to the following schedule:

a. Master level - 9 credit hours in subject areas applicable to the categories/subcategories in which the licensee is certified.

b. Operator level - 6 credit hours in subject areas applicable to the categories/subcategories in which the licensee is certified.

II. Recertification credits will be available through Board-approved meetings including but not limited to industry and trade organization seminars, workshops where pesticide topics are presented and approved home study courses.

a. Board staff will review program agendas and monitor programs as time permits.

III. Credit will be allowed for topics including, but not limited to:

a. Applicable laws and regulations.

b. Environmental hazards.

c. Calibration and new application techniques.

d. Label review.

e. Applicator safety.

f. Storage and disposal.

g. Pest identification and control.

h. Integrated pest management.

IV. Persons organizing meetings for which they want credits awarded must contact the Board in writing at least 15 days in advance of the meeting with details of the agenda. Board staff will review program agendas and assign credit values.

a. One credit will be assigned for each 1 hour of presentation on appropriate topics.

An individual who conducts a meeting for which the Board does assign recertification credits will be eligible for two credits for each 1 hour of presentation on appropriate topics.

c. An individual who organizes a meeting shall be required to maintain a sign up sheet and supervise the signing of the sheet by all applicators attending the program. That individual shall submit the signup sheet to the Board at the same time the verification attendance forms are collected and submitted to the Board.

V. For in state programs, applicants must submit verification of attendance at approved programs to the Board. For out of state programs, applicators must submit verification of attendance; they may also be asked to provide documentation such as an agenda or descriptions of the presentations attended.

A person who fails to accumulate the necessary credits during their first three year certification period will have to retake and pass all exam(s) required for initial certification. If a person fails to accumulate the necessary credits again that person must retake and pass all exam(s) required for initial certification and within one year thereafter, obtain the balance of the recertification credits which that person failed to accumulate during the previous certification period. If that person does not obtain the balance of credits needed, the Board will not renew their license until the make- up credits are accrued.

VII. Applicants must attend the entire approved program(s) for which recertification credit is sought. No other person may complete or sign a verification form on another applicator’s behalf. Any form that is completed or signed by a person other than the applicator will be deemed a fraudulent report and will not be approved by the Board for recertification credit(s). Any credit(s) approved by the Board pursuant to an attendance verification form which is subsequently determined by the Board to have been completed or signed by a person other than the applicator shall be void and may not be counted towards the applicator’s recertification requirements; and any recertification issued on the basis of such credits shall be void.

6. Licensing

A. All Commercial Applicators required to be certified under this chapter and state pesticide law shall be licensed before using or supervising the use of pesticides as described in Section 1(A).

B. Nonresident licenses. When the staff determines that a pest management emergency exists which necessitates the use of aerial application and for which there are not sufficient qualified Maine licensees, it may issue a license without examination to nonresidents who are licensed or certified by another state or the Federal Government substantially in accordance with the provisions of this chapter. Nonresident licenses issued pursuant to this section are effective until December 31 of the year in which they are issued.

C. Application. Application for a commercial applicator license shall be on forms provided by the Board.

I. The completed application must include the name of the company or agency employing the applicant.

II. Unless the applicant is the owner of a company, the completed application must be signed by both the applicant and that person’s supervisor to verify the applicant is an employee of the company/agency.

D. Fee. At the time of application, the applicant must tender the appropriate fee as follows:

I. For a commercial applicator license - $105.00 per person.

E. Commercial applicators who apply pesticides for hire (custom applicators) and operate a company that is incorporated or which employs more than one applicator (licensed or unlicensed) must comply with Chapter 35, Certification & Licensing Provisions/Spray Contracting Firms which requires an additional Spray Contracting Firm License.

F. Insurance. Commercial applicators who spray for hire (custom applicators) shall be required to have liability insurance in force at any time they make a pesticide application.

I. Applicators shall submit a completed and signed form provided by the Board at the time they apply for their license which attests that they will have the required amounts of insurance coverage in effect when they make pesticide treatments. The information submitted on the form must be true and correct.

II. Insurance coverage must meet or exceed the following minimum levels of liability:

a. Ground applicators

Public liability $100,000 each person

$300,000 each occurrence

Property damage $100,000 each occurrence

b. Aircraft applicators

Public liability $100,000 each person

$300,000 each occurrence

Property damage $100,000 each occurrence

G. Reports. Annual Summary Reports described in Chapter 50, Section 2(A) must be submitted for each calendar year by January 31 of the following year. In the event a required report is not received by the due date, the person’s license is temporarily suspended until the proper report is received or until a decision is rendered at a formal hearing as described in 22 MRSA §1471-D (7).

H. Expiration

I. All licenses will expire at the end of the certification period as determined in Section 5(A)VI or when an individual licensee terminates employment with the company/agency with which the individual’s license is affiliated.

II. The licensee or a company/agency representative shall notify the Board in writing within 10 days after a licensee is terminated from employment.

III. Also, all licenses within a company/agency are suspended if the licensed Master is terminated from employment or dies.

I. Decision. Within 60 days of receipt of application by the Board, unless the applicant agrees to a longer period of time, the Director shall issue, renew or deny the license. The Director's decision shall be considered final agency action for purposes of 5 M.R.S.A. §11001 et seq .

J. Credentials Contact. Licenses issued under this rule will include the following information:

I. Full name of applicator

II. License number

III. Categories

IV. Expiration date

V. Maine statute under which license is issued.

History

• STATUTORY AUTHORITY: 22 M.R.S.A., Section 1471-D
• EFFECTIVE DATE: January 1, 1983 (filed with Secretary of State August 13, 1982)
• AMENDED: December 29, 1982
• AMENDED: January 1, 1984
• AMENDED: January 1, 1984 ‑ Section 7
• AMENDED: May 20, 1984 ‑ Section 6
• AMENDED: May 13, 1985 ‑ Section 5
• AMENDED: Emergency amendment effective April 18, 1986 ‑ Section 6
• AMENDED: August 3, 1986 ‑ Section 6
• AMENDED: November 30, 1986 ‑ Section 3
• AMENDED: May 23, 1987 ‑ Section 1
• AMENDED: April 27, 1988
• AMENDED: April 29, 1990
• AMENDED: January 1, 1996 (adopted by Board October 7, 1994 - see Section 8 for transition dates)
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: December 28, 1999 -- also converted to MS Word
• AMENDED: March 5, 2003
• AMENDED: July 3, 2005 – filing 2005-267
• AMENDED: March 4, 2007 – filing 2007-69
• AMENDED: July 2, 2009 – filing 2009-318 (EMERGENCY, later reverted to pre-emergency status)
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 9, 2014 – filing 2014-280
• AMENDED: September 23, 2015 – filing 2015-168
• AMENDED: July 23, 2019 – filing 2019-131
• AMENDED: October 21, 2024 – filing 2024-237
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 32 Certification and Licensing Provisions / Private Applicators

Code Me. R. 01-026 Ch. 32 Certification and Licensing Provisions for Private Applicators {#sec-01-026-ch.-32 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 32}

SUMMARY: These regulations describe the requirements for certification and licensing of private applicators.

1. Competency Standards for Certification - Private Applicator

A. No person shall be certified as a private applicator unless he has fulfilled requirements demonstrating his knowledge of basic subjects including pesticide label comprehension, ability to read and understand pesticide labeling, safety, environmental concerns, stewardship, pest organisms, pesticides, equipment, application techniques, responsibilities for supervisors of non-certified applicators, and applicable laws and regulations. Also required shall be knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans (core exam). Applicators must also follow the standards outlined in 40 CFR 171.201 and 40 CFR 171.105(a) (1)-(11) (2023).

B. No person shall be certified as a private applicator unless he has demonstrated knowledge of the general principles of pest control for his major commodity, including specific pests of the crop, their life cycle, and proper timing of control measures to be efficacious (Commodity Exam).

2. Certification Procedures for Private Applicators

A. Initial Certification

1. Any person attempting to certify as a private applicator must be at least 18 years of age.

2. Any person seeking to be certified as a private applicator must pass a written core exam and a written exam in the area of his primary commodity. Both exams shall be closed book.

3. Exams may be taken at cooperating County University of Maine Cooperative Extension offices. Exams may also be offered at other locations designated by the Board staff or available on an appointment basis at the office of the Board.

4. Examination Procedures. All applicants shall comply with these rules or forfeit their opportunity to complete the exams at a specified appointment.

a. Applicant shall present a government issued identification to the moderator prior to commencement of exams.

b. Applicants should be present and ready to take the exams at the appointed time.

c. Applicants shall not talk during the examination period.

d. Applicants shall not be allowed to bring any books, papers, calculators or electronically stored data into the examining room. Pencils and work sheets will be provided and all papers shall be collected at the end of the period.

e. Applicants shall not make notes of the exams and shall not leave the table during an exam unless authorized by the staff.

5. Qualification Requirements. An applicant must achieve a passing score of 80 percent on each exam.

a. An applicant who fails the core exam may not retake that examination prior to 6 days after the date of such failed examination. If an applicant fails again the applicant must wait 6 more days before retaking the exam again.

b. An applicant who fails the exam in the area of his primary commodity may not retake the that examination prior to 6 days after the date of such failed examination. If an applicant fails again the applicant must wait 6 more days before retaking the exam again.

c. Any applicant must pass both the core and at least one commodity exam within 12 months before qualifying for certification.

d. Any applicant who violates any of the rules pertaining to examinations shall wait a minimum of 60 days before retesting.

6. Certification under this section will expire on October 31st of the third year after the date of successful completion of the exams and on October 31st of every third year thereafter unless a special restricted certification period is assigned by the Board or Board staff.

B. Supplemental Certification. Private applicators who are certified as described in Section 2(A), and intend to conduct soil fumigation, non-soil fumigation or aerial applications must be certified in the appropriate supplemental category. Certification is obtained by passing a written exam with a minimum score of 80.

1. Supplemental category exams shall be closed book.

2. Supplemental category exams will be available year-round on an appointment basis at the Board’s office in Augusta.

3. Examination and qualification requirements described in Section 2(A)(4-6) pertain to supplemental certification.

4. Categories for Supplemental Certification of Private Applicators

a. Soil Fumigation. This category includes private applicators using or supervising the use of pesticides to fumigate crops in production including blueberries, orchard fruit, potatoes, vegetables, forage, grain and industrial or non-food crops as outlined in 40 CFR 171.105(d) (2023).

b. Non-soil Fumigation. This category includes private applicators using or supervising the use of fumigant pesticides or fumigation techniques in any type of structure or transportation device as outlined in 40 CFR 171.105(e) (2023).

c. Aerial. This category includes private applicators, including pilots and co-pilots, applying pesticides by means of any aircraft as outlined in 40 CFR 171.105(f) (2023).

5. Competency Standards for Supplemental Certification of Private Applicators

Applicants seeking supplemental private certification must demonstrate competency in each applicable category (Category Exam). Competency in the applicable category shall be established as follows:

a. Soil Fumigation. Applicants seeking supplemental certification in the category of Soil Fumigation as described in Section 2(B)(4)(a) must demonstrate practical knowledge of the crops grown and the specific pests of those crops on which they may be using pesticides. Areas of such practical knowledge shall include soil and water problems, preharvest intervals, reentry intervals, phytotoxicity, potential for environmental contamination, non-target injury, and community problems related to pesticide use in certain areas. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans. In addition to the above competencies, private applicators obtaining supplemental cerification in this category must demonstrate practical knowledge of topics indicated in 40 CFR 171.105 (d) (2023).

b. Non-soil Fumigation. Applicants seeking supplemental certification in the category of Structural Fumigation as described in Section 2(B)(4)(b) must demonstrate a practical knowledge of a wide variety of pests and fumigation methods for their control. Such knowledge shall include identification of pests and knowledge of life cycles, fumigant formulations, methods to avoid contamination of food and damage to structures and furnishings, and avoidance of risks to employees. In addition to the above competencies, private applicators obtaining supplemental cerification in this category must demonstrate practical knowledge of topics indicated in 40 CFR 171.105 (e) (2023).

c. Aerial Pest Control. Applicants seeking supplemental certification in the category of Aerial Pest Control as described in Section 2(B)(4)(c) must demonstrate at least a practical knowledge of problems which are of special significance in aerial application of pesticides, including chemical dispersal equipment, tank, pump and plumbing arrangements; nozzle selection and location; ultra-low volume systems; aircraft calibration; field flight patterns; droplet size considerations; flagging methods; and loading procedures. Also required shall be a knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans. In addition to the above competencies, private applicators obtaining supplemental cerification in this category must demonstrate practical knowledge of topics indicated in 40 CFR 171.105 (f) (2023).

C. Requirements for Noncertified Applicators.A certified applicator directly supervising a noncertified applicator to use restricted use pesticides must follow the provisions in 40 CFR 171.201 (2023).

D. Recertification

1. Any person with current valid certification may renew that certification by accumulating 6 recertification credits during the certification period described in Section 2(A)6.

2. Recertification credits will be available through Board-approved meetings including but not limited to industry and trade organization seminars, workshops where pesticide topics are presented and approved home study courses.

3. Credit will be allowed for topics including, but not limited to:

a. Applicable laws and regulations.

b. Environmental hazards.

c. Calibration and new application techniques.

d. Label review.

e. Applicator safety.

f. Storage and disposal.

g. Pest identification and control.

h. Integrated pest management.

4. Persons organizing meetings for which they want credits awarded must contact the Board in writing at least 15 days in advance of the meeting and submit details of the pesticide topics, including titles and length of time devoted to them. Board staff will review program agendas and assign credit values. Board staff will monitor programs as time permits.

a. A minimum credit of one hour shall be assigned for each one hour of presentation on appropriate topics.

b. An individual conducts a meeting for which the Board does assign recertification credits will be eligible for two credits for each 1 hour of presentation on appropriate topics.

5. For in state programs, each participant will complete a form to verify attendance at each program for which credit is allowed at the site. For out of state programs, applicators must notify the Board about attendance and send a registration receipt or other proof of attendance and a copy of the agenda or other description of the presentations attended. The agenda must show the length of each presentation and describe what was covered.

6. A person who fails to accumulate the necessary credits will have to re-apply to take the exams required for initial certification.

3. Licensing

A. Application. Application for a private applicator license, shall be on forms provided by the Board. Information shall include name; Social Security number; mailing address; farm name, location and telephone number; and major crop(s).

B. Fee. At the time of application, the applicant must tender the appropriate fee as follows:

1. For a private applicator license - $15.00 per person.

2. For replacement or alteration - $5.00.

C. Expiration. Private applicator licenses are issued on a three-year period and will expire on October 31st of the third year. Any person who has accumulated the required number of recertification credits must apply for license renewal within one year of the expiration date of the license or the recertification credits are forfeited and that person must retake and pass both the core and commodity exams to again be eligible for licensing.

D. Decision. Within 60 days of receipt of application by the Board, unless the applicant agrees to a longer period of time, the Director shall issue, renew or deny the license. The Director's decision shall be considered final agency action for purposes of 5 M.R.S.A. §11001 et seq .

E. License Issued. Licenses issued under this rule will include the following information:

I. Full name of applicator

II. License number

III. Commodities and categories

IV. Expiration date

V. Maine statute under which license is issued

History

• STATUTORY AUTHORITY: 22 M.R.S. §1471-D
• EFFECTIVE DATE: January 1, 1983
• AMENDMENT EFFECTIVE: December 6, 1987
• AMENDMENT EFFECTIVE: August 17, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: August 25, 1997 – fees
• AMENDED: January 4, 2005 – filing 2004-605, Section 3.C.
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 9, 2014 – Section 2(A)(4)(a, b), filing 2014-281
• AMENDED: July 23, 2019 – filing 2019-132
• AMENDED: October 21, 2024 – filing 2024-238
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 33 Certification and Licensing Provisions / Private Applicators of General Use Pesticides

Code Me. R. 01-026 Ch. 33 Certification & Licensing Provisions/Private Applicators of General Use Pesticides {#sec-01-026-ch.-33 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 33}

SUMMARY: These regulations describe the requirements for certification and licensing of private applicators using general-use pesticides to produce plants or plant products intended for human consumption as food, where the person applying the pesticides or the employer of the person applying the pesticides derives $1,000 or more in annual gross income from the sale of those commodities.

SECTION 1. Competency Standards for Certification—Private Applicator of General Use Pesticides (Core exam)

A. No person shall be certified as a private applicator of general-use pesticides unless the person has fulfilled requirements demonstrating knowledge of pest problems and pest-control practices, including, as a minimum, the ability to recognize common pests and the damage they cause, to understand the pesticide label and to apply pesticides in accordance with label instructions and warnings.

B. Also required shall be knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides and the potential adverse effect of pesticides on plants, animals or humans.

SECTION 2. Certification Procedures for Private Applicators

A. Initial Certification

1. Any person seeking to be certified as a private applicator of general-use pesticides must pass a written core exam. The exam shall be closed book.

2. Exams may be taken at cooperating County University of Maine Cooperative Extension offices. Exams may also be offered at other locations designated by the Board staff or available on an appointment basis at the office of the Board.

3. Examination Procedures. All applicants shall comply with these rules or forfeit their opportunity to complete the exams at a specified appointment.

a. Applicants should be present and ready to take the exams at the appointed time.

b. Applicants shall not talk during the examination period.

c. Applicants shall not be allowed to bring any books, papers, calculators or electronically stored data into the examining room. Pencils and work sheets will be provided and all papers shall be collected at the end of the period.

d. Applicants shall not make notes of the exams and shall not leave the table during an exam unless authorized by the staff.

4. Qualification Requirements. An applicant must achieve a passing score of 80 percent on the core exam.

a. An applicant who fails the core exam may not retake that examination prior to 6 days after the date of such failed examination. If an applicant fails again the applicant must wait 6 more days before retaking the exam again.

b. Any applicant who violates any of the rules pertaining to examinations shall wait a minimum of 60 days before retesting.

5. Certification under this section will expire on October 31 of the third year after the date of successful completion of the exams and on October 31 of every third year thereafter unless a special restricted certification period is assigned by the Board or Board staff.

B. Recertification

1. Any person with a current valid certification may renew that certification by accumulating three recertification credits during the certification period described in Section 2(A)(5).

2. Recertification credits will be available through Board-approved meetings including, but not limited to, University or industry and trade organization seminars or workshops and approved home study courses where pest management topics are included.

3. Credit will be allowed for topics including, but not limited to:

a. Applicable laws and regulations;

b. Environmental hazards;

c. Calibration and new application techniques;

d. Label review;

e. Pesticide risk and applicator safety;

f. Pesticide storage and disposal;

g. Pest identification, biology and management;

h. Integrated pest management;

i. Pesticide fate and drift management;

j. Risk communication; and

k. Public relations.

4. Persons organizing meetings for which they want credits awarded must contact the Board in writing at least 15 days in advance of the meeting and submit details of the pesticide topics, including titles and length of time devoted to them. Board staff will review program agendas and assign credit values. Board staff will monitor programs as time permits.

a. A minimum of one credit shall be assigned for each one hour of presentation on appropriate topics.

b. An individual who conducts a meeting for which the Board does assign recertification credits will be eligible for two credits for each one hour of presentation on appropriate topics.

5. For in-state programs, each participant will complete an on-site process to verify attendance at each program for which credit is allowed. For electronic, correspondence or out-of-state programs, applicators must notify the Board about attendance and send a registration receipt or other proof of completion or attendance and a copy of the agenda or syllabus of the training provided. The agenda or syllabus must show the length of each presentation and describe what was covered.

6. A person who fails to accumulate the necessary credits will have to take the most current exam required for initial certification.

SECTION 3. Licensing

A. Application. Application for a private applicator of general-use pesticides license shall be on forms provided by the Board. Information shall include name, Social Security number, mailing address, farm name, location, telephone number and major crop(s).

B. Fee. At the time of application, the applicant must tender the appropriate fee as follows:

1. For a private applicator of general-use pesticides license—$15.00 per person.

2. For replacement or alteration—$5.00.

C. Expiration. Private applicator of general-use pesticides licenses are issued on a three-year basis and will expire on October 31 of the third year.

D. Decision. Within 60 days of receipt of application by the Board, unless the applicant agrees to a longer period of time, the Director shall issue, renew or deny the license. The Director's decision shall be considered final agency action for purposes of 5 M.R.S.A. §11001 et seq.

History

• STATUTORY AUTHORITY: 22 M.R.S. §1471-D(2-D), 22 M.R.S. §1471-M(1)(C-1)
• EFFECTIVE DATE: December 26, 2011 – filing 2011-474
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 9, 2014 – Section 2(A)(4)(a), filing 2014-282
• AMENDED: 01-026 Chapter 33 page 4

Chapter 34 Certification and Licensing Provisions / Dealers

Code Me. R. 01-026 Ch. 34 Certification and Licensing Provisions/Pesticide Dealers {#sec-01-026-ch.-34 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 34}

SUMMARY: These regulations describe the requirements for certification and licensing of pesticide dealers.

Section 1. Competency Standards for Certification

No person shall be certified as a pesticide dealer unless that person has demonstrated knowledge of pesticide classifications, formulations, labeling, safety, storage and applicable laws and regulations. Also required shall be knowledge of current methodology and technology for the control of pesticide drift to non-target areas, the proper meteorological conditions for the application of pesticides, and the potential adverse effect of pesticides on plants, animals or humans.

Section 2. Certification Procedures for Pesticide Dealers

A. Initial Certification

1. Application for Exam. All persons desiring to take the exam must request an application from the Board's office and submit all required information and fees.

a. Information shall include name, home address, Social Security number, name and telephone number of company and company address.

b. A fee of $10.00 for the exam shall accompany the application.

2. Appointment for Exam

a. Exams will be scheduled by Board staff. It is the responsibility of the applicant to reschedule if necessary.

b. All exam fees shall be forfeited if an applicant fails to notify the Board that he/she cannot sit for the exam on the scheduled date at least 24 hours in advance of the scheduled exam. Re-application shall require an additional $15.00 fee.

c. Exams will be available year-round on an appointment basis at the Board's office in Augusta.

d. Exams may also be offered at other locations designated by the Board staff. Appointments for these exams should be arranged by application with the Board's office in Augusta.

3. Study materials for the dealer exam are available through the University of Maine Cooperative Extension Pest Management Office for a fee.

4. Examinations. All applicants shall complete the closed book dealer exam covering subjects specified in Section 1.

5. Examination Procedure. All applicants shall comply with these rules or forfeit their opportunity to complete the exam at a specified appointment.

a. Applicants should be present and ready to take the exam at the appointed time.

b. Applicants shall not talk during the examination period.

c. Applicants shall not be allowed to bring any books or papers into the examining room. Pencils and work sheets will be provided and all papers shall be collected at the end of the period.

d. Applicants shall not make notes of the exam and shall not leave the table during an exam unless authorized by the staff.

6. Qualification. An applicant desiring to qualify for dealer certification must achieve a passing score of 80 percent.

a. An applicant who fails the exam may not re-apply to take the examination prior to 6 days after the date of such examination. If an applicant fails again the applicant must wait 6 days before retesting.

b. Any applicant who violates any of the rules pertaining to examinations shall wait a minimum of 60 days before retesting.

7. Expiration. Certification under this section will expire on December 31st of the third year after the date of successful completion of the exam and on December 31st of every third year thereafter unless a special restricted certification period is assigned by the Board or Board staff.

B. Recertification

1. Any person with current valid certification may renew that certification by accumulating 9 recertification credits during the certification period described in Section 2(A)7.

2. Recertification credits will be available through Board-approved meetings including but not limited to industry and trade organization seminars, workshops where pesticide topics are presented and approved home study courses.

3. Credit will be allowed for topics including but not limited to:

a. Applicable laws and regulations,

b. Label review,

c. Pesticide formulations,

d. Applicator safety,

e. Storage and disposal,

f. Pest identification control,

g. Integrated pest management.

4. Persons organizing meetings for which they want credits awarded must contact the Board in writing at least 15 days in advance of the meeting and submit details of the pesticide topics, including titles and length of time devoted to them. Board staff will review program agendas and assign credit values. Board staff will monitor programs as time permits.

5. A minimum credit of one hour shall be assigned for each one hour of presentation on appropriate topics.

6. An individual who conducts a meeting for which the Board does assign recertification credits will be eligible for two credits for each one hour of presentation on appropriate topics.

7. For in state programs, applicants must submit verification of attendance at approved programs to the Board. For out of state programs, applicants must submit verification of attendance; they may also be asked to provide documentation such as an agenda or descriptions of the presentations attended.

8. A person who fails to accumulate the necessary credits will have to re-apply to re-take and pass the exam required for initial certification.

Section 4. Licensing

A. Application. Application for a pesticide dealer license shall be on forms provided by the Board.

B. Fee. At the time of application, the applicant must tender the appropriate fee as follows:

1. For a pesticide dealer license - $60.00 per person.

2. For replacement or alteration - $5.00.

C. Reports. All required reports described in Chapter 50 must have been submitted in proper form before a license will be processed.

D. Expiration. All licenses will expire at the end of the certification period as determined in Section 2 A 7.

Section 5. Special Dealer Requirements

A. Each dealer shall be responsible for the acts of those people in his/her employ and the dealer's license shall be subject to denial, suspension or revocation for any violation of the statute or regulations, whether committed by the dealer, his/her office, agent, employee, or other person acting in concert or participation with him/her.

B. A licensed dealer must be present in the outlet at the time of sale of a restricted use pesticide so that she/he may supervise the transaction.

C. Restricted-use and limited-use pesticides shall be stored separately in an area not accessible for self service.

D. No dealer shall sell any restricted-use pesticides to any person who does not have in his/her possession a valid license.

E. No dealer shall sell any limited-use pesticides to any person who does not have in his/her possession a valid license and limited-use permit.

F. Dealers shall either maintain a record of restricted sales pursuant to Chapter 50, "Record Keeping and Reporting Requirements".

Section 6. Transition

For the purposes of converting from one year licenses and five year certification periods to three year licenses with concurrent three year certification periods, and to ensure that license expirations are evenly distributed across any three year period, the Board may initially issue one, two, or three year licenses with corresponding certification periods. Licensees must obtain a proportional number of recertification credits per year during the transition period. License fees will also be prorated in accordance with the length of the license term. The length of the initial license terms will be assigned by the Board when an existing license is renewed, based on the applicant’s last name.

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §1471-D
• EFFECTIVE DATE: January 1, 1983
• AMENDMENT EFFECTIVE: August 17, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• CONVERTED TO MS WORD: March 11, 2003
• MINOR CORRECTION: April 25, 2013 – grammar in first paragraph
• MINOR CORRECTION: February, 2014 – agency names, formatting
• AMENDED: September 23, 2015 – filing 2015-169
• AMENDED: 01-026 Chapter 34 page 5

Chapter 35 Certification and Licensing Provisions / Spray Contracting Firms

Code Me. R. 01-026 Ch. 35 Certification and Licensing Provisions / Spray Contracting Firms {#sec-01-026-ch.-35 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 35}

SUMMARY: These regulations describe the requirements for certification and licensing of spray contracting firms.

1. Competency Standards for Certification

No person shall be certified as a spray contracting firm unless it demonstrates that the firm will have in its employment a sufficient number of licensed Master and Operator applicators to actively supervise and conduct the program in accordance with all applicable laws and regulations, and that such firm will otherwise be competent to responsibly make a pesticide application. A responsible official of the contracting firm will sign a statement attesting that he/she is familiar with and that the contracting firm will comply with all statutes, rules, and guidelines of the Board.

2. Certification Procedures

All applicants must complete and submit an application provided by the Board which details the organizational structure of the spray contracting firm.

A. Information shall include the firm name, chief officer, telephone number and location of the company headquarters, and business mailing address.

B. Information shall also include a listing of all Master applicators who shall have responsibility for spray programs conducted in Maine along with their business locations and telephone numbers.

C. Information shall also be included, as required on the application form, which demonstrates whether the firm has the necessary competence to responsibly apply pesticides in Maine.

3. Licensing

A. Application. Application for a spray contracting firm license shall be on the same form provided by the Board for certification information.

B. Fee. At the time of application, the applicant must submit a fee of $300.00.

1. For replacement or alteration - $5.00.

C. Insurance. An applicant must submit a completed and signed form, provided by the Board, which attests that the spray contracting firm will have the required amounts of insurance specified in Chapter 31 in effect when any employee or agent makes a pesticide application.

D. Reports. Annual Summary Reports described in Chapter 50, Section 2(A) must be submitted for each calendar year by January 31 of the following year. In the event a required report is not received by the due date, the person’s license is temporarily suspended until the proper report is received or until a decision is rendered at a formal hearing as described in 22 MRSA §1471-D (7).

E. Decision. Within 15 days of receipt of application by the Board, unless the applicant agrees to a longer period of time, the Director shall issue, renew or deny the license. The Director's decision shall be considered final agency action for purposes of 5 M.R.S.A. §11001 et seq.

F. Refusal to Renew. The Board may refuse to renew a license if it is not in accordance with any of the requirements hereof or if the Board makes, as to the licensee, any of the findings set forth in 22 M.R.S.A. §1471-D (8), which describe the bases for a decision by the Administrative Court to suspend or revoke a license. If the Board determines that there is evidence sufficient to refuse to renew a license, it shall give notice and an opportunity for a hearing before the Board prior to making that determination final.

G. Expiration. All spray contracting firm licenses will expire at the end of the third calendar year after issuance.

4. Special Spray Contracting Firm Requirements

A. No spray contracting firm may use or supervise the use of any pesticide within the State without prior certification from the Board.

B. Each spray contracting firm shall be responsible for the acts of those people in its employ and its license shall be subject to denial, refusal to renew, suspension, or revocation, and such firm shall otherwise be punishable under the law, for any violation of the statutes or regulations, whether committed by the owner, chief officer, agent, employee or other person acting in concert or participation with it.

C. No spray contracting firm shall make a forest insect aerial spray application until it ascertains that legally required notification has been given to the public and the Board, and there has been compliance with all other requirements for such an application, including any required licensing of its employees, agents and independent contractors and their employees.

D. A spray contracting firm shall cause employees and agents to prepare reports pursuant to Chapter 50, "Record Keeping and Reporting".

5. Transitions

For the purposes of converting from two year licenses to three year licenses to ensure that license expirations are evenly distributed across any three year period, the Board may initially issue one, two, or three year licenses. License fees will be prorated in accordance with the length of the license term. The length of the initial license terms will be assigned by the Board when an existing license is renewed, based on company name.

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §1471-D
• EFFECTIVE DATE: February 6, 1985
• AMENDED: January 12, 1986
• AMENDED: August 17, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: December 28, 1999; also converted to MS Word
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: September 23, 2015 – filing 2015-170
• AMENDED: 01-026 Chapter 35 page 3

Chapter 40 Maine Restricted and Limited-Use Pesticides

Code Me. R. 01-026 Ch. 40 Maine Restricted and Limited Use Pesticides {#sec-01-026-ch.-40 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 40}

SUMMARY: These regulations list the pesticides classified by the Board as restricted use or limited use and describe procedures governing their sale and use:

Section 1. RESTRICTED USE PESTICIDES

The products described under Section A and B below shall be classified as restricted use pesticides for the purposes of this chapter.

A. All products classified for restricted use by the U.S. Environmental Protection Agency shall automatically be restricted use pesticides under this chapter.

B. In addition, all products containing the following active ingredients and meeting the listed criteria shall be classified as restricted use pesticides in Maine:

arsenic compounds (above 2%) fenthion (Baytex)

azinphos‑methyl (Guthion) fonophos (Dyfonate, above 15%)

brodifacoum formetanate hydrochloride (Carzol)

bromadiolone mercury compounds

chlorfenvinphos (4072) methomyl (Lannate‑all uses except

daminozide bait fomulations less than 2%

dichlorvos (Vapona, DDVP, above 25%) methomyl)

difenacoum nicotine alkaloid (above 40% expressed

difethialone as alkaloid)

**disulfoton (Disyston, above 1%) oxamyl (Vydate)

DNOC (Sinox, above 2%) paraquat (above 0.2%)

***EBDC fungicides (Maneb, Mancozeb phosphorus (white and yellow)

Dithane, Polyram, Metiram, etc) strychnine

except dry flowable and liquid tebuthiuron

formulations trichlorfon

endosulfan (Thiodan, above 10%)

endothall

ethion (above 40%)

**Granular formulations of 10% and above are restricted.

***All dusts and wettable powder formulations restricted, regardless of concentration.

C. Restricted use pesticides may be sold only by restricted use pesticide dealers licensed by the Board as provided in Chapter 34.

D. Restricted use pesticides may be purchased and used only by applicators licensed by the Board as provided in Chapters 31 and 32.

Section 2. PROHIBITED AND LIMITED USE PESTICIDES

A. All products containing the following active ingredients shall be classified as limited use pesticides in Maine:

Aldrin Methyl Parathion (Microencapsulated

Chlordane forms only)

Heptachlor Sodium monofluoroacetate (Compound 1080)

Lindane Toxaphene

B. Limited use pesticides may be sold only by restricted use pesticide dealers licensed by the Board as provided in Chapter 34.

C. Limited use pesticides may be purchased and used only by applicators licensed by the Board as provided in Chapters 31 and 32 and holding a permit from the Board as provided in subsections E and F below.

D. An application to use any limited use pesticides shall be made to the Board in writing on such forms as may be provided by the Board. Applications shall include, at a minimum, the chemical to be used, the pest or pests which are the target of such chemical application, the vegetation to which it will be applied, the location and detailed description of the application site, and the amount of land to be covered by such application. When, in the opinion of the Board, any bona fide emergency prevents a written application to the Board, such application may be made orally to any member or employee of the Board. Failure of any applicator to exercise due diligence or to reasonably anticipate any situation which would create the need for the use of any limited use pesticide shall not be considered an emergency within the scope of this section.

E. The Board may grant such applicant permission to use or apply any limited use pesticide if the Board determines that (1) the pesticide applicator is appropriately licensed, (2) an unusually heavy infestation of insects or other pests creates the prospect of a significant economic loss to the applicant or any other person or creates a public health hazard, (3) no suitable chemical, biological or other method is available to prevent or reduce the impact of such infestation to an acceptable level, (4) the use of such limited use pesticide will not create an undue risk to human life nor cause significant detrimental effects upon the environment, and (5) such use is in compliance with FIFRA and the rules and regulations promulgated thereunder. Permission to use such limited use pesticide may be granted upon such reasonable terms and conditions as the Board deems necessary to protect the health, safety and general welfare of the environment and the people of the State of Maine and to achieve the purpose of the statute. Permission to use any limited use pesticide during any bona fide emergency situation may be granted upon the oral consent of a majority of the Board given to the director or chairman of the Board or such other member of the Board who received the oral application. Such oral consent shall thereafter be confirmed in writing by such members to the director within ten (10) days.

F. The outdoor use or application of benzene hexachloride (including lindane) for the purpose of controlling mosquitoes and other biting flies is hereby prohibited in the State of Maine on or after September 1, 1970.

History

• STATUTORY AUTHORITY: Title 22 M.R.S.A., Chapter 258‑A and 7 M.R.S.A., Chapter 103
• EFFECTIVE DATE: July 6, 1979
• AMENDED: December 8, 1985
• AMENDED: June 22, 1986
• AMENDED: May 8, 1988
• AMENDED: June 14, 1989
• AMENDED: June 20, 1989
• AMENDED: December 24, 1991
• AMENDED: March 28, 1992
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• CONVERTED TO MS WORD: March 11, 2003
• AMENDED: April 30, 2007 – filing 2007-153
• AMENDED: Corrections:
• AMENDED: February, 2014 - agency names, formatting
• AMENDED: June 16, 2026 – filing 2026-128

Chapter 41 Special Restrictions on Pesticide Use

Code Me. R. 01-026 Ch. 41 Special Restrictions on Pesticide Use {#sec-01-026-ch.-41 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 41}

SUMMARY: This chapter describes special limitations placed upon the use of (1) aldicarb (Temik 15G) in proximity to potable water bodies; (2) trichlorfon (Dylox, Proxol); (3) hexazinone (Velpar, Pronone), (4) aquatic herbicides in the State of Maine; (5) plant-incorporated protectants; (6) neonicotinoids (dinotefuran, clothianidin, imidacloprid, thiamethoxam); and (7) chlorpyrifos (Dursban, Lorsban).

Section 1. ALDICARB (TEMIK®)

The registration of aldicarb (Temik 15G) is subject to the following buffer zone requirements:

A. Aldicarb (Temik 15G) shall not be applied within 50 feet of any potable water source if that water source has been tested and found to have an aldicarb concentration in the range of one to ten parts per billion (ppb). The 50 foot buffer would be mandatory for one year with a required retesting of the water at the end of the period.

B. Aldicarb (Temik 15G) shall not be applied within 100 feet of any potable water source if that water source has been tested and found to have an aldicarb concentration in excess of 10 ppb. The 100 foot buffer would be mandatory for one year with a required retesting of the water at the end of this period.

Section 2. TRICHLORFON (DYLOX, PROXOL)

The registration of trichlorfon (Dylox, Proxol) is subject to the following requirements:

A. Trichlorfon shall only be used for control of subsurface insects on turf.

B. Prior to application the target pest must be identified and the severity of the infestation must be determined, including the extent of the damage.

C. Only infested areas shall be treated with trichlorfon. Broadcast treatments of the entire turf area are prohibited.

D. Following application, the trichlorfon must be watered into the soil with at least ½ inch of water and according to the label directions. The applicator must assure that the appropriate watering will take place prior to re-entry by any unprotected person.

Section 3. HEXAZINONE (VELPAR, PRONONE)

The registration of hexazinone is subject to the following limitations and conditions.

A. Licenses Required

No person shall use or supervise the use of any pesticide containing the active ingredient hexazinone unless they have obtained an applicators license in accordance with 22 M.R.S. §1471-D.

Section 4. AQUATIC HERBICIDES

The registration of pesticides for which there is an aquatic herbicide use on the product label shall be subject to the following limitations and conditions.

A. Board Publication of List

The Board of Pesticides Control will publish by May 23, 2003 and by March 15th of each year thereafter a list of herbicide products registered in Maine for which the manufacturer has verified that there is an aquatic use on the pesticide label. Based on available information, the Board may exempt from this list pesticides that it determines are not for use in the control of aquatic vegetation. Pesticides labeled solely for use in aquariums and antifouling paints, are specifically exempt from this list.

B. Licenses Required

I. Unless exempted under Chapter 41, Section 4 (B) (III), no person shall purchase, use or supervise the use of any aquatic herbicides identified on the Board's annual listing unless they have obtained a private or commercial pesticide applicator's license from the Board.

II. No person shall:

a. Distribute any aquatic herbicides identified on the Board's annual listing without a restricted use pesticide dealer's license from the Board; or

b. Unless exempted under Chapter 41, Section 4 (B) (III), distribute any aquatic herbicides identified on the Board's annual listing to any person who is not licensed as a private or commercial applicator by the Board.

III. Registered herbicides containing only the active ingredients erioglaucine (Acid Blue 9 or FD&C Number 1, CAS Registry No. 1934-21-0) and/or tartrazine (Acid Yellow 23 or FD&C Yellow Number 5, CAS Registry No. 2650-18-2 (trisodium salt) or 3844-45-9 (triammonium salt)) are exempt from the applicator licensing requirements described in Chapter 41, Section 4 (B) (I) and Chapter 41, Section 4 (B) (II) (b).

C. Disclosure

The Board will make a disclosure form available to dealers distributing any aquatic herbicides identified on the Board's annual listing. The Board requests that dealers present to customers the disclosure form that advises purchasers that, (1) an aquatic discharge license must be obtained from the Maine Department of Environmental Protection before any application may be made to any surface waters of the State as defined in 38 M.R.S.A. Section 361-A(7) including any private ponds that may flow into such a body of water at any time of year, (2) that Best Management Practices developed jointly by the Board and the Maine Department of Environmental Protection on the use of aquatic herbicides are available.

D. Records and Reporting

Dealers distributing any aquatic herbicides identified on the Board's annual listing shall keep records of such sales and provide reports to the Board as described for restricted use pesticides in Chapter 50, "Record Keeping and Reporting Requirements."

E. Use of Best Management Practices

Aquatic herbicides applied to private ponds and not subject to an aquatic discharge permit may only be applied consistent with Best Management Practices developed jointly by the Board and the Maine Department of Environmental Protection.

Section 5. PLANT-INCORPORATED PROTECTANTS

The registration, distribution and use of plant-incorporated protectants are subject to the following limitations and conditions:

A. Definitions

"Plant-incorporated protectant" means a pesticidal substance that is intended to be produced and used in a living plant, or in the produce thereof, and the genetic material necessary for the production of such a pesticidal substance.

B. License Required

No person shall distribute any plant-incorporated protectant without either a general use pesticide dealer license or a (restricted or limited use) pesticide dealer license from the Board.

C. Dealer Requirements

Dealers distributing plant-incorporated protectants are subject to the following requirements:

I. General use and (restricted or limited use) pesticide dealers shall notify the Board of their intent to distribute plant-incorporated protectants on all initial license and license renewal application forms provided by the Board.

II. General use and (restricted or limited use) pesticide dealers shall maintain sales records showing the list of the names and addresses of all purchasers of plants, plant parts or seeds containing plant-incorporated protectants. These records must be made available to representatives of the Board for inspection at reasonable times, upon request, and must be maintained for two calendar years from the date of sale.

III. Any general use and (restricted or limited use) pesticide dealer who discontinues the sale of plant-incorporated protectants shall notify the Board in writing and shall provide the Board, upon request, with all records required by Section 5(C)II of this chapter.

D. Grower Requirements

I. All users of plant-incorporated protectants shall maintain the records listed below for a period of two years from the date of planting. Such records shall be kept current by recording all the required information on the same day the crop is planted. These records shall be maintained at the primary place of business and shall be available for inspection by representatives of the Board at reasonable times, upon request.

a. Site and planting information, including town and field location, a map showing crop location and refuge configuration in relation to adjacent crops within 500 feet that may be susceptible to cross-pollination;

b. Total acres planted with the plant-incorporated protectant and seeding rate;

c. Total acres planted as refuge and seeding rate;

d. Detailed application information on any pesticide applied to the refuge as described in Section 1(A) of Chapter 50, "Record Keeping and Reporting Requirements"; and

e. Planting information for each distinct site including:

i. date and time of planting; and

ii. brand name of the plant-incorporated protectant used.

II. There are no annual reporting requirements for growers.

E. Product-Specific Requirements

I. Requirements for plant-incorporated protectant corn containing Bacillus thuringiensis (Bt) protein and the genetic material necessary for its production.

a. Prior to planting plant-incorporated protectant corn containing any Bacillus thuringiensis (Bt) protein and the genetic material necessary for its production, the grower must have completed a Board-approved training course and possess a valid product-specific training certificate.

b. Product-specific training certificates shall be issued following each Board-approved session. The certificates will remain valid until December 31 of the third year after issuance.

c. Non-Bt-corn growers whose crops are or will be located within 500 feet of a prospective Bt-corn planting site can request that the Bt-corn grower protect the non-Bt-corn crop from pollen drift.

i. the request must be made prior to planting of the Bt-corn crop;

ii. the request must identify the non-Bt-corn crop to be protected; and

iii. the growers may agree on any method for protection but, if an agreement cannot be reached,

1. the Bt-corn grower must plant any refuge required by the Bt-corn grower agreement, grower guide or product label in a configuration that provides maximum protection from pollen drift onto the adjacent non-Bt-corn crop; or

2. if no refuge is required, the Bt-corn grower shall maintain at least a 300-foot Bt-corn-free buffer to non-Bt-corn crops.

d. Bt-corn growers are encouraged to follow all best management practices developed by the Board or the Department of Agriculture, Conservation and Forestry.

II. Dealers distributing Bt-sweet corn shall only sell the seed in quantities large enough to plant one acre or more.

F. Confidentiality

Any person providing information to the Board in connection with the record-keeping and reporting requirements of Section 5 of this chapter may designate that information as confidential in accordance with 7 M.R.S.A. §20.

Section 6. NEONICOTINOIDS (DINOTEFURAN, CLOTHIANIDIN, IMIDACLOPRID, OR THIAMETHOXAM )

The registration of pesticides containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam for which there is an outdoor ornamental plant or turf use on the product label shall be subject to the following limitations and conditions.

Definitions

I. “Emerging Invasive Invertebrate Pests” means any invertebrate, including its eggs or other biological material capable of propagating that species that occurs outside of its eco-region and its introduction causes or is likely to cause economic or environmental harm, or harm to human, animal, or plant health, to include:

a. Species both known now and unknown now but showing up at a later date;

b. Species that occur outside of their eco-region (level III) as defined by EPA; and

c. Species on a Board approved list.

II. “Ornamental Plants” means shrubs, trees and related vegetation excluding turf and lawn, in and around residences.

B. Board Publication of Product List

The Board of Pesticides Control will publish within 30 days of adoption and by March 15th of each year thereafter a list of insecticide products containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam registered in Maine for which the manufacturer has verified that there is an outdoor ornamental plant or turf use on the pesticide label. Based on available information, the Board may exempt from this list pesticides that it determines are not for use in the control of invertebrate pests on outdoor ornamental plants or turf. Pesticides labeled solely for use in preserving wood, managing indoor pests, managing structural pests within five (5) feet of a human dwelling, and treating pets are specifically exempt from this list.

C. Licenses Required

I. No person shall purchase, use, or supervise the use of any pesticides containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam identified on the Board's annual listing unless they have obtained a private or commercial pesticide applicator's license from the Board.

II. Unless exempted under Chapter 41, Section 6 (C) (IV) no person shall purchase, use or supervise the use of any pesticides containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam in outdoor residential landscapes to include ornamental plants and turf.

III. No person shall distribute any pesticides containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam identified on the Board's annual listing without a restricted use pesticide dealer's license from the Board.

IV. Registered pesticides containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam and identified on the Board's annual listing are exempt from the prohibition of use described in Chapter 41, Section 6 (C) (II) where by:

a. The applicator obtains an emergency permit from the Board; or

b. The use of these products is for management of emerging invasive invertebrate pests on ornamental plants in outdoor residential landscapes.

V. No person shall use any pesticides containing dinotefuran, clothianidin, imidacloprid, or thiamethoxam identified on the Board’s annual listing for the purposes of managing turf and lawn in outdoor residential landscapes.

D. Records and Reporting

Dealers distributing any pesticides containing dinotefuran, clothianidin, imidacloprid or thiamethoxam identified on the Board's annual listing shall keep records of such sales and provide reports to the Board as described for restricted use pesticides in Chapter 50, "Record Keeping and Reporting Requirements."

E. Emergencies

The Board's staff may grant an emergency permit authorizing neonicotinoid use in compliance with Sections 6(C) of this chapter if the restrictions in this chapter prevent efficacious application of pesticide(s) and the staff determines that an emergency situation exists as outlined in Chapter 51(VII)(B)(1).

I. No variance may be granted if the emergency is the result of an unjustifiable delay created by the person seeking the variance or the person requesting the pesticide application.

II. If the staff does not grant the variance, the applicator or the person requesting the pesticide application may petition the Board for exemption following the requirements set forth in 22 M.R.S.A. §1471-T, "Exemption".

F. Emergency Use Permits

Emergency use permit applications shall be made on such forms as the Board provides and shall include at least the following information:

I. The name, address and telephone number of the applicant;

II. The area(s) where pesticides will be applied;

III. The purpose for which the pesticide application(s) will be made;

IV. The approximate application date(s);

V. The type(s) of application equipment to be employed;

VI. The approved pest species for which the application is being made as defined in policy or by the board; and

VII. The particular reasons why the applicant seeks a variance from the requirements of this section, including a detailed description of the techniques to be employed to assure that a reasonably equivalent degree of protection of surrounding nontarget vegetation will be obtained.

Within 30 days after a complete application is submitted, the Board or its staff shall issue a permit if it finds that the application meets requirements of Section 6 (E). The Board may place conditions on any such permit, and the applicant shall comply with such conditions. Except as required by the permit, the applicant shall undertake the application in accordance with all of the conditions described in their request and all other applicable legal standards. Permits issued by the Board under this section shall not be transferable or assignable except with further written approval of the Board and shall be valid only for the period specified in the permit.

Section 7. CHLORPYRIFOS (DURSBAN, LORSBAN)

The registration of chlorpyrifos (Dursban, Lorsban) is subject to the following limitations and conditions.

No person shall use or supervise the use of any pesticide containing the active ingredient chlorpyrifos unless they have obtained a private or commercial applicator’s license from the Board, possess the pesticide in the State before January 1, 2022, and obtain a temporary use authorization permit from the Board.

Permit applications shall be made on such forms as the Board provides and shall include at least the following information:

I. The name, address and telephone number of the applicant;

II. The brand name of the pesticides to be applied;

III. The date on which the pesticides were purchased;

IV. The approximate quantity of the pesticides possessed;

V. The purpose for which the pesticide application(s) will be made; and

VI. The duration for which the applications will take place or until the product is gone.

Within 30 days after a complete application is submitted, the Board or its staff shall issue a permit if:

The permit application is received prior to December 31, 2022;

II. The applicant possesses a valid pesticide applicator license issued by the State;

III. The pesticides proposed for use were purchased prior to January 1, 2022;

The Board may place conditions on any such permit, and the applicant shall comply with such conditions. Except as required by the permit, the applicant shall undertake the application in accordance with all of the conditions described in their request and all other applicable legal standards. Permits issued by the Board under this section shall not be transferable or assignable except with further written approval of the Board and shall be valid only for the period specified in the permit.

History

• STATUTORY AUTHORITY: 5 M.R.S.A. §§ 8051 et seq.
• STATUTORY AUTHORITY: 7 M.R.S.A. §§ 601‑610
• STATUTORY AUTHORITY: 22 M.R.S.A. §§ 1471‑A, 1471‑B, 1471‑C, 1471‑D, 1471‑M
• EFFECTIVE DATE: March 8, 1981 (Captan)
• AMENDED: May 7, 1981 (Trichlorfon)
• AMENDED: January 2, 1984 (Aldicarb)
• AMENDED: May 8, 1988 (Trichlorfon)
• AMENDED: August 5, 1990 (Captan)
• AMENDED: August 17, 1996 (Hexazinone)
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: May 7, 1997 - Section 3(B)(II)
• CONVERTED TO MS WORD: March 11, 2003
• AMENDED: May 12, 2003 - Section 4 added
• NON-SUBSTANTIVE CORRECTIONS: June 24, 2003 - summary only
• AMENDED: February 2, 2004 - Section 4, 1st paragraph and sub-section A, filing 2004-31
• AMENDED: April 30, 2007 – filing 2007-154
• AMENDED: February 3, 2008 – filing 2008-36
• AMENDED: July 16, 2009 – filing 2009-253 (final adoption, major substantive)
• AMENDED: May 3, 2012 – filing 2012-99 (final adoption, major substantive)
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: December 9, 2014 – Section 3, filing 2014-283
• AMENDED: September 20, 2022 – filing 2022-181
• NONSUBSTANTIVE CORRECTION: November 5, 2024
• ACCESSIBILITY CHECK: July 11, 2025

Chapter 50 Record Keeping & Reporting Requirements

Code Me. R. 01-026 Ch. 50 Record Keeping & Reporting Requirements {#sec-01-026-ch.-50 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 50}

SUMMARY: These regulations describe the types of records and reports which commercial applicators, commercial agricultural producers, limited/restricted use pesticide dealers, spray contracting firms and monitors must maintain and submit to the Board.

Section 1. Records

A. Pesticide Application Records

I. Commercial agricultural producers and commercial applicators shall maintain pesticide application records consistent with paragraph II. below for a period of two years from the date of application. Such records shall be kept current by recording all the required information on the same day the application is performed. These records shall be maintained at the primary place of business and available for inspection by representatives of the Board at reasonable times, upon request.

II. Pesticide application records shall include, at a minimum:

a. Site information including town and location, crop or site treated, target organism, customer and customer address (where applicable); and

i. for broadcast applications, size of treated area (when completed);

ii. for volumetric applications as described on the label, the volume treated;

iii. for non-broadcast applications (such as spot treatments, crack and crevice or stump treatments) a practical description of the scope or extent of the application (such as number of trees, stumps or rooms treated).

b. Application information. For each distinct site, records must include date and time of application(s), brand name of pesticide(s) applied, EPA registration number(s), active ingredient(s), restricted entry interval(s) and/or ventilation period(s) (where applicable), method of application (type of equipment), dilution agent(s) (other than water), the licensed applicator's name and certification number, the name of any noncertified applicator that made the application (where applicable), and spray contracting firm (where applicable).

c. Rate information. For each distinct site, application rate information must be maintained as follows:

i. Restricted Use Pesticides. For restricted use pesticides, applicators shall record the total amount of pesticide applied (undiluted).

ii. General Use Pesticides. For general use pesticides, applicators shall record:

(1) rate information as described in (i.) above; or

(2) the mix ratio and the total mix applied; or

(3) the mix ratio and the mix per unit area applied.

d. For outdoor applications, except those listed below, weather conditions including wind speed and direction, air temperature and sky conditions recorded such as sunny, partly cloudy, overcast, foggy or rainy. No weather condition records need be kept for outdoor applications involving:

i. pesticides placed in bait stations;

ii. pesticide-impregnated devices placed on animals, such as ear tags; or

iii. pesticides injected into trees or utility poles.

e. For TBT applications to marine vessels, applicators must also record the vessel identification and size, and the disposition of TBT wastes including chips/dust removed prior to application and empty containers.

B. Limited Use/Restricted Use Pesticide Sales Records

I. Licensed pesticide dealers shall maintain records of each sale of a restricted/limited use pesticide on their sales slips and the customer's name, and license number must be recorded on every invoice or electronic record involving that individual. Licensed pesticide dealers must also maintain records to verify that sales of restricted/limited use pesticides to unlicensed purchasers are only made where a licensed applicator is employed to supervise the use of the restricted/limited use products. These records must include the name, address, license number, issuing agency, expiration date, and categories of certification (if applicable) of each person to whom the restricted use pesticide was distributed or sold. These records are to be available for inspection by representatives of the Board at reasonable times, upon request, and are to be maintained for two calendar years from the date of sale.

II. Pesticide dealer records shall also include the signature of purchaser or his/her agent, the product name, the EPA registration number, state special local need registration (SLN) number (if applicable), the quantity and size of containers purchased, and the date of purchase.

III. Any pesticide dealer who discontinues the sales of restricted/limited use pesticides shall notify the Board in writing and shall provide the Board, upon request, with all required records including a final sales report up to the date of discontinuance.

Section 2. Reports

A. Annual Summary Reports by Commercial Applicators. Annual summary reports must be electronically submitted for each calendar year by January 31 of the following year through a Board-approved software solution. In the event a required report is not received by the due date, the person's license may be temporarily suspended until the proper report is received or until a decision is tendered at a formal hearing as described in 22 M.R.S.A. §1471-D(7). The report filed with the Board by or on behalf of commercial applicators shall contain the following information for each site or crop treated: quantity of each pesticide used, EPA registration number and total area treated (where applicable) for each pesticide.

B. Annual Pesticide Sales Reports. Pesticide dealers licensed to sell limited and restricted use pesticides must provide the Board with a calendar year‑end report of total sales of all limited, restricted and general use pesticides electronically through a Board-approved software solution before their pesticide dealer license can be renewed. The Board will furnish report forms.

C. Transition to Electronic Submission of Sales and Use Reports.

I. The 2024 amendments to Section 2 shall not affect the licensing status of applicators or dealers until reports for 2025 are due on January 31, 2026. At that time, reports will be required to be submitted in an electronic format through a Board-approved software solution unless the submitter has received an electronic reporting waiver.

II. The 2024 amendments to this chapter which will transition annual summary reports by commercial applicators and annual pesticide sales reports to an electronic format shall be phased in over two years. Phase one shall include promotion of the electronic portal and education for commercial applicators and dealers on how to utilize the electronic submission portal for reporting year 2024. Phase two shall include requiring commercial applicators and dealers to use the electronic submission portal for reporting year 2025, unless the submitter has received an electronic reporting waiver.

D. Waivers

I. If commercial applicators or dealers do not have access to an electronic device capable of submitting electronic reports, they may seek an electronic reporting waiver. Waiver applications must include the following:

a. The name, address and telephone number of the applicant;

b. The license number of the applicant;

c. The intended format for submitting reports; and

d. Testimony or proof that the submitter is unable to complete the electronic submission process outlined in Section 1.

II. Within 30 days after a complete application is submitted, the Board or its staff shall issue a waiver if:

a. The waiver application is received prior to December 31 of the reporting year;

b. The applicant possesses a valid pesticide applicator or dealer license issued by the State; and

c. The applicant agrees to submit physical copies of the annual reports required in Section 1 no later than January 31 of the following year.

The Board may place conditions on any such waiver, and the applicant shall comply with such conditions. Except as required by the waiver, the applicant shall undertake the reporting in accordance with all of the conditions described in their request and all other applicable legal standards. Waivers issued by the Board under this section shall not be transferable or assignable except with further written approval of the Board and shall be valid only for the period specified in the permit.

The contents of this section will be effective for the reporting year 2024.

E. Spray Incident Reports

I. Commercial agricultural producers, commercial applicators, spray contracting firms and licensed pesticide dealers shall be responsible for telephoning a spray incident report to the Board as soon as practicable after emergency health care has been obtained for injured parties and efforts have been initiated to contain any spills.

II. A reportable spray incident is any significant misapplication or accidental discharge of a pesticide. Such incidents shall include: fires involving pesticides; vehicle and aircraft accidents resulting in a spill or human contamination; failure to turn off spray booms or other spray equipment resulting in application to sensitive areas (such as water bodies, accidentally applying pesticides to the wrong site or places of human habitation) when such application is a violation of label instructions or other law; overfilling of spray equipment resulting in risk of contamination of water; and any other equipment breakage or malfunction or pesticide handling activity which causes a pesticide release which may result in a threat to human health or the environment.

History

• STATUTORY AUTHORITY: 22 M.R.S. §§ 1471-G, 1471-M(1)(E); Resolves 2023, ch. 71
• EFFECTIVE DATE: July 6, 1979 - as "Reporting Requirements," filing 79-338
• AMENDED: August 12, 1985 - filing 85-275
• REPEALED AND REPLACED: April 5, 1995 - as "Record Keeping and Reporting Requirements," filing 95-149
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: November 11, 2001 - filing 2001-483
• AMENDED: March 5, 2003 - filing 2003-61
• AMENDED: January 4, 2005 – filing 2004-606 affecting Section 1.A.I.
• AMENDED: December 23, 2012 – filing 2012-348 affecting Section 1.B.II.
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: July 23, 2019 – filing 2019-133
• AMENDED: October 21, 2024 – filing 2024-239
• NONSUBSTANTIVE CORRECTIONS: November 5, 2024

Chapter 51 Notice of Aerial Pesticide Applications

Code Me. R. 01-026 Ch. 51 Notice of Aerial Pesticide Applications {#sec-01-026-ch.-51 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 51}

SUMMARY: These regulations describe the notification requirements for persons contracting aerial pesticide applications to control forest, ornamental plant, right-of-way, biting fly and public health pests.

Section I. Content of All Newspaper Articles/Advertisements, Written Notices to Property Owners and Posters

A. All newspaper articles/advertisements and written notices to property owners required by this chapter shall contain the following:

1. Description of the target area sufficient to inform people who may be in the vicinity.

2. Name of the person who contracts for the application or her/his representative or the applicator and the address and telephone number to contact for more specific information about the intended application.

3. Intended purpose of the pesticide application.

4. Pesticide(s) to be used.

5. Date or reasonable range of dates on which application(s) are proposed to take place.

6. Telephone number of the Maine Board of Pesticides Control.

7. Telephone number of the Maine Poison Control Center.

8. Public precautions which appear on the pesticide label.

B. All newspaper articles/advertisements must be printed in a minimum of 10 point types and at least 2 inches wide.

C. All posters required by this chapter shall contain the following:

1. Name of the person who contracts for the application or her/his representative or the applicator and the address and telephone number to contact for more specific information about the intended application.

2. Intended purpose of the pesticide application.

3. Pesticide(s) to be used.

4. Telephone number of the Maine Board of Pesticides Control

5. Telephone number of the Maine Poison Control Center.

6. Public precautions which appear on the pesticide label.

Section II. Forest Insect Applications

A. Responsible Parties

1. In the event of a forest insect spray program administered pursuant to Title 12, Chapter 801, the Maine Department of Conservation, Bureau of Forestry, is responsible for notices.

2. In the case of any other forest insect aerial spray activity, responsibility for notices lies with the landowner, her/his representative or the lessee if the land is leased.

B. Newspaper Articles/Advertisements and Written Notices to Property Owners

1. An article about/advertisement of a major forest insect aerial spray application shall be published in a newspaper of general circulation in the affected area at least 14 days but not more than 30 days prior to commencement of planned spray activity.

2. An article about/advertisement of a minor forest insect aerial spray application shall be published in a newspaper of general circulation in the affected area at least 4 days but not more than 10 days prior to commencement of planned spray activity.

3. An addition of spray areas not specified in the original newspaper article/advertisement and any change from the insecticides specified in the original article/advertisement shall be published in the same newspaper at least 24 hours before the change is effected.

4. A written notice of all forest insect aerial pesticide applications shall be provided to the person(s) owning property or using residential rental, commercial or institutional buildings within 500 feet of the intended target site at least 3 days but not more than 60 days before the commencement of the intended spray applications. The notice shall contain the information required in Section I(A). For absentee property owners who are difficult to locate, certified or equivalent mailing of the notice to the address listed in the Town tax record shall be considered sufficient notice.

C. Posting of Areas Subject to Major and Minor Forest Insect Aerial Spray Applications

1. A poster shall be posed conspicuously just prior to the planned spray activity and shall not be removed by the landowner or landowner's agent for at least 2 days (48 hours) after spray activity ceases. Areas that shall be posed include each major point of ingress and egress of the public into the area to be sprayed. Major points of ingress and egress include federal, state, municipal and private roads open to the public and known to be used by the public that lead into the area to be sprayed; utility crossings of these roads; known boat launching sites on rivers leading through spray areas and within the boundaries of the land owned by the person authorizing the spray activity; and marked points of access to foot trails known to be used by the public.

2. Posters shall be constructed of brightly colored, weather resistant stock and shall be at least 11 x 14 inches in size. They shall contain the information required in Section I(C). The information shall be printed in both English and French.

D. Written Notice to the Board and the Maine Poison Control Center

1. A written notice shall be given to the Board and to the Maine Poison Control Center according to the following schedule:

a. Written notice of major forest insect aerial spray applications shall be given to the Board and the Maine Poison Control Center at least 15 days but not more than 30 days prior to the commencement of planned spray activity.

b. Written notice of minor forest insect spray application shall be given to the Board and the Maine Poison Control Center at least 5 days prior to the commencement of planned spray activity.

c. Any addition of spray blocks not specified in the original notice to the Board and any change in pesticide assignments to particular blocks shall be given to the Board as soon as practicable, and in any case every reasonable effort shall be made to give notice of change to the Board prior to initiation of pesticide application. Notice under this subsection may be accomplished by telephone communication with the Board's office.

2. Notice to the Board. These notices shall be prepared on forms provided by the Board and shall consist of:

a. A description of the proposed spray activity including detailed spray application maps showing sensitive areas and major public routes of ingress and egress. Use of The Maine Atlas and Gazetteer , by DeLorme Mapping Company or some other similar atlas is the suggested format for the base map.

b. The date or dates on which spraying is proposed to take place.

c. The name, address, telephone number and license number of the spray contracting firm which will carry out the spray activity.

d. Pesticide(s) to be used, dilution agent(s), ratio(s) and notation of any experimental applications.

e. A listing of precautions taken to insure notice to the public, including copies of the newspaper notice and the poster to be used.

f. The name, address and telephone number of a contact person who will be reasonably accessible by telephone and who will make reasonably current and detailed information about the project available to the Board promptly upon request.

3. Notice to the Maine Poison Control Center. These notices shall be prepared on forms provided by the Board and shall consist of:

a. A description of the general area the proposed application activity will take place.

b. The date or dates on which spraying is proposed to take place.

c. Pesticide(s) to be used, dilution agent(s), ratio(s) and notation of any experimental applications.

d. The name, address and telephone number of a contact person who will be reasonably accessible by telephone and who will make reasonably current and detailed information about the project available to the Maine Poison Control Center promptly upon request.

Section III. Ornamental Plant Applications

A. Responsible Parties

The licensed applicator must provide the person contracting for services with the proper materials to provide notification according to the provisions described in this chapter. The licensed applicator must not commence spray activities until the person contracting for the services provides written proof that the notification procedures contained Section III(B) and (C) have been completed. The person who provides the notification and certifies that the requirements have been fulfilled is responsible for that notification.

B. Newspaper Articles/Advertisements and Written Notices to Property Owners

1. An article about/advertisement of ornamental plant aerial pesticide applications shall be published in a paper of general circulation in the affected area at least 3 days but not more than 60 days prior to the commencement of the intended spray activity. The article/ advertisement shall contain the information required in section I(A) and (B) and shall not be limited to a legal notice.

2. A written notice of ornamental plant aerial pesticide applications shall be provided to the person(s) owning property or using residential rental, commercial or institutional buildings within 500 feet of the intended target site at least 3 days but not more than 60 days before the commencement of the intended spray applications. The notice shall contain the information required in Section I(A). For absentee property owners who are difficult to locate, certified or equivalent mailing of the notice to the address listed in the Town tax record shall be considered sufficient notice.

C. Written Notice to the Board and the Maine Poison Control Center

Written notices to the Board and the Maine Poison Control Center must be given according to Section VI of this rule (Notices to the Board and the Maine Poison Control Center for Other Than Aerial Forest Insect Applications).

Section IV. Rights-Of-Way, Forest Vegetation Management and Other Forest Pest Applications

A. Responsible Parties

The licensed applicator must provide the person contracting for services with the proper materials to provide notification according to the provisions described in this chapter. The licensed applicator must not commence spray activities until the person contracting for the services provides written proof that the notification procedures contained Section IV(B) and (C) have been completed. The person who provides the notification and certifies that the requirements have been fulfilled is responsible for that notification.

B. Newspaper Articles/Advertisements or Written Notices to Property Owners

1. An article about/advertisement of rights-of-way, forest vegetation management or other forest pest aerial pesticide applications shall be published in a paper of general circulation in the affected area at least 3 days but not more than 60 days prior to the commencement of the intended spray activity. The article/advertisement shall contain the information required in Section I(A) and (B) and shall not be limited to a legal notice or;

2. In areas where there is no regular newspaper circulation, the person contracting for services may substitute individual notice to all landowners within 500 feet of the target site. This individual notice shall be provided to the person(s) owning property or using residential rental, commercial or institutional buildings within 500 feet of the intended target site at least 3 days but not more than 60 days before the commencement of the intended spray applications. The notice shall contain the information required in Section I(A). For absentee property owners who are difficult to locate, certified or equivalent mailing of the notice to the address listed in the Town tax record shall be considered sufficient notice.

C. Posting Requirements for Rights-of-Way, Forest Vegetation Management and Other Forest Pest Aerial Applications

1. A poster shall be posed conspicuously just prior to the planned spray activity and shall not be removed by the landowner or landowner's agent for at least 2 days (48 hours) after spray activity ceases. The poster shall contain the information required in Section I(C). Areas that shall be posed include each major point of ingress and egress of the public into the area to be sprayed. Major points of ingress and egress include federal, state, municipal and private roads open to the public and known to be used by the public that lead into the area to be sprayed; utility crossings of these roads and any place a maintained public trail enters the application site.

2. Poster shall be constructed of brightly colored, weather resistant stock and shall be at least 11 x 14 inches in size. The information shall be printed in both English and French.

D. Written Notice to the Board and the Maine Poison Control Center

Written notices to the Board and the Maine Poison Control Center must be given according to Section VI of this rule (Notices to the Board and the Maine Poison Control Center for Other Than Aerial Forest Insect Applications).

Section V. Biting Fly and Public Health Pest Applications

A. Responsible Parties

The licensed applicator must provide the person contracting for services with the proper materials to provide notification according to the provisions described in this chapter. The licensed applicator must not commence spray activities until the person contracting for the services provides written proof that the notification procedures contained Section V(B) and (C) have been completed. The person who provides the notification and certifies that the requirements have been fulfilled is responsible for that notification.

B. Newspaper Articles/Advertisements and Written Notice to Property Owners

1. An article about/advertisement of biting fly and public health pest aerial pesticide applications shall be published in a paper of general circulation in the affected area at least 3 days but not more than 60 days prior to the commencement of the intended spray activity. The article/advertisement shall contain the information required in Section I(A) and (B) and shall not be limited to a legal notice.

2. A written notice shall be provided to the person(s) owning property or using residential rental, commercial or institutional buildings within 500 feet of the intended target site at least 3 days but not more than 60 days before the commencement of the intended spray applications. The notice shall contain the information required in Section I(A). For absentee property owners who are difficult to locate, certified or equivalent mailing of the notice to the address listed in the Town tax record shall be considered sufficient notice.

C. Written Notice to the Board and the Maine Poison Control Center

Written notices to the Board and the Maine Poison Control Center must be given according to Section VI of this rule (Notices to the Board and the Maine Poison Control Center for Other Than Aerial Forest Insect Applications).

Section VI. Notices to the Board and the Maine Poison Control Center for Other Than Aerial Forest Insect Applications

A. A written notice shall be given to the Board and the Maine Poison Control Center at least 7 days but not more than 30 days prior to the commencement of planned spray activity.

B. These notices shall be prepared on forms provided by the Board and shall consist of:

1. Written notice to the Board

a. A description of the proposed spray activity including detailed spray application maps showing sensitive areas and major public routes of ingress and egress. Use of The Maine Atlas and Gazetteer , by DeLorme Mapping Company or some other similar atlas is the suggested format for the base map.

b. The date or dates on which spraying is proposed to take place.

c. A description of the delivery mechanism which shall include the name, address, telephone number and license number of the spray contracting firm which will carry out the spray activity.

d. Pesticide(s) to be used, dilution agent(s), ratio(s) and notation of any experimental applications.

e. A listing of precautions taken to insure notice to the public, including copies of the newspaper notice or the notice given to person(s) owning property or using residential rental, commercial or institutional buildings within 500 feet of the intended target site.

f. The name, address and telephone number of a contact person who will be reasonably accessible by telephone and who will make reasonably current and detailed information about the project available to the Board promptly upon request.

2. Written notice to the Maine Poison Control Center

a. A description of the general area the proposed application activity will take place.

b. The date or dates on which spraying is proposed to take place.

c. Pesticide(s) to be used, dilution agent(s), ratio(s) and notation of any experimental applications.

d. The name, address and telephone number of a contact person who will be reasonably accessible by telephone and who will make reasonably current and detailed information about the project available to the Maine Poison Control Center promptly upon request.

C. Any addition of spray blocks not specified in the original notice to the Board and any change in pesticide assignments to particular blocks shall be given to the Board as soon as practicable, and in any case every reasonable effort shall be made to give notice of change to the Board prior to initiation of pesticide application. Notice under this subsection may be accomplished by telephone communication with the Board's staff.

Section VII. Emergencies

A. Disease Vectors

When the Maine Center for Disease Control and Prevention (CDC) recommends control of disease vectors, government sponsored vector control programs are exempt from this chapter provided that the responsible governmental entity submits the written notice to Board and the written notice to the Maine Poison Control Center as described in this chapter.

B. Other Emergencies

The Board's staff may grant an emergency variance from the notice requirements set forth in Sections III, IV, V and VI of this chapter if the notice requirements prevent efficacious application of pesticide(s) and the staff determines that an emergency situation exists.

1. An emergency situation:

a. Involves the introduction or dissemination of a pest new to or not theretofore known to be widely prevalent or distributed within or throughout the United States and its territories; or

b. Will present significant risks to human health; or

c. Will present significant risks to threatened or endangered species, beneficial organisms, unique ecosystems or the environment; or

d. Will cause significant economic loss due to:

i. an outbreak or an expected outbreak of a pest; or

ii. a change in plant growth or development caused by unusual environmental conditions where such change can be rectified by the use of a pesticide(s).

2. Any emergency variance granted by the staff under this section shall include provisions demonstrating the applicant will furnish substantially equivalent notification as provided by this chapter and shall include:

a. Documented notification of person(s) owning property or using commercial or institutional buildings within 500 feet of the intended target site prior to the pesticide application and where appropriate;

b. Radio or television announcements or,

c. Prominently positioned poster.

3. No variance may be granted if the emergency situation is the result of an unjustifiable delay created by the person seeking the variance or the person requesting the pesticide application.

4. If the staff does not grant the variance, the applicator or the person requesting the pesticide application may petition the Board for exemption following the requirements set forth in 22 M.R.S.A. §1471-T, "Exemption".

History

• STATUTORY AUTHORITY: 22 M.R.S.A. §1471-G, M, R and T
• EFFECTIVE DATE: August 12, 1985
• AMENDED: May 19, 1991
• AMENDED: April 8, 1992
• AMENDED: April 19, 1994
• AMENDED: October 2, 1996
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: April 14, 1998 - inserted “residential rental,” in II(B)(4), III(B)(2), IV(B)(2), V(B)(2), VI(B)(1)(e); conversion to MS Word 2.0.
• AMENDED: March 5, 2003 - VI(A), filing 2003-62
• AMENDED: July 11, 2012 - spelling correction in Section II(B)(3)
• AMENDED: February 14, 2013 - spelling correction in Sections II(C)(1) and IV(C)(1)
• AMENDED: June 12, 2013 – filing 2013-136 (Emergency major substantive)
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: September 11, 2014 – Section VII, filing 2014-165
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 60 Designation of Critical Pesticide Control Areas

Code Me. R. 01-026 Ch. 60 Designation of Critical Pesticide Control Areas {#sec-01-026-ch.-60 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 60}

SUMMARY: These regulations establish criteria which the Board will use in deciding if an area should be designated as a critical pesticide control area. In addition, these regulations specify the procedures parties must follow in requesting such a designation. These regulations also define the locations that have been designated as critical areas by the Board.

1. Procedure

A. The Board shall receive, consider and act upon petitions for designation of critical pesticide control areas in accordance with 5 M.R.S.A., Ch. 375, subchapter II. Citizen petitions shall be allowed in accordance with 5 M.R.S.A. §8055. A municipality or county may make such petition in accordance with 22 M.R.S.A. §1471-M, sub-§ 4. In addition, the Board's staff may initiate such a petition.

B. The Board shall provide public notice and opportunity for public comment on any such petition in accordance with 5 M.R.S.A., Ch. 375, subchapter II.

C. There shall be opportunity for local participation in Board decisions regarding the designation of critical areas, as provided by 22 M.R.S.A. §1471-V.

2. Information required in Petition

Any person or persons petitioning the Board to designate an area as a critical pesticide control area shall submit the following information in support of the petition:

A. The name, address and telephone number of the petitioner(s) and a statement of the petitioner's interest in the proposed designation.

B. The name of the pesticides or group of pesticides for which restrictions are sought. Petitioners may seek restrictions on specific formulations which have enhanced toxicity, rather than on all products containing the active ingredient. For purposes of this regulation, pesticides shall include both active and inert ingredients, and carriers used in any pesticide application.

C. The name(s) and address(es) of the owner(s) of property within the proposed critical area.

D. A map of the proposed critical area.

E. A description of the purposes for which the pesticide(s) is or may be applied within the proposed area (if known).

F. For petitions for designation under criteria of sections 3(A), 3(B) or 3(C), the name(s) of the species for which protection is sought and a summary of the data establishing adverse effects of pesticides upon the species.

G. For petitions for designation under criteria of section 3(D), a copy of any applicable town ordinances, a summary of: evidence establishing that the pesticides may enter ground or surface water, hydrogeologic data which adequately defines the proposed critical area, and evidence establishing that the pesticide(s) may have an adverse effect upon the health of current or future users of the ground or surface water.

H. For petitions for designation under criteria of section 3(E), a summary of medical and/or epidemiological evidence that exposure to the pesticide(s) causes serious and/or longstanding health effects to sensitive individuals or groups of individuals.

I. For petitions for designation under criteria of sections 3(F) or 3(G), a copy of any management plan for the area or species.

J. A description of the petitioner's proposed restrictions on the use of pesticide(s) within the proposed critical area.

3. Criteria for designation

The Board of Pesticides Control will use the following criteria to determine whether to designate a critical pesticide control area. Where the Board is persuaded by the evidence that any of these criteria are met, it may designate a critical pesticide control area and adopt additional pesticide use restrictions, prohibitions or management plans for that area as necessary to protect health, welfare and the environment.

A. Areas where use of pesticide(s), without additional restrictions, is likely to cause the significant destruction or curtailment of the habitat or range of any animal or plant species that:

(1) is listed as endangered pursuant to state or federal law; or

(2) is listed as threatened pursuant to state or federal law; or

(3) is an invertebrate species ranked G1, G2 or S1 under the Natural Heritage Program of The Nature Conservancy and which is, in the Board's judgment, of natural significance.

B. Areas where use of pesticide(s), without additional restrictions, is likely to negatively affect the mortality rate and/or reproductive capability of any animal or plant species that:

(1) is listed as endangered pursuant to state or federal law; or

(2) is listed as threatened pursuant to state or federal law; or

(3) is an invertebrate species ranked G1, G2 or S1 under the Maine Natural Areas Program in the Department of Conservation and which is, in the Board's judgment, of natural significance.

C. Areas where use of pesticide(s), without additional restrictions, is likely to cause the significant destruction or curtailment of significant wildlife habitat. "Significant wildlife habitat" is as identified under the Natural Resources Protection Act, 38 M.R.S.A., Ch. 3, subchapter 1, Art. 5-A.

D. Areas where use of pesticide(s), without additional restrictions, is likely to significantly risk the quality of surface or groundwater supplies used for human consumption.

E. Areas where use of pesticide(s), without additional restrictions, is likely to cause serious and/or longstanding impairment of the health of sensitive individuals or groups of individuals who normally occupy such areas. The Board contemplates that this designation will require verified medical and/or epidemiological documentation of human sensitivity to one or more pesticides.

F. Areas where use of pesticide(s), without additional restrictions, is likely to significantly harm natural or other resources owned or managed by a government agency, or is contrary to the duly adopted management plan for an area owned or managed by a government agency.

G. Areas where use of pesticide(s), without additional restrictions, is likely to significantly harm natural resources within an area which is identified as an exemplary natural community or ecosystem of recognized exceptional qualities and has been designated for long-term ecological research and/or conservation purposes.

4. Designated Critical Pesticide Control Area

A. Dennys River Critical Pesticide Control Area

(1) The above entitled matter having come up for public hearing on 7 March, 1978, at 2:00 p.m. before the Pesticides Control Board in Room 102 of the Science Building at the University of Maine in Machias; and the Board, having considered the evidence and arguments presented, and with a quorum present, has this day voted to declare a critical area under provisions of Title 22, Chapter 258-A, Sections 1471-F and 1471-M (2)(A), within which critical area no aerial application of pesticide is to be made without prior approval of the Board of Pesticides Control.

(2) The critical area herein established is described as follows: Commencing at the dam at the foot of Meddybemps Lake and extending down the Dennys River to the Gilman Dam, so-called, the critical area shall include all land within one-half mile of either bank of the Dennys River; commencing at the Gilman Dam, so-called, and extending down the Dennys River to its entrance into Dennys Bay, so-called, the critical area shall include all land within one mile of either bank of the Dennys River.

FISCAL IMPACT: This rule will not impose any fiscal impact on counties or municipalities.

History

• STATUTORY AUTHORITY: 5 M.R.S.A., § 8051 et seq. and 22 M.R.S.A., §§ 1471-F and M.
• EFFECTIVE DATE: July 6, 1979
• AMENDED: May 8, 1989
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• AMENDED: April 14, 1998
• AMENDED: July 12, 2000
• MINOR CORRECTION: November 23, 2000 - citation in § 4(C)(4)
• AMENDED: December 24, 2000 - repealed §4(C)
• AMENDED: December 26, 2011 – filing 2011-475
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-026 Chapter 60 page 4

Chapter 70 Adjudicatory Proceedings

Code Me. R. 01-026 Ch. 70 Adjudicatory Proceedings {#sec-01-026-ch.-70 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 70}

SUMMARY: These regulations describe procedures the Board must follow in conducting hearings concerned with pesticide certification, licenses and permits.

Section 1. Purpose

These rules are in conformance with the Administrative Procedure Act as promulgated pursuant to 5 M.R.S.A. §8051 and the Pesticides Control Board Law, 22 M.R.S.A. §1471‑A et seq.

Section 2. Applicability

A. These rules apply to proceedings when the Board considers the following:

1. The application of pesticides in a critical area described pursuant to 22 M.R.S.A. §1471‑M(2)(A), when a rule establishing the critical area so provides;

2. The application of pesticides to a water body pursuant to 22 M.R.S.A. §1471‑E;

3. The renewal of a previously issued certification, license or permit provided for in 22 M.R.S.A. §§ 1471‑D, 1471‑N, unless the certification, license or permit is renewed by other action of the Board;

4. The amendment or modification of a certification, license or permit provided for in 22 M.R.S.A. §§ 1471‑D, 1471‑N;

5. The continuation of a temporary suspension of a license, certification or permit pursuant to 22 M.R.S.A. §1471‑D(7)(C).

Section 3. Application to Apply Pesticides to a Critical Area or Water Body

A. A written application for permission to apply a pesticide under 22 M.R.S.A. §§ 1471‑M(2)(A) or 1471‑E shall be addressed to the Director, Pesticides Control Board, Department of Agriculture, Augusta, Maine, 04333.

B. Such application shall contain such information as is requested by the Board.

Section 4. Notice of Right to Hearing

A. Upon receipt of an application or otherwise when the Board's action is covered by these rules, the Board shall give notice to:

1. The person or persons whose legal rights, duties or privileges are at issue, by regular mail, sufficiently in advance of the anticipated time of the decision to afford an adequate opportunity to prepare and submit evidence and argument, and to request a hearing if so desired; and

2. The general public, in any proceeding deemed by the Board to involve the determination of issues of substantial public interest, such notice to be given sufficiently in advance of the anticipated time of the decision to afford interested persons an adequate opportunity to prepare and submit evidence and argument, and to request a hearing if so desired.

B. This section is complied with if notice is given as provided in 6 of these regulations.

Section 5. Hearings

A. Upon request. A hearing shall be held upon receipt of a request by a person whose legal rights, duties or privileges are at issue under these rules. Failure by such person to request a hearing within 15 days of receipt of notice as provided in 4 shall be deemed a waiver of the right to a hearing.

B. Board's discretion. A hearing may be held, at the Board's discretion, in any proceedings deemed by the Board to involve issues of substantial public interest.

Section 6. Notice of Public Hearing

A. When a hearing is to be held, notice shall be given as follows:

1. To the person or persons whose legal rights, duties or privileges are at issue, be regular mail, sufficiently in advance of the hearing date to afford an adequate opportunity to prepare and submit evidence and argument; and

2. In any proceeding deemed by the agency to involve the determination of issues of substantial public interest, to the public sufficiently in advance of the hearing date to afford interested persons an adequate opportunity to prepare and submit evidence and argument and to petition to intervene.

Section 7. Notice to the Public of a Hearing

A. Notice to the public. Notice to the public shall be given:

1. By publication, at least twice in a newspaper of general circulation in the area of the state affected;

2. By publication in any other trade, industry, professional or interest group publication which the agency deems effective in reaching persons who would be entitled to intervene as of right under section 12 of these regulations.

3. In any other manner deemed appropriate by the Board.

Section 8. Notice

Notice shall consist of:

1. A statement of the legal authority and jurisdiction under which the proceeding is being conducted;

2. A reference to the particular substantive statutory and rule provisions involved;

3. A short and plain statement of the nature and purpose of the proceeding and of the matters asserted;

4. A statement of the time and place of the hearing, or the time within which a hearing may be requested;

5. A statement of the manner and time within which evidence and argument may be submitted to the Board for consideration, whether or not a hearing has been set; and

6. When a hearing has been set, a statement of the manner and time within which applications for intervention may be filed.

Section 9. Presiding Officer

A. Presiding officer. The Board may authorize any agency member, employee or agent to act as presiding officer in any hearing.

B. Substitute officer. Whenever a presiding officer is disqualified or it becomes impracticable for him to continue the hearing, another presiding officer may be assigned to continue with the hearing; provided that, if it is shown that substantial prejudice to any party will thereby result, the substitute officer shall commence the hearing anew.

C. Presiding officer; duties. Presiding officers may:

1. Administer oaths and affirmations;

2. Rule on the admissibility of evidence;

3. Regulate the course of the hearing, set the time and place for continued hearings, and fix the time for filing of evidence, briefs and other written submissions; and

4. Take other action authorized by statute or agency rule consistent with 5 M.R.S.A., Chapter 375, subchapter IV.

D. Report. In the event that the presiding officer prepares any report or proposed findings for the Board, the report or findings shall be in writing. A copy of the report or findings shall be provided to each party and an opportunity shall be provided for response or exceptions to be filed by each party.

Section 10. Bias of Presiding Officer or Board Member

A. Hearings; impartial. Hearings shall be conducted in an impartial manner. Upon the filing in good faith by a party of a timely charge of bias or of personal or financial interest, direct or indirect, of a presiding officer or Board member in the proceeding requesting that that person disqualify himself, that person shall determine the matter as a part of the record.

B. Counsel. Notwithstanding 1, the person involved may consult with private counsel concerning the charge.

Section 11. Disposition without Full Hearing

A. Stipulation, settlement, consent order. The Board may make informal disposition of any adjudicatory proceeding by stipulation, agreed settlement or consent order.

B. Default. The Board may make informal disposition of any adjudicatory proceeding by default, provided that notice has been given that failure to take required action may result in default, and further provided that any such default may be set aside by the Board for good cause shown.

C. Issues limited. The Board may limit the issues to be heard or vary any procedure prescribed by these rules or 5 M.R.S.A. Chapter 375, subchapter IV if the parties and the Board agree to such limitation or variation, or if no prejudice to any party will result.

Section 12. Intervention As of Right

A. Any person showing that he is or may be a member of a class which is or may be substantially and directly affected by the proceedings, or any other agency of federal, state or local government which is or may be substantially and directly affected, shall be allowed to intervene as a party to the proceedings.

B. Intervention; interested person. The Board may, by order, allow any other interested person to intervene and participate as a full or limited party to the proceeding. This subsection shall not be construed to limit public participation in the proceeding in any other capacity.

C. Application. Application for intervention shall be received by the Director no later than five days before the commencement of the hearing, except for good cause shown. The application shall state the interest of the person or class and the reason it wishes to intervene. A copy of the application shall be sent by regular mail to the person or persons whose legal rights, duties or privileges are at issue.

D. Decision. The Board shall either grant or deny the application at the time of the hearing, unless all parties agree to an earlier decision.

E. Participation limited or denied. When participation of any person is limited or denied, the Board shall include in the record an entry to that effect and the reasons therefor.

F. Consolidation of presentations. Where appropriate, the Board may require consolidation of presentations of evidence and argument by members of a class entitled to intervene under subsection (A) of these regulations, or by persons allowed to intervene under subsection (B).

G. Participation. The Board shall allow any of its staff to appear and participate in any adjudicatory proceeding.

Section 13. Ex Parte Communications; Separation of Functions

A. Communication prohibited. In any adjudicatory proceeding, no Board members authorized to take final action or presiding officers designated by the Board to make findings of fact and conclusions of law shall communicate, directly or indirectly, in connection with any issue of fact, law or procedure, with any person, except upon notice and opportunity for all parties to participate.

B. Communication permitted. This section shall not prohibit any Board member or other presiding officer described in subsection (A) from:

1. Communicating in any respect with other members of the Board or other presiding officers; or

2. Having the aid or advice of those members of his own Board staff, counsel or consultants retained by the Board who have not participated and will not participate in the Board proceeding in an advocate capacity.

Section 14. Opportunity to be Heard

A. Opportunity for hearing. The opportunity for hearing in an adjudicatory proceeding shall be afforded without undue delay.

B. Rights. Unless limited by stipulation under 11(C) or by Board order pursuant to 12(B) or 12(F) or unless otherwise limited by the Board to prevent repetition or unreasonable delay in proceedings, every party shall have the right to present evidence and arguments on all issues, and at any hearing to call and examine witnesses and to make oral cross‑examination of any person present and testifying.

Section 15. Evidence

A. Rules of privilege. The Board need not observe the rules of evidence observed by courts, but shall observe the rules of privilege recognized by law.

B. Evidence. Evidence shall be admitted if it is the kind of evidence upon which reasonable persons are accustomed to rely in the conduct of serious affairs. The Board may exclude irrelevant or unduly repetitious evidence.

C. Witnesses. All witnesses shall be sworn.

D. Prefiling testimony. Subject to these requirements, the Board may, for the purposes of expediting adjudicatory proceedings, require procedures for the prefiling of all or part of the testimony of any witness in written form. Every such witness shall be subject to oral cross‑examination.

E. Written evidence; exception. No sworn written evidence shall be admitted unless the author is available for cross‑examination or subject to subpoena, except for good cause shown.

Section 16. Official Notice

A. Official notice. The Board may take official notice of any facts of which judicial notice could be taken, and in addition may take official notice of general, technical or scientific matters within their specialized knowledge and of statutes, regulations and non-confidential agency records. Parties shall be notified of the material so noticed, and they shall be afforded an opportunity to contest the substance or materiality of the facts noticed.

B. Facts. Facts officially noticed shall be included and indicated as such in the record.

C. Evaluation of evidence. Notwithstanding the foregoing, the Board may utilize their experience, technical competence and specialized knowledge in the evaluation of the evidence presented to them.

Section 17. Record

A. Record. In an adjudicatory proceeding, the Board shall make a record consisting of:

1. All applications, pleadings, motions, preliminary and interlocutory rulings and orders;

2. Evidence received or considered;

3. A statement of facts officially noticed;

4. Offers of proof, objections and rulings thereon;

5. Proposed findings and exceptions, if any;

6. The recommended decision, opinion or report, if any, by the presiding officer;

7. The decision of the Board; and

8. All staff memoranda submitted to the members of the Board or other presiding officers by Board staff in connection with their consideration of the case, except memoranda of counsel to the Board.

B. Hearings recorded. The Board shall record all hearings in a form susceptible to transcription. Portions of the record as required and specified in subsection A may be included in the recording. The Board shall transcribe the recording when necessary for the prosecution of an appeal.

C. Record; copies. The Board shall make a copy of the record, including recordings made pursuant to subsection B available at its principal place of operation, for inspection by any person during normal business hours; and shall make copies of the record, copies of recordings or transcriptions of recordings available to any person at actual cost. Notwithstanding the provisions of this subsection, the Board shall withhold, obliterate or otherwise prevent the dissemination of any portions of the record which are made confidential by state or federal statute, but shall do so in the least restrictive manner feasible.

D. Decision on the record. All material, including records, reports and documents in the possession of the Board, of which it desires to avail itself as evidence in making a decision, shall be offered and made a part of the record and no other factual information or evidence shall be considered in rendering a decision.

E. Documentary evidence. Documentary evidence may be incorporated in the record by reference when the materials so incorporated are made available for examination by the parties before being received in evidence.

Section 18. Subpoena and discovery

A. Any party may request the issuance of a subpoena by the Board, and the Board may issue the same if it first obtains the approval of the Attorney General or of any deputy attorney general. Such approval shall be given when the testimony or evidence sought is relevant to any issue of fact in the proceeding.

B. When properly authorized, subpoenas may be issued by the Board or by any person designated by the Board for that purpose, in accordance with the following provisions:

1. The form shall be similar to that used in civil cases before the courts. Witnesses shall be subpoenaed only within the territorial limits and in the same manner as witnesses in civil cases before the courts, unless another territory or manner is provided by law. Witnesses subpoenaed shall be paid the same fees for attendance and travel as in civil cases before the courts. Such fees shall be paid by the party requesting the subpoena.

2. Any subpoena issued shall show on its face the name and address of the party at whose request it was issued.

3. Any witness subpoenaed may petition the Board to vacate or modify a subpoena issued in its name. The Board shall give prompt notice to the party who requested issuance of the subpoena. After such investigation as the Board considers appropriate, it may grant the petition in whole or in part upon a finding that the testimony or the evidence whose production is required does not relate with reasonable directness to any matter in question, or that a subpoena for the attendance of a witness or the production of evidence is unreasonable or oppressive or has not been issued a reasonable period in advance of the time when evidence is requested.

4. Failure to comply with a subpoena lawfully issued in the name of the Board and not revoked or modified by the Board as provided in this section shall be punishable by a fine of not less than $500 and not more than $5,000, or by imprisonment not to exceed 30 days, or both.

19. Decisions: Appeal

A. Every Board decision made at the conclusion of an adjudicatory proceeding shall be in writing or stated in the record, and shall include findings of fact sufficient to apprise the parties and any interested member of the public of the basis for the decision. The Board shall maintain a record of the vote of each member of the Board with respect to the Board's decision. A copy of the decision shall be delivered or promptly mailed to each party to the proceeding or his representative of record.

B. The Board shall inform the parties at the time the decision is delivered or mailed that they have the right to have the Superior Court review the decision and that a petition for review of the decision must be filed in the Superior Court within 30 days after receipt of notice of the decision pursuant to 5 M.R.S.A. §11002.

History

• STATUTORY AUTHORITY: 22 M.R.S.A., Chapter 258-A
• EFFECTIVE DATE: July 6, 1979 - filing 79-338
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• CONVERTED TO MS WORD: March 11, 2003
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 11, 2025

Chapter 80 Advisory Rulings

Code Me. R. 01-026 Ch. 80 Advisory Rulings {#sec-01-026-ch.-80 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 80}

SUMMARY: These regulations describe the procedures any interested person must follow in requesting an advisory ruling to determine if the Board's Statute and rules apply to his situation.

Section 1. Request for Ruling

A. Written request. Upon written request of any interested person, the Board of Pesticides Control may make an advisory ruling with respect to the applicability of any statute or rule administered by the Board of Pesticides Control to him or his property or actual state of facts.

B. Address to Director. All advisory ruling requests shall be addressed to the Director, Board of Pesticides Control, Maine Department of Agriculture, Augusta, Maine 04333.

C. Request for more information. The request shall contain sufficient facts for the Board of Pesticides Control to make a ruling. The Board of Pesticides Control may request information from the party requesting the ruling. Failure to provide such information shall be cause for the Board of Pesticides Control to refuse to issue a ruling.

Section 2. Board Response

A. Refusal to issue ruling. The Board of Pesticides Control may refuse to issue an advisory ruling if it may harm its interest in any litigation wherein it is or may become a party.

B. Ruling in writing within 60 days. An advisory ruling shall be in writing and issued no more than 60 days from the date when all information necessary for the ruling has been received by the Board of Pesticides Control.

C. Advisory ruling not binding. An advisory ruling shall not be binding upon the Board of Pesticides Control, provided that in any subsequent enforcement action initiated by the Board of Pesticides Control, any person's justifiable reliance upon the ruling shall be considered in mitigation of any penalty sought to be assessed.

History

• STATUTORY AUTHORITY: 22 M.R.S.A., Chapter 258-A
• EFFECTIVE DATE: July 6, l979 - filing 79-338
• EFFECTIVE DATE: EFFECTIVE DATE (ELECTRONIC CONVERSION)
• EFFECTIVE DATE: March 1, 1997
• CONVERTED TO MS WORD: March 11, 2003
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-026 Chapter 80 page 2

Chapter 90 Complaints

Code Me. R. 01-026 Ch. 90 Complaints {#sec-01-026-ch.-90 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-026 Ch. 90}

SUMMARY: These regulations describe the procedure a person must follow in bringing a complaint to the Board and outline the steps the Board may take in response.

Section 1. Purpose

The purpose of this section is to provide a formal procedure which assures that the Board of Pesticides Control will consider all complaints regarding uses of pesticides.

Section 2. Complaint

Any person, individual, corporation, unincorporated association, group of individuals or government agency may submit a complaint regarding any person, known or unknown, relative to the use of pesticides.

Section 3. Address to Director

All complaints shall be sent to the Director, Board of Pesticides Control, Department of Agriculture, 28 State House Station, Augusta, Maine 04333-0028. Anyone who cannot submit a complaint in writing to the Director may make arrangements with the Director or staff to record the content of the complaint in a manner and time frame convenient to the Director, staff and complainant. The Director may, at his/her discretion, investigate the complaint prior to Board action.

Section 4. Placed on Board's Agenda

The complaint shall be placed on the Board's agenda, the Board shall give reasonable notice to the complainant, the person who is the subject of the complaint, if known, and any other party the Director believes is interested in the complaint.

Section 5. Considered

The Board shall consider the complaint along with any information which the Director may have available, and take whatever action it deems necessary to protect the public's interest. Action could include taking no action, requesting the Board's staff to investigate the complaint, scheduling an informal hearing between the affected parties or instituting formal adjudicatory proceedings. Any such consideration shall not constitute an adjudicatory proceeding within the meaning of chapter 70 of the Board's regulations.

History

• STATUTORY AUTHORITY: 22 M.R.S.A., Chapter 258-A
• EFFECTIVE DATE: July 6, l979 - filing 79-338
• AMENDED: October 2, 1996 - filing 96-410
• EFFECTIVE DATE (ELECTRONIC CONVERSION): March 1, 1997
• CONVERTED TO MS WORD: March 11, 2003
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-026 Chapter 90 page 2

01-303 Pull Events Commission

Chapter 15 Rules for Superintendents and Assistant Superintendents of Pull Events

Code Me. R. 01-303 Ch. 15 Rules for Superintendents and Assistant Superintendents of Pull Events {#sec-01-303-ch.-15 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-303 Ch. 15}

Summary: These rules describe the procedures for certification of pull events superintendents and assistant pull events superintendents, the qualifications necessary for certification, and the requirements to maintain certification.

Section 1. Definitions

1. Commission means the Pull Events Commission appointed as authorized by 7 MRSA §75, subparagraph 6.

2. Commissioner means the Commissioner of the Department of Agriculture, Conservation and Forestry.

3. Department means the Maine Department of Agriculture, Conservation and Forestry.

4. Driver means the person(s) that controls/drives the animal(s) that is pulling in a licensed pulling event, also referred to as Teamster.

5. Pull Events Venue means any pulling event licensed within the previous two years by the Department.

6. Superintendent means a certified pull events superintendent or a certified assistant pull events superintendent.

7. Training means a program or seminar for the certification of pull events superintendents and assistant pull events superintendents developed and conducted by the Pull Events Commission.

8. Teamster means the person(s) that controls/drives the animal(s) that is pulling in a licensed pulling event, also referred to as Driver.

Section 2. Certification Required

No person shall act as a Superintendent of any pulling event unless that person is certified by the Commissioner in accordance with these rules.

Section 3. Qualifications for Certification as a Superintendent

Any applicant for certification as a Superintendent must meet the following minimum qualifications:

The applicant must never have been found guilty, in this state or in any other state, of a violation of any civil or criminal animal welfare law, any domestic violence law, or other violent crime.

Section 4. Procedure for Certification

The Department shall issue public notice of annual Pulling Events Training.

2. An applicant for initial certification shall work as an apprentice under a Certified Superintendent for two (2) years: in the two (2) years the applicant must work with a certified superintendent for at least four (4) licensed pulls per year, which must include at least two (2) draft horse pulls and two (2) oxen pulls, including weigh-ins. The licensed superintendent shall sign off on the apprentices’ sign off sheet to verify that these requirements have been met, in order for an applicant to become eligible to apply to be a certified superintendent. The apprentice requirement does not apply to applicants seeking to renew their certification in accordance with Section 4 (6) below.

3. Beginning in the year 2002, any person seeking an initial certification as a Superintendent must, no later than February 15th of the year in which certification is requested, submit an application to the Department and register for the training.

4. An applicant for initial certification must be sponsored by a Maine pull events venue. A letter from a presiding officer of that venue affirming sponsorship must be mailed to the Department no later than February 15 of the year in which certification is requested.

5. Certification of qualified applicants shall be made by the Commissioner upon successful completion of the training. Successful completion shall require the applicant to demonstrate a working knowledge of the laws and rules pertaining to pulling events and animal welfare, and other information provided by the Department.

6 Certification shall be valid for a period of two years. Any person seeking to renew his or her certification after the two-year period must submit a renewal application and successfully complete training as provided in this Section.

Section 5. Responsibilities of Pull Superintendents and Assistant Pull Superintendents

1. Certified Superintendents must assure the pull events are being conducted in accordance with applicable laws and regulations.

A. When a teamster receives a first warning for any violation of the laws or rules, the teamster is able to stay in the ring to finish his/her pull.

B. When a teamster receives a second warning for any violation of the laws or rules, the team is disqualified and must leave the ring. The teamster can return in that class or any other class that day with a different team, but upon receiving any subsequent warning for a violation, he/she will be disqualified and he/she must leave the ring and must not return to the ring that same day.

C. The next day the teamster will be able to start fresh.

D. Every certified superintendent and assistant superintendent shall examine every steer and ox entered to compete in a licensed pull event in the State of Maine to determine if they have a body condition score of 2.75, or greater, when the animal is weighed for competition. The body condition score shall be determined by referring to the Body Condition Scoring Chart established by Elanco Animal Health (Elanco Animal Health Bulletin AI 8478 (Rev. 9/96)). If the condition score of the animal is determined to be less than 2.75 by the Pull Superintendent, that animal shall not compete in any pull event until that animal is determined to have a score of 2.75 or greater.

E. Every certified superintendent and assistant superintendent shall examine every draft horse entered to compete in a licensed pull event in the State of Maine to determine if they have a body condition score of 4/9 or greater, when the animal is weighed for competition. The body condition score shall be determined by referring to the Henneke Horse Body Condition Scoring System. If the condition score of the animal is determined to be less than 4 by the Pull Superintendent, that animal shall not compete in any pull event until that animal is determined to have a score of 4 or greater.

Section 6. Commission Responsibilities for Certification of Superintendents

1. The Commission will establish criteria, establish dates and conduct training for applicants. The training will, at a minimum, cover all of the following:

A. All pulling event rules.

B. All pulling event statutes.

C. All appropriate Maine animal welfare statutes.

D. The proper conditioning of animals to compete.

E. The correct use, size and taping of the goad stick.

F. The correct use of the reins.

G. The appropriate use of blankets.

H. Heat and humidity.

I. Dehydration.

2. The Commission will review all applications and assure that the qualifications of the applicants for certification as a Superintendent are met. The review may include background checks to validate statements made in applications.

3. The Commission will notify applicants of training dates.

4. Hearings before the Commission, as authorized by law, will be held in accordance with the requirements of the Maine Administrative Procedure Act, 5 MRSA Chapter 375.

History

• STATUTORY AUTHORITY: 7 MRSA §75, Sub-paragraphs 3 and 6
• EFFECTIVE DATE: May 17, 1988 (EMERGENCY)
• EFFECTIVE DATE: August 10, 1988.
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996.
• NON-SUBSTANTIVE CORRECTIONS: October 11, 1996 - minor formatting
• NON-SUBSTANTIVE CORRECTIONS: February 29, 2000 - converted to MS Word
• REPEALED AND REPLACED: April 10, 2001
• AMENDED: November 25, 2012 – filing 2012-330
• AMENDED: September 2, 2017 – filing 2017-135

01-669 Maine Forest Service

Chapter 1 White Pine Blister Rust, Quarantine on Currant and Gooseberry Bushes

Code Me. R. 01-669 Ch. 1 White Pine Blister Rust, Quarantine on Currant and Gooseberry Bushes {#sec-01-669-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 1}

Summary: This regulation sets forth the quarantined townships in which it is illegal to possess, transport or sell Ribes plants which cause the spread of the White Pine Blister Rust Disease, and prohibits the planting or possession of European black. currant anywhere within the State.

1. Ribes plants

A. The sale, transportation, further planting or possession of plants of the genus Ribes (commonly known as currant and gooseberry plants, including cultivated wild, or ornamental sorts) is hereby prohibited in the following Counties and Towns in the State of Maine, to wit: York, Cumberland, Androscoggin, Kennebec, Sagadahoc, Lincoln, Knox, Waldo and Hancock Counties; and that part of Oxford County south of Parmachenee T5R5 and Oxbow T4R5 (Both W.B.K.P.); also that part of Franklin County south of Seven Ponds T3R5, Alder Stream T2R5, and Jim Pond T1R5 (all W.B.K.P.); also that part of Somerset County south of Flaggstaff T4R4, T3R4, south and east of Pierce Pond T2R4, east of Lower Enchanted T2R5, south of Johnson Mt. T2R6, Misery T2R7, Sapling T1R7 (all B.K.P.W.K.R); also that part of Piscataquis County south of Big Squaw T2R6 (B.K.P.E.K.R.), TA2 R13 & R14 (W.E.L.S.), west and south of Bowdoin College Grant West TA R10, south of Bowdoin College Grant East T7 R10, (both N.W.P.), TB R11 and TB R10 (Both W.E.L.S.); also that part of Penobscot County south of Long A TA R8 & R9, TA R7, east of East Millinocket, and south of T1 R6 (All W.E.L.S.); also that part of Aroostook County south of T1 R5 and North Yarmouth Academy Grant T1 R4 (Both W.E.L.S.); and also that part of Washington County west of T6 (N.D.), T43, T37, T31, north and west of T24, west of T18 (all M.D), west of Columbia (S.D.), north of Harrington, and north and west of Milbridge.

B. The planting or possession of European black currant, Ribes nigrum or its varieties anywhere within the boundaries of the State of Maine is prohibited.

History

• STATUTORY AUTHORITY: Title 12 MRSA §8305 and Title 5 MRSA §8051
• RE-ADOPTED: December 28, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 23, 2000 - converted to MS Word
• NON-SUBSTANTIVE CORRECTIONS: February, 2014 – agency names, formatting
• NON-SUBSTANTIVE CORRECTIONS: 01-669 Chapter 1 page 2

Chapter 2 Spark Arresters

Code Me. R. 01-669 Ch. 2 Spark Arrester {#sec-01-669-ch.-2 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 2}

Summary: This chapter states that the Director will approve spark arresters approved by the United States Forest Service. It also describes an efficient spark arrester and specific requirements for certain older types of power saws.

Section 1. Approved Spark Arrester

Consistent with 12 MRSA, Section 9601, the Director will approve spark arresters certified by the United States Forest Service, Department of Agriculture. The Director finds such spark arresters to be effective in preventing the escape of sparks, carbon deposits, and other substances likely to cause fires, provided that such arresters are maintained in accordance with section 2.

Section 2. Spark Arrester Maintenance

In order to maintain approval, equipment owners and operators of machinery equipped with an otherwise approved spark arrester must maintain their equipment so that it is in efficient operating condition. Required maintenance includes, but is not limited to, regular cleaning and replacement of defective parts. Required cleaning includes removing carbon from the equipment at least once a week.

Section 3. Older Power Saws

Spark arresters on power saws manufactured before 1978 are subject to case by case evaluation and approval by the Director whether or not approved by the United States Forest Service, Department of Agriculture. These arresters may be approved by the Director if they meet the following criteria:

1. The exhaust port must be covered with a screen in good condition with openings that do not exceed 0.023 inches in diameter; or

2. The exhaust port must be so constructed as to provide for 3 points of impingement (contact) for carbon particles before they exit the arrester.

Note: For a copy of the USDA Spark Arrester Guide, contact USDA or the Maine Department of Agriculture, Conservation and Forestry.

History

• STATUTORY AUTHORITY: Title 12 MRSA Section 9601 and Title 12 MRSA Section 8002
• EFFECTIVE DATE: August 1, 1978
• AMENDED: December 20, 1979
• AMENDED: May 11, 1986
• AMENDED: March 7, 1987
• AMENDED: April 15, 1989
• AMENDED: November 24, 1989 - Part 2
• AMENDED: August 19, 1992
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTION: August 7, 1997 - addition of "to" after "limited" in Section 2
• NON-SUBSTANTIVE CORRECTION: February 23, 2000 - converted to MS Word
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-669 Chapter 2 page 2

Chapter 4 Silvicultural Treatment Designation and New Market Withdrawal

Code Me. R. 01-669 Ch. 4 Rules for Silvicultural Treatment Designation and New Market Withdrawal {#sec-01-669-ch.-4 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 4}

Summary: This chapter establishes the criteria and procedures for designation of an area as a silvicultural treatment area, including a description of acceptable silvicultural practices designed to lessen the vulnerability of the area to future budworm infestation. This chapter also outlines the procedure for removal of land parcels from a proposed spray area based on the presentation of an economically sound plan for salvage and sale of harvested wood to a new market.

1. Statutory Authority

These rules are enacted pursuant to 12 MRSA §§ 1021 and 1023.

2. Purpose of the Rules

A. Silvicultural treatment can be an important part of an integrated spruce budworm control program. The Budworm Suppression Act recognizes the desirability of managing the forest in a way designed to minimize susceptibility and vulnerability to future infestations. If land is being managed in this way, it may be granted a silvicultural treatment designation.

B. The new market withdrawal is to encourage an economical program of salvage and sanitation cutting in budworm damaged stands, a part of a broad forest management program.

3. Definitions

A. Applicability of Definitions. All terms used in these rules shall have the same meaning as set forth in 12 MRSA §1012 unless otherwise expressly provided herein:

B. Gross merchantable volume. Volume in trees with dbh greater than 5", measured to a 4" top, without any deduction made for cull.

C. Net merchantable volume. Gross merchantable volume less deductions for cull.

D. Commercial species

The following native trees are defined as commercial species:

All Pines

All spruces

American Larch (Tamarack)

Hemlock

Northern white Cedar

Balsam Fir

All Ashes

Trembling Aspen

Soft Maple

Sugar Maple

Basswood

Beech

Paper Birch

Yellow Birch

Black Cherry

American Elm

Large-Toothed Poplar

All Oaks except Scrub Oak

Gray Birch

Exotic tree species shall be considered commercial species if they attain a size and quality suitable for pulpwood or sawtimber when grown in Maine.

E. Fir mixed with host species. Fir is defined to be mixed with host species if it is in a type composed of more than 75% fir, spruce, and hemlock species, by gross merchantable volume.

F. Fir mixed with nonhost species. Fir is defined to be mixed with nonhost species if it is in a type composed of more than 25% commercial species other than spruce, fir, and hemlock, by gross merchantable volume. All stands which would be classified as "mixed wood" for purposes of the Tree Growth Tax Law fall into this category.

G. Renewal cutting. Any harvesting operation in even-aged types older than 25 years which leaves a residual stocking of less than 5 cords/acre gross merchantable volume.

H. New market. A new market is a market meeting one of the following conditions:

1. An existing processing facility which used no spruce or fir originating from Maine other than sawlogs prior to January 1, 1976;

2. A processing facility using spruce or fir other than sawlogs which has been made operational for the first time after January 1, 1976; or

3. A net physical expansion of an existing facility. Net expansion is defined as the volume of spruce and fir other than sawlogs used by an expanded wood processing plant less the average annual volume of spruce and fir other than sawlogs used by that plant during the calendar years 1973-1975.

I. Stands suitable for salvage cutting. A stand is suitable for salvage cutting if at least 50% of the gross merchantable volume consists of trees which are dead or dying from budworm damage.

4. The Silvicultural Treatment Designation

A. Scope and Purpose. The Regulations in Parts 3 and 4 hereof implement 12 MRSA §1018. They define silvicultural practices which are considered to minimize susceptibility and vulnerability to future budworm infestations. These standards are based on the best current knowledge about the budworm's behavior, and may be revised as more knowledge accumulates.

B. The silvicultural plan. A silvicultural plan shall be submitted with each application for silvicultural treatment designation, containing a forest type map, a general long-term silvicultural strategy, and a specific plan to operations through the calendar year 1981, for the parcels in question. The plan must be submitted by a professional forester, registered in Maine under 32 MRSA §§ 5001-5019.

C. Elements of the silvicultural plan

1. The forest type map. The forest type map shall be drawn to scale, and shall indicate forest types of more than 10 acres classified according to species composition, age or height of trees, and stocking or crown density levels. Areas of less than 10 acres need not be identified as distinct forest types. The type map shall be updated, and shall be based on cruise data no more than 10 years old. In the event the Director finds such maps to be unreasonably inaccurate with respect to the actual composition, age or height, and stocking levels, then he may require the applicant to prepare new maps which he deems accurate.

2. The long-term silvicultural strategy. A description of long-term silvicultural strategy shall be submitted for the parcels of land under consideration, indicating in general terms how the species composition performance goal will be met. The long-term strategy shall state whether timber types are to be managed on an even-aged or multiple-aged basis, and shall describe the general management approach to be employed. If the stands currently meet the performance goals as set up by these rules, a statement shall be included stating how the goals will be maintained. As a part of this long-term strategy a table shall be included which shows the current percentage of fir by stand type and what percentage will be achieved by 1981. Also this table shall show the average age of the trees in the stands. Specific dates of planned operations need not be given in the long-term strategy.

3. The operating plan. An operating plan shall be submitted describing specific silvicultural operations, such as plantings, thinnings, final harvesting, etc., to be undertaken in the years through 1981, and indicating the areas in which these operations are to be performed. These operations shall be supportive of the general long-term silvicultural strategy.

4. Modifications. The silvicultural plan may be modified when acts of God, such as insect damage, fire, windstorms, etc., make such modifications desirable or necessary. In this event, the applicant may submit a new silvicultural plan to the Director, Bureau of Forestry, with an explanation of why modification of the original plan has been made desirable or necessary. Approval or denial of the modified plan shall be on the same basis as that applying to new plans.

5. Sale of Property. Upon sale or other disposal of the property, the Director, Bureau of Forestry shall be notified.

D. The species composition performance goal. The fir content in each forest type (as defined in Part 4C, expressed as a percent of total gross merchantable volume, shall be reduced according to the following specifications, and the reduction shall be accomplished within 30 years:

1. Fir mixed with host species

a. If a forest type, classified as fir mixed with host species as defined in 3E, presently comprises more than 40% fir, the gross merchantable volume of fir in that forest type shall be reduced to a percent of the total gross merchantable volume in the forest type, which is 20 percentage points below the original percentage. (Example: If the forest type now comprises 75% fir, the fir content shall be reduced to 55% of the total forest type volume).

b. If the timber type presently comprises 40% or less fir, the fir content shall be reduced to 20% of the total timber type volume.

c. If the forest type presently comprises 20% or less fir, no further reduction in fir content is necessary; plans shall attempt to show how the percentage of fir will be maintained at or below this goal.

2. Fir mixed with nonhost species. These stands will be considered eligible if the plan shows that these stands will not develop into a heavy (in excess of 5O% of the total gross merchantable volume) fir stocking within 20 years. If it is possible for a heavy fir stand to develop the plan shall show how this will be corrected to meet the goal.

E. Acceptable Silvicultural Operations

1. Even-aged management

a. Any type of renewal cutting in an even-aged management system is acceptable provided that the following regeneration standard is met:

Within 3 years after completion of the renewal cutting, at least 40% of randomly located milacre plots shall contain at least one seedling or sapling of a commercial species other than fir. To be counted, hardwood seedlings shall be at least 1' tall, and softwood seedlings shall be at least 6" tall, and saplings shall have a maximum dbh of 4.5". Seedlings and saplings shall be thrifty and capable of responding to release.

b. Any type of thinning in an even-aged management system is acceptable provided that the method to be employed is identified in the application and is part of the long-term silvicultural strategy designed to meet the species composition performance goal.

2. Type conversion through artificial regeneration

a. Conversion from a softwood to a hardwood forest type will not qualify the area for silvicultural treatment designation. However, it may lead to reclassification of the area under the Tree Growth Tax Law , and hence exemption from the budworm excise tax.

b. Conversion from a spruce-fir type to conifers other than fir is acceptable provided that the type conversion meets the regeneration standard of Part 4E (1) and is part of a long-term strategy designed to meet the performance goal. The long-term strategy shall provide for control of volunteer fir regeneration if necessary.

3. Multiple-aged management

Any long-term silvicultural plan designed to create or perpetuate forest types with more than one age class is considered a multiple-aged management system. A cutting operation in a multiple-aged system will be acceptable provided that:

a. It attempts to eliminate all live fir with dbh 7" or greater;

b. It leaves a residual stocking of at least 5 cords/acre in trees of commercial species. If the residual stocking is less than this, the operation shall be considered an even-aged renewal cutting, and the regeneration standard shall be applied;

c. The cutting interval for multiple-aged management shall be no more than 25 years, inclusive of the year in which the operation is commenced.

F. Approval

Designation as a silvicultural treatment area shall only be granted under the following circumstances:

An application for silvicultural treatment designation is made, including a forest type map and long-term silvicultural plan as required by Regulations 4C (1) and 4C (2); and either

1. the forest types already have fir contents meeting the requirements of the species composition performance goal, and the long-term silvicultural plan provides for maintaining the fir content at or below the required levels; or

2. an operating plan is submitted providing for acceptable silvicultural operations to be carried out on the area by 1981.

Silvicultural treatment designation shall not be granted for a forest type which does not presently meet the species composition performance goal if not acceptable silvicultural operations will be carried out in the type before 1981.

G. Amendments

1. Application. An applicant for silvicultural treatment designation may request that an amendment to the regulations be made to allow practices which do not meet the requirements or regulations 4E (1) ‑ (3). The request for an amendment shall be made in writing to the Director, Bureau of Forestry, and shall contain:

a. A timber type map, long-term silvicultural plan, and operating plan as provided for in Regulations 4C (1)-(3).

b. Documentation showing that the operations contained in the operating plan, which do not conform to Regulations 4E (1)-(3), will lead to fulfillment of the species composition performance goal.

2. Amendment

The Director of the Bureau of Forestry may amend the rules for silvicultural treatment designation, with the approval of the Spruce-Fir Silviculture Committee, as provided for in 12 MRSA, Sections 1021-1023,

5. The New Market Withdrawal

A. Scope and Purpose. The Regulations in part 5 hereof implement 12 MRSA 1019. They are designed to encourage an economical program of salvage of budworm-damaged timber, and the expansion of existing markets for such timber.

B. Certification of New Markets

1. Application for Certification. Firms desiring certification as new markets shall certify to the Director of the Bureau of Forestry, on a form supplied by the Bureau of Forestry, their ownership of or control over processing facilities qualifying as a new market.

2. Consent. Applications made for new market certification shall be granted or denied according to 12 MRSA 1019(2) by the Director of the Bureau of Forestry.

3. Publication of New Markets. The Bureau of Forestry shall publish, and shall from time to time revise, a list of new markets which have been certified by the Bureau.

C. Application for New Market Withdrawals

1. Minimum Area. To qualify for a new market withdrawal, at least 50% of a contiguous area of at least 1,000 acres shall consist of forest types suitable for salvage cutting.

2. Silvicultural Treatment Designation. An area must be eligible for a silvicultural treatment designation in order to be considered for a new market withdrawal.

3. Harvesting Plan. Each application for new market withdrawal shall be accompanied by a harvesting plan, submitted by a professional forester registered in Maine, containing:

a. A map identifying areas to be harvested;

b. A map identifying stands suitable for salvage cutting;

c. An operating schedule for the planned timber harvest. The harvesting operation must begin during or before the calendar year following the calendar year of application, and it must be completed by April 1, 1981.

4. Timber Removals. More than 90% of the net merchantable volume in dead and dying spruce and fir trees with dbh of at least 7" shall be removed in the salvage cutting. The volume of spruce and fir other than sawlogs which is removed shall be sold and delivered to a new market. All portions of the harvested dead and dying trees, which fulfill the size and quality standards for budworm-damaged wood of the new market to which such volume is delivered, shall be removed.

5. Certification of Sale to a New Market. Within 6 months of completion of the harvesting operation, the applicant shall certify to the Director of the Bureau of Forestry, on a form provided by the Bureau of Forestry, that:

a. The area has been harvested according to the harvesting plan and Regulation 5;

b. The volume of spruce and fir harvested other than sawlogs was sold to a new market.

The form shall be signed by the purchaser of the volume of spruce and fir harvested other than sawlogs, certifying the purchase of that volume, and by a professional forester, registered in the State of Maine, certifying that the harvesting plan has been carried out as approved by the Director.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §1023
• EFFECTIVE DATE: August 1, 1976 (filed 10-18-78)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 23, 2000 - converted to MS Word
• NON-SUBSTANTIVE CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 6 Railroad Right of Way Fire Prevention Plans

Code Me. R. 01-669 Ch. 6 Railroad Right-of-Way Fire Prevention Plans {#sec-01-669-ch.-6 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 6}

Summary: This Chapter complements the statute and further articulates the rules that railroad companies and the Maine Forest Service will follow in the preparation of required railroad right-of-way fire prevention plans.

Section 1: Identification of Railroad right-of-way requiring prevention action

A. All sections of railroad right-of-way will be classified in one of three categories by quarter mile segments or easily identified geographical markers.

1. Priority 1 requires burning or other acceptable fire prevention action with a specific date for completion.

2. Priority 2 requires some type of fire prevention action during the calendar year.

3. Priority 3 does not require fire prevention action during the calendar year.

B. Designated priority of right-of-way will be determined by the Fire Control Division of the Maine Forest Service using the criteria below, and joint inspections of the right of way by representatives of the Fire Control Division and representatives of the railroad. These priorities will be reviewed and approved by the State Supervisor of Fire Control or designated staff for uniformity statewide.

Criteria for priority designation

1. Priority 1 must contain sufficient inflammable materials likely to result in fire spread within and adjacent to the Railroad right-of-way, and meet one or more of the following criteria within any quarter mile section.

a. Two or more fires within the last five years.

b. High value risks such as high value property, public safety, tree plantations, or structures.

c. Difficulty of access to the area for fire control purposes.

2. Priority 2 must contain sufficient inflammable materials likely to result in fire spread outside the railroad right-of-way and meet one or more of the following criteria within any quarter mile section unless it meets Priority 1 criteria:

a. Any fire occurrence in the last five years.

b. Any area containing inflammable materials, but not meeting the criteria for Priority 1.

3. Priority 3 must meet one or more of the following criteria unless it meets Priority 1 or Priority 2 criteria:

a. Not enough inflammable materials to likely result in the spread of fire outside the railroad right-of-way.

b. Where the only acceptable method of clearance would be more detrimental to the environment or public safety than the risk of fire.

c. The right-of-way is closely paralleled by a natural barrier to the spread of fire.

d. Discontinued track not currently used by trains.

Section 2: Completion Dates for Priority 1 areas will be determined by each Regional Ranger based on the following criteria:

A. Fire records of the 5-year occurrence of fires started within the right -of-way will be summarized to determine the average or most common date that spring fires begin to occur. This will determine a "completion date" for a specific clearance plan.

B. Total amount of right-of-way to be cleared and the time required to complete the work.

C. In relation to burning, each Fire Control Region will determine the beginning date each spring that snow cover and conditions would allow burning and track the number of allowable burning days based on likely fire weather conditions.

The "completion date" may be extended if a reasonable number of days have not been available to complete the job based on class day, and wind speed. Any extension must be requested by the Railroad Co. requesting an extension through the local Ranger. If a mechanical burner is used there should be sufficient burning days in the fall and early spring to meet a "completion date".

Section 3: Guidelines For Allowable Burning conditions are:

A. Minimum conditions - Class 1 day with no ongoing precipitation.

B. Maximum conditions - Class 3 day with wind 10 mph.

Section 4: Acceptable Methods: All priority 1 areas must be cleared by burning unless an alternative method or combination of methods is agreed to and approved in advance by the respective Regional Ranger.

A. Burning is the most effective, and in most cases the only method, to remove flammable fuels such as grass, weeds and bushes. Burning will be acceptable if all fine fuels are burned up to 25 feet from the nearest rail.

B. Cutting and chipping is acceptable only where fine fuels and grass do not exist to easily support fire spread.

C. Herbicide and soil sterilant, if used in conjunction with burning the first year, nay prohibit subsequent years' growth and temporarily eliminate the need for subsequent prevention action. Erosion and environmental concerns may be factors to be considered by the railroad, and railroads must comply with all applicable rules, regulations and statutes.

D. Fire breaks are an acceptable alternative to burning and in some areas more practical. Fire breaks must be at least six (6) ft. in width cleared to mineral soil, located with outer edge of cleared strip not less than twenty-five (25) ft. from the nearest rail.

Section 5: Acceptable Plan Format

A. Each plan shall contain a description of action to be taken pursuant to Section 4 acceptable methods.

B. Each plan shall contain a timetable of operations pursuant to Section 2.

C. Each plan shall show the location of operations on a nap provided by the railroad clearly identified by mile post marker or easily identified geographical location points.

D. Each plan must otherwise comply with the terns hereof and of any conditions imposed by the Maine Forest Service.

E. MFS by August 1 each year will provide the priority areas for the track of each railroad company and the completion dates for each area.

History

• STATUTORY AUTHORITY: TITLE 12 MRSA §9405
• EFFECTIVE DATE: April 4, 1989
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 23, 2000 - converted to MS Word
• NON-SUBSTANTIVE CORRECTIONS: February, 2014 – agency names, formatting
• NON-SUBSTANTIVE CORRECTIONS: 01-669 Chapter 6 page 3

Chapter 20 Forest Regeneration and Clearcutting Standards

Code Me. R. 01-669 Ch. 20 Forest Regeneration and Clearcutting Standards {#sec-01-669-ch.-20 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 20}

Forest Regeneration &

Clearcutting Standards

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION, AND FORESTRY

MAINE FOREST SERVICE

May 1, 2014

SECTION 1. SCOPE & APPLICABILITY pg. 1

A. Scope pg. 1

B. Applicability pg. 1

C. Research Forests pg. 1

D. Municipal Ordinances pg. 2

SECTION 2. DEFINITIONS pg. 2

SECTION 3. REGENERATION STANDARDS pg. 8

A. Overstory Removal Standards .pg. 8

B. Clearcut Regeneration Standards pg. 8

C. Exemptions from Regeneration Standards pg. 8

1. Natural Disaster pg. 8

2. Change of Land Use pg. 9

D. Mitigation for Inadequate Regeneration pg. 9

1. Certified Plan pg. 9

2. Landowner Responsibility pg. 9

3. Certification by Landowner pg. 10

SECTION 4. CLEARCUT STANDARDS pg. 10

A. Maximum Size of Clearcut pg. 10

B. Category 1 Clearcut pg. 10

1. Separation Zone Standards pg. 10

C. Category 2 and Category 3 Clearcuts pg. 11

1. Harvest Plans pg. 11

2. Separation Zone Standards pg. 14

D. Exemption from Clearcut Standards pg. 15

1. Exemption for small landowners pg. 15

2. Change of Land Use pg. 15

SECTION 5. VARIANCE pg. 16

A. Petition pg. 16

B. Burden of Proof pg. 16

C. Public Input on Variance Requests pg. 16

D. Bureau Recommendations pg. 17

E. Director’s Findings pg. 17

SECTION 6. EFFECTIVE DATE pg. 17

01 DEPARTMENT OF AGRICULTURE, CONSERVATION, AND FORESTRY

669 BUREAU OF FORESTRY

Chapter 20: FOREST REGENERATION AND CLEARCUTTING STANDARDS

AUTHORITY: 12 M.R.S. c. 805, sub-c. 3-A

Summary: This rule establishes standards for clearcutting and for forest regeneration following timber harvesting. In general, if timber harvesting activities result in a clearcut larger than five acres, there must be a separation zone between clearcuts and regeneration standards must be met. No clearcut can be larger than 250 acres.

Section 1. Scope and Applicability

A. Scope

This rule governs all forest lands within Maine, including those owned by state and local governmental units, nonprofit organizations, and private forest lands. It does not govern federal forest lands, or research forests exempted by the Department of Agriculture, Conservation, and Forestry under Section 1.C. of this rule.

B. Applicability

1. Unless specifically exempted in these rules, this rule applies to any timber harvesting when the primary purpose is to sell the timber or the timber is processed into forest products for sale.

2. The clearcutting standards of this rule apply to clearcuts larger than five acres in size.

3. All timber harvesting activities must comply with other applicable laws, rules, and standards, including but not limited to: The Natural Resource Protection Act [38 M.R.S. §480 A to 480-Z], the Shoreland Zoning Act [38 M.R.S. §435 to 449], and Maine Land Use Planning Commission Law [12 M.R.S. §681 et seq .] and Standards, Chapter 10.

C. Research Forests: Owners or managers of research forests may make application for exemption to the Bureau of Forestry.

1. Applications shall contain a description of the property; a map showing the location or locations of the research area to be exempted; a demonstration of Right, Title or Interest in the property; and a statement certifying the purposes, uses and restriction to research of the property.

2. Bureau of Forestry staff shall make a recommendation, including recommended terms and conditions, to the Director concerning the conformance of the proposed research with generally accepted research practices and the standards of these rules.

3. The exemption shall remain in effect for the term stated in the exemption, or until such time as there is a change in use of the property that is inconsistent with the terms and conditions of the exemption, whichever is sooner; at such time the normal rules shall apply.

4. Failure to comply with the terms and conditions of the written exemption shall render it null and void; at which time all normal rules shall apply.

D. Municipal Ordinances: Municipalities regulating timber harvesting must adopt definitions that are consistent with those contained in these rules.

SECTION 2. DEFINITIONS

A. For the purpose of 12 M.R.S., Chapter 805, sub-chapter 3-A and for these rules, the following terms have the following meanings unless the context otherwise requires:

1. Acceptable growing stock means live trees of commercially valuable species that are not culls, are capable of developing into trees suitable for producing merchantable products, and which:

A. Have survived at least two full growing seasons (April 1 through October 1);

B. Do not lean more than 30 degrees from vertical;

C. Do not have a broken, dead, or missing main stem;

D. For trees 8 inches DBH or larger, have not suffered scrapes from timber harvesting that penetrate the cambium on more than one half of the stem circumference at any point on the tree;

E. For trees less than 8 inches DBH, have not suffered scrapes from timber harvesting that penetrate the cambium on more than one third of the stem circumference at any point on the tree; and

F. Have not suffered visible severing, mutilation, or exposure from timber harvesting of more than one third of the root spread.

2. Basal area means the area of cross-section of a tree stem at Diameter Breast Height (4.5 feet above the ground) and includes bark.

3. Bureau means the Bureau of Forestry, Department of Agriculture, Conservation, and Forestry.

4. Change of Land Use means that following timber harvesting the subsequent use for a particular area does not include growing forest products. Change of land use may include, but is not limited to, conversion to farm pasture, site for growing agricultural crops, residential dwelling unit, development site, or gravel pit. The division of forest land into smaller units does not by itself automatically constitute a change of land use.

5. Clearcut means any timber harvesting on a forested site greater than 5 acres in size that results in a residual basal area of acceptable growing stock trees over 4.5 inches DBH of less than 30 square feet per acre unless the following condition exists: after harvesting, the site has a well-distributed stand of acceptable growing stock as defined in these rules of at least 3 feet in height for softwood trees and 5 feet in height for hardwood trees.

6. Commercially Valuable Species means any tree species capable of growing as a tree in Maine, and which is not listed below:

Acer pensylvanicum striped maple, moosewood

Acer spicatum mountain maple

Salix spp. willow

Cornus florida flowering dogwood

Betula populifolia grey birch

Prunus pennsylvanica pin cherry, fire cherry

7. Coniferous (Softwood) Type means a forest type of which pine, spruce, fir, hemlock, cedar, larch and other softwood species, singularly or in combination, comprise 75% or more of the stocking.

8. Cord means a unit of measure of wood products 4 feet wide, 4 feet high and 8 feet long, or its equivalent, containing 128 cubic feet when the wood is ranked and well stacked. Any voids that will accommodate a stick, log or bolt of average dimensions to those in that pile shall be deducted from the measured volume.

9. Cull means a tree where 50% or more by volume fails to meet pulpwood grades.

10. Development Site means the ground area where any significant earth moving, grading, dredging, filling, building, construction, mining operation, or deposition of refuse, solid or liquid waste other than agricultural waste will occur. It does not include forest land areas where bioash or sludge are spread as a soil additive or fertilizer.

11. Designated Agent means a person, company or other entity that is authorized by the landowner to act on the landowner's behalf for timber harvesting and related activities on the landowner's property.

12. Diameter Breast Height (DBH) means the diameter of a standing tree measured 4.5 feet from ground level.

13. Director means the Director of the Bureau of Forestry.

14. Essential Wildlife Habitat means areas identified by the Commissioner, Maine Department of Inland Fisheries and Wildlife in accordance with the provisions of 12 M.R.S., Chapter 925, subchapter 3, and any Department of Inland Fisheries and Wildlife rules implementing that subchapter.

15. Forest Land means land primarily covered with trees, and where commercial timber harvesting is not precluded by legal requirement.

16. Forest Management Activities include cruising and other forest resource evaluation activities, pesticide or fertilizer application, timber stand improvement, pruning, timber harvesting and other forest harvesting, regeneration of forest stands, and other similar or associated activities, but not the construction, creation, or maintenance of land management roads.

17. Forest Plantation: See “Plantation.”

18. Forest Management Plan: See “Harvest Plan.”

19. Forest Products means logs, pulpwood, veneer, boltwood, wood chips, stud wood, poles, pilings, biomass fuel wood, fuel wood or other products commonly known as forest products. It does not include Christmas trees, maple syrup, nursery products used for ornamental purposes, wreaths, bough material, cones or other seed crops.

20. Forest Stand means a contiguous group of trees sufficiently uniform in age class, distribution, composition, and structure, and growing on a site of sufficiently uniform quality, to be a distinguishable unit.

21. Forest Type means a stand of trees characterized by the predominance of one or more groups of key species which make up 75 percent or more of the sawlog volume of sawlog stands, or cordwood in pole timber stands, or of the number of trees in seedling and sapling stands.

22. Forested Wetland means a freshwater wetland dominated by woody vegetation that is at least 20 feet tall.

23. Freshwater Wetland means ponds, freshwater swamps, marshes, bogs and similar areas that are:

A. Inundated or saturated by surface or groundwater at a frequency and for a duration sufficient to support, and which under normal circumstances do support, a prevalence of wetland vegetation typically adapted for life in saturated soils; and,

B. Not part of a Great Pond, coastal wetland, stream, or river.

24. Great Pond means any inland body of water which in a natural state has a surface area in excess of 10 acres, and any inland body of water artificially formed or increased which has a surface area in excess of 30 acres.

25. Hardwood Type means a forest type in which maple, birch, beech, oak, elm, basswood, poplar, ash or other broadleaf species of trees, singularly or in combination, comprise 75% or more of the stocking.

26. Harvest Area means an area of forest land where timber harvesting has occurred or is occurring.

27. Harvester means a person, company, or other entity who harvests, or contracts to harvest, a forest product.

28. Harvest Plan means a site specific document signed by a Licensed Forester outlining proposed activities to ensure compliance with performance standards and regeneration requirements of 12 M.R.S. c. 805, sub-c. 3-A and this rule.

29. Landing: See "Yard.”

30. Landowner means a person, company, or other legal entity which holds title to land, including as a joint ownership or as tenants in common. Where the ownership of the timber located on the land is different than the fee ownership of the land itself, the owners of the timber are deemed a landowner and are jointly and severally responsible with the fee landowner to comply with this rule. Where a corporate landowner is a wholly owned subsidiary of another corporation, both parent and subsidiary are deemed the same landowner.

31. Land Management Road means a route or track consisting of a bed of exposed mineral soil, gravel, or other surfacing materials constructed for, or created by, the passage of motorized vehicles and used primarily for timber harvesting and related activities, including associated log yards, but not including skid trails or skid roads.

32. Licensed Forester means a forester licensed under 32 M.R.S. c.76.

33. Management Plan: see “Harvest Plan.”

34. Mixedwood Type means a forest type in which neither hardwoods nor softwood comprise 75% or more of the stocking.

35. Overstory Removal means a timber harvest that is not a clearcut, that removes the overstory component of a stand, leaving a stand of advanced regeneration that is stocked with at least 450 trees per acre, well distributed on the harvest area, that meet the acceptable growing stock standards, as defined in these rules, and which are at least 3 feet in height for softwood trees and 5 feet in height for hardwood trees.

36. Parcel means a contiguous tract or plot of forest land owned by a landowner. Multiple contiguous tracts, plots or parcels of forest land owned by the same landowner are considered a single parcel. Contiguous tracts completely separated by a public road or roadway are considered to be separate parcels under these rules. Tracts of land joined only at a single point are not contiguous.

37. Pesticide means any substance or mixture of substances intended for preventing, destroying, repelling or mitigating any pests, and any substance or mixture of substances intended for use as a plant regulator, defoliant or desiccant.

38. Plantation means a stand of commercially valuable tree species predominately artificially seeded or planted. It does not include supplemental or “fill” plantings within an otherwise natural stand unless the artificially established trees total 50% or more of the stand.

39. Poletimber means a live tree of commercially valuable species meeting regional specifications of soundness and form and at least 4.5 inches DBH, but smaller than a sawtimber tree.

40. Precommercial Silvicultural Activities means chemical or mechanical thinning treatments, planting, stand conversion or timber stand improvement activities provided that no forest products are removed.

41. Public Road or Roadway means any roadway that is owned or leased by a governmental unit or public entity.

42. Regeneration means the renewal of a tree crop of acceptable growing stock, whether by natural or artificial means.

43. Residential Dwelling Unit means a room or group of rooms designed and equipped exclusively to use as permanent, seasonal, or temporary living quarters for one or more families. It includes mobile homes, but not recreational vehicles.

44. Residual Basal Area means the average of the basal area of trees remaining on a harvested area.

45. Residual Stand means a stand of trees remaining in the forest following timber harvesting and related activities.

46. Sapling means a live tree of commercially valuable species between 1.0 and 4.4 inches DBH.

47. Sawtimber means a live tree of commercially valuable species, suitable in size and quality for yielding sawlogs under current mill specifications.

48. Seedling means a live tree of commercially valuable species less than 1.0 inch DBH and at least 6 inches tall.

49. Separation Zone means an area that immediately surrounds a clearcut and separates it from any other clearcut. A separation zone must consist of forest land, and must meet the standards and requirements of this rule. The separation zone may include forested wetlands, and skid roads or skid trails, provided these skid roads or skid trails are not immediately adjacent to a clearcut. A separation zone does not include other non-forest areas such as non-forested wetlands, public and private roads, land management roads, winter haul roads, driveways, utility lines, development sites, pipelines or railroad rights-of-way.

50. Significant wildlife habitat is defined by 38 M.R.S., chapter 3, article 5-A.

51. Skid Road or Skid Trail means a route repeatedly used by forwarding machinery or animal to haul or drag forest products from the stump to the yard or landing, the construction of which requires minimal excavation.

52. Softwood Type means a forest type in which pine, spruce, fir, hemlock, cedar and larch, singly or in combination, comprise 75% or more of the stocking.

53. Stand: see "Forest Stand.”

54. Timber harvesting means the cutting or removing of timber for the primary purpose of selling or processing forest products.

55. Winter Haul Road means a route or track across frozen ground or compacted snow and ice used primarily for access to a yard or landing. It does not include a road with a gravel surface.

56. Wood means the severed but unprocessed fibrous derivative of trees, or the chipped fibrous derivative of trees, regardless of quality or grade.

57. Yard, Log Yard, Landing means the area where forest products are hauled by forwarding machinery or animals for deposition or storage before transfer to trucks or other means of conveyance.

SECTION 3. REGENERATION STANDARDS

A. Overstory Removal Standards

To qualify as an overstory removal, a harvest area must be stocked with at least 450 trees per acre, well distributed on the harvest area, of acceptable growing stock trees that are at least 3 feet in height for softwood trees and 5 feet in height for hardwood trees. The Bureau may verify that the harvest area qualifies as an overstory removal through a field procedure that uses sample plots that are randomly or systematically located to provide a fair representation of the entire harvest area.

B. Clearcut Regeneration Standards

Within five years of completing a timber harvest that creates a clearcut, the harvest area must be stocked with at least 450 trees per acre of acceptable growing stock trees. The harvest area may not contain any contiguous area larger than 5 acres that does not meet this condition.

C. Exemptions from Regeneration Standards

1. Natural Disaster: Regeneration standards do not apply to a harvested area if the regeneration is destroyed by fire, disease, insect infestation or other natural disaster provided the landowner promptly thereafter notifies the Bureau in writing of the location, size, approximate date, and cause of the disaster. The regeneration requirement does not apply to the area affected by the disaster. Vegetative cover sufficient to prevent accelerated erosion must be established on the affected area as soon as possible.

2. Change of Land Use: Regeneration standards do not apply to the portion of a harvested area where there is a change of land use, provided:

a. The change of land use must be completed by the end of the second full calendar year following the year of the timber harvest.

b. The intent to change land use must be stated on the Forest Operations Notification form submitted to the Bureau of Forestry or other format approved by the Bureau.

c. If the change of land use is to residential dwelling units, the exemption from regeneration standards is limited to the actual size of the residential lot or five acres, whichever is smaller.

D. Mitigation for Inadequate Regeneration

1. Certified Plan: In the event of a failure to meet regeneration standards, in addition to being potentially liable for civil penalties and other remedial action, the landowner shall, within 30 days of notification by the Bureau, submit to the Bureau a mitigation plan certified by a Licensed Forester that will enable the landowner to attain compliance with the regeneration standards as soon thereafter as possible. At a minimum, the mitigation plan shall include:

a. Specification of commercial tree species to be planted or regenerated;

b. Consideration of the site physiographic conditions;

c. Specific procedures to insure satisfactory growth and survival of specified commercial tree species; and

d. An action plan outlining all necessary actions and an expeditious timetable to complete the mitigation measures.

2. Landowner Responsibility: Following approval of the mitigation plan by the Bureau, the land owner shall ensure that the mitigation plan and its actions are implemented.

3. Certification by Landowner: When the plan has been implemented, the land owner shall submit to the Bureau certification by a Licensed Forester that the plan has been completed and that the regeneration standards have been met.

SECTION 4. CLEARCUT STANDARDS

If a landowner’s timber harvesting activities on a parcel result in a clearcut, the following standards apply.

A. Maximum Size of Clearcut: No clearcut shall be larger than 250 acres in size.

B. Category 1 Clearcut: A Category 1 clearcut is any clearcut that is larger than 5 acres and less than or equal to 20 acres.

1. Separation Zone Standards - Category 1 Clearcuts

a. A Category 1 clearcut must have a separation zone of at least 250 feet from any other clearcut (separation zones may be shared).

Exception: A Category 1 clearcut may be created adjacent to a property line between two or more different landowners. The landowner must comply with all other requirements for a Category 1 clearcut.

b. A separation zone for a Category 1 clearcut must meet one of the following requirements:

(1) The separation zone shall contain an average basal area greater than 30 square feet per acre of acceptable growing stock, well distributed on the separation zone;

OR,

(2) The separation zone shall contain at least 450 trees per acre of acceptable growing stock, well distributed on the separation zone; softwood trees must be at least 3 feet in height and hardwood trees must be at least 5 feet in height.

c. Separation zones must be maintained to meet the standards of Sec.4.B.1.a and Sec.4.B.1.b until one of the following conditions is met:

(1) The regenerated clearcut contains a minimum of 300 trees per acre of acceptable growing stock trees, well distributed on the harvest area; softwood trees must be at least 10 feet in height and hardwood trees must be at least 20 feet in height;

OR

(2) At least 10 years have elapsed from the date the clearcut was completed.

C. Category 2 and Category 3 Clearcuts

A Category 2 clearcut is any clearcut larger than 20 acres but less than or equal to 75 acres in size.

A Category 3 clearcut is any clearcut larger than 75 acres but less than or equal to 250 acres in size.

1. Harvest Plans for Category 2 and Category 3 Clearcuts

a. For all Category 2 and Category 3 clearcuts, the landowner shall develop, prior to harvest, a site specific harvest plan signed by a Licensed Forester that demonstrates compliance with the standards of Section 3 (Regeneration Standards) and Section 4 (Clearcut Standards) of this rule.

b. Minimum Elements of Harvest Plan: The following minimum elements are required in the harvest plan for each Category 2 and Category 3 clearcut:

(1) Landowner’s name, address, and telephone number.

(2) If applicable, designated agent’s name, address and telephone number.

(3) Signature of Licensed Forester preparing the plan.

(4) Date and Intent to Harvest Notification Number.

(5) Anticipated dates of harvest(s).

(6) A certification signed by a Licensed Forester or, if required under this section, a certified wildlife professional, attesting that the clearcutting is needed to improve the health, productivity or wildlife habitat of the forest.

(7) An explanation of how the standards of Section 3 (Regeneration Standards) and Section 4 (Clearcut Standards) of this rule will be met.

(8) The reason for the creation of the clearcut, which must be one of the following four reasons:

(a) Removal of poor quality, intolerant, understocked, short lived or mature overstories where the retention of the residual overstory trees is not justified for further increase in value, as a source of seed, or for protection of the new stand;

(b) Ecologically appropriate improvement or creation of wildlife habitat, with accompanying prescription and justification from a certified wildlife professional;

(c) Removal of timber stands that, if partially harvested according to accepted silvicultural practice, are at high risk for windthrow due to factors such as soils, rooting depth, crown ratio or stem quality; or,

(d) Harvesting of an existing plantation or other forest stands established by or previously treated with precommercial silvicultural activities.

(9) An assessment of the soil erosion potential of the harvest area, and any actions that will be taken to protect riparian zones and minimize erosion into water bodies.

(10) An assessment of the windfirmness of the separation zone associated with the clearcut and the steps that will be taken so that the standards for separation zones will be maintained.

(11) A certification, from the Licensed Forester or certified wildlife professional preparing the plan, that the proposed harvest does not occur within significant or essential wildlife habitats, or if the harvest does occur within such areas, a certification that all appropriate approvals, permits or variances have been obtained.

(12) A map showing the location of the clearcut and the separation zone associated with the clearcut. The map should be on the current edition of the United State Geological Survey topographic map or other format as approved by the Bureau. The landowner shall promptly update the map as needed.

(13) Certification by a Licensed Forester that the landowner has a plan to manage the regeneration consistent with the regeneration standards of this rule. The plan shall indicate what measures the landowner will take and a time frame for carrying out those measures in order to meet the stocking and other regeneration standards.

(14) Additional Requirement for Category 3 Clearcut Harvest Plan: For all Category 3 clearcuts, the harvest plan must include a summary of how the proposed clearcut and other adjacent harvest activities collectively provide for water quality protection and wildlife habitat needs.

c. Harvest Plan Kept on File

For all Category 2 and Category 3 clearcuts, the harvest plan must be kept on file by the landowner and be made available for on-site inspection by the Bureau until regeneration standards are achieved.

d. Category 3 Clearcuts - Harvest Plan Filed with Bureau and On-Site Harvest Plan Review

For all Category 3 clearcuts, the harvest plan must be submitted to the Bureau with the Forest Operations Notification at least 60 days prior to commencing the timber harvest, as specified in MFS Chapter 26 Rule.

A Bureau Forester and the landowner or the landowner’s representative must have a meeting at the proposed harvest site to review the harvest plan. This meeting must take place during normal working hours and within the 60 day notification period, unless extended by agreement of the parties.

Following this meeting, a Bureau Forester will have 10 working days to make a written determination whether the notification and harvest plan comply with requirements of this rule. If a Bureau Forester finds that the harvest plan does not comply, the Bureau Forester shall identify in writing any inadequacies in the harvest plan or Notification and/or, as appropriate, request more information.

A landowner must provide the information requested or address any inadequacies and receive written confirmation from the Bureau that the Notification and harvest plan are in compliance prior to commencing the harvest.

e. Landowner Responsibility: The landowner is responsible for ensuring that the harvest plan and its recommended actions are implemented.

2. Separation Zone Standards - Category 2 and Category 3 Clearcuts

a. A Category 2 or Category 3 clearcut must have a separation zone of at least 250 feet from any other clearcut (separation zones may be shared).

Exception: A Category 2 or Category 3 clearcut may be created adjacent to a property line between two or more different landowners. The landowner must comply with all other requirements for Category 2 and Category 3 clearcuts, including but not limited to the requirement that the area of the separation zone be at least equal to the area of the clearcut [Section 4.C.2.b].

b. The area of the separation zone must be equal to or greater than the area of the clearcut.

c. The separation zone must meet one of the following requirements:

(1) Contain at least 60 square feet basal area per acre of trees 1.0 inches DBH or larger, well distributed on the separation zone. A minimum of 40 square feet basal area per acre must be comprised of acceptable growing stock trees, and a minimum of 40 square feet basal area per acre must be comprised of trees 4.5 inches DBH or larger;

Exception: Areas not capable of growing at least 60 square feet basal area per acre due to poor soils or other site conditions may be used as part or all of a separation zone, provided this condition is documented and mapped by a Licensed Forester in a harvest plan available for inspection by agents of the Bureau.

OR,

(2) Contain at least 300 trees per acre of acceptable growing stock trees, well distributed on the separation zone; softwood trees must be at least 10 feet in height and hardwood trees must be at least 20 feet in height.

d. Separation zones must be maintained to meet the standards of Sec.4.C.2.a through Sec.4.C.2.c until one of the following conditions is met:

(1) The regenerated clearcut contains a minimum of 300 trees per acre of acceptable growing stock trees, well distributed on the harvest area; softwood trees must be at least 10 feet in height and hardwood trees must be at least 20 feet in height;

OR,

(2) At least 10 years have elapsed from the date the clearcut was completed.

D. Exemption from Clearcut Standards

1. Landowners who own 100 acres or less, total ownership statewide, are exempt from the clearcut standards Sec.4.A through Sec.4.C.

2. Change of Land Use: Clearcut standards do not apply to the portion of a harvested area where there is a change of land use, provided:

a. The change of land use must be completed by the end of the second full calendar year following the year of the timber harvest.

b. The intent to change land use must be properly indicated on the "Forest Operations Notification" form submitted to the Bureau or other format approved by the Bureau.

c. If the change of land use is to residential dwelling units, the exemption from clearcut standards is limited to the actual size of the lot or five acres, whichever is smaller.

SECTION 5. VARIANCE

A. Petition: Any forest landowner may petition the Director for permission to operate in a manner inconsistent with these rules.

B. Burden of Proof: The burden of proof is on the petitioner to demonstrate that:

1. Strict compliance with the regulations or standards would, because of unique conditions of topography, access, location, shape, size, or other physical features of the site or forest condition, cause unusual hardship or extraordinary difficulties;

2. The unusual hardship or extraordinary difficulties claimed as a ground for variance have not been created by the owner or a predecessor in title;

3. The proposed use meets the purpose and intent of 12 M.R.S. c. 805; and

4. The public interest is otherwise served.

C. Public Input on Variance Requests

1. The Bureau maintains a list of persons interested in being notified of variance petitions (Forest Practices Variance List). Persons interested in being notified of variance petitions must request such notification from the Bureau in writing.

2. When the Bureau receives a petition for variance the Bureau will notify all persons on the Forest Practices Variance List and all landowners within 1,000 feet of the parcel or parcels for which the variance is being requested, as shown on municipal or state tax maps. The notice will include the name of the petitioner, the location of the proposed harvest area, and the section(s) of this rule for which the petitioner requests a variance. Such notice generally will be sent by regular mail within five working days from the date the Bureau receives the petition for variance.

3. The petition for variance, including all supporting information supplied by the petitioner, will be available for examination by appointment during regular business hours at the offices of the Bureau in Augusta. Copies of the full variance petition and supporting documents will be made available upon request at a cost as determined by Bureau policy in effect at the time of the request.

4. Any person may submit written comments regarding the variance petition to the Bureau. Unless otherwise indicated by the Bureau, in order to be considered, written comments must be received no later than 15 calendar days after the Bureau mails the notification of petition for variance.

D. Bureau Recommendations: Bureau staff shall make a recommendation to the Director indicating such facts, findings, terms and/or conditions as may be appropriate.

E. Findings: The Director may issue a variance only after making written findings of fact and conclusions supporting the determination that the petitioner has met the burden of proof. The variance may be issued upon such terms and conditions as the Director deems appropriate and the landowner shall comply with the terms and conditions. If the variance is not issued as requested, the Director shall provide the petitioner with written notice of the reasons for denial. The variance or denial shall be issued in a timely fashion.

SECTION 6. EFFECTIVE DATE

A. Effective Date: The effective date of these rules shall be May 1, 2014.

Timber harvests for which notification has been filed and timber harvesting has begun prior to the effective date are not subject to these rules, but are subject to the rules currently in place.

History

• STATUTORY AUTHORITY: 12 MRSA c. 805, sub-c. III-A
• EFFECTIVE DATE: January 1, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: August 7, 1997 - minor spelling and formatting.
• REPEALED AND REPLACED: October 1, 1999
• CORRECTIONS: February, 2014 – agency names, umbrella-unit number, formatting
• AMENDED: May 1, 2014 – filing 2014-042
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 21 Statewide Standards for Timber Harvesting and Related Activities in Shoreland Areas

Code Me. R. 01-669 Ch. 21 Statewide Standards for Timber Harvesting and Related Activities in Shoreland Areas {#sec-01-669-ch.-21 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 21}

SECTION 1. PURPOSES pg. 1

SECTION 2. ( REPEALED) pg. 1

SECTION 3. SCOPE & APPLICABILITY pg. 1

SECTION 4. DEFINITIONS pg. 2

SECTION 5. SHORELAND AREA INTEGRITY AND SEDIMENTATION pg. 6

SECTION 6. SLASH TREATMENT pg. 7

SECTION 7. STANDARDS FOR TIMBER HARVESTING AND RELATED

activities in shoreland areas REQUIRING A

250-FOOT ZONE pg. 7

SECTION 8. STANDARDS FOR TIMBER HARVESTING AND RELATED

ACTIVITIES IN SHORELAND AREAS REQUIRING A

75-FOOT ZONE pg. 9

SECTION 9. SKID TRAILS, YARDS, AND EQUIPMENT OPERATION pg. 10

SECTION 10. LAND MANAGEMENT ROAD CONSTRUCTION AND

MAINTENANCE STANDARDS pg. 11

SECTION 11. CROSSINGS OF WATER BODIES pg. 14

SECTION 12. SLOPE TABLE pg. 22

SECTION 13. RESPONSIBILITY pg. 22

SECTION 14. VARIANCE pg. 22

SECTION 15. VIOLATIONS pg. 22

SECTION 16. EFFECTIVE DATE pg. 22

APPENDIX 1. DIAGRAMS OF APPLICATION OF THIS RULE pg. 24

01 DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

669 BUREAU OF FORESTRY

Chapter 21: STATEWIDE STANDARDS FOR TIMBER HARVESTING AND RELATED ACTIVITIES IN SHORELAND AREAS

AUTHORITY: 12 M.R.S., chapter 805, subchapter 3-A; Public Laws 2003, chapter 335; Public Laws 2013, chapter 570

Summary: This rule establishes statewide standards for timber harvesting and related activities in shoreland areas. In general, timber harvesting activities in shoreland areas must protect shoreline integrity and not expose mineral soil that can be washed into water bodies, including nonforested freshwater and coastal wetlands and tidal waters. Timber harvesting and related activities in shoreland areas below the 300 acre drainage point must leave windfirm stands of trees that provide adequate shade. If located in shoreland areas, roads used primarily for timber harvesting and related activities must be constructed and maintained to standards designed to minimize the chance of exposed soil washing into water bodies, including wetlands. Stream crossings must not disrupt the natural flow of water and must not allow sediment into water bodies.

SECTION 1. PURPOSES

The purposes of this rule include the following: to establish statewide standards for timber harvesting and related activities in shoreland areas; to resolve inconsistencies among existing standards; to provide maximum opportunity for flexibility; to protect public resources while minimizing impacts on private resources; to further the maintenance of safe and healthful conditions; prevent and control water pollution from various agents, including sediment, temperature, toxic materials, and excessive nutrient inputs; to maintain shoreline stability; to protect fish spawning grounds, aquatic life, bird and other wildlife habitat; to protect freshwater and coastal wetlands; and to conserve natural beauty, open space, and public recreational values.

SECTION 2. AMENDMENTS TO MAINE FOREST SERVICE CHAPTER 20 RULE (FOREST REGENERATION AND CLEARCUTTING STANDARDS)

(Repealed)

SECTION 3. SCOPE AND APPLICABILITY

SCOPE. This rule governs all timber harvesting and related activities conducted in, over, or near water bodies, including rivers, streams, brooks, ponds, lakes, Great Ponds, freshwater and coastal wetlands, throughout the state, unless exempted in Section 3.C. of this rule.

EXCLUSIONS. The activities described in this subsection are not considered timber harvesting and must comply with the requirements for clearing or removal of vegetation for activities other than timber harvesting under rules promulgated by the Department of Environmental Protection, Municipal Shoreland Zoning Ordinance or the Land Use Planning Commission, depending on which entity has jurisdiction.

Removal of vegetation in proximity to an existing developed area. For purposes of this provision, “developed area” means a footprint encompassing structures, access roads (other than land management roads), and maintained non-forested areas, on a lot with shore frontage on any great pond, stream, pond, river, or freshwater or coastal wetland. “In proximity to” describes an envelope around a developed area, and includes all areas that:

are within 50 feet of the developed area,

are between the developed area and the water body,

occupy an area whose width in parallel with the shoreline extends 50 feet beyond each end of the footprint of the developed area at its widest point.

In no case shall the envelope in proximity to a developed area be less than 20,000 square feet or less than 100 feet along the shoreline.

Removal of vegetation in the shoreland area from parcels less than two acres in size.

Removal of vegetation for the primary purpose of converting the land to a use other than forestland. If a change of land use occurs on the parcel or on any portion thereof within five years of the expiration of the Forest Operations Notification or the cessation of timber harvesting and related activities, whichever is later, the residual stand must comply with the requirements for clearing or removal of vegetation for activities other than timber harvesting under rules promulgated by the Department of Environmental Protection, Municipal Shoreland Zoning Ordinance or the Land Use Planning Commission, depending on which entity has jurisdiction. If the residual stand does not comply with these requirements after the change of land use, it constitutes prima facie evidence that a violation of the MFS Chapter 21 rule has occurred.

C. EXEMPTION. This rule does not govern timber harvesting and related activities in forested wetlands, unless the forested wetlands lie within a shoreland area.

D. RELATIONSHIP TO OTHER LEGAL REQUIREMENTS. Whenever provisions of this rule are less stringent than corresponding provisions of applicable federal, state, or municipal legal requirements, the more stringent provisions shall apply.

SECTION 4. DEFINITIONS

Unless otherwise provided herein, this rule incorporates by reference the definitions contained in MFS Rule Chapter 20 ( Forest Regeneration and Clearcutting Standards ). For the purpose of 12 M.R.S., chapter 805, subchapter 3-A and this rule, the following terms are defined as follows.

A. Brook: See “Stream Channel.”

B. Coastal Wetland is defined by 38 M.R.S. §480-B (2) (Supp. 2013).

C. Change of Land Use means that following timber harvesting the subsequent primary use for a particular area is not growing forest products. Change of land use may include, but is not limited to, conversion to farm pasture, site for growing agricultural crops, residential dwelling unit, development site, or gravel pit. The division of forest land into smaller units does not by itself automatically constitute a change of land use.

D. Cross-sectional area of a stream channel is determined by multiplying the stream channel width by the average stream channel depth. The stream channel width is the straight line distance from the normal high water line on one side of the channel to the normal high water line on the opposite side of the channel. The average stream channel depth is the average of the vertical distances from a straight line between the normal high water lines of the stream channel to the bottom of the channel.

E. Crossing means any timber harvesting and related activity involving the passage of ground-based equipment from one side to the opposite side of a water body, or to an island or upland within a water body. Such activities include, but are not limited to construction of roads, fords, bridges, and culverts, as well as maintenance work on these crossings.

F. Designated Agent means a person, company or other entity that is authorized by the landowner to act on the landowner's behalf for timber harvesting and related activities on the landowner's property.

G. Disruption of shoreline integrity means the alteration of the physical shape, properties, or condition of a shoreline at any location by timber harvesting and related activities. A shoreline where shoreline integrity has been disrupted is recognized by compacted, scarified and/or rutted soil, an abnormal channel or shoreline cross-section, and in the case of flowing waters, a profile and character altered from natural conditions.

H. Essential Wildlife Habitat means areas identified by the Commissioner, Maine Department of Inland Fisheries and Wildlife in accordance with the provisions of 12 M.R.S., §§12801 et seq. (2005 and Supp. 2013) and any Department of Inland Fisheries and Wildlife rules implementing that subchapter.

I. Forested Wetland means a freshwater wetland dominated by woody vegetation that is at least 20 feet tall.

J. Forest Stand means a contiguous group of trees sufficiently uniform in age class distribution, composition, and structure, and growing on a site of sufficiently uniform quality, to be a distinguishable unit.

K. Freshwater Wetland means ponds, freshwater swamps, marshes, bogs and similar areas that are:

1. Inundated or saturated by surface or groundwater at a frequency and for a duration sufficient to support, and which under normal circumstances do support, a prevalence of wetland vegetation typically adapted for life in saturated soils; and,

2. Not part of a Great Pond, coastal wetland, stream, or river.

L. Great Pond means any inland body of water which in a natural state has a surface area in excess of 10 acres, and any inland body of water artificially formed or increased which has a surface area in excess of 30 acres.

M. Harvest Area means the area where timber harvesting and related activities, including the cutting of trees, skidding, yarding, and associated road construction take place. The area affected by a harvest encompasses the area within the outer boundaries of these activities, excepting unharvested areas greater than 10 acres within the area affected by a harvest.

N. Landowner means a person, company, or other legal entity which holds title to land, including as a joint ownership or as tenants in common. Where the ownership of the timber located on the land is different than the fee ownership of the land itself, the owners of the timber are deemed a landowner and are jointly and severally responsible with the fee landowner to comply with this rule. Where a corporate landowner is a wholly owned subsidiary of another corporation, both parent and subsidiary are deemed the same landowner.

O. Land Management Road means a route or track consisting of a bed of exposed mineral soil, gravel, or other surfacing materials constructed for, or created by, the passage of motorized vehicles and used primarily for timber harvesting and related activities, including associated log yards, but not including skid trails or skid roads.

P. Licensed Forester means a forester licensed under 32 M.R.S. §5501(3) (Supp. 2013).

Q. Normal High Water Line means that line which is apparent from visible markings, changes in the character of soils due to prolonged action of the water or changes in vegetation, and which distinguishes between predominantly aquatic and predominantly terrestrial land. In the case of nonforested freshwater wetlands adjacent to streams and other water bodies, the normal high water line is the upland edge of the freshwater wetland, not the edge of the open water.

R. Permanent crossing means any structure constructed or erected with a fixed location, in, on, or over a water body for a period exceeding 7 months in any 12 month period, including, but not limited to, culverts and bridges.

S. Pond means any inland body of water which in a natural state has a surface area between 4,300 square feet and 10 acres.

T. Responsible party means all of the following persons or entities, jointly and severally:

1. The landowner, or landowners, who owned the property at the time a timber harvest subject to this rule was conducted;

2. The landowner’s designated agent at the time a timber harvest subject to this rule was conducted;

3. The Licensed Forester and/or the employer of the Licensed Forester who supervised a timber harvest subject to this rule; and

4. The timber harvester who conducted a timber harvest subject to this rule.

U. Residual Stand means a stand of trees remaining in the forest following timber harvesting and related activities.

V. River means a free-flowing body of water, including its associated flood plain wetlands, from that point at which it provides drainage for a watershed of:

1. fifty square miles to its mouth in the jurisdiction of the Land Use Planning Commission; and,

2. twenty-five square miles to its mouth in municipalities not subject to the jurisdiction of the Land Use Planning Commission.

W. Shoreland area means all land areas within:

1. 250 feet, horizontal distance, of the normal high water line of:

a. Rivers below the 50 square mile drainage point in the jurisdiction of the Land Use Planning Commission;

b. Rivers below the 25 square mile drainage point in municipalities not subject to the jurisdiction of the Land Use Planning Commission;

c. Great Ponds and nonforested freshwater wetlands 10 acres or larger;

d. Any coastal wetland;

e. Any size pond or freshwater wetland identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat;

2. 75 feet, horizontal distance, of the normal high water line of:

a. Streams between the 300 acre drainage point and the 50 square mile drainage point in the jurisdiction of the Land Use Planning Commission;

b. Streams between the 300 acre drainage point and the 25 square mile drainage point in municipalities not subject to the jurisdiction of the Land Use Planning Commission;

3. Adjacent to:

a. The normal high water line of streams above the 300 acre drainage point; and,

b. Ponds or freshwater wetlands larger than 4,300 square feet but less than 10 acres that are not identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat.

X. Shoreline: See “Normal High Water Line” and “Coastal Wetland.”

Y. Significant wildlife habitat is defined by 38 M.R.S §480-B (10) (Pamph. 2013).

Z. Skid Road or Skid Trail means a route repeatedly used by forwarding machinery or animal to haul or drag forest products from the stump to the yard or landing, the construction of which requires minimal excavation.

AA. Slash means the residue, e.g., treetops and branches, left on the ground after a timber harvest.

BB. Stand: see "Forest Stand."

CC. Stream: means a stream channel upstream from the point at which it becomes a river.

DD. Stream channel means a channel between defined banks created by the action of surface water, which is characterized by the lack of terrestrial vegetation or by the presence of a bed, devoid of topsoil, containing waterborne deposits or exposed soil parent material or bedrock; and which is connected hydrologically with other water bodies. “Stream channel” does not include rills or gullies forming because of accelerated erosion in disturbed soils where the natural vegetative cover has been removed by human activity.

EE. Timber harvesting means the cutting or removing of timber for the primary purpose of selling or processing forest products.

FF. Timber harvesting and related activities means timber harvesting, the construction and maintenance of roads used primarily for timber harvesting, and other activities conducted to facilitate timber harvesting.

GG. Used for navigation means those rivers, streams or brooks used by motorized watercraft.

HH. Water body means any river, stream, stream channel, brook, freshwater wetland, coastal wetland, pond, lake, Great Pond, or any other hydrological feature regulated by this rule.

II. Woody Vegetation means live trees or woody, non-herbaceous shrubs.

JJ. Windfirm means the ability of a forest stand to withstand strong winds and resist windthrow, wind rocking, and major breakage.

NOTE: In the context of this definition, an assessment of windfirmness will include assessment of soil conditions, depth to bedrock, and live crown ratios and height/diameter ratios on residual trees. Trees with live crown ratios of 30 percent or greater and/or trees with height/diameter ratios of 90 or less could be considered indicators of windfirmness.

SECTION 5. SHORELINE INTEGRITY AND SEDIMENTATION

A. APPLICABILITY. The requirements of Section 5 apply to all timber harvesting and related activities conducted in all shoreland areas as defined in this rule.

B. STANDARDS. Persons conducting timber harvesting and related activities in shoreland areas must take reasonable measures to avoid the disruption of shoreline integrity, the occurrence of sedimentation of water, and the disturbance of stream banks, stream channels, shorelines, and soil lying within ponds and wetlands. If, despite such precautions, the disruption of shoreline integrity, sedimentation of water, or the disturbance of stream banks, stream channels, shorelines, and soil lying within ponds and wetlands occurs, such conditions must be corrected. This section does not apply to crossings of water bodies conducted in compliance with Section 11 of this rule.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

SECTION 6. SLASH TREATMENT

A. Timber harvesting and related activities shall be conducted such that slash or debris is not left below the normal high water line of any water body. This section does not apply to minor, incidental amounts of slash that result from timber harvesting and related activities otherwise conducted in compliance with this section.

B. No accumulation of slash shall be left within 50 feet of:

1. the normal high water line of Great Ponds, rivers, non-forested wetlands larger than 10 acres, and tidal waters in the jurisdiction of the Land Use Planning Commission; and,

2. the normal high water line of Great Ponds, rivers, non-forested wetlands larger than 10 acres, and tidal waters in municipalities not subject to the jurisdiction of the Land Use Planning Commission.

Slash actively used to protect soil from disturbance by equipment or to stabilize exposed soil may be left in place, provided no part thereof extends more than 4 feet above the ground.

C. Between 50 feet and 250 feet of the normal high water line of a water body identified in subsection 6.B. above, all slash larger than 3 inches in diameter must be disposed of in such a manner that no part thereof extends more than 4 feet above the ground.

SECTION 7. STANDARDS FOR TIMBER HARVESTING AND RELATED ACTIVITIES IN SHORELAND AREAS REQUIRING A 250-FOOT ZONE

A. APPLICABILITY. The requirements of Section 7 apply to all timber harvesting and related activities in shoreland areas within 250 feet, horizontal distance, of the normal high water line of:

1. Rivers below the 50 square mile drainage point in the jurisdiction of the Land Use Planning Commission

2. Rivers below the 25 square mile drainage point in municipalities not subject to the jurisdiction of the Land Use Planning Commission;

3. Great Ponds and nonforested freshwater wetlands 10 acres or larger;

4. Any coastal wetland; and,

5. Any size pond or freshwater wetland identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat.

B. SHADE AND TREE RETENTION STANDARDS

Timber harvesting and related activities in shoreland areas subject to the requirements of Section 7 must leave adequate tree cover and shall be conducted so that a well-distributed stand of trees is retained. The requirements of this section may be satisfied by following one of the following three options:

1. Option 1 (40% volume removal) , which requires:

a. Harvesting of no more than 40 percent of the total volume on each acre involved of trees 4.5 inches DBH or greater in any 10 year period is permitted. For the purposes of these standards volume may be considered to be equivalent to basal area;

b. A well-distributed stand of trees which is windfirm, and other vegetation including existing ground cover, must be maintained; and,

c. Within 75 feet, horizontal distance, of the normal high water line of shoreland areas regulated under this section, there must be no cleared openings. At distances greater than 75 feet, horizontal distance, of the normal high water line, timber harvesting and related activities must not create single cleared openings greater than 14,000 square feet in the forest canopy. Where such openings exceed 10,000 square feet, they must be at least 100 feet apart. Such cleared openings will be included in the calculation of total volume removal. For the purposes of these standards, volume may be considered equivalent to basal area.

2. Option 2 (60 square foot basal area retention) , which requires:

a. The residual stand must contain an average basal area of at least 60 square feet per acre of woody vegetation greater than or equal to 1.0 inch DBH, of which 40 square feet per acre must be greater than or equal to 4.5 inches DBH;

b. A well-distributed stand of trees which is windfirm, and other vegetation including existing ground cover, must be maintained; and,

c. Within 75 feet, horizontal distance, of the normal high water line of shoreland areas regulated under this section, there must be no cleared openings. At distances greater than 75 feet, horizontal distance, of the normal high water line, timber harvesting and related activities must not create single cleared openings greater than 14,000 square feet in the forest canopy. Where such openings exceed 10,000 square feet, they must be at least 100 feet apart. Such cleared openings will be included in the calculation of total volume removal. For the purposes of these standards, volume may be considered equivalent to basal area.

3. Option 3 (outcome based) , which requires: An alternative method proposed in an application, signed by a Licensed Forester or certified wildlife professional, submitted by the landowner or designated agent to the Bureau and approved by the Bureau, which provides equal or better protection of the shoreland area than this rule.

Landowners must designate on the Forest Operations Notification form required by 12 M.R.S. §§8881 et seq. (Supp. 2013) which option they choose to use. If landowners choose Option 1 or Option 2, compliance with this section will be determined solely on the criteria for the option chosen. If landowners choose Option 3, timber harvesting and related activities may not begin until the Bureau has approved the required application.

The Bureau may verify that adequate tree cover and a well-distributed stand of trees is retained through a field procedure that uses sample plots that are located randomly or systematically to provide a fair representation of the harvest area.

SECTION 8. STANDARDS FOR TIMBER HARVESTING AND RELATED ACTIVITIES IN SHORELAND AREAS REQUIRING A 75-FOOT ZONE

A. APPLICABILITY. The requirements of Section 8 apply to all timber harvesting and related activities in shoreland areas within 75 feet, horizontal distance, of the normal high water line of:

1. Streams between the 300 acre drainage point and the 50 square mile drainage point in the jurisdiction of the Land Use Planning Commission; and,

2. Between the 300 acre drainage point and the 25 square mile drainage point in municipalities not subject to the jurisdiction of the Land Use Planning Commission.

B. SHADE AND TREE RETENTION STANDARDS

Timber harvesting and related activities in shoreland areas subject to the requirements of Section 8 must leave adequate tree cover and shall be conducted so that a well-distributed stand of trees is retained. The requirements of this section may be satisfied by following one of the following three options:

1. Option 1 (40% volume removal) , which requires:

a. Harvesting of no more than 40 percent of the total volume on each acre involved of trees 4.5 inches DBH or greater in any 10 year period is permitted. For the purposes of these standards volume may be considered to be equivalent to basal area;

b. A well-distributed stand of trees which is windfirm, and other vegetation including existing ground cover, must be maintained; and,

c. There must be no cleared openings.

2. Option 2 (60 square foot basal area retention) , which requires:

a. The residual stand must contain an average basal area of at least 60 square feet per acre of woody vegetation greater than or equal to 1.0 inch DBH, of which 40 square feet per acre must be greater than or equal to 4.5 inches DBH;

b. A well-distributed stand of trees which is windfirm, and other vegetation including existing ground cover, must be maintained; and,

c. There must be no cleared openings.

3. Option 3 (outcome based) , which requires: An alternative method proposed in an application, signed by a Licensed Forester or certified wildlife professional, submitted by the landowner or designated agent to the Bureau and approved by the Bureau, which provides equal or better protection of the shoreland area than this rule.

Landowners must designate on the Forest Operations Notification form required by 12 M.R.S. §§8881 et seq. (Supp. 2013) which option they choose to use. If landowners choose Option 1 or Option 2, compliance with this section will be determined solely on the criteria for the option chosen. If landowners choose Option 3, timber harvesting and related activities may not begin until the Bureau has approved the required application.

The Bureau may verify that adequate tree cover and a well-distributed stand of trees is retained through a field procedure that uses sample plots that are located randomly or systematically to provide a fair representation of the harvest area.

Exception. Timber harvesting and related activities conducted in the jurisdiction of the Land Use Planning Commission between the 300 acre drainage point and the 25 square mile drainage point are not subject to the requirements of Section 8.B. of this rule, but must be conducted to retain sufficient vegetation to maintain shading of surface waters.

SECTION 9. SKID TRAILS, YARDS, AND EQUIPMENT OPERATION

A. APPLICABILITY. The requirements of Section 9 apply to the construction, maintenance, and use of skid trails and yards in shoreland areas. This section does not apply to crossings of water bodies conducted in compliance with Section 11 of this rule.

B. STREAM CHANNELS. Equipment used in timber harvesting and related activities shall not use stream channels as travel routes except when:

1. surface waters are frozen and snow covered; and,

2. the activity will not result in any ground disturbance.

C. DESIGN, CONSTRUCTION, AND CLOSEOUT. Skid trails and yards must be designed and constructed to prevent sediment and concentrated water runoff from entering a water body. Upon termination of their use, skid trails and yards must be stabilized.

D. SETBACKS

1. Except for crossings of stream channels or freshwater wetlands, equipment used in timber harvesting and related activities, including but not limited to the use of skid trails and yards, must be operated to avoid the exposure of mineral soil within 25 feet of any water body or wetland regulated by this rule. On slopes of 10 percent or greater, the setback for equipment operation must be increased by 20 feet, plus an additional 10 feet for each 5 percent increase in slope above 10 percent. These requirements are presented in an alternative format in the slope table in Section 12 of this rule.

2. The provisions of this subsection apply only to a face sloping toward the water body or freshwater or coastal wetland, provided, however, that no portion of such exposed mineral soil on a back face is closer than 25 feet from the normal high water line of a water body or upland edge of a freshwater or coastal wetland. The setback requirements of this subsection shall not apply to skid trail approaches to crossings of stream channels or freshwater wetlands.

3. Where such setbacks are impracticable, appropriate techniques shall be used to avoid sedimentation of the water body or wetland. Such techniques may include the installation of sump holes or settling basins, and/or the effective use of additional ditch relief culverts and ditch water turnouts placed to avoid sedimentation of the water body or wetland. If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

Exception. Timber harvesting and related activities in shoreland areas of streams draining less than 300 acres and wetlands adjacent to such streams may be conducted in a manner not in conformity with the setback requirements of the foregoing subsections provided persons conducting such activities take reasonable measures to avoid the disruption of shoreline integrity, the occurrence of sedimentation of water, and the disturbance of stream banks, stream channels, shorelines, and soil lying within ponds and wetlands. If, despite such precautions, the disruption of shoreline integrity, sedimentation of water, or the disturbance of stream banks, stream channels, shorelines, and soil lying within ponds and wetlands occurs, such conditions must be corrected.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

SECTION 10. LAND MANAGEMENT ROAD CONSTRUCTION AND MAINTENANCE STANDARDS

A. APPLICABILITY. The requirements of Section 10 apply to the construction, maintenance, and use of land management roads in shoreland areas. This section does not apply to crossings of water bodies conducted in compliance with Section 11 of this rule.

B. ROAD DESIGN, CONSTRUCTION, AND MAINTENANCE. Land management roads, including approaches to crossings of stream channels and freshwater wetlands, ditches and other related structures, must be designed, constructed, and maintained to prevent sediment and concentrated water runoff from directly entering the water body. Surface water on or adjacent to crossing approaches must be diverted through vegetative filter strips to avoid sedimentation of the watercourse. Because roadside ditches may not extend to the resource being crossed, filter strips must be established in accordance with the slope table in Section 12 of this rule.

C. SETBACKS. Land management roads and associated ditches, excavation, and fill must be set back at least:

1. 100 feet from the normal high-water line of a Great Pond or a river that flows to a Great Pond, rivers draining more than 50 square miles in the jurisdiction of the Land Use Planning Commission, rivers draining more than 25 square miles in municipalities not subject to the jurisdiction of the Land Use Planning Commission, nonforested freshwater wetlands 10 acres or larger, any coastal wetland, and any pond or freshwater wetland identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat;

2. 50 feet from the normal high water line of streams draining more than 300 acres but less than 50 square miles in the jurisdiction of the Land Use Planning Commission and streams below the 300 acre drainage but above the 25 square mile drainage point in municipalities not subject to the jurisdiction of the Land Use Planning Commission; and,

3. 25 feet from the normal high water line of streams draining less than 300 acres and ponds or freshwater wetlands larger than 4,300 square feet but less than 10 acres that are not identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat.

4. Exceptions

a. The minimum 100 foot setback specified in subsection 1 above may be reduced to no less than 50 feet, if, prior to construction, the landowner or the landowner’s designated agent demonstrates to the Bureau’s satisfaction that no reasonable alternative exists and that appropriate techniques will be used to prevent sedimentation of the water body. Such techniques may include, but are not limited to, the installation of settling basins, and/or the effective use of additional ditch relief culverts and turnouts placed to avoid sedimentation of the water body. If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

b. The minimum 50 foot setback specified in subsection 2 above may be reduced to no less than 25 feet, if, prior to construction, the landowner or the landowner’s designated agent demonstrates to the Bureau’s satisfaction that no reasonable alternative exists and that appropriate techniques will be used to prevent sedimentation of the water body. Such techniques may include, but are not limited to, the installation of settling basins, and/or the effective use of additional ditch relief culverts and turnouts placed to avoid sedimentation of the water body or the disruption of shoreline integrity. If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

5. On slopes of 10 percent or greater, the land management road setback must be increased by at least 20 feet, plus an additional 10 feet for each 5 percent increase in slope above 10 percent, but in no case may the land management road setback be less than that indicated in the slope table presented in Section 12 of this rule.

6. New land management roads are not permitted within the shoreland area along Significant River Segments as identified in 38 M.R.S. §437 (Supp. 2013), nor in Resource Protection Districts as identified in municipal shoreland zoning ordinances nor in Recreation Protection Subdistricts (P-RR) as identified by the Land Use Planning Commission, unless, prior to construction, the landowner or the landowner’s designated agent makes a clear demonstration to the Bureau’s satisfaction that no reasonable alternative route exists outside the shoreland zone, and that the new road must be set back as far as practicable from the normal high water line and screened from the river by existing vegetation.

D. MAINTENANCE. Ditches, culverts, bridges, dips, water turnouts and other water control installations associated with roads must be maintained on a regular basis to assure effective functioning. Drainage structures shall deliver a dispersed flow of water into an unscarified filter strip no less than the width indicated in the slope table set forth in Section 12 of this rule. Where such filter strip is impracticable, appropriate techniques shall be used to avoid sedimentation of the water body or wetland. Such techniques may include the installation of sump holes or settling basins, and/or the effective use of additional ditch relief culverts and ditch water turnouts placed to avoid sedimentation of the water body or wetland. If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

E. ROAD CLOSEOUT AND DISCONTINUANCE. Maintenance of the water control installations required above must continue until use of the road is discontinued and the road is put to bed by effective installation of water bars or other adequate road drainage structures at appropriate intervals, constructed to avoid surface water flowing over or under the water bar, and extending sufficient distance beyond the traveled way so that water does not reenter the road surface.

F. UPGRADING EXISTING ROADS. Extension or enlargement of presently existing roads must conform to the provisions of this section. Any nonconforming existing road may continue to exist and to be maintained, as long as the nonconforming conditions are not made more nonconforming.

Exception. Extension or enlargement of presently existing roads need not conform to the setback requirements of Section 10.C if, prior to extension or enlargement, the landowner or the landowner’s designated agent demonstrates to the Bureau’s satisfaction that no reasonable alternative exists and that appropriate techniques will be used to prevent sedimentation of the water body. Such techniques may include, but are not limited to, the installation of settling basins, and/or the effective use of additional ditch relief culverts and turnouts placed to avoid sedimentation of the water body. If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

G. ADDITIONAL MEASURES. In addition to the foregoing minimum requirements, persons undertaking construction and maintenance of roads and stream crossings must take reasonable measures to avoid sedimentation of surface waters.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

SECTION 11. CROSSINGS OF WATER BODIES

A. APPLICABILITY. The requirements of Section 11 apply to all crossings of stream channels, rivers, ponds, lakes, Great Ponds, nonforested freshwater wetlands, coastal wetlands, and freshwater wetlands identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat.

B. ALL CROSSINGS

1. Crossings must allow for fish passage at all times of the year, must not impound water, and must allow for the maintenance of normal stream flows.

2. Determination of flow. Provided they are properly applied and used for the circumstances for which they are designed, methods including but not limited to the following are acceptable to the Bureau as means of calculating the 10 year and 25 year frequency water flows and thereby determining crossing sizes as required in this section: The United States Geological Survey (USGS) Methods; specifically: Hodgkins, G. 1999. Estimating the Magnitude of Peak Flows for Streams in Maine for Selected Recurrence Intervals . U.S. Geological Survey. Water Resources Investigations Report 99-4008. 45 pp.

3. Upgrading existing crossings. Extension or enlargement of presently existing crossings must conform to the provisions of this section. Any nonconforming existing crossing may continue to exist and be maintained, as long as the nonconforming conditions are not made more nonconforming; however, any maintenance or repair work done below the normal high water line must conform to the provisions of this section.

4. Bureau Permits and Permit by Rule

• • 1. Permits. An application for a permit must be submitted to the Bureau at least 60 days prior to the construction of any new permanent crossing or the replacement of a permanent crossing of any waterbody subject to a 250’ shoreland area as defined by §(4)(W)(1) of this rule, non-forested freshwater wetlands larger than 4,300 square feet and any crossing that will not conform to permit by rule standards. An individual permit application is required for each crossing. The permit application must contain all information required by the Bureau, including a description of how negative impacts to the resource will be avoided and minimized to the extent practicable. When granting a permit the Bureau may impose such reasonable terms and conditions as the Bureau considers appropriate in order to satisfy the purpose set forth in its governing statutes and rules. 2. Permit by Rule. Crossings must conform to standards of this section to qualify for permit by rule. If a crossing does not conform to these standards an application for a full permit must be submitted per §(11)(B)(4)(a) above. A permit by rule must be submitted to the Bureau prior to construction, maintenance, alteration, and replacement of permanent crossings of waterbodies subject to a 75’ shoreland area or adjacent shoreland area as defined by §(4)(W)(2) and (3) of this rule except all non-forested freshwater wetlands greater than 4,300 square feet which require a permit as described in §(11)(B)(4)(a). Multiple crossings within one township or municipality may be submitted on one permit by rule form. The permit by rule must contain all information required by the Bureau, including: 1. a map showing the location of all proposed permanent crossings. Maps must be of sufficient quality and scale for a person unfamiliar with the area to locate the crossing; 2. for any temporary or permanent crossing that requires a permit from state or federal agencies, a copy of the approved permit or permits; and, 3. a statement signed by the permit applicant that all temporary and permanent crossings will be constructed, maintained, and closed out in accordance with the requirements of this chapter.

c. Exception A permit or permit by rule is not required for the repair and maintenance of an existing crossing or for the replacement of an existing crossing, including ancillary crossing installation activities such as excavation and filling, in any protected natural resource area, as long as:

i. Erosion control measures are taken to prevent sedimentation of the water;

ii. The crossing does not block passage for fish in the protected natural resource area;

iii. For replacement crossings of a river, stream or brook:

a. The replacement crossing is designed, installed and maintained to match the natural stream grade to avoid drops or perching; and

b. As site conditions allow, crossing structures that are not open bottomed are embedded in the stream bottom at least 25% of the culvert or other structure's diameter, except that a crossing structure does not have to be embedded more than 2 feet.

iv. The Bureau is notified prior to the activity in accordance with §(11)(B)(6) of this rule.

For purposes of this subsection, "repair and maintenance" includes but is not limited to the riprapping of side slopes or culvert ends; removing debris and blockages within the crossing structure and at its inlet and outlet; and installing or replacing culvert ends if less than 50% of the crossing structure is being replaced.

5. Other Agency Permits

a. Any timber harvesting and related activities involving the design, construction, and maintenance of crossings on water bodies other than a stream channel or river, including crossings of Significant River Segments and freshwater wetlands identified by the Department of Inland Fisheries and Wildlife as significant wildlife habitat or essential wildlife habitat, may require a permit from the US Army Corps of Engineers. When a permit is required, the crossing is not required to meet the standards of this section provided it conforms with all applicable state and federal requirements and any permit conditions.

b. Any timber harvesting and related activities involving the design, construction, and maintenance of crossings of freshwater wetlands identified by the Department of Inland Fisheries and Wildlife as essential wildlife habitat require prior consultation with the Department of Inland Fisheries and Wildlife.

6. Notice to Bureau. Notification to the Bureau is required prior to construction, maintenance, alteration, and replacement of crossings. Written notice of all temporary and permanent water body crossing construction, maintenance, alteration, and replacement activities in shoreland areas regulated by this rule must be given to the Bureau prior to the commencement of such activities. Multiple crossings within one township or municipality may be submitted on one notification form. Such notice must contain all information required by the Bureau, including:

a. a map showing the location of all proposed permanent crossings. Maps must be of sufficient quality and scale for a person unfamiliar with the area to locate the crossing;

b. for any temporary or permanent crossing that requires a permit from state or federal agencies, a copy of the approved permit or permits; and,

c. a statement signed by the responsible party that all temporary and permanent crossings will be constructed, maintained, and closed out in accordance with the requirements of this chapter.

C. SKID TRAIL CROSSINGS

1. Design and Construction

a. All skid trail crossings of streams and rivers below the 25 square mile drainage point require a bridge or culvert sized according to the requirements of subsection 2 below.

b. Streams above the 25 square mile drainage point may be crossed using temporary structures that are not bridges or culverts but which meet the requirements of the following subsection c; or

i. when stream channels are frozen and snow-covered; or

ii. when stream channels are composed of a hard surface which will not be eroded or otherwise damaged.

c. All skid trail crossings of streams must be designed, constructed, and maintained, such that:

i. sedimentation of surface waters is reasonably avoided;

ii. there is no substantial disturbance of the bank or stream channel;

iii. fish passage is not impeded; and,

iv. water flow is not unreasonably impeded.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

2. Bridge and Culvert Sizing. The following requirements apply to skid trail crossings of stream channels when surface waters are unfrozen:

a. Bridges and culverts must be installed and maintained to provide an opening sufficient in size and structure to accommodate 25 year frequency water flows or with a cross-sectional area at least equal to 3times the cross-sectional area of the stream channel.

b. Temporary bridge and culvert sizes may be smaller than provided in subsection a above if techniques are effectively employed such that in the event of culvert or bridge failure, the natural course of water flow is maintained and sedimentation of the water body is avoided. Such crossing structures must be at least as wide as the channel and, if not culverts, placed above the normal high water line. Techniques may include, but are not limited to, the effective use of any, a combination of, or all of the following:

i. use of temporary skidder bridges;

ii. removing culverts prior to the onset of frozen ground conditions;

iii. using water bars in conjunction with culverts;

iv. using road dips in conjunction with culverts.

c. Culverts utilized in stream crossings must:

i. be installed at or below stream bed elevation;

ii. be seated on firm ground;

iii. have soil compacted at least halfway up the side of the culvert;

iv. be covered by soil to a minimum depth of 1 foot or according to the culvert manufacturer's specifications, whichever is greater; and

v. have a headwall at the inlet end which is adequately stabilized by rip-rap or other suitable means to reasonably avoid erosion of material around the culvert.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

d. Stream crossings allowed under this section, but located in flood hazard areas (i.e. A zones) as identified on a community's Flood Insurance Rate Maps (FIRM) or Flood Hazard Boundary Maps (FHBM), must be designed and constructed under the stricter standards contained in that community's National Flood Insurance Program (NFIP). For example, a crossing may be required to pass a 100-year flood event.

3. Closeout. Upon completion of timber harvesting and related activities, or upon the expiration of a Forest Operations Notification, whichever is earlier, the following requirements apply:

a. Bridges and culverts installed for stream crossings by skid trails must either:

i. comply with the standards for stream channel crossings by land management roads as set forth in this rule, or

ii. be removed and areas of exposed soil stabilized.

b. Crossing structures that are not bridges or culverts must either:

i. be removed immediately following timber harvesting and related activities, or,

ii. if frozen into the stream bed or bank, as soon as practical after snowmelt.

c. Stream channels, banks and approaches to crossings of water bodies must be immediately stabilized on completion of harvest, or if the ground is frozen and/or snow-covered, as soon as practical after snowmelt. If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

4. Freshwater wetlands. Skid trail crossings, other than those areas below the normal high water line of water bodies, must avoid freshwater wetlands and must maintain the existing hydrology of such wetlands, unless there are no reasonable alternatives, as determined by the Bureau in a written decision prior to construction.

5. Exception. Timber harvesting and related activities in shoreland areas of streams draining less than 300 acres and wetlands adjacent to such streams may be conducted in a manner not in conformity with the requirements of the foregoing subsections provided persons conducting such activities take reasonable measures to avoid the disruption of shoreline integrity, the occurrence of sedimentation of water, and the disturbance of stream banks, stream channels, shorelines, and soil lying within ponds and wetlands. If, despite such precautions, the disruption of shoreline integrity, sedimentation of water, or the disturbance of stream banks, stream channels, shorelines, and soil lying within ponds and wetlands occurs, such conditions must be corrected

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

D. LAND MANAGEMENT ROAD STREAM CROSSINGS

1. Design, construction, and maintenance. Land management road stream channel crossings, including approaches to stream channel crossings, ditches and other related structures, must be designed, constructed, and maintained such that:

a. concentrated water runoff does not enter the water body or tributary stream;

b. sedimentation of surface waters is reasonably avoided;

c. there is no substantial disturbance of the stream bank or stream channel not directly associated with culvert or bridge installation;

d. fish passage is not impeded; and,

e. water flow is not unreasonably impeded.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

2. Bridge and culvert sizing. The following requirements apply to land management road crossings of stream channels when surface waters are unfrozen:

a. Bridges and culverts must be installed and maintained to provide an opening sufficient in size and structure to accommodate 25 year frequency water flows or with a cross-sectional area at least equal to 3times the cross-sectional area of the stream channel.

b. Culverts utilized in stream crossings must:

i. be installed at or below stream bed elevation;

ii. be seated on firm ground;

iii. have soil compacted at least halfway up the side of the culvert;

iv. be covered by soil to a minimum depth of 1 foot or according to the culvert manufacturer's specifications, whichever is greater; and

v. have a headwall at the inlet end which is adequately stabilized by rip-rap or other suitable means to reasonably avoid erosion of material around the culvert.

c. If a perennial water course to be crossed is to be used for navigation, the crossing must consist of a bridge span or pipe arch with at least 4 feet of clearance during normal high water for boat traffic.

d. If the stream being crossed is a perennial watercourse and has a slope of more than 2%, a bridge or pipe arch must be used to maintain the natural streambed.

e. Fill sideslopes in a stream or floodplain wetland must be maintained at a slope no shallower than 3 horizontal to 1 vertical and no steeper than 1.5 horizontal to 1 vertical. Fill side slopes must be stabilized at the completion of the activity.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

f. Temporary bridge and culvert sizes may be smaller than provided in subsection a above if techniques are effectively employed such that in the event of culvert or bridge failure, the natural course of water flow is maintained and sedimentation of the water body is avoided. Such crossing structures must be at least as wide as the channel and, if not culverts, placed above the normal high water line. Techniques may include, but are not limited to, the effective use of any, a combination of, or all of the following:

i. use of temporary skidder bridges;

ii. removing culverts prior to the onset of frozen ground conditions;

iii. using water bars in conjunction with culverts; and/or,

iv. using road dips in conjunction with culverts.

3. Stream crossings allowed under this section, but located in flood hazard areas (i.e. A zones) as identified on a community's Flood Insurance Rate Maps (FIRM) or Flood Hazard Boundary Maps (FHBM), must be designed and constructed under the stricter standards contained in that community's National Flood Insurance Program (NFIP). For example, a crossing may be required to pass a 100-year flood event.

4. Road closeout and discontinuance. Maintenance of the water control installations required above must continue until use of the road is discontinued and the road is put to bed by taking the following actions:

a. Effective installation of water bars or other adequate road drainage structures at appropriate intervals, constructed to reasonably avoid surface water flowing over or under the water bar, and extending sufficient distance beyond the traveled way so that water does not reenter the road surface.

b. Crossing structures must be appropriately sized or dismantled and removed in a manner that reasonably avoids sedimentation of the water body.

c. Any bridge or water crossing culvert in roads to be discontinued shall satisfy one of the following requirements:

i. it shall be designed to provide an opening sufficient in size and structure to accommodate 25 year frequency water flows;

ii. it shall be designed to provide an opening with a cross-sectional area at least 3 1/2 times the cross-sectional area of the stream channel; or

iii. it shall be dismantled and removed in a fashion to reasonably avoid sedimentation of the water body.

If, despite such precautions, sedimentation or the disruption of shoreline integrity occurs, such conditions must be corrected.

NOTE: For guidance on reasonable measures, consult the Bureau publication, “Best Management Practices for Forestry: Protecting Maine’s Water Quality” (2004). This publication is available from the Bureau and on the Bureau’s website, www.maineforestservice.gov.

5. Freshwater wetlands. Land management road crossings, other than those areas below the normal high water line of water bodies, must avoid freshwater wetlands and must maintain the existing hydrology of such wetlands, unless there are no reasonable alternatives, as determined by the Bureau in a written decision.

SECTION 12. SLOPE TABLE

Filter strips, skid trail setbacks, and land management road setbacks must be maintained as specified in the rule, but in no case shall be less than shown in the following table.

Average slope of land between Width of strip between exposed mineral soil

exposed mineral soil and and normal high water line

normal high water line (percent) (feet along surface of the ground)

0 25

10 45

20 65

30 85

40 105

50 125

60 145

70 165

Section 13. RESPONSIBILTY

All responsible parties as set forth in §(4)(T)(1)-(4) of this rule may be jointly and severally responsible for compliance with this rule, and liable for violations of this rule.

SECTION 14. VARIANCE

A variance to the strict application of this rule may be granted as specified in MFS Rule Chapter 20 (“Forest Regeneration and Clearcutting Standards”, Section 6).

SECTION 15. VIOLATIONS

Any responsible party, including but not limited to a landowner, a landowner's agent or a contractor, who orders, contracts for, or conducts any activity in violation of this rule commits a civil violation, and shall be penalized in accordance with 12 M.R.S., chapter 809.

SECTION 16. EFFECTIVE DATE

The effective date of this rule in organized municipalities that have either accepted the statewide standards in accordance with 38 M.R.S. §438-B, sub-§2 or have adopted an ordinance identical to the statewide standards in accordance with 38 M.R.S. §438-B, sub-§3 is January 1, 2016.

The effective date of this rule in a municipality that either accepts the statewide standards in accordance with 38 M.R.S. §438-B, sub-§2 or adopts an ordinance identical to the statewide standards in accordance with 38 M.R.S. §438-B, sub-§3 after the effective date specified in subsection A is the date the municipality’s shoreland zoning ordinance is certified by the Commissioner of the Department of Environmental Protection.

The effective date of this rule in the jurisdiction of the Land Use Planning Commission is the first day of January of the second year following the year in which the Commissioner of Conservation Agriculture, Conservation and Forestry determines that at least 252 of the 336 municipalities identified by the Commissioner of Conservation as the municipalities with the highest acreage of timber harvesting activity on an annual basis for the period 1999-2003 have either accepted the statewide standards in accordance with 38 MRSA M.R.S. §438-B, sub-§2 or have adopted an ordinance identical to the statewide standards in accordance with 38 MRSA M.R.S. §438-B, sub-§3. Within 30 days of making the determination that the 252-municipality threshold has been met, the Commissioner of Conservation shall notify the Secretary of State in writing and advise the secretary of the effective date for the statewide standards.

Timber harvesting and related activities are not subject to this rule if, prior to the effective date of the rule, (1) notification has been filed with and accepted by the Bureau, and (2) timber harvesting has begun. Timber harvesting and related activities not subject to this rule are subject to the rules of the proper authority that were in effect at the time notification was filed and accepted by the Bureau and timber harvesting began.

History

• STATUTORY AUTHORITY: 12 M.R.S. ch. 805 sub-ch. 3-A; P.L. 2003 ch. 335; P.L. 2013, ch. 570
• STATUTORY AUTHORITY: Received June 16, 2005 – filing 2005-235
• STATUTORY AUTHORITY: corrections:
• STATUTORY AUTHORITY: February, 2014 – agency names, formatting
• AMENDED: August 30, 2015 – filing 2015-139 (Final adoption, major substantive)
• AMENDED: Appendix 1. Diagrams of Application of This Rule
• AMENDED: Figure 1. Application of this rule in the jurisdiction of the Land Use Planning Commission
• NOTE: This diagram is for informational purposes only. In the case of discrepancies, the written rule shall govern.
• NOTE: Figure 2. Application of this rule in municipalities not subject to the jurisdiction of the Land Use Planning Commission
• NOTE: Note: This diagram is for informational purposes only. In the case of discrepancies, the written rule shall govern.
• NOTE: Figure 3. Application of this rule to wetlands statewide
• NOTE: Note: This diagram is for informational purposes only. In the case of discrepancies, the written rule shall govern.

Chapter 23 Timber Harvesting Standards to Substantially Eliminate Liquidation Harvesting

Code Me. R. 01-669 Ch. 23 Timber Harvesting Standards to Substantially Eliminate Liquidation Harvesting {#sec-01-669-ch.-23 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 23}

Timber Harvesting Standards

to Substantially Eliminate

Liquidation Harvesting

Effective Date: January 2, 2005

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

MAINE FOREST SERVICE

ADOPTED RULE: AUGUST 5, 2004

SECTION 1. PURPOSE 1

SECTION 2. AMENDMENTS TO MAINE FOREST SERVICE CHAPTER 20

(FOREST REGENERATION AND CLEARCUTTING STANDARDS) 1

SECTION 3. SCOPE AND APPLICABILITY 1

SECTION 4. DEFINITIONS 2

SECTION 5. EXEMPTIONS 4

SECTION 6. HARVEST STANDARDS 5

SECTION 7. RESPONSIBILITY 7

SECTION 8. VARIANCE 7

SECTION 9. VIOLATIONS 7

SECTION 10. EFFECTIVE DATE 7

01 DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

669 BUREAU OF FORESTRY

Chapter 23: TIMBER HARVESTING STANDARDS TO SUBSTANTIALLY ELIMINATE LIQUIDATION HARVESTING

AUTHORITY. 12 M.R.S.A., chapter 805, subchapter 3-A; Public Law 2003, chapter 422.

SUMMARY. This rule establishes standards for timber harvesting on lands that are sold or offered for sale within five years of the date of purchase of the parcel. It also specifies circumstances which are exempt from these rules.

SECTION 1. PURPOSE

The purpose of this rule is to substantially eliminate the practice of liquidation harvesting. The Legislature has defined liquidation harvesting as “the purchase of timberland followed by a harvest that removes most or all commercial value in standing timber, without regard for long-term forest management principles, and the subsequent sale or attempted resale of the harvested land within 5 years.”

SECTION 2. AMENDMENTS TO MAINE FOREST SERVICE CHAPTER 20 (FOREST REGENERATION AND CLEARCUTTING STANDARDS)

Sections 4.E. and 4.F. of this rule constitute amendments to Sections 2.A.14, and 2.A.19 of MFS Rule Chapter 20 (Forest Regeneration and Clearcutting Standards) as adopted on April 28, 1999.

SECTION 3. SCOPE AND APPLICABILITY

A. SCOPE. This rule establishes timber harvesting standards for forest lands in Maine which are purchased or acquired after the effective date of this rule, and harvested and sold or offered for sale or otherwise conveyed within five years of acquisition.

Unless an exemption applies, it is a violation of this rule and of the statute if a landowner conducts timber harvesting on a parcel without complying with this rule and then sells, offers for sale, or otherwise conveys the parcel, or any portion thereof, within five years of its acquisition.

B. Applicability. Whenever provisions of this rule are less stringent than corresponding provisions of applicable federal, state, or municipal law or regulations, the more stringent provisions apply.

SECTION 4. DEFINITIONS

For the purpose of 12 M.R.S.A., Chapter 805, sub-chapter 3-A and this rule, the following terms are defined as follows. Unless otherwise provided herein, this rule incorporates by reference the definitions contained in MFS Rule Chapter 20 (Forest Regeneration and Clearcutting Standards).

A. Adequately Stocked Stand means for even aged stands a forest stand that contains C-line stocking as defined by the stocking guide relevant to particular species published by the USDA Forest Service. For uneven-aged management, “adequately stocked stand” means that the stocking level of acceptable growing stock trees must not be less than 60 square feet of basal area per acre.

B. Area Affected by a Harvest means the area where timber harvesting activities, including the cutting of trees, skidding, yarding, and associated road construction take place. The area affected by a harvest encompasses the area within the outer boundaries of these activities, excepting unharvested areas greater than 10 acres within the area affected by a harvest.

C. Certified Master Logger means a timber harvester certified under the Master Logger Certification Program, a program administered by the Professional Logging Contractors of Maine, a non-profit corporation of Maine, according to standards promulgated by that program dated April 1, 2003.

D. Certified Resource Manager means a licensed forester whose sustainable forest management of a client’s forest lands is verified by an independent 3rd party audit.

E. Forest Land means land primarily covered with trees, and where commercial timber harvesting is not precluded by legal requirement.

F. Forest Stand means a contiguous group of trees sufficiently uniform in age class, distribution, composition, and structure, and growing on a site of sufficiently uniform quality, to be a distinguishable unit.

G. High Grading means timber harvesting that removes the most commercially valuable trees and leaves a residual stand composed primarily of trees of poor quality, poor condition, unable to respond to release from competition, and/or non-commercial species.

H. Independent 3rd Party Certification means a system that verifies that forest management is consistent with a certification program’s standards through an independent 3rd party audit of the management of forest lands. To be considered an “independent 3rd party certification” system:

1. The certification program, including but not limited to the standards for awarding certification and the protocols for ascertaining compliance must be developed and administered by an entity with no financial interest in the entity seeking certification except by reason of the contract for certification services;

2. The organization retained to perform the certification audit must receive no financial benefit from timber harvesting on the land or by the entity being audited, except for the contractual relationship for the audit service.

I. Liquidation Harvesting means the purchase or other acquisition of forest land followed by a timber harvest that does not comply with Section 6 of this rule, and the subsequent sale, offer for sale, or other conveyance of the harvested land, or any portion of it, within 5 years.

J. Parcel means the contiguous area within one municipality, township, or plantation owned by one person or group of persons in common or joint ownership.

K. Rare natural community means a plant community rated as S1 or S2 by the Maine Natural Areas Program.

L. Responsible party means all of the following persons or entities, jointly and severally:

1. The landowner, or landowners, who owned the property at the time a timber harvest subject to this rule was conducted;

2. The landowner’s designated agent at the time a timber harvest subject to this rule was conducted;

3. The Licensed Forester and/or the employer of the Licensed Forester who:

a. Signed the harvest plan for a timber harvest subject to this rule; or

b. Supervised a timber harvest subject to this rule; or

c. Certified that a timber harvest subject to this rule was conducted in accordance with a timber harvest plan required by this rule.

4. The timber harvester who conducted a timber harvest subject to this rule.

M. Threatened or Endangered Species means plants and animal species listed as threatened or endangered by the U.S. Fish and Wildlife Service, the Maine Department of Inland Fisheries and Wildlife, or the Maine Natural Areas Program.

N. Timber Harvesting means the cutting or removing of timber for the primary purpose of selling or processing forest products.

O. Timber Harvest Plan means a site-specific document signed by a Licensed Forester outlining proposed timber harvesting activities that are consistent with the standards established in this rule.

P. Timberland has the same meaning as “forest land” in this rule.

SECTION 5. EXEMPTIONS

This chapter does not govern timber harvesting on forest lands that meet one or more of the following conditions:

A. Where the land is purchased before or held for at least 5 years following the effective date of these rules. Any land that is exempt from this rule remains exempt, notwithstanding the acquisition of contiguous land subject to this rule;

B. Where the timber harvesting is on land that has received independent 3rd-party certification.

C. Where the land is managed and the timber harvest is supervised by a Certified Resource Manager in accordance with the standards of the certification program;

D. Where the area affected by a harvest occupies 1,000 acres or less, and the harvest is conducted by a Certified Master Logger, and the Forest Operations Notification is signed by the Certified Master Logger. The Certified Master Logger involved shall be responsible for demonstrating to the satisfaction of the Maine Forest Service that the harvested area is 1,000 acres or less;

E. Where the landowner owns less than 100 acres of forest land statewide;

F. Where the landowner has obtained, prior to commencing timber harvesting, the necessary permit or permits from a federal, state, and/or local governmental entity to change the land use from forest land to a nonforest use (i.e., for development or agriculture). The area exempted shall be that area that is actually to be converted. A copy of the permit or permits must be submitted with the Forest Operations Notification. If the land use change is conversion to a subdivision, the exemption for each lot is limited to 5 acres or the lot size specified in the permit granted by the appropriate governmental entity, whichever is smaller;

G. Where the parcel contains less than 20 acres of forest land;

H. Where the parcel, or any portion thereof, is conveyed to another party due to inheritance, court order, transfer of deed in lieu of foreclosure, or bona fide gift without any consideration to a person related to the landowner by blood, marriage, or adoption. The exemption for a bona fide gift is conditioned upon the land not being further conveyed by the donee in a non-exempt transaction within 5 years from the date of the gift;

I. Where the parcel, or any portion thereof, is conveyed to a government entity exercising the power of eminent domain, or the transfer is under threat of the exercise of such authority;

J. Where the parcel, or any portion thereof, is conveyed as a result of partitioning lands held in common and undivided ownership, sales of common and undivided interests in such lands, and trading common and undivided interest in lands provided that in each case the recipient of the lands or interests in land is one of the owners of the property at the time when these rules become effective or at the time of initial purchase;

K. Where the parcel, or any portion thereof, is conveyed for bona fide roads and rights of way;

L. Where the forest products harvested or processed are for personal use by the landowner.

SECTION 6. HARVEST STANDARDS

Timber harvesting on a parcel of land, any portion of which is sold, offered for resale, or otherwise conveyed within five years of the date of purchase or acquisition of the parcel, and which is not exempted by Section 5 of this rule, must satisfy one of the following four conditions:

A. Option 1. Basal area removal limited.

Timber harvesting must not remove more than 50 percent of the basal area of trees 4.5” DBH and larger, present on the entire parcel at the time of purchase. Timber harvesting must not result in high grading and must include measures to protect advanced regeneration by minimizing the area damaged by logging equipment.

B. Option 2. Accredited Timber Harvesters and Licensed Foresters

1. Timber harvests where the area affected by the harvest occupies an area of 100 acres or less conducted by timber harvesters, and/or supervised by Licensed Foresters, either of whom have successfully completed training in a timber harvest planning, layout, and operations course accredited by the Bureau, and who have signed an attestation agreeing not to participate in liquidation harvesting. The accredited timber harvester and/or licensed forester involved shall be responsible for demonstrating to the satisfaction of the Maine Forest Service that the harvested area is 100 acres or less.

2. Accreditation by the Bureau will require periodic renewal and is contingent upon compliance with state laws and rules governing timber harvesting, including 12 M.R.S.A., Chapter 206-A; 12 M.R.S.A., Chapter 805; 38 M.R.S.A., Chapter 3; and 36 M.R.S.A., Chapter 105; agency rules implementing those chapters; and, municipal Shoreland Zoning Ordinances.

C. Option 3. Timber harvest plan developed prior to timber harvest.

1. Prior to a timber harvest subject to this rule, a site specific timber harvest plan must be prepared that contains the following elements:

a. Landowner’s name, address, and telephone number.

b. Designated agent’s name, address, and telephone number (if applicable).

c. Signature and license number of Licensed Forester preparing or approving the plan.

d. Forest Operations Notification number and the date it was filed.

e. Total parcel acreage;

f. A stand-specific narrative that includes:

i. A description of the pre-harvest stand, including information on approximate stand acreage, stocking, timber volumes, timber quality, potential for increases in future timber volume and value, an assessment of wind firmness and other stand characteristics relevant to the planned harvest;

ii. For harvests that will result in an adequately stocked stand, a silvicultural rationale for the harvest in each stand that explains how the harvest will maintain or improve stand productivity, grow stands to sawtimber size, improve timber quality, and specifically avoid high grading. The rationale must specify actions that will be taken to minimize damage to the residual stand, including without limitation minimizing the area occupied by skid trails and retaining adequate residual stocking to reduce the risk of blowdown. The rationale must include a description of the residual stand that will result from the harvest, including but not limited to species, stocking, tree condition, size classes, and other stand characteristics.

iii. For harvests that will result in an understocked stand, and for regeneration harvests, a silvicultural rationale that explains the reason justifying the harvest, which must include at least one of the reasons identified in Maine Forest Service Rule, Chapter 20, Forest Regeneration and Clearcutting Standards. The rationale for a harvest that will result in an understocked stand must specify actions that will be taken to retain adequate residual stocking to reduce the risk of blowdown and to minimize damage to the residual stand and advanced regeneration. These measures include, without limitation, minimizing the area occupied by skid trails, and/or creating conditions suitable for the prompt regeneration of the site to commercially valuable species. The rationale must include a description of the residual stand that will result from the harvest, including but not limited to species, stocking, tree condition, size classes, and other stand characteristics.

g. An assessment of the soil erosion potential of the harvest area; and specification of actions that will be taken to minimize rutting, the potential for soil erosion, and the deposition of sediment into water bodies. These actions should include without limitation planning the layout of skid trails and yards to minimize erosion, and the use of applicable Best Management Practices.

h. A description of how the proposed harvest will protect known occurrences of threatened or endangered species and rare or exemplary natural communities.

i. A description of how the proposed harvest will protect significant wildlife habitat and essential wildlife habitat; and water quality; wetlands; and riparian zones; if any, including the use of applicable Best Management Practices.

j. A stand-specific map prepared at a scale adequate to identify individual stands clearly, but no less than 1:15,840 (1 in. = 1,320 ft. or 20 chains) or larger. The map must identify wetlands, water bodies, and any known occurrences of threatened or endangered species, rare natural communities, and significant wildlife habitat and essential wildlife habitat, if present. The map must contain a legend, north arrow, landowner name, town, date of preparation, and the name of the preparer. The landowner must update the map to conform to conditions in the field.

2. The timber harvest plan must be implemented during the harvest.

3. A Licensed Forester must attest in writing within 60 days of completion of the harvest or expiration of the Forest Operations Notification, whichever is earlier, that the harvest has complied with the timber harvest plan. The attestation must include the Licensed Forester’s signature and license number.

4. The timber harvest plan and the attestation required in subsection 6.C.3 must be kept on file by the landowner and must be made available to the Bureau for at least seven years following the completion of the harvest or the expiration of the Forest Operations Notification, whichever is later.

D. Option 4. Unforeseen economic hardship.

If the landowner demonstrates to the satisfaction of the Bureau that unforeseen circumstances create an economic hardship and necessitate the sale of a parcel, the requirements of this rule do not apply, as set forth in a written decision by the Bureau. A landowner will only be allowed to use this option once and only for a single parcel in any five-year period.

SECTION 7. RESPONSIBILITY

All responsible parties may be jointly and severally responsible for compliance with this rule, and liable for violations of this rule.

SECTION 8. VARIANCE

A variance to the strict applications of these rules may be granted as specified in MFS Rule Chapter 20 (Forest Regeneration and Clearcutting Standards, Section 6).

SECTION 9. VIOLATIONS

Any responsible party involved in any activity in violation of this rule commits a civil violation, and shall be penalized in accordance with 12 M.R.S.A., Chapter 809, and other applicable law.

SECTION 10. EFFECTIVE DATE

The effective date of this rule is January 2, 2005.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. Chapter 805, sub-chapter 3-A; Public Laws 2003, Chapter 422.
• EFFECTIVE DATE: January 2, 2005 - filing 2004-313
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: The term “timberland” has the same meaning as “forest land” as defined in this rule.
• CORRECTIONS: A copy of this rule may be obtained from: Maine Forest Service, 22 State House Station, Augusta, ME 04333-0022, Ph: 207-287-2791, Internet: www.maineforestservice.org.
• CORRECTIONS: A current listing may be obtained by contacting the Maine Natural Areas Program, 93 State House Station, Augusta, ME 04333-0093.
• CORRECTIONS: Note: Landowners may request the Maine Forest Service to review their proposed timber harvesting activities to ensure compliance with this rule.
• DISCUSSION DRAFT: DOES NOT REPRESENT DEPARTMENT OR ADMINISTRATION POSITION
• DISCUSSION DRAFT: DaRules5
• DISCUSSION DRAFT: 01-669 - Maine Department of Agriculture, Conservation and Forestry – Maine Forest Service
• DISCUSSION DRAFT: Chapter 23 Rule –Timber Harvesting Standards to Substantially Eliminate Liquidation Harvesting page i
• DISCUSSION DRAFT: Maine Department of Conservation – Maine Forest Service
• DISCUSSION DRAFT: Chapter 23 Rule –Timber Harvesting Standards to Substantially Eliminate Liquidation Harvesting
• DISCUSSION DRAFT: 01-669 - Maine Department of Agriculture, Conservation and Forestry – Maine Forest Service
• DISCUSSION DRAFT: Chapter 23 Rule –Timber Harvesting Standards to Substantially Eliminate Liquidation Harvesting page 8
• DISCUSSION DRAFT: 01-669 - Maine Department of Agriculture, Conservation and Forestry – Maine Forest Service
• DISCUSSION DRAFT: Chapter 23 Rule –Timber Harvesting Standards to Substantially Eliminate Liquidation Harvesting page 1

Chapter 24 Boundary Paint Marking Standards

Code Me. R. 01-669 Ch. 24 Boundary Paint Marking Standards {#sec-01-669-ch.-24 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 24}

Summary: This rule establishes the procedures for lawfully posting property that access is prohibited without permission of the landowner or the landowner's agent by the use of paint markings. The rule establishes requirements for the color and type of paint that may be used to indicate that access to property is prohibited without permission of the landowner or the landowner’s agent.

Section 1. Scope and Applicability

This rule governs all lands within Maine, including those owned by state and local governmental units, nonprofit organizations, and private forest lands. It does not govern federal forest lands or tribal trust lands.

Section 2. Paint Color and Quality

Paint used to post property that access is prohibited without permission of the landowner or the landowner's agent must be:

1. of a quality sufficient for long term exterior exposure (including, but not limited to 100% exterior acrylic latex, alkyd oil based, acrylic lacquer, modified alkyd solvent based, or specially formulated boundary marking paint); and,

2. the color “OSHA Safety Purple,” or a close match thereto.

Paint markings must be maintained so as to be conspicuous at all times.

Section 3. Effective Date

The effective date of this rule shall be 09 April 2012.

History

• STATUTORY AUTHORITY: 17-A M.R.S., Part 2, c. 17 (§402, sub-§4, para. B-1)
• EFFECTIVE DATE: April 9, 2012 – filing 2012-78
• CORRECTIONS: February, 2014 – agency names, formatting

Chapter 25 Standards for Placing Wood into Stream Channels to Enhance Cold Water Fisheries Habitat

Code Me. R. 01-669 Ch. 25 Standards for Placing Wood into Stream Channels to Enhance Cold Water Fisheries Habitat {#sec-01-669-ch.-25 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 25}

Standards for Placing Wood into Stream Channels to Enhance Cold Water Fisheries Habitat

Effective Date: December 25, 2012

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

MAINE FOREST SERVICE

ADOPTED RULE

01 DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

669 BUREAU OF FORESTRY

Chapter 25: STANDARDS FOR PLACING WOOD INTO STREAM CHANNELS TO ENHANCE COLD WATER FISHERIES HABITAT

AUTHORITY. 12 M.R.S., §8867-C; Public Law 2011, chapter 599.

SUMMARY. This rule establishes standards for placing wood into stream channels under the supervision of a licensed forester for the purpose of enhancing cold water fisheries.

SECTION 1. PURPOSE

The purpose of this rule is to streamline the permitting process for implementing cold water fisheries habitat enhancement projects that involve adding wood to stream channels. Projects implemented under the supervision of Maine licensed foresters, who have been trained by the Bureau of Forestry in cooperation with the Department of Inland Fisheries and Wildlife (DIFW) in these techniques, and take place in stream reaches designated by DIFW or Department of Marine Resources (DMR) biologists as needing treatment, do not require a state permit or fee if consistent with a treatment plan developed by a DIWF or DMR fisheries biologist or their designee. The intent of the plan is to provide additional guidance to the forester implementing the treatment; the plan must be mutually agreed upon by the DIFW or DMR and the landowner or their agent. The treatment detailed in the plan must be consistent with standards in this rule.

SECTION 2. SCOPE AND APPLICABILITY

A. SCOPE. This rule establishes standards for adding wood to a river, stream or brook channel as defined in 38 MRSA §480-B(9). It does not govern federal lands.

B. Applicability. This rule applies to treatments where only wood will be placed below the bankfull elevation of the stream and that rely on the size of the wood for stability. Treatments that artificially anchor or cable wood, add boulders, or place fill material below the high water line or otherwise exceed or deviate from these standards, are not covered by this rule and require permitting.

SECTION 3. DEFINITIONS

For the purpose this rule, the following terms are defined as follows.

Atlantic salmon Areas: From the Androscoggin River northward along the Maine coast to the Dennys River, and wherever these fish occur in the estuarine and marine environment. The following impassable falls delimit the upstream extent of the freshwater range: Rumford Falls in the town of Rumford on the Androscoggin River; Snow Falls in the town of West Paris on the Little Androscoggin River; Grand Falls in Township 3 Range 4 BKP WKR, on the Dead River in the Kennebec Basin; the un-named falls (impounded by Indian Pond Dam) immediately above the Kennebec River Gorge in the town of Indian Stream Township on the Kennebec River; Big Niagara Falls on Nesowadnehunk Stream in Township 3 Range 10 WELS in the Penobscot Basin; Grand Pitch on Webster Brook in Trout Brook Township in the Penobscot Basin; and Grand Falls on the Passadumkeag River in Grand Falls Township in the Penobscot Basin.

Bankfull Elevation: The elevation of the stream banks at bankfull width.

Bankfull Width: Bankfull width is the width of the stream at the "Normal high water line" as defined in 38 MRSA §480-B.(6) to mean “that line along the shore of a great pond, river, stream, brook or other nontidal body of water which is apparent from visible markings, changes in the character of soils due to prolonged action of the water or from changes in vegetation and which distinguishes between predominantly aquatic and predominantly terrestrial land…”

Biologist: A fisheries biologist employed by the Maine Department of Inland Fisheries and Wildlife or Maine Department of Marine Resources, or other qualified person identified by those departments, who has attended a training in wood addition techniques including an introduction to timber harvesting techniques and forestry regulation.

Designated Reach: A section of stream that has been identified by DIFW or DMR as suitable for wood addition treatment and where a DIFW or DMR biologist or their designee has developed a treatment plan that has been mutually agreed upon by DMR or DIFW, and the landowner or their agent. The treatment detailed in the plan must be consistent with the standards in this rule.

Dispersal Flow: Stream flow forced around a piece of large wood and into the stream banks leading to bank erosion.

Key Piece: A piece of wood that will form the basis of a log jam structure and is of sufficient size to resist movement by bankfull flows.

Licensed Forester: Licensed forester means a forester licensed under 32 MRSA, chapter 76.

Meander: A meander is one of a series of freely developing sinuous curves or loops produced as the stream moves from side to side of its floodplain.

Meander bend: A meander bend is the convex side of a meander.

Stream channel: Stream channelmeans a channel between defined banks created by the action of surface water, which is characterized by the lack of terrestrial vegetation or by the presence of a bed, devoid of topsoil, containing waterborne deposits or exposed soil parent material or bedrock; and which is connected hydrologically with other water bodies. “Stream channel” does not include rills or gullies forming because of accelerated erosion in disturbed soils where the natural vegetative cover has been removed by human activity.

Wood: Wood refers to the stems and branches of trees either fully severed or partially attached to the stump. Wood may include uprooted trees if the root wad or disturbed soil is not in a position such that it will end up below the normal high water line. Wood does not include processed wood such as slabs, edgings, lumber or timbers, or logging debris including slash and material left from temporary stream crossings such as pole or brush fords, or other forest product refuse prohibited by 38 MRSA §417 (1).

Wood Diameter: Wood diameter is the average diameter of the stem measured at the large end.

SECTION 4. TRAINING REQUIRED

Before a licensed forester can oversee the implementation of a wood addition project, they must have completed training in wood addition techniques approved by the Bureau of Forestry and the Department of Inland Fisheries and Wildlife. The Bureau of Forestry will maintain a list of foresters who have satisfactorily completed this training.

SECTION 5. DESIGINATED STREAM REACHES

Designating Reaches

Wood addition treatments completed under this rule may only take place in designated reaches. To be considered a designated reach, a DIFW or DMR biologist must have identified the stream reach as lacking desirable habitat features and as being suitable for wood addition treatment. Once designated, reaches remain designated for 4 years. If treatment is not undertaken in 4 years, the biologist must renew the designation before treatment can occur.

Plan Requirement

To be considered a designated reach a treatment plan must have been prepared by a DIFW or DMR biologist or their designee for that reach. The treatment detailed in the plan must be consistent with the standards in this rule. The plan must be mutually agreed upon and signed by the DIFW or DMR and the landowner or their agent and is intended to aid the forester implementing the treatment. The plan will include the beginning and ending coordinates of the treatment area, the number of pieces of wood to add and the average stream width. The biologist may also mark trees to be felled, but this is not required. The treatment detailed in the plan must be consistent with the standards in this rule.

List of designated reaches

The MFS will maintain a list of designated reaches.

SECTION 6. WOOD PLACEMENT STANDARDS

A. Key Pieces

Species

Decay resistant species, such as hemlock, tamarack, spruce, and cedar are preferred as the key pieces of wood.

2. Diameter

The minimum diameter required for a key piece of wood depends on the bankfull width of the stream and shall meet or exceed the requirements in Table 1.

Bankfull Width

Feet

Minimum Diameter

Inches

0 to 10

10

10 to 20

16

20 to 32

18

Over 32

22

Source: Oregon - Guide to Placement of Wood, Boulders and Gravel for Habitat Restoration

Table 1. Bankfull widths and minimum diameter of logs to be considered key pieces.

3. Length

To be considered a key piece, a tree must be at least 1.5 times the bankfull width if the root wad is attached or 2.0 times the bankfull width if severed from the root wad. Key pieces may be shorter if they can be effectively secured against movement by bracing against or between standing trees, boulders or other naturally occurring stable objects (See Figure 3).

At least two key pieces must be used at each structure. Limbs and branches must be retained on key pieces to the extent possible.

B. Wood Loading Rate

Smaller pieces of wood should be placed in stream sections between the key pieces. The total number of pieces of wood per mile of treated stream reach shall not exceed 230. This number includes both existing pieces and pieces added during the wood addition treatment. 40-60% of these must be between 6” and 12” in diameter. The remainder must be greater than 12” in diameter.

C. Wood Orientation and Placement

Dispersal flow must be minimized either by placing the large wood relative to the bankfull elevation so flow passes either over or under the wood (Figures 1 (A) and (C)) or by reinforcing the bankfull sides by felling smaller trees (less than 6 inches in diameter) before the large woodis felled to protect banks from excessive erosion (Figure 2).

Figure 1. Types of flows that can be created when large wood is felled across the stream. The type of flow created by the large wood will be dependent on where the large wood is felled related to the bankfull width. If only the bottom of the large wood is within bankfull, flow will be forced under the log as shown in A. If the large wood is directly within bankfull, flow will be forced away from the large wood as shown in B. If the large wood is in or just above the summer average wetted channel bankfull flows will flow over the large wood as shown in C.

Bankfull elevation

Bankfull elevation

Bankfull elevation

Figure 2. A) adding smaller wood on each side of the stream to concentrate flow over or under the large wood and protect banks from dispersal flow. B) over time a pool will likely form with the material moving down stream to form a pool tail/riffle habitat complex. Note this type of treatment is specifically for a stream identified by DIFW or DMR as having an over widened channel.

Wood movement is acceptable, but wood must be placed so that stable structures will eventually be formed around key pieces. Figures 3 and 4 provide examples of wood placement to form these structures. The weight of the log on the bank increases the stability and reduces downstream movement. Equipment can manipulate the logs to increase their stability by placing the wood between 2 standing trees that will lock the log in place by creating a pivot and stop point (Figure 3 panel A). In addition, one log can be placed on top of another so the weight of the top tree can pin the second tree (Figure 3 panel B). Complex structures with multiple logs with interlocking pieces of wood provide better habitat and mimic wood accumulation over time. Figure 4 provides some ideas on the configuration of the key pieces of wood in a restoration structure.

Figure 3. Panel A is single log placed between two standing trees to create a pivot and lock point. Panel B is an X pattern where the weight of the top log pins the bottom log to reduce the movement. Not shown is coarse wood (CW) or limbs that will create better habitat.

FLOW

FLOW

A

B

Figure 4. Showing typical plan view wood configurations and alphabet codes for use in describing them.

Large wood may be positioned in the stream in various configurations. The examples to the left are some patterns that can be used.

For stability, 2 of the logs must be twice as long as the bankfull channel width (1.5X if the root wad is attached) and meet the tree diameter criteria in the guidelines. Key pieces may be shorter if they can be effectively secured against movement by bracing against or between standing trees, boulders or other naturally occurring stable objects (See Figure 3).

The large wood can be placed between standing trees to increase the stability by preventing the logs from rotating down stream.

To increase hiding areas for juvenile fish, it is recommended that the limbs be in contact with the summer flow channel. Coarse wood can be added to the structure if the tree does not have limbs.

Simple patterns can be combined to form complex structures of 3-7 logs.

W

Z

Inverted

V

N

K

X

A

FLOW

XX

VX

D. Residual Stand Condition

Trees felled for a wood addition treatment “count” toward the allowable removal under the requirements of 38 MRSA, §438-D (shoreland zoning) or 12 MRSA, §8867-B (statewide standards for timber harvesting in shoreland areas), as applicable.

E. Soil Disturbance

Reasonable measures must be taken to avoid the occurrence of sediment entering the stream channel and the disturbance of stream banks. If, despite such precautions, disturbance occurs which could result in continuing sedimentation, these conditions must be immediately corrected with hay bales, siltation fence, water bars or other appropriate measures.

F. Downstream Infrastructure

Wood must not be placed where downstream infrastructure could be put at risk by wood movement. A minimum of 2 meander bends must be present between the end of the treatment area and any downstream road crossing.

SECTION 7. NOTIFICATION

Prior to implementing a wood addition project a licensed forester must submit a Forest Operations Notification form to the Bureau of Forestry. This submission must:

Have the appropriate box checked indicating that an in-stream wood addition project will be taking place.

Include a map showing the location of the treatment area. The map shall have sufficient detail for a person unfamiliar with the site to locate the treatment area.

Include a copy of the treatment plan previously prepared and signed by IFW, DMR or their designee and the landowner or their agent, for the designated stream reach. DMR must sign the form if the reach is in an Atlantic salmon area.

The Bureau of Forestry will provide copies of the Forest Operations Notification form, map and treatment plan to DIFW and DMR if the project is in an Atlantic salmon Area.

SECTION 8. RESPONSIBILITY

The licensed forester overseeing the wood addition treatment is responsible for complying with the standards in this rule.

SECTION 9. VIOLATIONS

Any person, including but not limited to a landowner, a landowner's agent or a contractor, who orders, contracts for, or conducts any activity in violation of this rule commits a civil violation, and is subject to the penalties located in12 MRSA, chapter 809.

SECTION 10. EFFECTIVE DATE

The effective date of this rule is December 25, 2012.

History

• STATUTORY AUTHORITY. 12 M.R.S., §8867-C; Public Law 2011, chapter 599.
• EFFECTIVE DATE: December 25, 2012 - filing 2012-350
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: July 18, 2018 – inserted missing word “submit” to Section 7(A), first paragraph
• APAO ACCESSIBILITY CHECK: November 12, 2025 (no issues detected following agency action)

Chapter 26 Forest Operations Notification Standards

Code Me. R. 01-669 Ch. 26 Forest Operations Notification Standards {#sec-01-669-ch.-26 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 26}

Forest Operations Notification Standards

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION, AND FORESTRY

BUREAU OF FORESTRY

EFFECTIVE DATE: May 1, 2014

SECTION 1. SCOPE & APPLICABILITY …………………… pg. 1

A. Scope pg. 1

B. Applicability pg. 1

SECTION 2. DEFINITIONS pg. 1

SECTION 3. NOTIFICATION PROCESS FOR LANDOWNERS INTENDING TO CONDUCT TIMBER HARVESTING ACTIVITIES.pg. 4

A. Notification Form and Process pg. 4

B. Notification Requirements for Category 3 Clearcuts .pg. 4

(Clearcuts Larger than 75 Acres)

C. Notification Requirements for Persons Certified in Erosion Control Practices by the Department of Environmental Protection .pg. 5

D. Notification Requirements for Landowners Intending to Conduct Timber Harvesting and Related Activities and/or to Construct Land Management Roads and/or Gravel Pits for Road Construction in Protection Subdistricts Designated by the Land Use Planning Commission .pg. 6

E. Notification Requirements for Landowners Intending to Place Wood in Streams to Enhance Cold-Water Fishery Habitat .pg. 6

F. Exemption From Notification Requirement .pg. 6

G. Completed Notification .pg. 7

H. Landowner/Agent Requirements After Notification is Acknowledged .pg. 7

SECTION 4. EFFECTIVE DATE pg. 7

01 DEPARTMENT OF AGRICULTURE, CONSERVATION, AND FORESTRY

669 BUREAU OF FORESTRY

Chapter 26: FOREST OPERATIONS NOTIFICATION STANDARDS

AUTHORITY: 12 M.R.S. §8883-B

Summary: This rule establishes the procedures for notifying the Department of Agriculture, Conservation, and Forestry, Bureau of Forestry, of proposed commercial timber harvesting activities. In general, landowners are required to notify the Bureau of Forestry, in writing, before timber is cut or removed, when the primary purpose of the harvest is to sell or use the timber as forest products.

Section 1. Scope and Applicability

A. Scope. This rule governs all forest lands within Maine, including those owned by state and local governmental units, nonprofit organizations, and private forest lands. It does not govern federal forest lands.

B. Applicability

1. Unless specifically exempted in these rules, this rule applies to any timber harvesting when the primary purpose is to sell the timber or the timber is processed into forest products for sale.

2. All timber harvesting activities must comply with other applicable laws, rules, and standards, including but not limited to: the Natural Resource Protection Ac t [38 M.R.S. §480 A to 480 Z], the Shoreland Zoning Act [38 M.R.S. §435 to 449], and Maine Land Use Planning Commission Law [12 M.R.S. §681 et seq .] and Standards , Chapter 10.

SECTION 2. DEFINITIONS

A. For the purpose of 12 M.R.S., Chapter 805, sub-chapter 5 and for these rules, the following terms have the following meanings unless the context otherwise requires:

1. Change Of Land Use means that following timber harvesting the subsequent use for a particular area does not include growing forest products. Change of land use may include, but is not limited to, conversion to farm pasture, site for growing agricultural crops, residential dwelling unit, development site, or gravel pit. The division of forest land into smaller units does not by itself automatically constitute a change of land use.

2. Development Site means the ground area where any significant earth moving, grading, dredging, filling, building, construction, mining operation, or deposition of refuse, solid or liquid waste other than agricultural waste will occur. It does not include forest land areas where bioash or sludge are spread as a soil additive or fertilizer.

3. Designated Agent means a person, company or other entity that is authorized by the landowner to act on the landowner's behalf for timber harvesting and related activities on the landowner's property.

4. Director means the Director of the Bureau of Forestry.

5. Forest Land means land primarily covered with trees, and where commercial timber harvesting is not precluded by legal requirement.

6. Forest Management Activities include cruising and other forest resource evaluation activities, pesticide or fertilizer application, timber stand improvement, pruning, timber harvesting and other forest harvesting, regeneration of forest stands, and other similar or associated activities, but not the construction, creation, or maintenance of land management roads.

7. Forest Management Plan: See “Harvest Plan.”

8. Forest Products means logs, pulpwood, veneer, boltwood, wood chips, stud wood, poles, pilings, biomass fuel wood, fuel wood or other products commonly known as forest products. It does not include Christmas trees, maple syrup, nursery products used for ornamental purposes, wreaths, bough material, cones or other seed crops.

9. Harvester means a person, company, or other entity who harvests, or contracts to harvest, a forest product.

10. Harvest Plan means a site specific document signed by a Licensed Forester outlining proposed activities to ensure compliance with performance standards and regeneration requirements of 12 M.R.S. c. 805, sub-c. 3-A and this rule.

11. Landing: See "Yard.”

12. Landowner means a person, company, or other entity which holds title to land, including joint ownership or tenants in common. Where the ownership of the timber located on a parcel is different than the fee ownership of the land, the owners of the timber are deemed to be a landowner and are jointly and severally responsible with the fee landowner to comply with this rule. Where a corporate landowner is a wholly owned subsidiary of another corporation, both parent and subsidiary are deemed to be the same landowner.

13. Land Management Road means a route or track consisting of a bed of exposed mineral soil, gravel, or other surfacing materials constructed for, or created by, the passage of motorized vehicles and used primarily for forest management activities, including associated log yards, but not including skid trails or skid roads.

14. Licensed Forester means a forester licensed under 32 M.R.S. c. 76.

15. Management Plan: see “Harvest Plan.”

16. Parcel means a contiguous tract or plot of forest land owned by a landowner. Multiple contiguous tracts, plots or parcels of forest land owned by the same landowner are considered a single parcel. Contiguous tracts completely separated by a public road or roadway are considered to be separate parcels under these rules. Tracts of land joined only at a single point are not contiguous.

17. Public Road or Roadway means any roadway that is owned or leased by a governmental unit or public entity.

18. Timber harvesting means the cutting or removing of timber for the primary purpose of selling or processing forest products.

19. Timber harvesting activities means timber harvesting, the construction and maintenance of roads used primarily for timber harvesting, the mining of gravel used for the construction and maintenance of roads used primarily for timber harvesting and other activities conducted to facilitate timber harvesting.

20. Yard, Log Yard, Landing means the area where forest products are hauled by forwarding machinery or animals for deposition or storage before transfer to trucks or other means of conveyance.

SECTION 3. NOTIFICATION PROCESS FOR LANDOWNERS INTENDING TO CONDUCT TIMBER HARVESTING ACTIVITIES

A. Notification Form and Process: Prior to conducting timber harvesting activities, a landowner or designated agent must notify the Bureau in writing. The landowner or designated agent must submit a "Forest Operations Notification" on a form specified by the Bureau.

1. Signature required: All parties named by a landowner or designated agent on a notification (landowner, designated agent, forester, and harvester) must sign the notification. A notification submitted without one or more signatures of named parties will be considered incomplete.

Exception: A landowner with a licensed forester in its employ is exempt from the requirement for landowner signature, provided the landowner maintains with the Bureau a list of licensed foresters authorized to sign for the landowner.

2. Designated Agent requirement: Unless exempted under Sec. 3. A.1, a notification that names a designated agent must include a clause, signed by the designated agent and landowner, stating that the designated agent has the authority to act on behalf of the landowner to harvest forest products on the landowner’s property.

B. Notification Requirement for Category 3 Clearcuts (Clearcuts Larger than 75 Acres)

1. Prior to conducting a timber harvest that creates a Category 3 clearcut (larger than 75 acres), the landowner or designated agent must submit to the Bureau a Forest Operations Notification at least 60 days prior to commencing the timber harvest.

2. Every notification for a timber harvest that results in a Category 3 clearcut must also include a harvest plan. The harvest plan must include the information specified in MFS Chapter 20 Rule, Forest Regeneration and Clearcutting Standards.

3. The Bureau will review each notification and harvest plan submitted under this provision for completeness. Either shall be deemed incomplete if the Bureau finds that the required information is missing, inadequate, or inaccurate.

4. A Bureau Forester and the landowner or the landowner’s representative must have a meeting at the proposed harvest site to review the harvest plan. This meeting must take place during normal working hours and within the 60 day notification period, unless extended by agreement of the parties.

5. Following this meeting, a Bureau Forester will have 10 working days to make a written determination whether the notification and harvest plan comply with requirements of this rule. If a Bureau Forester finds that the harvest plan does not comply, the Bureau Forester shall identify in writing any inadequacies in the harvest plan or notification and/or, as appropriate, request more information.

6. A landowner must provide the information requested or address any inadequacies and receive written confirmation from the Bureau that the notification and harvest plan are in compliance prior to commencing the harvest.

C. Notification Requirements for Persons Certified in Erosion Control Practices by the Department of Environmental Protection

1. This subsection applies only to persons certified in erosion control practices by the Department of Environmental Protection pursuant to 38 M.R.S. §439-B.

2. Notifications filed by such persons are valid:

a. for individual harvests covering a footprint of 10 acres or less; and,

b. solely for a change of land use; and,

c. only if the person filing the notification is responsible for management of erosion and sedimentation control at the harvest site.

3. Notifications filed pursuant to this subsection may be used in multiple municipalities provided that the person filing the notification maintains a separate record of:

a. each landowner’s name;

b. the name of the municipality;

c. the acreage harvested; and,

d. the volume harvested.

This information must be filed annually with the Bureau as required by 12 M.R.S. §8885.

D. Notification Requirements for Landowners Intending to Conduct Timber Harvesting and Related Activities and/or To Construct Land Management Roads and/or Gravel Pits for Road Construction in Protection Subdistricts Designated by the Land Use Planning Commission

1. Landowners intending to conduct timber harvesting and related activities and/or to construct land management roads and/or gravel pits for road construction in protection subdistricts designated by the Land Use Planning Commission must provide additional information on the Forest Operations Notification form as supplied by the Bureau.

E. Notification Requirements for Landowners Intending to Place Wood in Streams to Enhance Cold-Water Fishery Habitat

1. Prior to implementing a wood addition project, a licensed forester must submit a Forest Operations Notification form to the Bureau. This submission must:

a. Have the appropriate box checked indicating that an in-stream wood addition project will be taking place;

b. Include a map showing the location of the treatment area. The map shall have sufficient detail for a person unfamiliar with the site to locate the treatment area; and,

c. Include a copy of the treatment plan previously prepared and signed by the Department of Inland Fisheries and Wildlife, Department of Marine Resources, or their designee and the landowner or their agent, for the designated stream reach. The Department of Marine Resources must sign the form if the reach is in an Atlantic salmon area.

2. The Bureau will provide copies of the Forest Operations Notification form, map and treatment plan to the Department of Inland Fisheries and Wildlife and the Department of Marine Resources if the project is in an Atlantic salmon Area.

F. Exception from Notification Requirement. The following types of timber harvests are exempt from the notification requirements of this rule, even if the forest products harvested are sold commercially:

1. Removal of single trees or small groups of trees from residential yards, roadsides, and similar urban or suburban settings where the tree removal occurs on an area two acres in size or less, and is conducted for the purposes of hazard tree removal, right of way and driveway clearance, and lot clearance for the construction of residential dwelling units. This exemption applies only to land on which a person resides, or for lot clearing operations for a landowner who possesses a building permit, or where such lot clearance does not exceed the necessary construction footprint.

2. Timber harvests where the forest products harvested or processed are for personal use by the landowner.

G. Completed Notification: The Bureau will acknowledge receipt of a completed notification by returning a copy of the notification in a format suitable for posting.

H. Landowner/Agent Requirements after Notification is Acknowledged: The landowner or designated agent is responsible for complying with the following notification standards:

1. The returned notification, a copy of the original notification, or the notification number shall be posted and maintained in a conspicuous location at or near the principal landing or yard associated with the timber harvest.

2. Where a parcel is accessed by a private road system, a single notification may be posted in a conspicuous location at the parcel boundary on the principal access road leading into the parcel.

3. Notifications shall remain posted at the timber harvest site until the harvest is completed, at which time the notification may be removed.

4. The Bureau will provide replacement forms upon written request stating the need and reason for needing a replacement.

SECTION 4. EFFECTIVE DATE

A. Effective Date: The effective date of these rules shall be May 1, 2014.

Timber harvests for which notification has been filed and timber harvesting has begun prior to the effective date are not subject to these rules, but are subject to the rules then in effect.

History

• STATUTORY AUTHORITY: 12 M.R.S. c. 805, sub-c. 5
• EFFECTIVE DATE: May 1, 2014 - filing 2014-043
• ACCESSIBILITY CHECK: July 14, 2025

Chapter 27 Standards for Timber Harvesting and Timber Harvesting-related Activities within Unorganized and Deorganized Areas of the State

Code Me. R. 01-669 Ch. 27 Standards for Timber Harvesting and Timber Harvesting-related Activities within Unorganized and Deorganized Areas of the State {#sec-01-669-ch.-27 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 27}

MFS Rules

Standards for Timber Harvesting and Timber Harvesting Related Activities within Unorganized and Deorganized Areas of the State

March 3, 2013

01-669

MAINE DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

BUREAU OF FORESTRY

04 DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

058 BUREAU OF FORESTRY

Chapter27: STANDARDS FOR TIMBER HARVESTING ACTIVITIES WITHIN UNORGANIZED AND DEORGANIZED AREAS OF THE STATE

Summary: This rule establishes the procedures for notifying the Department of Agriculture, Conservation and Forestry, Bureau of Forestry, of proposed timber harvesting activities and sets the standards for regulating those activities. The rule applies to all land within the unorganized and deorganized areas of the state classified by the Land Use Planning Commission as protection districts or management districts pursuant to 12 M.R.S. §685-A(1).

Section 1. Scope and Applicability

This rule applies to timber harvesting activities, the construction and maintenance of land management roads, water crossings on/for land management roads, and to gravel pits less than five acres in size in order to protect public resources, maintain safe and healthful conditions, prevent and control water pollution, and protect fish and wildlife habitat. This rule governs only lands within the unorganized and deorganized areas of the State of Maine that have been classified by the Commission as protection or management subdistricts pursuant to 12 M.R.S. §685-A(1), including those owned by state and local governmental units, nonprofit organizations, and private forest owners. It does not govern federal forest lands or tribal trust lands. Chapter 10 Sub-chapter II of the Commission’s Rules and Standards describes these subdistricts and identifies the specific activities that are allowed within each one. Landowners and applicants should first identify within which subdistricts their proposed activity is located by referring to a Land Use Guidance Map of the appropriate town, plantation or township. These maps may be obtained from any of the Commission’s offices.

For land within a P-RP Subdistrict, sub-areas identified in the resource or concept plan as development areas will be regulated (in regards to timber harvesting, land management roads, water crossings on/for land management roads, and gravel extraction) by the Land Use Planning Commission as Development Subdistricts. Areas not so identified will be regulated by the Maine Forest Service according to the underlying protection and/or management subdistrict. Specific standards incorporated into the resource or concept plans will continue to apply until the expiration or revision of the related plan.

Section 2. Definitions

For the purposes of 12 M.R.S., Chapter 805, sub-chapter 3-A, and for these rules, the following terms have the following meanings unless the context otherwise requires. Unless otherwise provided herein, this rule incorporates by reference the definitions contained in MFS Rule Chapter 20 (Forest Regeneration and Clearcutting Standards).

A. Agricultural Management Activities mean land clearing if the land topography is not altered, tilling, fertilizing, including spreading and disposal of manure, liming, planting, pesticide application, harvesting or cultivating crops, pasturing of livestock, minor drainage and maintenance of drainage, and other similar or related activities, but not the construction, creation or maintenance of land management roads, nor the land application of septage, sludge and other residuals and related storage and composting activities.

B. Areas of Special Flood Hazard means lands in the floodplain having a one percent or greater chance of flooding in any given year, as specifically identified in a Flood Insurance Study, where available, and/or as determined on the Flood Insurance Rate Map (FIRM), Flood Hazard Boundary Map (FHBM), or the Commission’s Land Use Guidance Map.

C. Base Flood means a flood having a one percent chance of being equaled or exceeded in any given year, commonly called the 100-year flood.

D. Bureau means the Maine Bureau of Forestry, Department of Agriculture, Conservation and Forestry, otherwise known as the Maine Forest Service.

E. Commission means the Maine Land Use Planning Commission.

F. Critically Imperiled Natural Community (S1) means an assemblage of plants, animals and their common environment that is extremely rare in Maine(five or fewer occurrences or very few remaining acres) or vulnerable to extirpation from the state due to some aspect of its biology. An example of an S1 community that occurs in freshwater wetlands is the Outwash Plain Pondshore community.

G. Cross-sectional area of a stream channel is determined by multiplying the stream channel width by the average stream channel depth. The stream channel width is the straight line distance from the normal high water line on one side of the channel to the normal high water line on the opposite side of the channel. The average stream channel depth is the average of the vertical distances from a straight line between the normal high water lines of the stream channel to the bottom of the channel.

H. Development means any land use activity or activities directed toward using, reusing or rehabilitating air space, land, water or other natural resources, excluding, however, such specific uses or classes and categories of uses which by the terms of this chapter do not require a permit.

I. Flood or Flooding means:

1. A general and temporary condition of partial or complete inundation of normally dry land areas from:

a. The overflow of inland or tidal waters.

b. The unusual and rapid accumulation or runoff of surface waters from any source.

2. The collapse or subsidence of land along the shore of a lake or other body of water as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels or suddenly caused by an unusually high water level in a natural body of water, accompanied by a severe storm, or by an unanticipated force of nature, such as a flash flood or an abnormal tidal surge, or by some similarly unusual and unforeseeable event which results in flooding.

J. Flood Boundary and Floodway Map (FBFM) means an official map of a township, plantation or town, issued by the Federal Insurance Administrator, where the boundaries of the base flood and floodway have been designated.

K. Flood Elevation Study means an examination, evaluation and determination of flood hazards and, if appropriate, corresponding water surface elevations.

L. Flood Hazard Boundary Map (FHBM) means an official map of a township, plantation or town, issued by the Federal Insurance Administrator, where the boundaries of the base flood have been designated.

M. Flood Insurance Rate Map (FIRM) means an official map of a township, plantation or town, on which the Federal Insurance Administrator has delineated both the special hazard areas and the risk premium zones applicable to the community.

N. Flood Insurance Study (FIS): See Flood Elevation Study.

O. Floodplain or Flood Prone Area means any land susceptible to being inundated by water from any source (see Flood or Flooding).

P. Forest Management Activities include timber cruising and other forest resource evaluation activities, pesticide or fertilizer application, timber stand improvement, pruning, timber harvesting and other forest harvesting, regeneration of forest stands, and other similar or associated activities, but not the construction, creation, or maintenance of land management roads.

Q. Forest Products mean logs, pulpwood, veneer, boltwood, wood chips, stud wood, poles, pilings, biomass fuel wood, fuel wood or other products commonly know as forest products. It does not include Christmas trees, maple syrup, and nursery products used for ornamental purposes, wreaths, bough material, cones or other seed crops.

R. Gravel Extraction means any extraction of a deposit of sand, fill or gravel pit less than five acres in size.

S. Gravel Pit means a mining operation less than five acres in size undertaken primarily to extract and remove sand, fill or gravel.

T. Imperiled Natural Community (S2) means an assemblage of plants, animals and their common environment that is rare in Maine (6-20 occurrences or few remaining acres) or vulnerable to further decline. Examples of S2 communities that occur in freshwater wetlands are Atlantic White Cedar Swamp, Alpine Bog-Meadow, Circumneutral Fen, Maritime Slope Bog, and Coastal Plain Pocket Swamp.

U. Land Management Road means a road consisting of a bed of exposed soil or gravel constructed and used primarily for agricultural or forest management activities, but not including skid trails, skid roads, and winter haul roads.

V. National Geodetic Vertical Datum (NGVD)

The national vertical datum, whose standard was established in 1929, which is used by the National Flood Insurance Program (NFIP). NGVD was based upon mean sea level in 1929 and also has been called “1929 Mean Sea Level (MSL).”

W. Normal High Water Line means that line which is apparent from visible markings, changes in the character of soils due to prolonged action of the water or changes in vegetation, and which distinguishes between predominantly aquatic and predominantly terrestrial land. In the case of nonforested freshwater wetlands adjacent to streams and other water bodies, the normal high water line is the upland edge of the freshwater wetland, not the edge of the open water.

X. Normal High Water Line of Tidal Waters means that line on the shore of tidal waters reached by the shoreward limit of the rise of the medium tides between the spring and the neap, commonly referred to as the mean high water level. This line may be identified where appropriate by discerning the debris line left by tidal action.

Y. North American Vertical Datum (NAVD) means the national datum, established in 1988, which is the new vertical datum used by the National Flood Insurance Program (NFIP) for all new Flood Insurance Rate Maps.

Z. Regulatory Floodway means the channel of a river or other flowing water and the adjacent land areas that must be reserved in order to discharge the base flood without cumulatively increasing the water surface elevation more than one foot. When not designated on the township’s, plantation’s, or town’s Flood Insurance Rate Map, Flood Boundary and Floodway Map, or Flood Hazard Boundary Map, it is considered to be the channel of a river or other flowing water and the adjacent land areas to a distance of one-half the width of the floodplain, as measured from the normal high water mark to the upland limit of the floodplain.

AA. Responsible party means all of the following persons or entities, jointly and severally:

1. The landowner, or landowners, who owned the property at the time a timber harvest subject to this rule was conducted;

2. The landowner’s designated agent at the time a timber harvest subject to this rule was conducted;

3. The Licensed Forester and/or the employer of the Licensed Forester who:

a. Signed the harvest plan for a timber harvest subject to this rule; or

b. Supervised a timber harvest subject to this rule; or

c. Certified that a timber harvest subject to this rule was conducted in accordance with a timber harvest plan required by this rule.

4. The timber harvester who conducted a timber harvest subject to this rule.

BB. Skid Road or Skid Trail means a route repeatedly used by forwarding machinery or animal to haul or drag forest products from the stump to the yard or landing, the construction of which requires minimal excavation.

CC. Stream channel means a channel between defined banks created by the action of surface water, which is characterized by the lack of terrestrial vegetation or by the presence of a bed, devoid of topsoil, containing waterborne deposits or exposed soil parent material or bedrock; and which is connected hydrologically with other water bodies. “Stream channel” does not include rills or gullies forming because of accelerated erosion in disturbed soils where the natural vegetative cover has been removed by human activity.

DD. Timber Harvesting means the cutting or removal of timber for the primary purpose of selling or processing forest products.

EE. Timber Harvesting and Related Activities means timber harvesting, the construction and maintenance of land management roads, the mining of gravel less than five acres, water crossings on/for land management roads, and other activities conducted to facilitate timber harvesting.

FF. Unorganized and Deorganized Areas means “Unorganized and deorganized areas includes all unorganized and deorganized townships, plantations that have not received Commission approval under section 685-A, subsection 4 to implement their own land use controls, municipalities that have organized since 1971 but have not received Commission approval under section 685-A, subsection 4 to implement their own land use controls and all other areas of the State that are not part of an organized municipality except Indian reservations.” 12 M.R.S.A. §682.

GG. Vegetative Clearing means cutting, mowing, trimming, damaging, killing, or removing plants from a site.

HH. Violation means the failure of an activity to be fully compliant with all applicable provisions of this rule.

II. Water Crossing means any timber harvesting and related activity involving the passage of ground-based equipment from one side to the opposite side of a water body, or to an island or upland within a water body. Such activities include, but are not limited to construction of roads, fords, bridges, and culverts, as well as maintenance work on these crossings.

JJ. Winter Haul Road means a route or track across frozen ground or compacted snow and ice used primarily for access to a yard or landing. It does not include a road with a gravel surface.

KK. Zones A, AE, A1-30, VE mean areas identified by FEMA as areas of special flood hazard on Flood Insurance Rate Maps or Flood Hazard Boundary Maps.

Section 3. Notification Process for Landowners Intending to Conduct Timber Harvesting Activities within the Unorganized and Deorganized Areas of the State

Prior to conducting timber harvesting activities, a landowner or designated agent must notify the Bureau in accordance with Maine Forest Service rules, Ch 20, Section 3.

Section 4. Timber Harvesting Standards

A. Timber harvesting requires a permit from the Bureau in P-MA, P-SG, P-RT, P-UA subdistricts; P-RR subdistricts established to protect a trail; P-RR subdistricts established to protect a flowing water when the timber harvesting is not in conformance with the standards for timber harvesting in P-SL1 subdistricts; water crossings of major flowing waters in P-RR subdistricts, and water crossings of all flowing waters surrounded by P­RR and P-RT subdistricts established to protect such waters. In approving applications submitted to it pursuant to 12 M.R.S. §8867-D and §8867-E, the Bureau may impose such reasonable terms and conditions as the Bureau considers appropriate in order to satisfy the purpose set forth in its governing statutes and rules.

B. Permits for timber harvesting in P-RT and P-UA subdistricts and P-RR subdistricts established to protect a trail or flowing water require review and approval by the Commission.

C. The following requirements apply to timber harvesting within all management and protection subdistricts except as otherwise mentioned above or hereinafter provided:

1. Except when surface waters are frozen, skid trails and skid roads must not utilize stream channels bordered by a P-SL1 subdistrict except to cross such channels with a culvert or bridge according to the water crossing requirements of Section 5(C)(4) and (7)

2. Skid trails, skid roads, and winter haul roads in P-RR subdistricts established to protect a trail or flowing water and P-RT subdistricts must follow the shortest practicable route in traversing such subdistrict and traverse such subdistrict the fewest number of times practicable.

3. Skid trails, skid roads, and winter haul roads in P-RR subdistricts around a body of standing water must be discontinued, gated, obstructed, or otherwise made impassable to two wheel drive vehicles upon completion of timber harvesting, provided that, wherever such approval is legally required, the Maine Forest Service approves discontinuation of such road, which approval the owner must request.

4. Timber harvesting in P-SL1, P-GP, P-GP2, and P-RR subdistricts must be conducted in the following manner:

a. Within 50 feet of the normal high water line, no clearcutting is allowed and harvesting operations must be conducted in such a manner that a well-distributed stand of trees is retained so as to maintain the aesthetic and recreational value and water quality of the area and to reasonably avoid sedimentation of surface waters.

b. At distances greater than 50 feet from the normal high water line, harvesting activities may not create single openings greater than 14,000 square feet in the forest canopy. In such areas, single canopy openings of over 10,000 square feet must be no closer than 100 feet apart.

c. Harvesting must not remove, in any ten year period, more than 40 percent of the volume on each acre involved of trees 6 inches in diameter and larger measured at 4 ½ feet above ground level. Removal of trees less than 6 inches in diameter, measured as above, is permitted if otherwise in conformance with these regulations. For the purposes of these standards, volume may be determined as being equivalent to basal area.

d. No accumulation of slash must be left within 50 feet of the normal high water line of surface water protected by the P-SL1 and P-GP subdistricts. In such subdistricts, at distances greater than 50 feet from the normal high water line of such waters, all slash larger than 3 inches in diameter must be disposed of in such a manner that no part thereof extends more than 4 feet above the ground.

5. Timber harvesting in P-FW subdistricts must be conducted in the following manner:

a. The landowner or designated agent must confer with the appropriate biologist at the Department of Inland Fisheries and Wildlife as to how the proposed activity is to occur within the P-FW subdistrict.

b. If a plan acceptable to the parties cannot be reached stating how the proposed activity should occur, the landowner or designated agent is required to obtain a permit from the Bureau. The applicant for such permit must show by a preponderance of the evidence that the proposed activity will be conducted in a manner which produces no undue adverse impact upon the resources and uses in the area;

c. If a plan acceptable to the parties can be reached, the landowner or designated agent must notify the Bureau in writing with a copy of the field investigation report by the biologist that states how and over what time period the activity is to occur. The notification letter must be signed by the person responsible for the proposed activity and the field investigation report must be signed by the biologist;

d. The landowner or designated agent may proceed with activity in conformity with the plan 14 days after the notification to the Bureau unless within such time period the Bureau disapproves the plan; and

e. The landowner or designated agent must notify the Bureau of completion of activity so that a follow-up field investigation may be carried out by the Bureau or its designee.

6. Timber harvesting in a P-RR subdistrict established to protect a flowing water must be carried out in compliance with the standards for timber harvesting in P‑SL1 subdistricts as set forth in this section.

7. Except as provided in Section 4(B)(9), skid trails and other sites, where the operation of machinery used in timber harvesting results in the exposure of mineral soil, must be located such that an unscarified filter strip of at least the width indicated below is retained between the exposed mineral soil and the normal high water line of surface water areas:

Average Slope of Land Width of Strip

Between Exposed Mineral Soil Between Exposed Mineral Soil

and Normal High Water Line and Normal High Water Line

(Percent) (Feet Along Surface of the Ground)

0 25

10 45

20 65

30 85

40 105

50 125

60 145

70 165

Table 4-1. Unscarified filter strip width requirements for exposed mineral soil created by the operation of machinery used in timber harvesting.

The provisions of this subsection apply only on a face sloping toward the water, provided however, no portion of such exposed mineral soil on a back face shall be closer than 25 feet. The provisions of this subsection do not apply where skid roads cross such waters.

8. Timber harvesting operations must be conducted in such a manner that slash is not left below the normal high water line of a body of standing water or tidal waters, or below the normal high water line of stream channels downstream from the point where such channels drain 300 acres or more.

9. Except when surface waters are frozen, skid trails and skid roads must not utilize stream channels bordered by P-SL2 subdistricts except to cross the same by the shortest possible route. Unless culverts or bridges are installed in accordance with Section 5(C)(4)and (7), such crossings must only use channel beds which are composed of gravel, rock or a similar hard surface which would not be eroded or otherwise damaged. The requirements of this subsection may be modified according to the provisions of Section 4(B)(9).

10. Except as provided in Section 4(B)(9), skid trail and skid road approaches to stream channels must be located and designed so as to divert water runoff from the trail or road in order to prevent such runoff from directly entering the stream.

11. Timber harvesting operations in P-SL2 subdistricts along stream channels upstream from the point where they drain 300 acres or less, and in P-WL subdistricts adjacent to such P-SL2 subdistricts, may be conducted in a manner not in conformity with the requirements of the foregoing Sections 4(B)(5),(8)and (9)provided that such operations are conducted so as to avoid the occurrence of sedimentation of water in excess of 25 Jackson Turbidity Units as measurable at the point where such stream channel drains 1 square mile or more. Jackson Turbidity Units are a standard measurement of the relative amount of light that will pass through a sample of water compared with the amount of light that will pass through a reference suspension; the Jackson Turbidity Unit measurement for water without turbidity is 0;

12. Harvesting operations in P-SL2 subdistricts along stream channels downstream from the point where they drain 300 acres or more and along bodies of standing water must be conducted in such a manner that sufficient vegetation is retained to maintain shading of the surface waters; and

13. In addition to the foregoing minimum requirements, except as provided for in Section 4(B)(9), provision must be made to conduct timber harvesting operations to reasonably avoid sedimentation of surface waters.

14. In addition to the preceding standards, timber harvesting in proximity to an existing development must also comply with the applicable requirements of Chapter 10 of the Commission’s Rules and Standards, Land Use Districts and Standards , Section 10(27)(B), “Vegetation Clearing. “For purposes of this provision, “in proximity to an existing development” means the following:

a. For a lot developed with a single family dwelling unit with shoreline frontage on any body of standing water ten acres or greater, or a flowing water draining 50 square miles or more, the area within a rectangle measuring 200 feet along the shoreline centered on the primary structure by 250 feet perpendicular to the shoreline measured from the normal high water line of the waterbody.

b. For a lot developed with a single family dwelling unit with shoreline frontage on a standing body of water less than ten acres in size, or any tidal water, or flowing water draining less than 50 square miles, the area within a rectangle measuring 150 feet along the shoreline centered on the primary structure by 75 feet perpendicular to the shoreline measured from the normal high water line of the waterbody.

c. For a lot developed with a single family dwelling unit with road frontage on a public road, the area within a rectangle measuring 100 feet along the road right-of-way or similar boundary of the road centered on the primary structure by 50 feet perpendicular to the roadway measured from the edge of the road right-of-way.

d. For a commercially developed lot or lot developed with multiple structures located parallel to a water body with shoreline frontage on any body of standing water ten acres or greater, or a flowing water draining 50 square miles or more, the area within a rectangle measured from 50 feet from each end of the development along the shoreline and 250 feet perpendicular to the shoreline measured from the normal high water line.

e. For a commercially developed lot or lot with multiple structures located parallel to a water body with shoreline frontage on a standing body of water less than ten acres in size, or any tidal water, or flowing water draining less than 50 square miles, the area within a rectangle measured from 50 feet from each end of development along the shoreline and 75 feet perpendicular to the shoreline measured from the normal high water line.

f. For a commercially developed lot or lot developed with multiple structures located parallel to and with frontage on a public road, the area within a rectangle measured from 50 feet from each end of development along the road right-of-way or similar boundary of the road and 50 feet perpendicular to the roadway measured from the edge of the road right‑of‑way.

Section 5. Land Management Roads and Water Crossings

A. Land management roads and water crossings on/for land management roads require a permit from the Bureau in P-AL, P-AR, P-FP, P-MA, P-RT, P-SG and P-UA subdistricts, P-RR subdistricts established to protect a body of standing water if the road is less than 1,000 feet from the normal high water line of the standing body of water, P‑WL subdistricts for land management roads not in conformance with the standards of subsection 5(E)(3) of this rule, land management roads that will alter one acre or more in P‑WL1 and P-WL2 subdistricts, and in FEMA zones A, AE, A1-30 and VE. In approving applications submitted to it pursuant to 12 M.R.S. §8867-D and §8867-E, the Bureau may impose such reasonable terms and conditions as the Bureau considers appropriate in order to satisfy the purpose set forth in its governing statutes and rules.

B. Permits for land management roads and water crossings in P-RR, P-RT and P-UA subdistricts require review and approval by the Commission.

C. Land management roads in P-RR subdistricts around a body of standing water must be discontinued, gated, obstructed, or otherwise made impassable to two wheel drive vehicles within three years of construction of the road, provided that, wherever such approval is legally required, the Maine Forest Service approves discontinuation of such road, which approval the owner must request.

D. Water Crossings on/for land management roads require a permit from the Bureau in P-SL1 subdistricts and in any subdistrict when crossing a body of standing water. In approving applications submitted to it pursuant to 12 M.R.S. §8867-D and §8867-E, the Bureau may impose such reasonable terms and conditions as the Bureau considers appropriate in order to satisfy the purpose set forth in its governing statutes and rules.

E. Permits for land management roads and water crossings in P-RR, P-RT and P-UA subdistricts require review and approval by the Commission.

F. The following land management road and water crossing requirements apply in P-WL1, P-WL2, P-SL1, P-SL2, P-FW, P-GP, P-GP2and P-RR subdistricts if no permit is required above, and all management subdistricts:

1. Land management roads in P-FW subdistricts must be constructed using the following process:

a. A landowner or designated agent must confer with the appropriate biologist at the Department of Inland Fisheries and Wildlife as to how the proposed road will be constructed within the P-FW subdistrict.

b. If a plan acceptable to the parties cannot be reached stating how the proposed road should be constructed, the landowner or designated agent is required to obtain a permit from the Bureau. The applicant for such permit must show by a preponderance of the evidence that the proposed road will be built in a manner that produces no undue adverse impact upon the resources and uses in the area;

c. If a plan acceptable to the parties can be reached, the landowner or designated agent must notify the Bureau in writing with a copy of the field investigation report by the biologist that states how and over what time period the road will be built. The notification letter must be signed by the person responsible for the proposed activity and the field investigation report must be signed by the biologist;

d. The landowner or designated agent may proceed with road construction in conformity with the plan 14 days after notification to the Bureau unless within such time period the Bureau disapproves the plan; and

e. The landowner or designated agent must notify the Bureau of completion of road construction so that a follow-up field investigation may be carried out by the Bureau or its designee.

2. Land management roads in a P-RR subdistrict:

a. Established to protect a trail must be constructed so that the road follows the shortest practicable route in traversing such subdistrict.

b. Established to protect a flowing water must be constructed so that the road follows the shortest practicable route in traversing such subdistrict and is built in compliance with the road standards for P-SL1 subdistricts, as set forth in Section 5(E),(3).

3. The following requirements apply to construction and maintenance of roads:

a. All cut or fill banks and areas of exposed mineral soil outside the roadbed within 75 feet of a flowing water, body of standing water, tidal water, or a wetland must be revegetated or otherwise stabilized so as to prevent erosion and sedimentation of water bodies or wetlands;

b. Road banks must have a slope no steeper than 2 horizontal feet to 1 vertical foot;

c. Drainage ditches must be provided so as to effectively control water entering and leaving the road area. Such drainage ditches will be properly stabilized so that the potential for unreasonable erosion does not exist;

d. In order to prevent road surface drainage from directly entering water bodies or wetlands, roads and their associated drainage ditches must be located, constructed, and maintained so as to provide an unscarified filter strip, of at least the width indicated below, between the exposed mineral soil of the road and the normal high water line of a surface water body or upland edge of a wetland:

Average Slope of Land Width of Strip

Between Exposed Mineral Soil Between Exposed Mineral Soil

and Normal High Water Line and Normal High Water Line

(Percent) (Feet Along Surface of the Ground)

0 25

10 45

20 65

30 85

40 105

50 125

60 145

70 165

Table 5-1. Unscarified filter strip width requirements for exposed mineral soil created by roads and their associated drainage ditches.

This requirement does not apply to road approaches to water crossings or wetlands.

e. Drainage ditches for roads approaching a water crossing or wetland must be designed, constructed, and maintained to empty into an unscarified filter strip, of at least the width indicated in the table set forth in Section 5(E)(3)(d) above, between the outflow point of the ditch and the normal high water line of the water or the upland edge of a wetland. Where such filter strip is impracticable, appropriate techniques must be used to reasonably avoid sedimentation of the water body or wetland. Such techniques may include the installation of sump holes or settling basins, and/or the effective use of additional ditch relief culverts and ditch water turnouts placed so as to reasonably avoid sedimentation of the water body or wetland;

f. Ditch relief (cross drainage) culverts, drainage dips and water turnouts will be installed in a manner effective in getting drainage onto unscarified filter strips before the flow in the road or its drainage ditches gains sufficient volume or head to erode the road or ditch.

i. Drainage dips may be used in place of ditch relief culverts only where the road grade is 10 percent or less;

ii. On roads having slopes greater than 10 percent, ditch relief culverts must be placed across the road at approximately a 30 degree angle downslope from a line perpendicular to the center line of the road;

iii. Ditch relief culverts, drainage dips and water turnouts must direct drainage onto unscarified filter strips as required in Section 5(E)(3)(d) and (e) above;

iv. Ditch relief culverts must be sufficiently sized and properly installed in order to allow for effective functioning, and their inlet and outlet ends must be stabilized with appropriate materials; and

v. Ditch relief culverts, drainage dips and associated water turnouts must be spaced along the road at intervals no greater than indicated in the following table. Spacing between ditch relief culverts, drainage dips and associated water turnouts decreases with increasing slope. For example, the spacing for 0% grade is 500 feet; the spacing for 2% grade is 300 feet.

Road Grade Spacing

(Percent) (Feet)

0-2 500-300

3-5 250-180

6-10 167-140

11-15 136-127

16-20 125-120

21+ 100

Table 5-2. Spacing requirements for drainage dips and associated water turnouts.

4. The following requirements apply to water crossings when surface waters are unfrozen:

a. Bridges and culverts must be installed and maintained to provide an opening sufficient in size and structure to accommodate 10 year frequency water flows or with a cross-sectional area at least equal to 2 ½ times the cross-sectional area of the stream channel.

b. Culvert and bridge sizes may be smaller than provided in Section 5(E)(4)(a) if techniques are employed such that in the event of culvert or bridge failure, the natural course of water flow is reasonably maintained and sedimentation of the water body is reasonably avoided; such techniques may include, but are not limited to, the effective use of any or all of the following:

i. Removing culverts prior to the onset of frozen ground conditions;

ii. Using water bars in conjunction with culverts; or

iii. Using road dips in conjunction with culverts.

c. Culverts utilized in water crossings must:

i. Be installed at or below stream bed elevation;

ii. Be seated on firm ground;

iii. Have soil compacted at least halfway up the side of the culvert;

iv. Be covered by soil to a minimum depth of 1 foot or according to the culvert manufacturer’s specifications, whichever is greater; and

v. Have a headwall at the inlet end which is adequately stabilized by rip-rap or other suitable means to reasonably avoid erosion of material around the culvert.

5. The design and construction of land management road systems through wetlands, other than those areas below the normal high water line of standing or flowing waters, must avoid wetlands unless there are no reasonable alternatives, and must maintain the existing hydrology of wetlands.

To maintain the existing hydrology of wetlands, road drainage designs must provide cross drainage of the water on the surface and in the top 12 inches of soil in wetlands during both flooded and low water conditions so as to neither create permanent changes in wetland water levels nor alter wetland drainage patterns. This must be accomplished through the incorporation of culverts or porous layers at appropriate levels in the road fill to pass water at its normal level through the road corridor. Where culverts or other cross-drainage structures are not used, all fills must consist of free draining granular material. To accomplish the above, the following requirements apply:

a. Road construction on mineral soils or those with surface organic layers up to 4 feet in thickness.

i. Fill may be placed directly on the organic surface compressing or displacing the organic material until equilibrium is reached. With this method, culverts or other cross-drainage structures are used instead of porous layers to move surface and subsurface flows through the road fill material.

1. For road construction on mineral soils or those with surface organic layers less than 16 inches in thickness, culverts or other cross-drainage structures must be appropriately sized and placed at each end of each wetland crossing and at the lowest elevation on the road centerline with additional culverts at intermediate low points as necessary to provide adequate cross drainage. Culverts or other cross-drainage structures must be placed at maximum intervals of 300 feet.

2. For road construction on surface organic layers in excess of 16 inches but less than 4 feet in thickness, cross drainage must be provided by placing culverts at each end of each wetland crossing and at the lowest elevation on the road centerline with additional culverts at intermediate low points as necessary to provide adequate cross drainage. Culverts or other cross-drainage structures must be placed at maximum 300-foot intervals. Culverts must be a minimum of 24 inches in diameter, or the functional equivalent, and buried halfway below the soil surface.

3. Where necessary to maintain existing water flows and levels in wetlands, ditches parallel to the road centerline must be constructed along the toe of the fill to collect surface and subsurface water, carry it through the culvert(s) and redistribute it on the other side. Unditched breaks must be left midway between culverts to prevent channelization.

ii. Alternatively, a porous layer may be created to move surface and subsurface flows through the road fill materials. If a porous layer is used, geotextile fabric must be placed above and below fill material to increase the bearing strength of the road and to preserve the bearing strength of fill material by preventing contamination with fine soil particles.

b. Road construction on soils with organic layers in excess of 4 feet in thickness.

i. Such construction must only take place under frozen ground conditions.

ii. Geotextile fabric must be placed directly on the soil surface. Road fill or log corduroy must then be placed on the geotextile fabric.

iii. Cross drainage must be provided by either a continuous porous layer or appropriate placement of culverts or other cross-drainage structures and ditching as specified below:

1. A continuous porous layer or layers must be constructed by placement of one or more layers of wood corduroy and/or large stone or chunk wood separated from adjacent fill layers by geotextile fabric placed above and below the porous layer(s) such that continuous cross drainage is provided in the top 12 inches of the organic layer; or

2. Cross drainage culverts or other cross-drainage structures must be placed at points where they will receive the greatest support. Culverts or other cross-drainage structures must be a minimum of 24 inches in diameter, or the functional equivalent, and buried halfway below the soil surface. Where necessary to maintain existing water flows and levels in wetlands, ditches parallel to the roadbed on both sides must be used to collect surface and subsurface water, carry it through the culvert(s) and redistribute it on the other side. Such ditches must be located three times the depth of the organic layer from the edge of the road fill. Unditched breaks must be left midway between culverts to prevent channelization.

3. Ditches, culverts, bridges, dips, water turnouts and other water control installations associated with roads must be maintained on a regular basis to assure effective functioning.

4. Maintenance of the above required water control installations must continue until the road is discontinued and put to bed by taking the following actions:

a. Water bars must:

i. Be constructed and maintained across the road at intervals established below. Spacing between water bars decreases with increasing slope. For example, the spacing for 3% grade is 200 feet; the spacing for 5% grade is 135 feet.

Road Grade Distance Between Water Bars

(Percent) (Feet)

0-2 250

3-5 200-135

6-10 100-80

11-15 80-60

16-20 60-45

21+ 40

Table 5-3. Spacing requirements for water bars.

ii. Be constructed at approximately 30 degrees downslope from the line perpendicular to the centerline of the road;

iii. Be constructed so as to reasonably avoid surface water flowing over or under the water bar; and

iv. Extend sufficient distance beyond the traveled way so that water does not reenter the road surface.

b. Any bridge or water crossing culvert in such road must satisfy one of the following requirements:

i. It must be designed to provide an opening sufficient in size and structure to accommodate 25 year frequency water flows;

ii. It must be designed to provide an opening with a cross-sectional area at least 3 ½ times the cross-sectional area of the stream channel; or

iii. It must be dismantled and removed in a fashion so as to reasonably avoid sedimentation of the water body.

8. Provided they are properly applied and used for circumstances for which they are designed, methods including but not limited to the following are acceptable to the Bureau’s means of calculating the 10 and 25 year frequency water flows and thereby determining crossing sizes as required in Section 5(E)(4)and (7):

a. The USDA Natural Resources Conservation Service (SCS) Methods; specifically: “Urban Hydrology for Small Watersheds,” June 1986 Natural Resources Conservation Service Technical Release #55.

b. The United States Geological Survey Series; specifically U.S.G.S. Maine Water Science Office. 1999. “Estimating the Magnitude of Peak Flows for Streams in Maine for Selected Recurrence Intervals.” WRI 99-4008.

9. In addition to the foregoing minimum requirements, provision must be made in the construction and maintenance of land management roads and water crossings in order to reasonably avoid sedimentation of surface waters.

10. Roads and water crossings, including presently existing roads, not in conformance with the standards of this section, may be allowed upon issuance of a permit by the Bureau provided that such types of activities are allowed in the subdistrict involved. An applicant for such permit must show by a preponderance of the evidence that the proposed activity, which is not in conformance with the standards of this section, will be conducted in a manner that produces no undue adverse impact upon the resources and uses in the area.

Section 6. Gravel Extraction Less than Five Acres in Size

A. Gravel pits in P-AL, P-AR, P-FP,P-FW, P-GP, P-GP2, P-SG and P-UA subdistricts, P‑RR and P-RT subdistricts except those in conformance with Section 6(B)(6) below, and FEMA zones A, AE, A1-30 and VE require a permit from the Bureau. Unless otherwise indicated, pits may not exceed five acres in size. Gravel pits must not exceed one acre in size in P-FW and P-WL subdistricts. Gravel pits must not exceed two acres in size in P-GP2 subdistricts. Gravel pits between two acres and five acres in size require a permit from the Bureau in P-SL subdistricts. Gravel pits are not permitted in other protection subdistricts. In approving applications submitted to it pursuant to 12 M.R.S. §8867-D and §8867-E, the Bureau may impose such reasonable terms and conditions as the Bureau considers appropriate in order to satisfy the purpose set forth in its governing statutes and rules. Permits for gravel pits less than five acres in size in P-RR, P-RT and P‑UA subdistricts require review and approval by the Commission.

B. The following requirements apply to gravel extraction from pits less than five acres in size in a P-RR subdistrict established to protect a flowing water, gravel extraction from pits less than two acres in size in a P-SL subdistrict and all management subdistricts except as otherwise hereinafter provided:

1. A vegetative buffer strip must be retained between the ground area disturbed by the extraction activity and:

a. 75 feet of the normal high water line of any body of standing water less than ten acres in size, any flowing water draining less than 50 square miles, tidal water, or wetland identified as a P-WL1 subdistrict; and

b. 100 feet of the normal high water line of any body of standing water ten acres or greater in size or flowing water draining 50 square miles or more.

2. No portion of any ground area disturbed by the extraction activity shall be closer than 250 feet from any public roadway, or 250 feet from any property line in the absence of the prior written agreement of the owner of such property.

3. Within 250 feet of any water body the extraction area must be protected from soil erosion by ditches, sedimentation basins, dikes, dams, or such other control devices which are effective in preventing sediments from being eroded or deposited into such water body.

Any such control device must be deemed part of the extraction area for the purposes of Section 6(B)(1)above;

4. A natural vegetative screen of not less than 50 feet in width must be retained from any facility intended primarily for public use, excluding privately owned roads; and

5. If any gravel extraction operation located within 250 feet of any property line or public roadway or facility intended primarily for public use, excluding privately owned roads, is to be terminated or suspended for a period of one year of more, the site must be rehabilitated by grading the soil to a slope of 2 horizontal feet to 1 vertical foot, or flatter.

6. In addition to the forgoing requirements, gravel extraction for road purposes in P-RR and P-RT subdistricts established to protect flowing waters must:

a. Not be visible from the flowing water which the P-RR or P-RT subdistrict was established to protect;

b. Avoid use of the P-RR or P-RT subdistrict, except where necessary to provide gravel for local management operations where alternative sources are unavailable or impractical; and

c. Not exceed two acres in size.

7. In addition to the forgoing requirements, gravel extraction for road purposes in P-AL subdistricts must:

a. Not be visible from the body of standing water which the P-AL subdistrict was established to protect; and

b. Avoid use of the P-AL subdistrict, except where necessary to provide gravel for local management operations where alternative sources are unavailable or impractical.

C. The following requirements apply to gravel extraction for road purposes in P-FW subdistricts:

1. A landowner or designated agent must confer with the appropriate biologist of the Department of Inland Fisheries and Wildlife for the purpose of developing a plan as to how the proposed activity is to occur within the P-FW subdistrict and within what time period;

2. If a plan acceptable to the parties cannot be reached stating how the proposed activity should occur, the landowner or designated agent is required to obtain a permit from the Bureau;

3. If a plan acceptable to the parties can be reached, the landowner or designated agent must submit a copy of the agreed-upon plan, signed by both parties, to the Bureau;

4. The landowner or designated agent may proceed with the activity in conformity with the plan 14 days following receipt of the plan by the Bureau unless, within such time period, the Bureau disapproves the plan; and

5. The landowner or designated agent must notify the Bureau of completion of the activity so that a follow-up field investigation may be carried out by the Bureau or its designee.

Gravel extraction for road purposes from pitiless than five acres in size that are not in conformance with the standards of this section may be allowed upon issuance of a permit from the Bureau, provided that such type of activity is allowed in the subdistrict involved. An applicant for such permit must show by a preponderance of the evidence that the proposed activity, which is not in conformance with the standards of this section, will be conducted in a manner that produces no undue adverse impact upon the resources and uses in the area.

Section 7. Timber Harvesting and Timber Harvesting Related Activities Located in Areas of Special Flood Hazard

A. Areas identified by FEMA as areas of special flood hazard (Zones A, AE, A1-30 and VE) on Flood Insurance Rate Maps, Flood Hazard Boundary Maps, Flood Boundary and Floodway Maps or in Flood Insurance Studies in the unorganized areas of the state are hereby adopted by reference and declared to be part of this rule. In any case where the boundaries of a P-FP subdistrict on the official Land Use Planning Commission Map differs from the boundaries of the FEMA zones, the FEMA boundaries shall apply.

Title Community/County ID# and/or Map Panel # Effective Date

FIRM, FIS Andrews Island, Maine, Knox County* 230967 02/23/2001

FIRM Township of Argyle, ME, Penobscot County 230464A 09/18/1985

(See FIRM, FIS, Town of Greenbush, 230107, for Penobscot R. BFE) 09/04/1987*

FIRM, FIS Baring Plantation, Maine, Washington County* 230468 03/15/1982

FIRM Town of Benedicta, ME, Aroostook County 230420A 09/18/1985

FIRM Town of Bristol, Maine, Lincoln County,

and Unincorporated Islands* 230215 01/04/2002

FIRM Township of Brookton, ME, Washington County 230470A 11/01/1985

FIRM Plantation of Carroll, ME, Penobscot County 230461A 08/19/1985

FIRM, Cary Plantation, ME, Aroostook County 230441A 02/01/1985

FIRM Township of Concord, ME, Somerset County 230466A 02/01/1985

FIRM Township of Connor, ME, Aroostook County 230451A 01/17/1985

FIRM Plantation of Cyr, ME, Aroostook County 230443A 08/19/1985

FIRM Township of Dallas Plantation, Maine,

Franklin County* 230455 02/23/2000

FIRM Township of Edmunds, ME, Washington County 230471A 08/19/1985

FIRM Township of Freeman, ME, Franklin County 230457A 09/18/1985

FIRM Plantation of Garfield, ME, Aroostook County 230444A 08/19/1985

FIRM Grand Lake Stream Plantation, ME,

Washington County 230469A 08/05/1985

FIA Flood Hazard Boundary Map, Town of Greenfield, ME,

Penobscot County 230388 02/21/1975

FIRM Town of Hamlin, ME, Aroostook County 230445A 08/05/1985

FIRM Township of Kingman, ME, Penobscot County 230474A 01/17/1985

FIRM, Township of Lambert Lake T01 R03 TS, ME, Washington

County 230472A 01/17/1985

FIRM Plantation of Macwahoc, ME, Aroostook County 230446A 09/18/1985

FIRM Town of Madrid, ME, Franklin County 230350A 08/19/1985

FIRM/FIS Oxford County, Maine, (All Jurisdictions) Milton Township

23017C, Panels 0832D, 0833D, 0834D, 0845D,0851D,

0852D, 0855D, 0856D, 0860D, 0865D 07/07/2009

FIRM Plantation of Mt. Chase, ME, Penobscot County 230462A 09/18/1985

FIRM Township of Orneville, ME, Piscataquis County 230465A 4/17/1987

FIRM Plantation of Pleasant Ridge, ME, Somerset County 230367A 11/01/1985

FIRM Plantation of Prentiss, ME, Penobscot County 230463A 08/19/1985

FIRM Township of Rockwood Strip, ME, Somerset County 230467A 12/01/1987

FIRM Plantation of St. John, ME, Aroostook County 230448A 09/27/1985

FIRM Township of Silver Ridge, ME, Aroostook County 230452A 09/04/1985

FIRM Township of T08-SD, ME, Hancock County

(Fletcher’s Landing) 230458A 10/01/1986

(See FIRM, FIS, Town of Ellsworth, 230066, for Graham L. BFE) 11/04/1988*

FIRM Township of T17-R4 WELS, ME, Aroostook County

(Sinclair Twp.) 230453A 10/01/1986

FIRM Township of T17 R5 WELS, ME, Aroostook County

(Cross Lake Twp.) 230454A 05/19/1987

FIRM Township of Trescott, Maine, Washington County* 230473 02/08/1999

(See FIRM, FIS, Town of Lubec, 230139, for bay and cove BFE) 04/15/1992*

FIRM FIS Kennebec County, Maine, (All Jurisdictions) Unity Township 230602

Panels 23011C0064D, 23011C0202D,

23011C0204D, 23011C0210D 06/16/2011

FIRM Plantation of Winterville, ME, Aroostook County 230450A 11/01/1985

Notes: BFE – Base Flood Elevation FIS – Flood Insurance Study FIA – Federal Insurance Administration FIRM – Flood Insurance Rate Map

• – Indicates BFE data is available

B. Land management roads, water crossings and gravel extraction from pits less than five acres in size located in P-FP subdistricts and FEMA zones A, AE, A1-30 and VE require a permit from the Bureau.

The Bureau must:

1. Review all permit applications to assure that proposed developments are reasonably safe from flooding and to determine that all pertinent development standards will be met;

2. Determine that all necessary permits have been obtained from those federal, state and local government agencies from which prior approval is required by federal or state law, including but not limited to Section 404 of the Federal Water Pollution Control Act Amendments of 1972, 33 U.S.C. §1344;

3. Notify adjacent communities, the Department of Environmental Protection and the Maine Floodplain Management Program at the Department of Agriculture, Agriculture, Conservation and Forestry and Forestry prior to any alteration or relocation of a water course and submit copies of such notifications to the Federal Emergency Management Agency;

4. Maintain as a permanent record, copies of all flood hazard development permit applications, corresponding permits issued and all data relevant thereto; and

5. Require an emergency action plan to remove any equipment or materials from the site before a potential flooding event.

C. Development in Flood Prone Areas. Development in flood prone areas, including areas of special flood hazard, must:

1. Be designed or modified and adequately anchored to prevent flotation, collapse or lateral movement resulting from hydrodynamic and hydrostatic loads, including the effects of buoyancy;

2. Use construction materials that are resistant to flood damage; and

3. Use construction methods and practices that will minimize flood damage.

D. Watercourse Carrying Capacity. All development associated with altered or relocated portions of a watercourse must be constructed and maintained in such a manner that no reduction occurs in the flood carrying capacity of the watercourse.

E. Development in Floodways

1. In Zones A1-30 and AE adjacent to areas of flowing water, encroachments, including fill, construction, and other development shall not be permitted within a regulatory floodway which is designated on the township’s, plantation’s, or town’s “Flood Insurance Rate Map” or “Flood Boundary and Floodway Map,” unless a technical evaluation certified by a registered professional engineer is provided demonstrating that such encroachments will not result in any increase in flood levels during the occurrence of the base flood discharge.

2. In Zones A1-30, AE, and A adjacent to areas of flowing water, for which no regulatory floodway is designated, encroachments, including fill, construction, and other development shall not be permitted in the floodway unless a technical evaluation certified by a registered professional engineer is provided demonstrating that the cumulative effect of the proposed development, when combined with all other existing development and anticipated development:

a. Will not increase the surface elevation of the base flood more than one foot at any point within the township, plantation, or town; and,

b. Is consistent with the technical criteria contained in Chapter 5 entitled “Hydraulic Analyses,” Flood Insurance Study – Guidelines and Specifications for Study Contractors, (FEMA 37/ January 1995, as amended).

3. In Zones A1-30, AE, and A adjacent to areas of flowing water for which no regulatory floodway is designated, the regulatory floodway is determined to be the channel of the river or other flowing water and the adjacent land areas to a distance of one-half the width of the floodplain as measured from the normal high water line to the upland limit of the floodplain.

F. Coastal Floodplains. The use of fill in Zone VE is prohibited. Human alteration of sand dunes within Zone VE is prohibited unless it can be demonstrated that such alterations will not increase potential flood damage.

G. Bridges. Any bridge or bridge improvement other than normal maintenance and repair must be designed such that:

1. When possible, the lowest horizontal member (excluding the pilings, or columns) is elevated to at least one foot above the base flood elevation; and

2. A registered professional engineer must certify that:

a. The structural design and methods of construction meet the elevation requirements set forth in Section 7(G)(1)and the floodway standards set forth in Section 7(C)and (E); and

b. The foundation and superstructure attached thereto are designed to resist flotation, collapse and lateral movement due to the effects of wind and water loads acting simultaneously on all structural components. Water loading values used must be those associated with the base flood.

Section 9. Responsibility

All responsible parties may be jointly and severally responsible for compliance with this rule and liable for violations of this rule.

Section 10. Variance

A. A variance to the strict applications of these rules may be granted as specified in MFS Rule Chapter 20 ( Forest Regeneration and Clearcutting Standards , Section 6) for activities in all subdistrict except P-FP.

B. For activities located in P-FP subdistricts, the Bureau may grant a variance from the requirements of this rule consistent with state law and the following:

1. Variances shall not be granted within any designated regulatory floodway if any increase in flood levels during the base flood discharge would result.

2. Variances shall be granted only upon:

a. A showing of good and sufficient cause;

b. A determination that should a flood comparable to the base flood occur, the granting of a variance will not result in increased flood heights, additional threats to public safety, public expense or create nuisances, cause fraud or victimization of the public or conflict with existing local laws or ordinances;

c. A showing that the issuance of the variance will not conflict with other federal, state or local laws or ordinances; and

d. A determination that failure to grant the variance would result in undue hardship which in this subsection means:

i. That the land in question cannot yield a reasonable return unless a variance in granted;

ii. That the need for a variance is due to the unique circumstances of the property and not to the general conditions in the vicinity;

iii. That the granting of a variance will not alter the essential character of the locality; and

iv. That the hardship is not the result of action taken by the applicant or a prior owner.

3. Variances shall only be issued upon a determination that the variance is the minimum necessary, considering the flood hazard, and to afford relief. The Bureau may impose conditions to a variance that it deems necessary.

Section 11. Violations

Any responsible party involved in any activity in violation of this rule commits a civil violation and shall be penalized in accordance with 12 M.R.S., chapter 809, and any other applicable laws.

Section 12. Appeals

Persons aggrieved by final actions of the Bureau, including any final decision of the Bureau with respect to any application for permit approval, may appeal therefrom in accordance with Title 5, chapter 375, subchapter 7.

Section 13. Severability

If any section of this rule is declared invalid by the courts, such decision shall not invalidate any other section or provision of this rule.

Section 14. Abrogation

This rule shall not in any way impair or remove the necessity of compliance with any other applicable laws, ordinances or regulations. Where this rule imposes a greater restriction, the provisions of this rule shall control.

Section 15. Effective Date

The effective date of this rule is March 3, 2013

History

• STATUTORY AUTHORITY: 12 M.R.S. §§ 8867-D and 8867-E
• EFFECTIVE DATE: March 3, 2013 – filing 2013-044
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 29 Fee Schedule

Code Me. R. 01-669 Ch. 29 Fee Schedule {#sec-01-669-ch.-29 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 29}

Summary: This rule establishes fees for permits and permits by rule issued by the Department of Agriculture, Conservation and Forestry, Bureau of Forestry as authorized by statute.

Section 1. Scope and Applicability

This rule applies to timber harvesting and related activities for which a permit or permit by rule is required by the Bureau.

Section 2. Definitions

For the purposes of this rule, the following terms have the following meanings unless the context otherwise requires.

Bureau means the Bureau of Forestry in the Department of Agriculture, Conservation, and Forestry.

Development costs means all costs of a proposed project including, without limitation, site preparation, building and road construction, installation of monitoring and erosion control devices, but shall not include the cost of acquiring the land.

Director means the Director of the Bureau of Forestry.

Minor changes means a revision or amendment to a permit previously issued by the Bureau where the revision or amendment is a result of:

transfer of ownership or permit holder;

typographical errors or other errors of transcription;

changing the phrasing of the Bureau’s written decision, where the phrasing is consistent with the intent of the Bureau’s decision; or

corrections of dimensions or minor variations, expansions or changes affecting less than ten (10) percent of a structure or project.

Permit means any approval, license, certification or other authorization issued by the Bureau, including amendments thereto.

Section 3. Schedule of Fees

General Provisions

Square foot and linear foot calculations apply to new, reconstructed, replaced, expanded, additions, or changes of use to structures or disturbances. Legally existing or previously approved structures or disturbances, unless otherwise specified, are not counted in the fee calculation. For land management roads and gravel pits used for road purposes, only the portions of the project or the additional length or acreage that triggers permit review will be subject to these fees.

Amendments to permits shall be assessed using the same method as initial permit applications.

After-the-Fact fees, or fees for activities already begun prior to receiving permit approval, shall be three (3) times the listed fee.

No fee will be charged for processing notifications.

Permit Fees Established

The following fees will be assessed for processing applications. These fees are only for activities and/or projects, or portions of the activity and/or project that requires an application and permit decision.

1. Forestry Operations Permit $100.00

2. Gravel Pits for Road Purposes $200.00 Base fee

• $100.00 per acre of disturbed area

$700.00 Maximum Fee (based on upper limit of 5 acres

3. Land Management Road Permit $200.00 Base fee

Applications + $ 0.15 per linear foot

$1,000.00 Maximum Fee

4. Water Crossing Permit Applications $250.00 Base fee

• $2.00 per linear foot of span

length or culvert width

5. All other permit and amendment $100.00

applications

Exceptions

The Director, at the Director’s discretion, may reduce or waive the fees for special services for an agency of state government and application fees when the applicant is a governmental agency.

No fee shall be assessed for minor changes.

The Director, at the Director’s discretion, may reduce or waive an application or special service fee when the applicant or person requesting the reduction or waiver demonstrates to the satisfaction of the Director that an extreme hardship or injustice would result from payment of the fee.

If the director determines that a particular application, by virtue of its size, uniqueness, complexity or other relevant factors is likely to require a disproportionate share of state resources, the director may designate that application as subject to special fees, and may assess a fee of up to 0.25% of the estimated development costs.

Fee Payment

No application for a permit, special exception, or variance shall be processed until the fees have been paid in full in accordance with this rule.

All fees are non-refundable.

Section 4. Severability

If any section of this rule is declared invalid by the courts, such decision shall not invalidate any other section or provision of this rule.

Section 5. Effective Date

The effective date of this rule is June 15, 2013.

History

• STATUTORY AUTHORITY: 12 M.R.S. §8867-F
• EFFECTIVE DATE: June 15, 2013 – filing 2013-128
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: April, 2014 – section numbering
• CORRECTIONS: 01-669 Chapter 29 page 4

Chapter 30 Prior Approval Process and Stop Work Orders

Code Me. R. 01-669 Ch. 30 Prior Approval Process and Stop Work Orders {#sec-01-669-ch.-30 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 30}

Prior Approval Process and Stop Work Orders

DEPARTMENT OF AGRICULTURE, CONSERVATION, AND FORESTRY

MAINE FOREST SERVICE

SECTION 1. SCOPE & APPLICABILITY pg. 1

SECTION 2. DEFINITIONS pg. 1

SECTION 3. WRITTEN APPROVAL REQUIRED TO HARVEST TREES pg. 3

SECTION 4. PRIVATE BOND REQUIRED pg. 3

SECTION 5. STOP WORK ORDER pg. 4

SECTION 6. VIOLATIONS pg. 5

SECTION 7: EFFECTIVE DATE pg. 5

01 DEPARTMENT OF AGRICULTURE, CONSERVATION, AND FORESTRY

669 BUREAU OF FORESTRY

Chapter 30: PRIOR APPROVAL PROCESS AND STOP WORK ORDERS

AUTHORITY: 12 M.R.S. c. 805, sub-c. 3-A

Summary: This rule establishes standards for Maine Forest Service approval of timber harvesting activities by any person who has been convicted of two or more violations of Title 17, section 2510, subsection 1(unlawful cutting of trees) during the five years prior to conducting any new timber harvesting activities.

Section 1. Scope and Applicability

A. Scope

This rule governs all forest lands within Maine, including those owned by state and local governmental units, nonprofit organizations, and private forest lands. It does not govern federal forest lands.

B. Applicability

1. This rule applies to any timber harvesting activities conducted by any person who has been convicted of two or more violations of Title 17, section 2510, subsection 1(unlawful cutting of trees) during the five years prior to conducting any new timber harvesting activities.

2. All timber harvesting activities must comply with other applicable laws, rules, and standards, including but not limited to: The Forest Practices Act [12 M.R.S. §§ 8866 to 8870], the Natural Resource Protection Act [38 M.R.S. §§ 480 A to 480-Z], the Shoreland Zoning Act [38 M.R.S. §§ 435 to 449], and Maine Land Use Planning Commission Law [12 M.R.S. §§ 681 to 689].

SECTION 2. DEFINITIONS

A. For the purpose of 12 M.R.S., Chapter 805, sub-chapter 3-A and this rule, the following terms are defined as follows. Unless otherwise provided herein, this rule incorporates by reference the definitions contained in MFS Rule Chapter 20 (Forest Regeneration and Clearcutting Standards).

1. Bureau means the Bureau of Forestry, Department of Agriculture, Conservation, and Forestry.

2. Designated Agent means a person, company or other entity that is authorized by the landowner to act on the landowner's behalf for timber harvesting and related activities on the landowner's property.

3. Contractor means a person, company, or other entity that contracts with a landowner or designated agent to conduct timber harvesting activities, regardless of whether that person is the actual person who cuts or fells any tree or removes any forest product.

4. Director means the Director of the Bureau of Forestry.

5. Forest Land means land primarily covered with trees, and where commercial timber harvesting is not precluded by legal requirement.

6. Forest Products means logs, pulpwood, veneer, boltwood, wood chips, stud wood, poles, pilings, biomass fuel wood, fuel wood or other products commonly known as forest products. It does not include Christmas trees, maple syrup, nursery products used for ornamental purposes, wreaths, bough material, cones or other seed crops.

7. Landowner means a person, company, or other legal entity which holds title to land, including as a joint ownership or as tenants in common. Where the ownership of the timber located on the land is different than the fee ownership of the land itself, the owners of the timber are deemed a landowner and are jointly and severally responsible with the fee landowner to comply with this rule. Where a corporate landowner is a wholly owned subsidiary of another corporation, both parent and subsidiary are deemed the same landowner.

8. Parcel means a contiguous tract or plot of forest land owned by a landowner. Multiple contiguous tracts, plots or parcels of forest land owned by the same landowner are considered a single parcel. Contiguous tracts completely separated by a public road or roadway are considered to be separate parcels under these rules. Tracts of land joined only at a single point are not contiguous.

9. Person means an individual, corporation, partnership, association, or any other legal entity.

10. Public Road or Roadway means any roadway that is owned or leased by a governmental unit or public entity.

11. Purchaser means a person that harvests or contracts to conduct timber harvesting activities.

12. Seller means a landowner or designated agent that contracts to have timber activities conducted.

13. Stop work order means a written order issued by the bureau requiring a person conducting timber harvesting activities to immediately cease part or all timber harvesting activities.

14. Timber harvesting means the cutting or removing of timber for the primary purpose of selling or processing forest products.

15. Timber harvesting activities means timber harvesting, the construction and maintenance of roads used primarily for timber harvesting, the mining of gravel used for the construction and maintenance of roads used primarily for timber harvesting and other activities conducted to facilitate timber harvesting.

SECTION 3. WRITTEN APPROVAL REQUIRED TO HARVEST TREES

Prior to harvesting timber, any person who has been convicted of two or more violations of Title 17, section 2510, sub-section 1 (unlawful cutting of trees)during the five years prior to conducting any new timber harvesting activities must:

A. Ensure that a landowner or the landowner’s designated agent has filed a Forest Operations Notification with the bureau at least thirty days prior to the start date of the timber harvesting activities as shown on the notification. The notification must be accepted by the bureau as complete before timber harvesting activities can begin;

B. Submit a copy of a written contract executed between the person conducting the timber harvesting activities and the landowner or the designated agent.

1. The contract must be submitted with the forest operations notification;

2. The contract must state clearly that any violations which occur as a result of timber harvesting activities are the responsibility of the contractor; and,

3. The contract must not waive any requirements of law, including, but not limited to Title 17, section 2512, subsection 2.

C. Obtain written approval from the bureau before commencing timber harvesting activities. The bureau will notify in writing the person conducting the timber harvesting activities within 30 days of receiving a complete Forest Operations Notification and a copy of the written contract whether the timber harvest may proceed. The person conducting the timber harvesting activities must maintain the bureau’s written approval on site at all times during the timber activities.

SECTION 4. PRIVATE BOND REQUIRED

A. Prior to conducting timber harvesting activities, any person who has been adjudicated two or more times for violations of Title 17, section 2510, subsection 1 (unlawful cutting of trees) during the five years prior to conducting any new timber harvesting activities shall deposit cash, a surety bond, a certified check, or other form acceptable to the seller in the amount of $500,000 or the value of the standing timber on the parcel, whichever is greater, as a bond to assure proper performance.

B. The performance bond is to be held by the seller until the purchaser has completed or complied with all contract conditions.

C. Upon breach of any condition of the contract between the seller and the purchaser, the performance bond shall be applied to actual damages incurred by the seller. Damages must be determined by the bureau.

D. The performance bond (or any balance after damages are deducted) shall be returned to the purchaser within sixty days of the completion of the timber harvesting activities consistent with the contract, if the purchaser notifies the seller in writing that the harvest is finished.

SECTION 5. STOP WORK ORDER

A. A forest ranger of the bureau’s Forest Protection Division may issue a stop-work order if the forest ranger has probable cause to believe that a person subject to this rule is violating any provision of 17 M.R.S. §2510, §2511, or §2512, or 17-A M.R.S., Chapter 15, or has failed to comply with the contract conditions.

B. The issuance of a stop-work order must be approved by the bureau director or the bureau director’s designee.

C. The stop work order shall contain at a minimum the following information:

1. The name and address of the person responsible for conducting the timber harvest;

2. The name and address of the landowner;

3. The Forest Operations Notification number;

4. The location of the timber harvesting activity;

5. A description of the violation of this rule; and

6. The actions that must be taken to resolve the violation .

D. The stop work order will be hand delivered to the person responsible for conducting the timber harvest and the landowner on the harvest site or their last known addresses, if they are in the state. If they are out of state, it will be sent by certified mail, return receipt requested.

E. The stop work order must require that the person responsible for conducting the timber harvest cease the timber harvesting activities immediately. All harvested wood and other forest products, whether on the parcel or in the yard, any wood and other forest products loaded onto a vehicle within the yard must remain on the parcel or in the yard and must not be transported until the stop work order is released.

F. A stop work order issued pursuant to this section remains in effect until the bureau director or the bureau director's designee issues an order releasing the stop work order upon finding that the person responsible for conducting the timber harvest has come into compliance with the requirements of this subsection and has paid any penalty assessed under any rule enforced by the bureau.

G. A stop work order issued pursuant to this subsection against a person responsible for conducting a timber harvest applies to any successor firm, corporation or partnership of the person to whom the stop work order was issued.

H. The issuance of a stop-work order constitutes final agency action.

SECTION 6. VIOLATIONS

Any person who orders, contracts for, or conducts any activity in violation of this rule commits a civil violation, and shall be penalized in accordance with 12 M.R.S., chapter 809.

SECTION 7. EFFECTIVE DATE

A. EFFECTIVE DATE: The effective date of these rules shall be 15 July 2016.

Timber harvesting activities for which notification has been filed and timber harvesting has begun prior to the effective date are not subject to these rules, but are subject to the rules currently in place.

History

• STATUTORY AUTHORITY: 12 M.R.S. c. 805, sub-c. 3-A
• EFFECTIVE DATE: July15, 2016 – filing 2016-103 (Final adoption, major substantive)

Chapter 35 Browntail Moth Mitigation Fund

Code Me. R. 01-669 Ch. 35 Browntail Moth Mitigation Fund {#sec-01-669-ch.-35 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 35}

AUTHORITY: 12 M.R.S. § 8321; P.L. 2021, ch. 727

Summary: This rule establishes standards for the administration of the Browntail Moth Mitigation Fund by the Bureau of Forestry.

1. PROGRAM DESCRIPTION

Pursuant to 12 M.R.S. §8321, the Browntail Moth Mitigation Fund was established to provide funding to government entities or nonprofit organizations to assist with reducing impacts from browntail moths. The Browntail Moth Mitigation Fund was established to be distributed in support of browntail moth mitigation using mechanical, cultural, or chemical control methods; education campaigns; and other activities.

2. DEFINITIONS

For the purpose of this rule chapter, the following terms are defined as follows:

Browntail Moth means the insect species Euproctis chrysorrhoea in all its life stages.

Bureau means the Bureau of Forestry in the Maine Department of Agriculture, Conservation and Forestry, also known as the Maine Forest Service.

Department means the Maine Department of Agriculture, Conservation and Forestry.

Division means the Division of Forest Health and Monitoring.

Division Director means the director of the Bureau’s Forest Health and Monitoring Division.

Forest Entomologist means an expert on insects with a concentration in forest insects.

Government Entity means a local or tribal government authority, board, commission, department, division, or agency.

Grant Review Committee means the committee assembled by the Division Director to review proposals. The committee shall include at minimum an integrated pest management expert, a resource administrator, and a forest entomologist.

Grantee means anentity selected for receipt of Browntail Moth Mitigation Funds.

Integrated Pest Management Expert meansan expert in pest management systems that bring together a range of biological, cultural, physical, and pesticide options to address pest problems.

Nonprofit Organization means an organization that is incorporated as a non-profit organization, is registered with Maine’s Secretary of State office, engaged in activity of public benefit without any intention of earning income for its owners, and is exempt for taxation under US Internal Revenue Service Tax Code 501(c)(3).

Resource Administrator means theposition within the Bureau responsible for providing support to the Bureau for finance issues.

State of Maine Vendor means an entity registered with the Maine Department of Administrative and Financial Services to receive payments from the State of Maine.

3. APPLICATION PROCESS

The Division will issue a request for applications with application requirements and guidelines. Details on the request for applications will be provided on the Division website and announced in Department bulletins, including the Browntail Moth News bulletin.

The request for applications will include, at minimum:

1. proposal requirements,
2. funding limitations,
3. proposal deadlines,
4. review criteria, and
5. reporting requirements.

Completed applications must be submitted as outlined in the request for applications to be considered for funding.

The Grant Review Committee will review proposals based on the criteria outlined in the request for applications. Full, partial, or no funding may be awarded for each submitted proposal.

4. ELIGIBILITY

Government entities and Nonprofit Organizations engaged in or wishing to engage in activities to reduce the impacts from Browntail Moth in areas of Maine with significant Browntail Moth populations are eligible to apply for mitigation funds.

The Division will identify areas with significant populations of Browntail Moth through surveys conducted the previous winter and summer. A listing of eligible areas will be posted on the Division website by December of each year. Upon request by an applicant, the Division, in its sole discretion, may decide to add additional areas to the Division’s list of eligible areas.

5. ELIGIBLE ACTIVITIES

Eligible activities are those activities that may help reduce the impacts of browntail moth including, but not limited to, activities that support or implement:

Physical controls such as removal and destruction of overwintering webs,

Pesticide treatments,

Cultural controls such as taking actions to limit exposure, reduce habitat or attraction, and

Education.

6. ACCOUNTING AND REPORTING

Grantee must enter a formal agreement with the Department and be a State of Maine Vendor. Work performed prior to a fully executed agreement with the Department is not eligible for reimbursement and will not be reimbursed by the Browntail Moth Mitigation Fund.

Grantee must maintain an accurate record of expenditures and activities and must provide reports as outlined in the request for applications and the executed agreement.

Funds may only be used consistent with the terms of the executed agreement.

The Department will disburse funds on a reimbursement basis only, for work conducted within the agreement period and consistent with terms of the agreement, and after verifying expenditures.

---

History

• STATUTORY AUTHORITY: 12 M.R.S. §8321; P.L. 2021 ch. 727
• EFFECTIVE DATE: April 9, 2023 – filing 2023-053

Chapter 501 Use of Fireplaces and Outdoor Grills

Code Me. R. 01-669 Ch. 501 Use of Outdoor Fireplaces and Grills {#sec-01-669-ch.-501 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-669 Ch. 501}

SUMMARY: With few exceptions, fire permits are required for all outdoor fires in Maine. When fire danger conditions are severe, the Governor may ban some or all outdoor fires. Section 1 describes the conditions under which certain public or licensed campsites may continue to use outdoor fireplaces and charcoal grills during a fire ban. Section 2 describes the conditions, when a fire ban is not in place, under which certain public or private facilities or campsites may obtain a general permit, in lieu of a single-use fire pen-nit, from the Bureau to use outdoor fireplaces and charcoal grills. A facility or campsite may apply for an exemption under Section 1. and for a general, fire permit under Section 2. if it meets the qualifications.

SECTION 1. CONTINUED USE OF OUTDOOR FIREPLACES AND CHARCOAL GRILLS DURING A FIRE BAN

1. Scope and Purpose

Under Title 12, M.R.S.A., Chapter 807, the Governor may, by proclamation, ban outdoor fires as considered necessary. The chapter also permits the governor to allow licensed camping facilities and certain public campsites to continue outdoor fireplace and charcoal grill use during a ban, provided they fully comply with fire safety criteria and procedures established by the Bureau. The purpose of Section 1 is to establish the specific safety standards that must be met, and the process that eligible campsites follow, to obtain a certificate permitting continued use of outdoor fireplaces and charcoal grills during a fire ban.

2. Definitions

A. "Bureau" means the Bureau of Forestry, Department of Agriculture, Conservation and Forestry.

B. "Director" means the Director of the Bureau of Forestry or delegate.

C. "Eligible Campsite" means a "licensed camping facility" or a "certain public campsite." A "licensed camping facility" is a recreational camp or camping area licensed by the Department of Human Services, under Title 22, M.R.S.A., Chapter 562. "Certain public campsites" is any camping facility under the jurisdiction of the State of Maine's Department of Agriculture, Conservation and Forestry or the Baxter State Park Authority, per Title 12 M.R.S.A., Chapter 807.

D. "Exemption Certificate" is a written confirmation from the Director approving the owner-operator's application and statement certifying compliance with the requirements of this rule, and permitting continued use of fireplace and grills during fire bans.

3. Obtaining an Exemption Certificate from Proclaimed Fire Bans

A. Application Process. Only eligible campsites may apply for a confirmation certificate, and for only those fireplaces and grills that meet the Fire Safety Requirements of Attachment A. The owner/operator may obtain a certificate by providing the following information in writing:

(1) Copy of the license, if a licensed camping facility;

(2) Map identifying the location of the campground and campsites;

(3) Sketch of the location and size of each fireplace and grill to be exempted

(4) The name, address, and telephone number(s) of the owner(s)/operator(s);

(5) Certification by the owner/operator that all Fire Safety Requirements (Attachment A) of this rule have been met and will continue to be met; and (6) Certification that a notice of a fire ban proclamation(s) and the Fire Safety Standards of Appendix A will be posted timely at the campsite and remain posted during each fire ban.

B. Timing of Application. Applications for confirmation certificates may be submitted at any time when a fire ban is not in place. Once the governor proclaims a fire ban, the Bureau will process only applications received before the effective date of the ban, or postmarked at least seven days prior to the effective date of the ban. Certificates for applications received after this deadline will not be issued until the current ban ends.

C. Issuance of Certificate. If the application complies with this rule, the Bureau will issue an Exemption Certificate to the owner/operator -which permits the eligible campsite to continue outdoor fireplace and charcoal grill fires in listed sites during proclaimed fire bans. The Exemption Certificate is not intended as proof that the campsite complies with this rule.

4. Maintaining Exemption Status

To maintain exemption status, the eligible campsite must:

A. Have a valid Exemption Certificate;

B. Send the Bureau a written update, if the information required under Subsection 3 chances;

C. Comply with the Fire Safety Requirements of Appendix A, and other requirements of this rule; and

D. Have the Exemption Certificate readily available for inspection by the Bureau or its delegate at the campsite's nearest office.

5. Termination and Restoration of Exemption Certificate

A. Termination

The Exemption Certificate will be terminated if:

(1) In the Director's judgment, the site does not meet the Fire Safety Requirements of Appendix A or other requirements of this rule; or

(2) The Bureau has not been notified of changes in owner, operator, or other site information as required by Subsection 3; or

(3) The Governor’s fire ban proclamation or valid law repeals or limits the exemption from fire bans.

B. Restoration

(1) If the Exemption Certificate is terminated for violation, exemption status will only be restored upon written request, and after a compliance inspection is conducted and the Director determines the eligible campsite fully meets all requirements of this rule.

(2) If restoration is requested after a Governor’s Proclamation has been issued, the request will not be processed until the ban ends, unless the request was postmarked at least seven days prior to the effective date of the fire ban.

SECTION 2. GENERAL FIRE PERMITS FOR OUTDOOR FIREPLACE AND CHARCOAL GRILL USE WHEN A BAN IS NOT IN PLACE

1. Scope, Purpose, and Applicability

A. Scope and Purpose. Under Title 12 M.R.S.A. Chapter 807, with few exceptions, fire permits are required for all outdoor fires on state, municipal, or private lands within Maine. The purpose of Section 2. is to establish fire safety standards and the process that facilities covered by this section may follow to obtain a general fire permit, in lieu of a single-use fire permit, for outdoor fireplace and charcoal grill use. Sites with general fire pen-nits are not automatically exempted from a Governor’s Proclamation banning outdoor fires.

B. Applicability. Section 2 applies to licensed camping facilities in unorganized towns, public and municipal campsites statewide, public and municipal outdoor facilities with fireplaces or charcoal grills statewide, and other non-residential campsites statewide. Per Title 12 M.R.S.A. Chapter 802, Section 2 does not apply to residential use of fireplaces and grills, recreational fires when the ground is covered with snow, and fireplaces and grills in a recreational camp or camping area licensed by the Department of Health and Human Services located in organized towns, which are exempt from fire pen-nit requirements.

2. Definitions

A. A "General Permit" is a written document from the Bureau verifying that a facility or campsite has been inspected and meets the Fire Safety Requirements or has a fire plan approved by the Director. The general permit authorizes outdoor fireplace or charcoal grill use at that facility without the need for a new fire permit each time the fireplace or grill is used.

B. "Bureau" means the Bureau of Forestry, Department of Agriculture, Conservation and Forestry.

C. "Director" means the Director of the Bureau of Forestry or delegate.

3. Obtaining and Maintaining General Permit for Outdoor Fireplaces and Charcoal Grills

A. Facilities and Campsites covered by Section 2. may apply for a general permit from the Bureau's Forest Fire Control Division using one of the following methods:

(1) Arrange for a Bureau or a Bureau-delegate to inspect and approve each fireplace or charcoal grill site as complying with Fire Safety Requirements of Appendix A, Subsections A and B; or

(2) In lieu of inspection, submit for the Director's approval, a detailed written forest fire prevention and management plan which includes:

(a) proposed fire safety criteria for fireplaces and grills;

(b) a mechanism for restricting open fires in fireplaces and grills based on current and predicted fire danger; and

(c) a statement describing how the facility will police open burning activity in the fireplaces and grills.

B. If the site passes inspection, or the Director approves the fire management plan as submitted or with special conditions, the Bureau will issue the general permit to the owner/operator.

C. To maintain general permit status, the site must continue to comply with Fire Safety Requirements of Appendix A, Subsections A and B, and the owner/operator must have the general permit readily available for inspection by the Bureau or designated agent.

5. Suspension and Restoration of General Permit Status

A. General Permit status will be suspended when:

(1) The Bureau notifies the owner/operator in writing that in the Director's judgment, the site does not meet the Fire Safety Requirements of Appendix A, Subsections A and B, or other requirements of this Section; or

(2) The Governor proclaims a fire ban.

B. Restoration of General Permit Status

(1) If General Permit status is suspended for violation, a new General Permit will be issued only upon written request, and after a compliance inspection is conducted and the Director determines the eligible campsite fully meets all requirements of this Section.

(2) If General Permit status is suspended solely due to a proclaimed fire ban, it will automatically be restored after the fire ban has ended. The owner/operator should not reapply and the Bureau will not issue a new General Permit.

SECTION 3. WAIVER OF RULE

Any party governed by this rule may ask the Bureau to waive one or more requirements of the rule. The request must be in writing, describe the reasons for the request and alternative measures, and explain how a waiver would be consistent with the purposes of this rule and permitted under existing state statutes. The Director will review the request, and may inspect the site or ask for public comment, before issuing a written decision on the request.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §9001-B(4); 12 M.R.S.A. §9325
• EFFECTIVE DATE: August 15. 1977 (as Chapter 5)
• RE-ADOPTED: December 20, 1979 (Filed December 28, 1979)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: June 6, 1998 (as Chapter 501)
• CORRECTIONS: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: APPENDIX A
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: Fire Safety Requirements for Outdoor Fireplaces and Charcoal Grills
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: A. Fireplace and Charcoal Grill Use
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: 1. All surface fuels surrounding, the fireplace or charcoal grill must be removed to mineral soil for a distance equal to the diameter of the fireplace or grill. (Example: a 24 inch diameter fireplace must have a 24 inch wide mineral strip surrounding the entire fireplace.)
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: 2. For charcoal grills on a stand or above ground level, the mineral strip must encircle the grill and the mineral strip width must be 1 1/2. times the above ground height of the grill. (Example: A Charcoal grill on a 3 foot stand must have a mineral strip 4 1/2 feet wide surrounding the grill.)
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: 3. No accumulation of litter or other combustible materials may be present in the mineral strip area.
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: 4. There must be no overhanging branches closer than 15 feet from the fireplace or grill, and the 15 foot area immediately surrounding the fireplace or grill must be kept mowed of grass and cleared of underbrush which could spread a forest fire.
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: B. Combustible Shelters Within 30 Feet of a Fireplace or Grill
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: If a combustible shelter is within 30 feet of a fireplace or grill, the area between the shelter and the fireplace or grill must be clear of underbrush and unmowed grass. Combustible shelters include lean-tos, picnic area shelters, and other semi-permanent shelters which are installed or managed by the facility operator/owner.
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: C. Attendant Required During Fire Ban Periods
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: During a fire ban, campgrounds with a combination of more than 20 fireplaces or charcoal grills must have an attendant on duty during daylight hours.
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: D. Campsite Access During Fire Ban Periods
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: Campsites must be readily reachable by passenger car or truck. Sites that can only be reached by hiking trail, specialized off road vehicles, aircraft, or boat do not qualify for exemption from the ban.
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: Issued by the Department of Agriculture, Conservation and Forestry
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: Bureau of Forestry, Forest Fire Control Division
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: Effective Date: June 6, 1998.

01-670 Bureau of Parks and Lands

Chapter 1 Rules for State Parks and Historic Sites

Code Me. R. 01-670 Ch. 1 Rules for State Parks and Historic Sites {#sec-01-670-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 1}

The following rules and regulations are established by the Bureau of Parks and Lands (Bureau) pursuant to the provisions of the "Maine Revised Statutes Annotated," Title 12, Section 1803, subsection 6.

1. The use of all State Parks and Historic Sites, as defined in the Title 12 MRSA section 1801 (5), (7), shall be limited to the purposes for which they are being preserved and to activities determined by the Bureau to be compatible with the intended use of the facility. Activities which endanger persons or property are prohibited. The removal, molesting, injury or damage of anything natural, physical, prehistorical, or historical within these areas is strictly prohibited except as outlined in section 21 regarding hunting, trapping and firearms.

2. Feeding or touching wild animals found in the parks or historic sites is prohibited. For health and safety reasons, visitors are required to put away food securely and leave picnic areas and campsites clean.

3. Day use areas will be open from 9:00 a.m. to sunset daily, unless posted otherwise due to operational constraints.

4. Use of metal detectors at historic sites is prohibited. Metal detectors are allowed in other areas only by written permit obtained at the park.

5. Intoxicating beverages are not permitted in historic sites, day use areas, or in common public areas in campgrounds. Disorderly conduct is prohibited. This includes, but is not limited to, indecent acts, intoxication or coarse language.

6. Open fires are allowed only in grills or fireplaces provided by the Bureau. No fires are allowed on beaches. No fires shall be left unattended.

7. No pets are allowed in the Sebago Lake State Park campground. Pets are not allowed on beaches between April! and September 30. Pets must be on a leash under the physical control of the pet handler and must not be left unattended. Pet owners must immediately clean up any fecal deposits left by their pets. Pet owners may be assigned picnic or campsites in a less congested area of the park.

8. Wheeled vehicles including bicycles shall be parked only in places designated for that purpose, conform to posted traffic regulations, be confined to roads and trails specifically designated for their use and otherwise comply with all applicable State laws. Vehicles parked in unauthorized areas may be towed at the vehicle owner's expense.

9. The discharging of wastes, including soaps and detergents, is prohibited except in a receptacle specifically designated for that purpose.

10. All refuse shall be placed in designated containers provided by the Bureau. No refuse shall be deposited in any type of toilet facility. At those areas where the Bureau has a carry in/carry out policy, users shall be responsible for carrying out all their refuse.

11. Soliciting is prohibited.

12. Campsite vacancies will be filled either by the State Park Campsite Reservation System or on a first come, first served basis. All campers must register in person when arriving at a State Park campground.

a. The camping day is from 1 :00 p.m. until 11 :00 a.m. Camping, at anyone park, shall be limited to a cumulative total of fourteen (14) nights from the last Saturday in June through the third Saturday in August.

b. Sites may not be left unattended more than two nights. Absences exceeding two nights require prior approval of the Park Manager or designee. The Bureau may remove unattended equipment at the equipment owner's expense.

14. Campsite occupancy and use is limited to:

a. A minimum of one (1) adult 18 years of age or older per camping party

b. A family consisting of up to two (2) adults and any number of their children under 18

c. A maximum of six (6) individuals including children, except as set forth in 14b.

d. One (1) motor home, trailer, camper van, or slide-in camper is allowed per campsite

e. For tent campsites - as many tents as will comfortably fit within the designated site

f. Not more than two (2) motor vehicles including the visitor's vehicle

g. Picnic table(s) provided at the site by the Bureau. Moving picnic table(s) from site to site and using one site by several parties is prohibited.

15. Campsite visitors will be allowed as follows:

a. After 9:00 a.m. by paying the day use fee and leaving before 8:00 p.m. Limit one visiting party to a campsite. The total number of people at the campsite will not exceed ten, and the limit at Sebago Lake State Park will not exceed eight.

16. Quiet in camping areas is required between the hours of 10:00 p.m. and 7:00 a.m.

17. Trails will be opened and closed by the Bureau as warranted by environmental and safety conditions.

18. The use of chain saws and power equipment is prohibited. Generators may be used between the hours of 8:00 a.m. and 8:00 p.m. as long as they do not bother other visitors.

19. The use of floating devices, face masks or snorkels is prohibited at surf beaches. Scuba diving may be allowed by permit obtained at the park.

20. Hunting, trapping and firearms

a. All hunting and trapping shall take place in accordance with the laws of the State of Maine, the laws and rules of the Maine Department of Inland Fisheries and Wildlife, and local ordinances.

b. A concealed handgun may be carried by qualifying individuals consistent with the provisions of 12 M.R.S.A. §1803, (7). Open carry is not permitted under this provision.

c. The possession and/or use of firearms or weapons is prohibited in all areas between June I and Labor Day except in accordance with 20b above.

d. Hunting is not permitted at any time at State Historic Sites or Memorials, or at any of the properties listed below:

Andrews Beach State Park: that portion of Bradbury Mountain State Park west of State Route 9; Cobscook Bay State Park: Crescent Beach and Kettle Cove State Parks; Damariscotta Lake State Park; Ferry Beach State Park; Holbrook Island Sanctuary State Park; Mackworth Island; Nickerson Lake State Park; Owls Head Light State Park; that portion of Quoddy Head State Park within 1,000 feet of the lighthouse; Reid State Park; Sebago Lake State Park; Shackford Head State Park; Two Lights State Park; and Wolfe's Neck Woods State Park.

e. Hunting is not permitted between June land Labor Day at any of the properties listed below:

Aroostook State Park; Birch Point Beach State Park; Bradbury Mountain State Park east of Route 9; Camden Hills State Park; Grafton Notch State Park; Mt. Kineo State Park; Lake St. George State Park; Lamoine State Park; Lily Bay State Park; Moose Point State Park; Mount Blue State Park; Moxie Falls State Park; Peaks-Kenny State Park; Popham Beach State Park; Quoddy Head State Park, Range Pond State Park; Rangeley Lake State Park, except that portion posted as part of the Rangeley Lake Game Sanctuary; Roque Bluffs State Park; Swan Lake State Park; Warren Island State Park.

f. The discharge of any weapon is prohibited from or within 300 feet of any picnic area, camping area or campsite, parking area, building, shelter, boat launch site, posted trail or other developed area.

g. Trails which are closed to hunting will be posted to that effect at access points.

On trails posted as closed to hunting, loaded weapons are not permitted on the tread way except in accordance with 20b above and weapons may not be discharged within 300 feet of the trail.

h. Work areas and areas with significant public use may be temporarily posted as closed to hunting by park management in the interest of public safety.

i. Baiting of wildlife for the purpose of hunting is prohibited.

J. Trapping may take place only in accordance with the laws of the State of Maine, the laws and rules of the Maine Department of Inland Fisheries and Wildlife and local ordinances. Trapping on state parks or historic sites in organized townships requires the written permission of the Bureau.

21. The launching or retrieving of whitewater craft on the Lower West Branch of the Penobscot River by commercial whitewater outfitters is prohibited except at sites designated by the Bureau of Parks and Lands. For safety reasons access may be allowed at other locations with prior approval of the bureau.

Designated commercial access sites are:

a. McKay Station/G.N.P.

b. Big Ambejackmockamus

c. Horserace Brook

d. Bateau Take Out

e. Nevers Comer.

In addition to any criminal and civil sanctions imposed by law, the Bureau may evict any person violating these rules or other State laws or regulations. Bureau employees or their representatives in the official conduct of their duties and in accordance with bureau policy are exempt from the above rules.

Penalties: Violation of any of these rules, that constitutes a criminal offense as designated in Title 12 MRAS §1806 (4) is a Class E crime.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §606
• EFFECTIVE DATE: March 14, 1975 (filed 8-14-78)
• AMENDED: July 1, 1979
• AMENDED: April 21, 1983 (EMERGENCY)
• AMENDED: May 27, 1983 (EMERGENCY)
• AMENDED: May 21, 1984
• AMENDED: May 7, 1986
• AMENDED: June 8, 1987
• AMENDED: April 6, 1988
• AMENDED: May 17, 1989
• AMENDED: March 8, 1992
• AMENDED: September 23, 1995
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: May 27, 1997 - Section 22 added
• NON-SUBSTANTIVE CORRECTIONS: August 7, 1998 - Missing words "including bicycles" from September 23, 1995 amendment reinserted; stray parenthesis removed from 16; under VIOLATION OF RULES AND REGULATIONS, "markers" corrected to "marker."
• AMENDED: October 23, 1999
• AMENDED: June 3, 2012 – filing 2012-163
• AMENDED: CORRECTIONS
• AMENDED: February, 2014 – agency names, formatting
• AMENDED: July 19, 2014 – filing 2014-147
• AMENDED: 01-670 Chapter 1 page 4

Chapter 2 Rules and Regulations for the Allagash Wilderness Waterway

Code Me. R. 01-670 Ch. 2 Rules and Regulations for the Allagash Wilderness Waterway {#sec-01-670-ch.-2 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 2}

SUMMARY: These rules govern public recreational uses of the Allagash Wilderness Waterway, and the approval and notification of timber harvesting, herbicide applications, and new construction in the Quarter Mile Zone.

SECTION 1. DEFINITIONS

1.1 Allagash Waterway or Waterway: The area of the waterway means the bodies of water consisting of lakes, rivers and streams extending from Telos Lake Dam northerly to the confluence of West Twin Brook and Allagash river, a distance of approximately 85 miles, and bodies of water consisting of lakes and streams, extending from where Allagash Stream crosses the West Boundary ofT8 R14, easterly to the inlet of Allagash Stream with Chamberlain Lake, a distance of approximately 10 miles. The waterway includes Telos Lake, Round Pond (T6 R11), Chamberlain Lake, Eagle Lake, Churchill Lake, The Allagash River, Umsaskis Lake, Long Lake, Harvey Pond, Round Pond (T13 R12), the Allagash Stream, Allagash Lake, and all intervening and connecting bodies of water. It shall include all land area and all waters within one mile of the high water mark of the shore lines of the aforementioned lakes and ponds, intervening and connecting bodies of water, and the high water marks of either bank of the aforementioned streams and rivers.

1.2 Campsite cell: An area within a authorized campsite designed to accommodate one camping party and containing a fireplace and a picnic table. Campsites may contain one or more cells.

1.3 Canoe: A canoe is defined as a form of small watercraft long and narrow, sharp on both ends or sharp on one end and blunt at the other, usually propelled by paddles or small motors, and having no sails. The width at the widest point shall not exceed 20% of the craft's overall length, nor shall the transom, if any, exceed 26 inches in width. Measurement shall be the outside of the hull but shall not include gunwales, rub rails, or spray rails, if any.

1.4 Dead: Trees that exhibit a near total loss of foliage and have a cambial layer that is discolored.

1.5 Dead or Dying Area: A harvest or sub-harvest area will be considered dead or dying if 70% or more of its trees 6 inches in diameter and larger measured at 4 1/2 feet above ground level, are expected to be dead within five years. Includes merchantable trees that have been uprooted or fallen because of natural causes.

1.6 Dying: Reasonably expected to be dead due to natural causes within five years; (e.g. spruce or fir severely defoliated in 3 successive years, trees with broken tops, blowdowns and windthrown trees, fire damaged or diseased).

1.7 Entry: The period of operation in each harvesting application received by the Bureau of Parks and Lands.

1.8 Harvesting Area: Total contiguous area within the One-Mile Area of the Waterway proposed for commercial operation or pre-commercial operation, at one entry.

1.9 Kayak: A kayak is defined as a form of small watercraft, long and narrow, sharp on both ends, usually propelled by a double-bladed paddle in a sitting position, and having no sails. It usually has a covered deck, a cockpit covered by a spray-deck and/or skirt, and may be equipped with a small rudder. The width at the widest point shall not exceed 25% of the craft's overall length. Measurement shall be the outside of the hull but shall not include gunwales, rub rails, or spray rails, if any.

1.10 Merchantable: Trees that are useable for a wood product, whether the market exists or not.

1.11 New Construction: Includes any new buildings, roads, and other development. Does not include maintenance or repair work such as grading, reditching, replacement of culverts or replacement of bridge decks and stringers.

1.12 One-Mile Area: All land area and all waters within one mile of the high water mark of the shorelines of the Allagash Watercourse.

1.13 Pre-Commercial Thinning: Timber cutting operation that does not include removal of trees six inches in diameter or greater (4 112 feet above ground level) from the stand.

1.14 Restricted Zone: "Restricted Zone" means a land area of 400 feet to 800 feet that extends in all directions from the bounds of the watercourse, and includes all land areas within the bounds of the watercourse and all additional areas that may be added by mutual agreement between the director and private property owners.

1.15 Sub-Harvest Area: Units within the harvest area that will be cut using different harvesting techniques, usually because of steepness of slope, species composition, soils, and/or condition of trees.

1.16 Visible Area: Those land areas that can be seen at any point on the watercourse from Churchill Dam north, without the aid of any magnifying devices.

1.17 Watercourse: "The watercourse" means the bodies of water consisting of lakes, river and streams extending from Telos Lake Dam northerly to the confluence of West Twin Brook and Allagash River, a distance of approximately 85 miles, and bodies of water consisting of lakes and streams extending from where Allagash Stream crosses the west boundary of T8 R14 easterly to the inlet of Allagash Stream with Chamberlain Lake, a distance of approximately 10 miles. The watercourse includes Telos Lake, Round Pond (T6 R11), Chamberlain Lake, Eagle Lake, Churchill Lake, the Allagash River, Umsaskis Lake, Long Lake, Harvey Pond, Round Pond (Tl3 R12) the Allagash Stream, Allagash Lake and all intervening and connecting bodies of water.

SECTION 2. RULES FOR RECREATIONAL USES AND ACCESS

2.1 REGISTRATION

Each party intending to camp overnight at an Allagash Wilderness Waterway campsite must register at the first opportunity at a North Maine Woods control station, an AWW Ranger Station, or with an AWW ranger.

2.2 CAMPING

A. Visitors shall pay any fees charged by the Bureau.

B. Camping is prohibited except at authorized campsites. Authorized campsites are identified by signs and indicated in the Bureau's Waterway brochure. Campsites consist of one or more individual cells each including a picnic table and a fireplace.

C. Camping is prohibited in parking areas, except camping will be allowed from October 1 to May 15 in the parking area at Chamberlain Thoroughfare, with the exception noted in section E.l, and October 1 to November 30 in the parking area at Umsaskis Thoroughfare.

D. Camping will be allowed on consecutive nights on any campsite if, in the judgment of the Bureau, as represented by its authorized employees, such use is not an inconvenience to other users of the Waterway.

E. WINTER CAMPING AT CHAMBERLAIN THOROUGHFARE AND KELLOGG BROOK

1. Winter camping in the Chamberlain Thoroughfare parking area and the Kellogg Brook site will not be permitted from the first Sunday in December to the second Saturday in December. All camping equipment must be removed from the parking area and Kellogg Brook site during this period. Any camping equipment remaining in the Chamberlain Thoroughfare parking area or Kellogg Brook site is subject to removal by the Bureau, at the owner's expense. The Chamberlain Thoroughfare parking area and Kellogg Brook site will be open to campers from 8:00 a.m. on the second Saturday in December to May 15.

2. Camping spaces in the Chamberlain Thoroughfare parking area and the Kellogg Brook site will be allotted on a first-come, first-served basis until the campground capacity is reached. Registration takes place at the Chamberlain Thoroughfare Bridge ranger station, beginning at 8:00 a.m. on the second Saturday in December. No camping equipment shall be left onsite without first registering.

3. One self-contained camping unit will be allowed per site.

4. Unregistered campers must register with the Waterway ranger upon arrival at Chamberlain Thoroughfare.

5. Full payment of the required fee will be due at the time of registration.

6. Assignment, subletting, and commercial use of campsites are not allowed.

F. Winter camping may be allowed off authorized campsites by special activity permit issued by the Waterway Superintendent.

2.3 GROUP SIZE

A. Groups of more than 12 persons of any age, including trip leaders and/or guides, are prohibited from traveling on the Allagash watercourse or camping at Allagash Waterway campsite cells. (See exception under rule 2.3C)

B. Groups that exceed this limit and intend to use the watercourse or campsites must:

1. divide into self-contained groups of 12 or fewer persons and travel out of sight of each other or at least one half mile apart;

2. not share equipment or campsite cells.

C. Oversized groups that were "grandfathered" by rule in 1974 may be granted a permit that will allow them to exceed the 12 person maximum by no more than the number of persons in the largest group the organization registered in the past three years. In no case shall the number of persons in the group exceed 18. In any one year, oversized groups will not be permitted more trips than the largest number of trips they had in any of the previous three (3) years.

D. Trip Leader Permits are required for boys and girls camps licensed by the Maine Department of Human Services, or those camps located in another state that requires a similar license. Such camps, in conducting trips in the Waterway, shall:

1. provide at least one staff member over 18 years of age for each 6 campers, and;

2. ensure that the staff member in charge of the trip holds a valid Trip Leader Permit.

2.4 RESOURCE DAMAGE

The cutting or damaging of live trees or brush within the Restricted Zone, except to maintain safe roadways and for authorized activities of the Bureau, is prohibited. The damage or removal of anything prehistorical or historical within the Restricted Zone is prohibited.

2.5 OPEN FIRES

A. Open fires are allowed only in fireplaces provided by the Bureau.

B. No person shall build fireplaces in addition to those provided by the Bureau.

C. When the ground is snow covered, fires must be built in authorized fireplaces, on authorized campsites, or on the ice below the high water mark.

D. No fire shall be left unattended.

2.6 LITTER/REMOVAL OF WASTE

A. Littering is prohibited. Visitors must carry out all refuse. Unburned refuse left in fireplaces will be considered litter.

B. The discharging of wastes of any kind, including, but not limited to soaps and detergents in the waters of the Allagash Wilderness Waterway is prohibited.

2.7 USE OF TRAILS, PARKING, AND OTHER AREAS

Vehicles, including campers, snowmobiles, and A TV's, parked in unauthorized areas within the Restricted Zone, may be removed at the owner's expense.

2.8 USE OF WATERCRAFT

A. From the south end of Telos Lake to the north end of Chamberlain Lake, the use of all models of personal watercraft (PWC), hovercraft, airboats, racing boats, and pontoon boats is prohibited.

B. From Lock Dam Stream, where it enters Eagle Lake north to Twin Brook Rapids, only canoes and kayaks without motors or motors not exceeding 10 H.P. may be used on the watercourse. Canoes and kayaks must meet the dimensions specified in the definitions section of this rule.

C. On Allagash Lake and Allagash Stream to the red posts at the entrance of Chamberlain Lake, all watercraft are prohibited except canoes and kayaks without motors. Canoes and kayaks must meet the dimensions specified in the definitions section of this rule.

D. Except on Telos and Chamberlain Lakes, the use of inflatable watercraft is prohibited.

E. Water skiing or other activities in which individuals are towed behind watercraft are prohibited.

2.9 SWIMMING

Swimming, jumping, and diving from all dams and bridges is prohibited.

2.10 ACCESS BY MOTOR VEHICLE

A. Unless otherwise provided for by these rules, access by motor vehicle to the watercourse shall be prohibited except at the following locations. Limited access at John's Bridge is as provided in section 2.11.

Chamberlain Thoroughfare Bridge, T6-R11;

Indian Stream, T7-R12;

Churchill Dam, T10-R12;

Bissonette Bridge, T10-R12;

Umsaskis Launching Area, T11-R13;

Henderson Brook Bridge, T13-R12

Michaud Farm, T15-R11;

Finley Bogan T15-R11;

Twin Brook, Allagash Plantation.

For the purposes of this rule, access by motor vehicle shall be defined as the stopping or standing of a motor vehicle and/or a trailer for the purpose of loading or unloading people, watercraft, baggage or provisions.

B. Parking of vehicles in the Restricted Zone is prohibited except within designated parking areas at the following locations:

Churchill Dam, T10-R12;

Umsaskis Thoroughfare, T11-R13;

Ramsay Ledge, T15-R11;

Michaud Farm, T15-R11;

Finley Bogan, T15-R11.

C. Unless otherwise provided for by these rules, parking for access to the watercourse is allowed outside the Restricted Zone and not to exceed any limits posted by the Bureau, only at the following designated parking lots. Parking outside the Restricted Zone for limited access at John's Bridge is as provided in section 2.11.

Chamberlain Thoroughfare, T6- R11;

Henderson Brook Bridge, T13-R12;

Indian Stream, T7-R12.

D. Access by motor vehicle for camping at authorized campsites is allowed only at Ramsay Ledge.

E. The operation of motor vehicles within the One Mile Area around Allagash Lake is prohibited from May 1 to September 30.

F. The use of automobiles and trucks on ice-covered portions of the watercourse is prohibited.

2.11 JOHN'S BRIDGE, T9-R13

The launching or retrieving of watercraft or other recreational equipment, the embarking or disembarking of passengers, baggage, or provisions from the watercourse within 500 feet of John's Bridge is prohibited, except during the months of May and September, between one hour before sunrise and one hour after sunset, with a day-use permit issued by the Bureau. Overnight or multi-day trips cannot start or end at this location. Vehicle parking must be outside the Restricted Zone.

2.12 ACCESS BY SNOWMOBILES AND ATVS

A. Access to the watercourse by snowmobiles is prohibited except at the following locations:

T6-R11 - Telos Dam and Chamberlain Thoroughfare; T6-R12 - Mud Pond Carry and McNally Brooks; T7-R12, Nugent's Camps, Chamberlain Farm and Woodman Cove; T8-R12, Smith Brook; T7-R13, Upper Crow's Nest and Lock Dam; T8-R13, Zeigler Trail and Russell Cove; T9-R12, Twin Brooks; T10-R12, Churchill Dam; T11-R13, Camp Drake; T12-R13, Ross Stream; T13‑R12, Henderson Brook Bridge; T15 R11, Michaud Farm; and Allagash Plantation - Twin Brook.

B. Designated locations may be temporarily closed when trail conditions are determined to be unsafe. When this occurs another location may be temporarily designated. The temporary closing/opening of designated access locations will be allowed by posting authorized by the Waterway Superintendent.

C. Snowmobiles are prohibited on Allagash Lake and Allagash Stream.

D. ATVs are prohibited within the Waterway. Except, ATVs may be allowed during the winter months on designated snowmobile trails and on the watercourse when lack of snow cover limits access by snowmobile. This exception will be allowed by posting authorized by the Waterway Superintendent.

E. A TV s are prohibited within one mile of Allagash Lake or Allagash Stream

F. Other than as permitted above, A TV use is allowed only for

1. emergency, administrative, and forest management purposes;

2. administrative purposes at Nugent's and Jalbert's camps;

2.13 ACCESS BY AIRCRAFT

A. Aircraft may land and take off, on open water, on the watercourse, for the purposes of embarking or disembarking passengers, baggage, or provisions, only at the following locations:

Webster Lake Inlet, T6-R11;

Chamberlain Thoroughfare Bridge, T6-R11;

Nugents Camps, T7-R12;

Lock Dam, T7-R13;

Churchill Dam, T10-R12 Camp Drake on Umsaskis Lake, T11-R13;

Jalbert's Camps, Round Pond, T13-R12.

B. Aircraft are not permitted to land or take off at any other locations within the One Mile Area except with the prior approval of the Bureau.

C. Aircraft may land on frozen bodies of water within the One Mile Area, except Allagash Lake.

2.14 WATERCRAFT STORAGE

Watercraft, including watercraft equipment, shall not be left unattended in the Restricted Zone, except for emergency situations or temporary storage by permit. Temporary storage permits not to exceed 14 consecutive days, may be issued by the Bureau for designated locations not readily visible from the watercourse, at the sites listed below:

Chamberlain Thoroughfare (T16-R11);

Indian Stream (T7-R12);

Churchill Dam (T10-R12);

Umsaskis Thoroughfare (T11-R13);

Henderson Brook Bridge (T13-R12);

Michaud Farm (T15-R11).

Watercraft, including watercraft equipment, shall be marked with a tag issued by the Bureau of Parks and Lands clearly showing the name and address of the owner and the date the watercraft was left unattended.

Any watercraft, tent, shelter other than an ice shack, or other personal property, structure, or fixture left unattended for more than three consecutive days without written authorization from the Bureau shall be deemed to have been abandoned, and the Bureau may take custody of such property and dispose of the same in accordance with the law.

2.15 FOOT TRAILS

A. The development and maintenance of foot trails within the Allagash Wilderness Waterway is prohibited, except, and to the extent that the landowner has given permission, those listed below:

The Allagash Mountain trail between Allagash Lake and Allagash Mountain;

The Carry Trail between Round Pond (T7-R14) and the south end of Allagash Lake;

The Johnson Pond Outlet trail between Johnson Pond and Allagash Stream (T8- R14);

The portage trail between Telos Dam and Webster Lake (T6-R11) The trail between Otter Pond and Allagash Lake (T8-R14);

The Indian Stream trail along Indian Stream to Eagle Lake (T7-R12);

The trail to the locomotives (T8-R13);

The Pumphandle Trail (T8-R13);

The Sandy Point Trail (T11-R13);

The Round Pond Mountain trail to the Round Pond Mountain Tower (Tl3-R12);

The Tramway trail between Chamberlain and Eagle Lakes;

The trail to the Ice Caves from Allagash Lake;

Portage Trails at Little Allagash Falls, Lock Dam and Allagash Falls.

The portage trail between Churchill Dam and Big Eddy.

B. Use of the Ziegler (Eagle Lake), Russell Cove (Eagle Lake), and Island Campsite (Allagash Lake) trails is prohibited between May 1 and September 30.

2.16 POWER EQUIPMENT

A. The possession or use of power saws is prohibited within the Restricted Zone and on the watercourse, except at Nugent's and Jalbert's camps or in vehicles in transit. Chain saws may be used at Jalbert's and Nugent's camps consistent with the terms of the Bureau leases for these camps.

B. The use of other motor-powered tools and equipment within the Restricted Zone and on the watercourse is prohibited, except:

1. Generators may be used in the camping areas at Chamberlain Thoroughfare Bridge and Kellog Brook from October 1 through May 15.

2. Generators may be used at Jalbert's and Nugent's camps.

3. Power ice augers may be used on any of the lakes open to ice fishing except Allagash Lake.

2.17 CONDUCT

A. Conduct detrimental to the safety and well-being of a person or persons is prohibited, including, but not limited to disorderly conduct, indecent acts, intoxication, or coarse language.

B. Conduct that would change or damage the natural features, structures, and wilderness character of the Waterway is prohibited~

C. Soliciting and advertising are prohibited.

2.18 ARTIFACTS

A. Use of metal detectors is prohibited.

B. Artifacts within the Restricted Zone are the property of the State and their disturbance, removal, or possession is prohibited except as specifically permitted in writing by the Director of the Bureau of Parks and Lands for research, preservation, or educational purposes.

2.19 HUNTING/POSSESSION OF FIREARMS

Hunting and trapping shall be in accordance with the laws of the State of Maine, the laws and rules of the Maine Department of Inland Fisheries and Wildlife, local ordinances and the following Bureau rules:

A. The Bureau may permanently or temporarily close trails and other areas within the Restricted Zone to hunting. Trails and other areas closed to hunting shall be posted by the Bureau.

B. Hunting within the Restricted Zone is prohibited from May 1 through September 30.

C. Firearms and archery equipment are prohibited within the Restricted Zone from May 1 through September 30. Firearms being transported across the restricted zone/watercourse from May 1 through September 30 must be securely wrapped in a complete cover, fastened in a case, or carried in at least two pieces in such a manner that they cannot be discharged unless joined together. Except that, firearms and archery equipment may be transported across the restricted zone without being securely wrapped in a complete cover, fastened in a case, or carried in at least two pieces at the permanent watercourse crossings listed in Title 12, section 1882:

Henderson Brook Bridge

Reality Bridge

Churchill Dam Bridge

John's Bridge

Chamberlain Thoroughfare Bridge

Allagash Stream Bridge

D. concealed handgun may be carried by qualifying individuals consistent with the provisions of 12 MRSA section 1803, subsection 7. Open carry is not permitted under this provision.

E. Discharging any firearm or archery equipment is prohibited from or within 300 feet of any picnic area, camping area or campsite, parking area, building, shelter, boat launching site, posted trail or other developed area, within the Restricted Zone, including dams, or from Chamberlain Bridge, John's Bridge, Umsaskis Thoroughfare Bridge, or Henderson Brook Bridge

2.20 ICE SHACKS / PERSONAL PROPERTY

A. Ice shacks are not allowed on Allagash Lake. Windbreaks may not remain on Allagash Lake overnight.

B. Ice shacks must be removed from the watercourse within three (3) days of the close of ice fishing.

C. Ice shacks and/or structures used for ice fishing are prohibited within the Waterway from April 3 to the second Saturday in December, except that ice shacks may be stored in the parking lot at Chamberlain Thoroughfare Bridge from April 3 until May 15.

2.21 PETS

Pets must be under the owner's control at all times and must not be left unattended. Pet owners are required to immediately clean up any fecal deposits left by their pets on campsites, trails, and in parking lots, and other developed areas, within the Restricted Zone.

2.22 EXCEPTIONS

State employees or their representatives in the official conduct of their duties and with prior permission from the Bureau may be exempted from the above rules.

SECTION 3. TIMBER HARVESTING/HERBICIDE TREATMENT/NEW CONSTRUCTION

3.1 TIMBER HARVESTING

A. A management plan for all forest operations within the Waterway must be submitted to the Bureau of Forestry on the appropriate section(s) of the Forest Operation Notification.

B. Forestry Operations in Visible Areas must receive the prior written approval of the Bureau of Parks and Lands. Maps of Visible Areas are available from the Bureau of Parks and Lands.

C. Standards for timber harvesting in the Visible Area of the Waterway and associated road construction are presented in section 3.2 of these rules. Timber harvesting approval for the remainder of the Waterway within the One-Mile Zone is not required, but the Bureau must receive prior notification of plans to harvest.

D. Harvesting in Visible Areas that exceeds the standards, can only take place to remove trees that are dead, dying, or damaged by natural causes, or is the sole economically feasible silvicultural alternative. Such proposed harvesting must be reviewed in the field by Bureau staff with landowner representatives in order to determine the impact on the natural character of the Visible Area, as well as the ramifications of disapproval. In such cases, additional information may be requested of the applicant to justify exceeding the standards.

E. For harvesting in the Waterway outside of the visible area, submission of the appropriate section(s) of the Forest Operations Notification will serve as notification by the landowner of plans to harvest.

3.2 STANDARDS

The following standards will apply to timber management and associated activities. A management plan will be approved by the Bureau of Parks and Lands-if these standards are met.

A. Timber Harvesting in the Restricted Zone is not permitted except for reasons of public safety or partial clearing for administrative purposes (campsites, ranger cabins, authorized trails, etc.). Visual enhancement cuts are not allowed.

B. Timber Harvesting in Visible Areas of the Waterway shall not remove in any 10 year period more than 40% of the volume of trees 6 inches or greater in diameter, measured 4 1/2 feet above ground level, in the area to be cut; however, all remaining merchantable trees in an area may be harvested in the removal stage of a shelterwood system providing that sufficient natural regeneration is present on the site. Evidence of adequate, well distributed natural regeneration must be included with the application for the removal harvest of a shelterwood.

C. Strip or patch cuts in the Visible Area should be oriented perpendicular to the line of sight from the river. Maximum harvest openings for the strip or patch cuts based on slopes are as follows:

Allagash River Umsaskis Lake

Slope Max. Width Max. Size Slope Max. Width Max. Size

0-5% 2000’ 50 acres 0-5% 1800’ 50 acres

6-10% 2000’ 50 acres 6-10% 650’ 20 acres

11-15% 2000’ 50 acres 11-15% 350’ 20 acres

16-20% 1800’ 20 acres 16-20% 250’ 10 acres

21-25% 900’ 20 acres 21-25% 180’ 10 acres

26-30% 600’ 10 acres 26-30% 140’ 5 acres

31-35% 450’ 10 acres 31-35% 100’ 5 acres

36-40% 350’ 5 acres 36-40% 80’ 5 acres

Long Lake Round Pond

Slope Max. Width Max. Size Slope Max. Width Max. Size

0-5% 2000’ 50 acres 0-5% 1800’ 50 acres

6-10% 750’ 20 acres 6-10% 650’ 20 acres

11-15% 400’ 20 acres 11-15% 350’ 20 acres

16-20% 250’ 10 acres 16-20% 250’ 10 acres

21-25% 200’ 10 acres 21-25% 180’ 10 acres

26-30% 150’ 5 acres 26-30% 140’ 5 acres

31-35% 100’ 5 acres 31-35% 100’ 5 acres

36-40% 100’ 5 acres 35-40%80’ 5 acres

D. Timber harvesting in other areas of the Waterway, outside the Visible Area, requires only notification of the Bureau of Parks and Lands through the appropriate section of the Forest Operations Notification.

E. Road construction for timber harvesting in the Restricted Zone is not permitted, although winter roads may cross the watercourse at right angles with the prior written permission of the director.

F. Roads for timber harvesting in Visible Areas of the Waterway should be designed to follow the contours of the land, avoiding straight lines and taking advantage of foreground vegetation for screening.

3.3 NEW CONSTRUCTION

Prior written approval by the Bureau of Parks and Lands-of new construction with 1/4 mile of the Restricted Zone is required. New construction approval application forms are available from the Bureau of Parks and Lands.

3.4 HERBICIDE TREATMENT

All proposed herbicide treatments must be submitted to the Bureau of Parks and Lands. Prior written approval by the Bureau of Parks and Lands of herbicide treatments within Visible Areas is required. Herbicide application forms are available from the Bureau of Parks and Lands.

History

• STATUTORY AUTHORITY: Title 12 M.R.S.A. Section 1803(6)(C)
• EFFECTIVE DATE: May, 1978 (filed August 14, 1978)
• AMENDED: July 1, 1979
• AMENDED: July 14, 1983
• AMENDED: February 10, 1986 - Section 3
• AMENDED: May 7, 1986
• AMENDED: June 8, 1987
• AMENDED: April 6, 1988
• AMENDED: November 29, 1988 (EMERGENCY)
• AMENDED: March 21, 1989
• AMENDED: March 8, 1992
• AMENDED: June 19, 1994 (pages 1-3)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTION: August 7, 1997 footer added to form, alerting public that there may be an updated version available from the Department.
• NON-SUBSTANTIVE CORRECTION: February 23, 2000 - converted to MS Word
• AMENDED: September 17, 2000
• AMENDED: December 7, 2003 - filing 2003-459
• REPEAL AND REPLACE: May 3, 2010 - filing 2010-163
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: July 19, 2014 – filing 2014-148
• AMENDED: February 22, 2017 – filing 2017-024
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 3 Maine State Aids to Navigation System

Code Me. R. 01-670 Ch. 3 Maine State Aids to Navigation System {#sec-01-670-ch.-3 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 3}

SUMMARY: These rules present a uniform system for the buoying of the Maine Waters.

MAINE STATE

AIDS TO NAVIGATION SYSTEM

DEPARTMENT OF AGRICULTURE, CONSERVATION AND FORESTRY

BUREAU OF PARKS & LANDS

BOATING FACILITIES DIVISION

The Director, Maine Bureau of Parks and Lands, as authorized by Title12 MRSA §1894, adopts the following Rules and Regulations.

The Maine State Aids To Navigation System is the basic system of waterway markers used on state waters as recommended by the U.S. Coast Guard for the purpose of minimizing hazards to navigation.

Maine cooperates in this nationwide marking system to insure that these buoys and markers will have the same meaning in all states. The system is consistent with the International Association of Lighthouse Authorities (IALA) Maritime Buoyage System (Region B) and is compatible with existing U.S. Coast Guard regulations.

SECTION 1 - GENERAL

A. PURPOSE

The waterway marking system of this State, “Maine State Aids To Navigation System (M.S.A.T.N.S.)," has been developed to guide the watercraft operator by:

1. Delineating safe boating channels;

2. Indicating the presence of either natural or artificial obstructions and hazards;

3. Marking restricted or controlled areas;

4. Providing directions.

The Director of the Bureau of Parks and Lands shall decide when, in his/her opinion, hazards to navigation exist and mark the waters of the State, within the resources and funds available, by placement of aids to navigation and regulatory markers on the waters consistent with the rules provided in Title 12 MRSA §1894.

The Director, Maine Bureau of Parks and Lands , as authorized by Title 12 MRSA §1894, adopts the following Rules and Regulations.

C. DEFINITION OF TERMS

Certain terms, as used in these Rules and Regulations, are defined as follows:

AGREEMENT OF ASSISTANCE. A written agreement whereby an organization or political subdivision may assist the State in waterway marking.

AID TO NAVIGATION OR AID. A waterway marker placed in, on, or near the water, designed to indicate a channel or the presence of a navigational hazard.

BEACON. Any device designed in a fixed manner in the water or adjacent land (structure constructed of pilings, etc.), which is used to convey a message of Navigational Aid to watercraft operators.

BOATING PUBLIC. Those persons who trade and/or travel by passenger craft, yachts, houseboats, fishing boats, motorboats, sail boats, personal watercraft and other watercraft, whether or not operated for hire or profit.

BUOY. Any device designed to float, anchored in water and is used to convey a message, the exception being a mooring buoy, which is used to moor a watercraft.

BUREAU. The Bureau of Parks and Lands, Maine State Department of Agriculture, Conservation and Forestry.

DISPLAY AREA. The area on a buoy or sign used for display of a water marker symbol and /or pertinent boating information.

FAIRWAY. A navigable channel in a restricted area of a water body which may or may not be marked with channel markers.

FREE NAVIGATION. The right of the boating public to utilize a water body subject only to those restrictions imposed by legal authority.

GREAT POND. Any natural body of water ten (10) acres or larger or any artificial body of water thirty (30) acres or larger.

MOTORBOAT. Any watercraft, including airmobiles, equipped with propulsion machinery of any type, whether or not the machinery is the principle source of propulsion, is permanently or temporarily attached, or is available for propulsion on the watercraft.

NAVIGATION HAZARDS. Any obstructions to navigation submerged in or floating on the waters of the State occurring either naturally or placed in or on the waters by individuals.

ORGANIZED SWIM AREA. Any developed swim area, especially those areas developed by summer camps, community organizations and other shoreline owners, which is enclosed by line floats and delineated by at least two “Swim Area” markers at the outer off shore bounds.

PERMIT, STATE (Waterway Marking). Written consent of the State, given for the placement and maintenance of navigational aids or regulatory markers.

REGULATORY MARKERS. Waterway markers placed in, on, or near the water to indicate or convey: Danger, Restricted or Controlled areas and/or information.

SHORELINE. The demarcation between land and water at any specific time. The shoreline will vary as the water elevation fluctuates.

SIGN. A device for carrying a message which is attached to another object such as a buoy, beacon structure, post, piling, or the land itself.

SKI JUMP, WATER. Structure to allow water skiers to leave the normal water surface, placed on the surface of the waters of the State and anchored to the bottom.

SKI SLALOM COURSE, WATER. Buoyed course through which water skiers zigzag.

SWIMMING AND DIVING FLOATS. Any floating structure for swimming and/or diving, placed on the surface of the waters of the State and temporarily or permanently anchored to the bottom.

SYMBOLS. Figures, geometric in shape, such as a diamond, circle, rectangle, square, or other as deemed necessary, used to convey information.

WATERCRAFT. Any type of floating vessel, boat, canoe, or craft used or capable of being used as a means of transportation on water other than a sea plane.

WATERS OF THIS STATE. All inland waters and all coastal waters within the jurisdiction of the State of Maine.

WATER SAFETY ZONE. That area of water within 200 feet of any shoreline, whether the shoreline of the mainland or of an island. The State does not normally buoy hazards within this zone except when marking a channel or critical, high traffic areas.

WATERWAYS. Water, navigable in fact, which, by itself, or by uniting with other waters, navigable in fact, forms a waterway on which watercraft may travel.

WATERWAY MARKER. Any device designed to be placed in, on, or near waters of this State, to convey an official message to a watercraft operator on matters which may affect health, safety or well-being.

SECTION II - REGULATIONS

A. EFFECTS OF REGULATIONS

The Director of the Bureau of Parks and Lands may make rules for the uniform marking of the water areas of this State not otherwise regulated, through the placement of aids to navigation and regulatory markers. No city, county or person shall mark the waters of this State in any manner conflicting with the marking system prescribed by the Director of the Bureau of Parks and Lands.

B. VIOLATIONS OF RULES AND REGULATIONS

Whoever violates any of the rules and regulations or any notices posted by the Bureau of Parks and Lands at public boat launch facilities, or who willfully mutilates, defaces or destroys any notice, monument or marker lawfully erected within or adjoining the borders of these public facilities shall be guilty of a Class E Crime.

Whoever marks waters contrary to the rules established by the Director of the Bureau of Parks and Lands shall be guilty of a Class E crime.

Whoever moors a watercraft to any buoy, beacon or permanent structure placed by the State or any organization authorized to place markers by permit in waters of this State, or in any manner makes fast thereto, shall be guilty of a Class E crime.

Whoever intentionally destroys, defaces, damages, moves off station or sinks any buoy, beacon or marking device either floating on the waters of the State or permanently fixed to the land or structures adjacent to the water areas of the State, placed by the State, or any organization authorized to place markers by permit, shall be guilty of a Class E crime.

C. DISTRICT AND SUPERIOR COURTS HAVE CONCURRENT JURISDICTION

The District Court and the Superior Court shall have concurrent jurisdiction in all prosecutions under any provision of this chapter. Any person arrested as a violator of said chapter may be taken before the District Court in the division where the offense was committed, or in any adjoining division. Jurisdiction in such cases is granted to the District Court to be exercised in the same manner as if the offense had been committed in that division.

SECTION III - SYSTEM OF AIDS TO NAVIGATION & WATERWAY MARKERS

The Maine State Aids To Navigation System (M.S.A.T.N.S.) has been developed to guide the watercraft operators on waters of this State.

State waterway markers shall not normally be placed within the Water Safety Zone (200 feet or less from any shoreline), except when marking channels or hazards to navigation in critical high traffic areas. Floating State waterway markers normally will mark hazards covered by less than four (4) feet of water at low water during the boating season. (Typically from Memorial Day to October 1st each year.)

The M.S.A.T.N.S. consists of five (5) types of markers:

1. Lateral types of Aids to Navigation;

2. Safe water markers;

3. Inland waters obstruction markers;

4. Regulatory and Information markers;

5. Other waterway Marking Devices and Waterborne Structures.

6. Lateral type aids to navigation mark defined channels. They define the port and starboard sides of a route to be followed and their most frequent use is to mark the sides of a channel. The coloring and numbering of Lateral aids are determined by their position with respect to the navigable channel, as such channels are entered and followed upstream or toward the head of navigation. There are two (2) distinctively colored aids used to indicate the sides of a channel.

a. Solid Colored GREEN Aids (All Green Can) shall indicate that side of a channel to be kept to the left (port side) of a watercraft when proceeding upstream or returning from the main water body. Go between all-green aid and a companion all-red aid. The green aid is used together with the all-red aid to mark the entrance of a channel. While traversing the remainder of said channel, all-green aids shall be kept on the same side of the watercraft as indicated by placement of aids at the entrance to the channel.

b. Solid Colored RED Aids (All Red Nun) shall indicate that side of a channel to be kept to the right (starboard side) of a watercraft when proceeding upstream or returning from the main water body.

Go between all-red aid and a companion all-green aid. The red aid is used together with the all-green aid to mark the entrance of a channel. While traversing the remainder of said channel, all-red aids shall be kept on the same side of the watercraft as indicated by placement of aids at the entrance of the channel.

2. Safe water markers indicate that there is navigable water all around the marker. Their most frequent use is to indicate fairways or mid-channels.

a. A RED and WHITE Vertically Striped Aid shall mark the Fairway or center of a channel. Watercraft can safely pass close by either side of these markers when following them in sequence. Stripes shall be of approximately equal width and marker shall display red spherical topmark.

3. Inland waters obstruction markers indicate that the hazard extends from the nearest point of land to the buoy.

a. BLACK and WHITE Vertically STRIPED Aids shall mark obstructions extending from the nearest shore to the aid and shall indicate to a watercraft operator not to navigate between the aid and the nearest shore. The number of stripes is discretionary, provided the white stripes are twice the width of the black stripes.

4. Regulatory and Information Markers are used to alert the watercraft operator of the existence of dangerous areas, restricted or controlled areas, and which provide general information and directions.

All regulatory waterway markers shall be colored white with orange color bands and symbols. Symbols (geometric shapes) shall be placed between horizontal colored bands of a marker body and shall be colored orange.

Authorized symbols and their meanings are as follows:

a. A vertical open-faced diamond symbol to mean DANGER. The nature of the danger may be indicated by words and/or well-known abbreviations in black block letters above, below or beside the symbol in the white background. Some examples of words that may be used are: “Hazard Area,” “Shallow Area,” “Rock,” or “Dam.”

b. A vertical open-faced diamond symbol having a cross centered within the diamond indicates that all watercraft are excluded from the marked area. All motorboats must KEEP OUT. The nature of the restriction may be indicated by words and/or well-known abbreviations in black block letters above, below, or beside the symbol in the white background. Some examples of words that may be used are: “Swim Area,” “Water Intake,” or “Area Closed.”

c. A circular symbol indicates that a watercraft operated in the marked area is subject to certain operating CONTROLS or RESTRICTIONS. The nature of the controls or restrictions shall be indicated by words, numerals, and/or well-known abbreviations in black block letters inside or beside the circle. Extra explanation may be given above, below, or beside the symbol in the white background. Some examples of words that may be used are: “Headway Speed Only,” “Safety Slow Zone,” or “No Ski.” Note - Not all restricted or controlled areas are marked by buoys.

d. A square or rectangular symbol to give INFORMATION or DIRECTIONS. The information shall be indicated by words and/or well-known abbreviations in black block letters above, below, beside or inside the symbol in the white background.

5. Other waterway marking devices and anchored or stationary waterborne structures

In the interest of safety and uniformity, anyone placing any of the following types of waterway marking devices or waterborne structures in or on State waters must comply with State regulations. In addition, no object may be placed in State waters in a marked channel or a Fairway or in a manner that would impede access to a public boat launch facility or deny the right of Free Navigation.

a. MOORING BUOYS: To avoid mistaking mooring buoys for aids to navigation or regulatory markers, they shall be colored white with a single BLUE horizontal band clearly visible above the water line. No mooring may be installed so that it or the object moored thereto extends beyond the water safety zone (200 feet from any shore) or one-third the distance to the opposite shore, whichever is less.

b. ORGANIZED SWIM AREA, MARKING OF: All organized swim areas must be enclosed with line floats (alternate colored white and orange or alternate colored white and blue) to delineate the limits of said area, and must be marked at the outer offshore bounds by at least two (2) Swim Area markers, i.e. Regulatory Waterway Markers with the vertical open-faced diamond symbol, having a cross centered in the diamond and the words SWIM AREA to indicate that all motorboats must keep out of the area. No swim area may extend beyond the water safety zone (200 feet from any shore) or one-third the distance to the opposite shore, whichever is less. A State Permit is not necessary to establish an organized swim area.

c. FLOATS - SWIMMING AND DIVING: No such structure will be anchored or moored beyond the Water Safety Zone (200 feet from any shore), or one-third the distance to the opposite shore, whichever is less.

d. SKI SLALOM COURSE, WATER: All water ski slalom courses shall be marked with RED and YELLOW, minimum nine (9) inch spherical markers and arranged in compliance with the American Water Ski Association Regulations for slalom courses. No part of a water ski slalom course shall be within the Water Safety Zone (within 200 feet of any shoreline) unless authorized to do so by the Maine Dept. of Inland Fisheries and Wildlife.

e. SKI JUMP, WATER: All water ski jump structures will be equipped with orange reflectors or reflecting tape visible from all sides. Any such structure anchored beyond the water safety zone (200 feet from any shore) between the hours of sunset and sunrise, shall be illuminated with a single white light showing all around the horizon.

f. REGATTA, WATERWAY PARADE, RACE AND/OR EXHIBITION MARKERS: Whoever wishes to hold or initiate an organized Regatta, Waterway Parade, Race or Exhibition on State waters must receive authorization to do so from the Maine Department of Inland Fisheries and Wildlife, Registration Information, Augusta, Maine 04333 and comply with the regulations contained herein for the specific type of marker or structure concerned.

1. Permanent Race Course Markers: Race Course markers shall be colored white with orange horizontal bands and display an orange colored triangular pennant. The alternate white and orange bands (white band uppermost) shall be of four (4) inch height, and that portion of a marker must extend a minimum of two (2) feet above the waters’ surface. Pennants for these markers must be orange in color, triangular in shape.

2. Temporary Regatta, Waterway Parade, Race and/or Exhibition Markers: Any markers placed in, on, or near State waters incidental to an authorized Regatta, Waterway Parade, Race or Exhibition, shall comply with the following regulations: Markers shall be of the “Regulatory” type, with circular symbol indicating a controlled area, with proper wording affixed, i.e. Regatta Area, Parade Route, Boat Race, etc. The length of time these markers shall be permitted may not exceed forty-eight (48) hours prior to or following the scheduled event. All authorized races must use race course markers as depicted in the preceding paragraph.

g. DIVERS’ FLAGS or DIVERS’ SIGNS: This Waterway marker shall, when displayed on the water, either from a float or watercraft, indicate the presence of diving activities in the immediate water area, and shall be displayed only when diving activities are actually in progress.

Watercraft operators shall remain at least one hundred (100) feet from any diver’s flag or sign and exercise every precaution while in the area.

The diver’s flag or sign shall be of a RED color with a WHITE diagonal stripe running from the upper left-hand corner to the lower right-hand corner (on a flag, from the mast head to the lower outside corner of the fly).

h. BRIDGE CLEARANCE LIGHTS: where needed or desired on bridges, these shall be fixed (constant rather than flashing) RED lights marking the boundary or margin of each side of the channel, with a fixed single GREEN light placed over the center of the safe channel so as to indicate the maximum vertical clearance at that point.

i. ORGANIZED CAMP PERIMETER MARKERS: may be utilized by organized camp owners in waters adjacent to their waterfront property. This waterway marker is used as a cautionary device to alert vessel operators of the camp’s existence. Perimeter markers shall be a regulatory type marker, which indicates control or restriction. The word SLOW shall be printed within the circle symbol, ORG’D printed over the symbol and CAMP printed under the symbol.

j. SPECIAL PURPOSE MARKERS: Markers for special purposes shall be colored as follows:

SEAPLANE LANDING AREAS OR MILFOIL AREAS. When marked shall be marked with SOLID YELLOW buoys. These markings have no significance as regards safe waters for the operation of watercraft, other than to inform the watercraft operator that seaplanes may be operating in the area or the existence of other special features.

BAIT TRAPS: shall be WHITE in color and shall be identified as to ownership. From ice out to ice in; A baitfish trap buoy or baitfish holding box buoy placed or located within the inland waters of the State must be a minimum of four (4) inches in diameter and Twelve (12) inches in height and be covered with a reflective coating that is visible from all sides and covers a minimum of 25% of the visible surface area of the buoy.

SECTION IV - SPECIFICATIONS PERTINENT TO THE MAINE STATE AIDS TO NAVIGATION SYSTEM

A. SIZE, SHAPE, MATERIAL AND CONSTRUCTION OF AIDS TO NAVIGATION AND WATERWAY MARKERS: the size, shape, material and construction of all markers, both fixed and floating, shall be such as to be observable under normal conditions of visibility at a distance such that the significance of the markers or aids will be recognizable before the observer is in danger.

B. NUMBERS, LETTERS OR WORDS ON MARKERS

1. Numbers, letters or words on an aid to navigation or regulatory marker shall be placed in a manner to enable them to be clearly visible to an approaching or passing watercraft. They shall be block style, well-proportioned and as large as the available space permits. Numbers and letters on red or green backgrounds shall be white, numbers and letters on white backgrounds shall be black. All markers shall be conspicuously numbered for identification purposes.

2. On Lateral (channel) markers, ODD numbers shall be used to identify solid colored green markers; EVEN numbers shall be used to identify solid colored red markers.

All numbers shall increase in an upstream direction or toward the head of navigation whenever this is reasonably definable (odd to left or port - even to right or starboard). On waterways where the head of navigation is not reasonably definable, marker numbers shall be assigned at the discretion of the Bureau and/or Permittee.

3. Numbers shall be required on all navigational aids or regulatory markers. For uniformity, this number shall be near the top of floating markers and in the lower right hand part of sign markers. Numbers shall be a minimum of two (2) inches in height.

4. A mooring buoy may bear ownership identification provided that the manner and placement of the identification does not detract from the meaning intended to be conveyed by the color code (scheme).

C. REGULATORY MARKER SYMBOLS: The symbols (geometric shapes) displayed on a regulatory marker are intended to convey specific meaning to watercraft operators, whether or not they should stay well clear of the marker or may safely approach the marker in order to read any wording on the marker. Wording on regulatory markers shall be black in color.

When a regulatory marker consists of a square or a rectangular-shaped sign displayed from a buoy or structure, the sign shall be white with an orange colored border. When a diamond or circular geometric shape is associated with the meaning of the marker, it shall be centered on the signboard.

D. REGULATORY BUOY BANDS: Buoys used to display regulatory markers shall have a clearly visible orange colored band near the TOP and at the BOTTOM of the buoy. The bottom band should be visible above the buoys’ waterline. The white portion between the bands will be used to display the appropriate symbol and wording, if any.

E. REFLECTORS OR REFLECTIVE MATERIALS: shall be used on all navigational aids and regulatory markers. When used on markers having lateral (channel) significance, GREEN reflectors or retro-reflective materials shall be used on solid colored green markers; RED reflectors or retro-reflective materials shall be used on solid colored red markers; WHITE reflectors or retro-reflective materials shall be used for all other markers, except that orange reflectors or retro-reflective materials may be used on the orange portions of regulatory markers and yellow reflectors or retro-reflective materials may be used on all special purpose markers.

F. LIGHTING OF AIDS TO NAVIGATION AND WATERWAY MARKERS: Navigational aids, when lighted, shall conform to the following: lights on solid colored markers shall be regularly flashing, regularly oscillating or equal interval lights. For ordinary purposes the frequency of flashes will not be more than 30 flashes per minute (slow flashing). When it is desired that lights have a distinct cautionary significance, as at sharp turns or sudden constrictions in the channel or to mark artificial or natural obstructions, the frequency of flashes may not be less than 60 flashes per minute (quick flashing).

Colors of lights shall be GREEN light on solid colored green markers, a RED light on solid colored red markers and WHITE or AMBER lights for all other markers.

G. SPECIAL LIGHTING REQUIREMENTS: Whenever a structure (anchored or stationary) is erected in a position on or adjacent to the edges of navigable channels or fairways or beyond the “Water Safety Zone” (200 feet from any shore), the Bureau may require lights to mark such structures when, in its judgment, lights are necessary for the safety of the boating public.

SECTION V - PRIVATE PERMITTED WATERWAY MARKERS

A. AUTHORIZATION: To place any navigational aid or regulatory marker on, in, or near waters of this State, written authorization must first be obtained through the Maine Department of Agriculture, Conservation and Forestry, Bureau of Parks and Lands, under its State Permit System.

The provisions of the above paragraph shall not apply to aids to navigation under the jurisdiction of the United States Coast Guard, nor to those aids and markers which come under the political subdivision paragraphs of this section.

B. POLITICAL SUBDIVISION AUTHORITY: Title 12 MRSA §1894; If the Bureau of Parks and Lands, after written request from the governing body of any city or town, either declines to mark a waterway or is unable to mark a waterway, then the governing body of the city or town may mark hazards to boating on that waterway within its jurisdiction. The Bureau of Parks and Lands shall be deemed to have declined to mark a particular waterway if the Bureau does not respond to a written request within thirty (30) days of its receipt.

The Bureau of Parks and Lands may at any time reverse a decision not to mark a certain waterway or portion of that waterway and replace any existing markings in accordance with the rules of uniform marking promulgated by the Bureau.

C. PRIVATE PERMITTED NAVIGATIONAL AIDS AND REGULATORY MARKERS: A Lake Association, organization or political subdivision may be authorized by State Permit to construct, place, and maintain aids to navigation and/or regulatory markers in/on State waters.

Those desiring a State Permit must comply with the following regulations:

1. Obtain form WM-11 from the State Bureau of Parks and Lands, Navigational Aids Program;

2. All markers must conform to the Maine State Aids To Navigation System Rules and Regulations; Regulations governing specific markers can be found in Section III and IV of these Regulations.

3. Inspection - All permitted waterway markers shall be maintained in proper condition and location, or be replaced or removed. The organization shall inspect the location and condition of markers regularly, at least every three (3) weeks, to assure they are in position, and keep a record of these verifications. Failure to keep written verifications shall be sufficient reason for the cancellation of this permit and removal of markers.

MAINE UNIFORM STATE WATERWAY MARKING SYSTEM

History

• STATUTORY AUTHORITY: 12 MRSA §1894
• EFFECTIVE DATE: June 1, 1976
• RE-ADOPTED: July 1, 1979
• REPEALED AND REPLACED: November 13, 1989
• REPEALED AND REPLACED: EFFECTIVE DATE (ELECTRONIC CONVERSION:
• REPEALED AND REPLACED: May 4, 1996
• NON-SUBSTANTIVE CORRECTION: August 7, 1997 - (10) added to definition of "Great Pond."
• AMENDED: July 20, 1999 - also converted to MS Word format; renamed chapter to MAINE STATE AIDS TO NAVIGATION SYSTEM.
• NON-SUBSTANTIVE CORRECTIONS: November 9, 1999 - minor punctuation and formatting.
• AMENDED: November 4, 2001
• CORRECTED: February, 2014 – agency names, formatting
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 4 Rules and Regulations Governing Boating Facilities

Code Me. R. 01-670 Ch. 4 Rules and Regulations Governing Boating Facilities {#sec-01-670-ch.-4 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 4}

SUMMARY: These rules establish requirements for the control of boats, and govern recreational and other activities at State boat launching facilities.

SECTION 1. Scope and Purpose

Under Title 12, M.R.S.A., Chapter 220, the Bureau of Parks and Lands, Boating Division, is authorized to establish rules it determines necessary to protect and preserve public facilities or conditions expressed in deeds of trust for public facilities, and to protect public safety. The rules apply to any person using State boat launching facilities or waters immediately surrounding the facilities.

SECTION 2. Rules for conduct at boat launching facilities

A. No person shall tie up or leave any boat in the area around any launching ramps, floats or docks, except when loading or unloading cargo and/or passengers, or where otherwise allowed by posted official notice.

B. Camping or other overnight stays at the launching facility are not allowed.

C. Wheeled vehicles, including trailers, shall be parked only in designated places.

D. Fires are not permitted except in fireplaces provided by the bureau.

E. The use of alcoholic beverages or controlled substances is prohibited. Disorderly conduct, including, but not limited to, indecent acts, intoxication or coarse language is prohibited.

F. Removing, injuring or damaging any parts of the facility including plants, land, structures, or natural conditions at the launching facility is prohibited.

G. Discharging wastes of any kind, including but not limited to soaps, detergents, and refuse is prohibited. Washing vehicles, boats and laundry is prohibited.

H. Storage of boats, trailers, vehicles, equipment, ice shacks, and other property at the launching facility is prohibited.

I. Swimming from docks, floats, boat launching ramps and areas posted "no swimming" is prohibited.

J. Other uses of the launching facility and parking areas, including, but not limited to, commercial use, non-boating related use, and fishing tournament use of the facilities, are allowed only by special activity permit from the bureau director.

K. The use of boat launching facilities and parking areas between sunset and sunrise for purposes other than fishing or the launching and retrieving of boats is prohibited.

L. Pet owners must clean up any fecal deposits left by their pets.

M. Posting advertisements or other notices not approved by the bureau is prohibited.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §1895
• EFFECTIVE DATE: April 1, 1976
• RE-ADOPTED: July 1, 1979
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 24, 2000 - converted to MS Word
• REPEALED AND REPLACED: June 4, 2000
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-670 Chapter 4 page 2

Chapter 5 Rules and Regulations for Lunch and Campsites in the Penobscot Corridor Lobster Lake and Chesuncook Lake

Code Me. R. 01-670 Ch. 5 Rules and Regulations for Lunch and Campsites in the Penobscot Corridor, Lobster Lake, and Chesuncook Lake {#sec-01-670-ch.-5 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 5}

The following rules and regulations are established by the Commissioner of the Maine Department of Conservation, pursuant to the provisions of 12 M.R.S.A. §1803 sub-§6 and §1825 sub-§4.

GENERAL RULES

1. Registration: Visitors shall pay any fees charged by the Bureau. Each party intending to camp overnight at a Penobscot River Corridor campsite must register at the first opportunity at a North Maine Woods control station, a PRC Ranger Station, or with a PRC ranger.

2. Camping: Allowed only at sites designated by the Bureau of Parks and Lands. Parties of more than 12 are restricted to group sites. Authorized campsites are marked and may consist of a number of individual cells of picnic tables and fireplaces.

3. Open Fires: allowed only in fireplaces provided by the Bureau. Camp stoves fueled with sterno, propane or gasoline will be allowed in any safe location.

4. The cutting of live trees is prohibited.

5. Litter: trash must be carried out of area.

6. Firearms are not to be discharged on lunch or campsites.

7. Occupancy of any one site for more than 7 consecutive nights is prohibited; however, at the end of the 7 night period, the Bureau may authorize an extension on a night to night basis.

8. Tents, vehicles, trailers, or equipment must not be left unoccupied on any site more than one night.

9. The Sandy Point section of the Horserace Brook camping area is for tents only.

10. Sites must be vacated by noon on the last day of permitted occupancy.

11. Ice houses that are placed on Lobster Lake must be removed from the property owned and/or administered by the Bureau of Parks and Lands within (3) three days of the close of the ice fishing season on that lake.

12. Quiet Time: Campers are required to be quiet between 10:00 p.m. and 7:00 a.m.

GROUP SITES

1. Beginning the first working day in January of each year the Horserace Brook, Salmon Point and Omaha Beach group campsites may be reserved from the Bureau of Parks and Lands on a first come, first served basis. Failure to make use of a reserved campsite may forfeit future reservation privileges, unless reservations are cancelled at least one week in advance of reservation date.

2. Special group lunch sites may be reserved from the Bureau of Parks & Lands at Horserace Brook, Salmon Point, Log Cable Crossing, Bateau Take Out and Abol Ledges.

3. At group lunch sites without privy provided by State, outfitters will provide portable toilets.

4. Occupancy of any group campsite by more than 30 persons is prohibited.

History

Under the Department of Conservation:

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §1803 sub-§6 and §1825 sub-§4
• EFFECTIVE DATE: April 6, 1988
• AMENDED: May 17, 1989
• AMENDED: March 8, 1992
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• AMENDED: May 27, 1997 - Section 1; added Section 12; changed "sites" to "campsite(s)" in GROUP SITES 1, 4.
• NON-SUBSTANTIVE CORRECTIONS: February 23, 2000 - converted to MS Word
• AMENDED: September 22, 2008 – filing 2008-414
• AMENDED: June 5, 2012 – statutory citations corrected
• AMENDED: The Department of Conservation was later merged with the Department of Agriculture, Food and Rural Resources to form the Department of Agriculture, Conservation and Forestry. This rule chapter was placed under the newly constituted Bureau of Parks and Lands.
• AMENDED: February 22, 2017 – filing 2017-025
• AMENDED: DESIGNATED CAMPING AND LUNCH SITES
• AMENDED: Upper West Branch Penobscot (Seboomook Dam to Chesuncook Lake)
• AMENDED: Roll Dam (4 sites - 1 group site)
• AMENDED: Burbank (2 sites)
• AMENDED: Thoreau's Island (1 site)
• AMENDED: Halfway House (1 site - 1 group site)
• AMENDED: Big Ragmuff (2 sites)
• AMENDED: Lone Pine (1 site)
• AMENDED: Big Island South (1 site)
• AMENDED: Ouellettes (1 site)
• AMENDED: Smart's (1 site)
• AMENDED: Driving camps (1 site - 1 group site)
• AMENDED: Big Island North (1 site)
• AMENDED: The Pines (2 sites)
• AMENDED: Little Ragmuff (1 site)
• AMENDED: Pine Stream (1 site)
• AMENDED: Boom House ( 1 site - 1 group site)
• AMENDED: Lobster Lake
• AMENDED: Ogden Cove (2 sites)
• AMENDED: Ogden North (1 site)
• AMENDED: Ogden Point (1 site)
• AMENDED: Ogden South (1 site)
• AMENDED: Boy Scout (1 site)
• AMENDED: Jackson Cove (1 group site)
• AMENDED: Little Cove (2 sites)
• AMENDED: Little Claw (1 site)
• AMENDED: Big Claw (1 site - 1 group site)
• AMENDED: Chesuncook Lake
• AMENDED: Gero Island (3 sites - 1 group site)
• AMENDED: Longley Stream (1 site)
• AMENDED: Cunningham Brook (2 sites)
• AMENDED: Sandy Point (2 sites)
• AMENDED: Red Brook (1 site)
• AMENDED: Mouser Island (3 sites)
• AMENDED: Cardiser Point (1 site - 1 group site)
• AMENDED: Lower West Branch (Ripogenus Gorge to Ambejejus Falls)
• AMENDED: Horserace Brook: 1 group site - 10 sites
• AMENDED: Salmon Point: 1 site - 1 group site
• AMENDED: Abol Falls (2 sites)
• AMENDED: Debsconeag Falls (1 site)
• AMENDED: Debsconeag Deadwater boat landing (1 site)
• AMENDED: Little Omaha Beach (2 sites)
• AMENDED: Omaha Beach (3 sites - 1 group site)
• AMENDED: Lower West Branch designated lunch sites only
• AMENDED: Horserace Brook
• AMENDED: Salmon Point
• AMENDED: Log Cable Crossing
• AMENDED: Bateau take out
• AMENDED: Abol Ledges

Chapter 6 Designated Scenic Viewpoints of State or National Significance Located on Public Reserved Land or on a Publicly Accessible Trail Used Exclusively for Pedestrian Use for Consideration in the Permitting of Expedited Wind Energy Development

Code Me. R. 01-670 Ch. 6 Designated Scenic Viewpoints of State or National Significance, Located on Public Reserved Land or on a Publicly Accessible Trail Used Exclusively for Pedestrian Use, for Consideration in the Permitting of Expedited Wind Energy Development {#sec-01-670-ch.-6 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 6}

SECTION 1. APPLICABILITY

As provided by PL 2007, c. 661, codified at 35-A M.R.S. §3451(9) & §3457(1), certain viewpoints are designated in this rule for consideration solely in the context of permitting wind energy development sited within the expedited permitting area. This rule designates scenic viewpoints as set forth in 35-A M.R.S. §3451(9)(F). Public Reserved Land is limited to Public Reserved Land owned in majority interest in fee by the State of Maine, Department of Agriculture, Conservation and Forestry, Bureau of Parks and Lands.

SECTION 2. The following viewpoints located on Public Reserved Lands are designated as scenic viewpoints of state or national significance:

All viewpoints within 1000 feet of the Atlantic Ocean at high tide within the Cutler Unit (also known as the Cutler Coast or the Bold Coast Unit) which is located in the Town of Cutler in Washington County;

All viewpoints in the Donnell Pond and Tunk Lake Units which are located in T10 SD, T7 SD, T9 SD, Town of Franklin, and Town of Sullivan in Hancock County;

All viewpoints in the Mahoosuc Unit which is located in Andover West Surplus Twp., Grafton Twp., Riley, Twp., and the Town of Newry, all in Oxford County;

All viewpoints in the T6 North of Weld Unit (also known as the Tumbledown Mountain Unit) which is located in T6 North of Weld and the Town of Phillips in Franklin County;

All viewpoints in the Mount Abram Unit which is located in Mount Abram Twp. and Salem Twp. in Franklin County;

All viewpoints in the Bald Mountain Rangeley Unit which is located in the Town of Rangeley in Franklin County;

All viewpoints in the Bigelow Preserve which is located in Wyman Twp., Bigelow Twp., the Town of Carrabassett Valley, and Dead River Twp. in Somerset and Franklin Counties;

All viewpoints in the Upper Enchanted Township Unit (also known as the Coburn Mountain parcel) which is located in Upper Enchanted Township in Somerset County;

All viewpoints in the Little Moose Unit which is located in Big Moose Twp. and Moosehead Junction Twp. in Piscataquis County;

All viewpoints in the Deboullie Unit which is located in T15 R9 in Aroostook County;

All viewpoints in the Kennebec Highlands Unit which is located in the Towns of Vienna, Mount Vernon, Belgrade, Rome, and New Sharon in Kennebec and Franklin Counties;

All viewpoints in the Perkins Lot which is located in Perkins Township in Franklin County.

SECTION 3. The following viewpoints located on pedestrian-use only trails, to the extent the trails are owned by the public or to the extent the public has a legal right of access, are designated as scenic viewpoints of state or national significance.

All viewpoints on the Appalachian Trail;

All viewpoints in the State of Maine which are located in the White Mountain National Forest all in Oxford County;

All viewpoints on land owned by the Appalachian Mountain Club and subsidiaries or successors or assigns in Bowdoin College Grant West (T8 R10 NWP), Bowdoin College Grant East (T7 R10 NWP), T7 R9 NWP, and Shawtown Township (TA R12 WELS), all in Piscataquis County;

All viewpoints on the Grafton Loop Trail, so-called, in the Town of Newry or the Town of Andover in Oxford County, in addition to those viewpoints along the trail designated herein at Section 2 (3).

History

• STATUTORY AUTHORITY: 35-A M.R.S.A. §3457(1) (P.L. 2007, Chapter 661)
• STATUTORY AUTHORITY: History
• STATUTORY AUTHORITY: This rule was originally promulgated under the Department of Conservation. That Department was later merged with the Department of Agriculture, Food and Rural Resources to form the Department of Agriculture, Conservation and Forestry. This rule chapter was placed under the newly constituted Bureau of Parks and Lands.
• STATUTORY AUTHORITY: 01-670 Chapter 6 page 2

Chapter 7 Rules for Snowmobile Program

Code Me. R. 01-670 Ch. 7 Rules for Snowmobile Program {#sec-01-670-ch.-7 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 7}

SUBCHAPTER 1: MUNICIPAL/COUNTY GRANTS-IN-AID

SECTION 1. DESCRIPTION

These rules set forth the Bureau's procedures for making grants-in-aid to political subdivisions for the construction and/or maintenance of snowmobile trails.

SECTION 2. ELIGIBILITY

Any political subdivision (hereinafter referred to as "the applicant") is eligible to apply for these grants for main artery or regionally significant trails connecting communities together.

SECTION 3. GRANT APPLICATION/GRANT AGREEMENTS

1. Grant Application-Agreements/Requests (application(s)) for development of new trails must be post-marked on or before November 1st. Applications for grooming and annual trail maintenance must be post-marked on or before December 1st. Applications must be submitted on forms provided by the Bureau and contain all the information required by these rules. An application signed by an authorized official(s) of the political subdivision and approved by the Bureau, constitutes a legally binding agreement between the State of Maine and the applicant.

2. Applications must include the following:

(1) The cost of administration of the project.

(2) The cost of the actual development of a new trail or improvements to existing trails, including related facilities, such as but not necessarily limited to the use of heavy equipment, the cutting of trees and/or the building of bridges.

(3) The cost of winter grooming of the trail, the plowing of parking areas, the erection of trail signs, brush cutting and sign maintenance.

(4) A U.S.G.S. topographical map or other commercially or GPS produced map of the proposed snowmobile trail project sufficient to enable the Bureau to determine the terrain and other natural features. The scale of the map must be one half inch to a mile or greater. The map must show the proposed trail, route, relationship with existing trails in surrounding areas and the number of trail miles for which the applicant seeks financial aid.

(5) If the request for financial assistance is strictly for winter grooming, routine maintenance, brush cutting or sign maintenance, the applicant must submit a list of landowners along with a letter/statement that all landowners over whose land the trail passes have been contacted and have granted permission. However, if the application is requesting financial assistance for development, bridge construction, or earthwork with equipment on an existing trail, the applicant must submit written permission from all landowners within the entire trail project area.

(6) A Project Description that includes a detailed description of work proposed to be done. The Project Description shall include plans for:

(a) the clearing of brush and debris from trail corridors;

(b) the grooming of the trail as needed, including a description of the equipment to be used. If the winter grooming phase of the project is to be contracted, the contract should specify the responsibilities of the contractor and the method of payment including the maximum amount. A copy of the contract must be submitted to the Bureau;

(c) the provision and maintenance of parking areas where adjacent to trails;

(d) the erection and maintenance of signs, posts and kiosks that are provided or approved by the Bureau and/or the land owner. These plans must comply with the Snowmobile Trail Signing Guidelines Brochure published by the Department of Agriculture, Conservation and Forestry, Off-Road Vehicle Division;

(e) the provision of sanitary facilities, and warming huts as deemed necessary;

(f) the provision of trash receptacles and removal of trash;

(g) the removal of signs, posts and other related facilities after the season if removal is required by the landowners or by the Bureau; and

(h) the construction and maintenance of bridges, including the purchase of all necessary materials and the application for and securing of all necessary regulatory permits.

SECTION 4. REIMBURSEMENT

1. The amount of all grants is subject to funds available. If the trail is solely within the boundaries of the applicant’s jurisdiction, reimbursement may be up to but not exceed 50% of the applicant's eligible costs. It is the applicant’s responsibility to demonstrate to the Bureau’s satisfaction the value of the project and a justification of its costs. The Bureau will evaluate each application based upon the locality, amount of use, length of the trail (mileage), the applicant’s trail maintenance history; normal snowfall, length of season, topography and the effect the project has on the overall trail system.

2. If the trail extends beyond the boundaries of the applicant, crosses town or township lines, or if two or more political subdivisions are working together to build and/or maintain a trail system that the Bureau determines to be of regional significance and that contributes to a statewide system of high quality, main artery trails, reimbursement may be up to but not exceed 70% of the applicant’s eligible costs.

3. The following expenses of a project approved by the Bureau are eligible for partial reimbursement:

(1) Administrative costs incurred in obtaining land use permits, preparation of grant material and required environmental permits;

(2) Actual expenditures for the development of new trails including those related to facilities such as parking lots, bridges, culverts and gates; and

(3) Expenditures for trail maintenance, including but not necessarily limited to, winter grooming of the trail, plowing of parking areas, sign maintenance, brush removal and rental of equipment used in trail maintenance in accordance with the established Trail Maintenance Reimbursement Rates chart.

4. The following expenses are not eligible for reimbursement:

(1) Capital equipment purchases;

(2) Fees paid for land use permits.

SECTION 5. PROCESSING OF APPLICATIONS

1. All applications will be processed and reviewed in the order received.

SECTION 6. RETURN OF APPLICATION/AGREEMENT

Upon approval of an application, the Bureau will return one fully-executed original to the Applicant.

SECTION 7. REIMBURSEMENT REQUESTS

Requests for reimbursement may be submitted monthly, quarterly or once at the end of the season. In order to receive the maximum allowable reimbursement, requests for final reimbursement must be received by the Bureau or postmarked on or before May 15th of the year in which the project was undertaken. For the purposes of these rules, a year means the State’s fiscal year which begins on July 1st and ends on June 30th. Reimbursement requests postmarked after May 15th of the year in which the project was undertaken will be reduced by 10% per day beginning on May 16th of the approved grant or eligible reimbursement, whichever is less.

Requests for reimbursement shall include the following:

(1) One copy of the Request for Reimbursement completed as required by the terms of the grant. (A sample request is available from the Bureau).

(2) Legible copies of all receipts substantiating payment of expenditures reported, or a copy of the town warrant on which the payment was made.

(3) All expenses incurred during the period covered. No expenses may be carried over to another request.

(4) All worksheets provided by the Bureau must be legible and verified by the project director as work performed or purchases made.

(5) A signature of a person authorized to do so for the political subdivision.

3 Upon receipt of the reimbursement request, the Off Road Vehicle Division, Bureau of Parks and Lands, will review the request to ensure compliance with the terms of the application. Reimbursement shall be made in accordance with the reimbursement rates contained in Section 4.

SECTION 8. DESIGN, CONSTRUCTION & MAINTENANCE

1. All projects shall comply with the Bureau's Best Management Practice (BMP) Guidelines for the maintenance or construction of trails and the Snowmobile Trail Signing Guidelines for sign placement.

2. Any deviation from these guidelines shall be described in the application. The Bureau may waive the applicability of certain guidelines on a case-by-case basis, when it is in the best interest of the State. Waivers must be in writing.

3. Best management practices for the construction and maintenance of snowmobile trails include the following:

(1) A minimum width of 8’;

(2) Brush cleared at least 1’ from the outer edge of the trail;

(3) Brush cleared at least 8’ above the trail corridor;

(4) Sustained grades and slopes of the trail shall not exceed 30%;

(5) All directional signs used shall be provided by the State. Alternatives of equal size, shape, color and material that are approved by the State in accordance with the Snowmobile Trail Signing Guidelines may also be used.

(6) Trail grooming at least twice per week or more often if necessary depending upon weather and traffic.

SECTION 9. LIABILITY AND INDEMNIFICATION

The applicant agrees to operate and maintain the trails and facilities in good and safe condition for their purpose and in accordance with all applicable federal, state and local laws, ordinance, codes, rules, regulations and standards. The Applicant shall not assign, transfer, lease or encumber its rights or obligations hereunder in or to the trails or facilities without the State's prior written consent. Upon request by the State, the Applicant shall indemnify, defend, save and hold the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way arising out of or in connection with the use, occupation, construction, development, repair or maintenance of any property, facilities or equipment used in connection with the facilities funded under this Agreement. Upon request of the State, the Applicant shall, at its own cost and expense, provide and keep in force comprehensive general public liability insurance against claims for personal injury, death or property damage occurring on, in or about any property or facilities funded under or used in connection with this Agreement, or respecting the use of any vehicle or equipment used in connection therewith. Any such insurance shall be in an amount, form and content determined from time to time by the State, shall include the State as a named insured at the State's request, and shall be carried by responsible companies satisfactory to the State. The State may at any time inspect any facilities or equipment used in connection with this Agreement.

History

• STATUTORY AUTHORITY: Title 12 M.R.S.A., Chapter 937, §13104-4
• EFFECTIVE DATE: September 4, 1984
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: February 24, 2000 - converted to MS Word
• NON-SUBSTANTIVE CORRECTIONS: November 23, 2000 - last paragraph of Section 4 separated from Section 4(4)
• REPEALED AND REPLACED: September 23, 2011 – filing 2011-316
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-670 Chapter 7 page 2

Chapter 8 Rules for Snowmobile Club Grant-in-Aid Program

Code Me. R. 01-670 Ch. 8 Rules for Snowmobile Club Trail Maintenance Grant‑in‑aid Program {#sec-01-670-ch.-8 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 8}

SUMMARY: This rule establishes the Bureau of Parks and Lands (Bureau) procedure for making grants‑in‑aid to snowmobile clubs for maintaining snowmobile trails.

SECTION 1. SCOPE AND PURPOSE

Under Title 12, M.R.S.A. Section 1893(1)(A) and (3)(A&B), the Bureau is authorized to award grants to snowmobile clubs for maintaining snowmobile trails. The purpose of this rule is to establish the process that qualified snowmobile clubs use to apply for grants, and the terms and the conditions of these grants.

SECTION 2. APPLICATION AND REIMBURSEMENT PROCESS AND REQUIREMENTS

1. Eligibility Requirements

To be eligible for the grant program, the snowmobile club ("applicant" or "grantee") must be incorporated and register with the Bureau's Snowmobile Program. Registration is done by providing to the Bureau a completed copy of the organization’s “Request for Taxpayer Identification Number and Certification” (IRS FormW-9) by December 1st to be eligible for grants for the current winter season. The snowmobile club is required to provide an Officer Update Form to the Bureau annually. To be eligible for a snowmobile trail maintenance grant, the club must file a Trail Maintenance Grant-In-Aid application with the Bureau by December 1st; and to be eligible for reimbursement, the club must file for reimbursement by the following May 15th.

2. Grant Program and Application Process

A. Amount of Grants

Grants are made in the form of reimbursement for eligible and actual expenses capped at a per mile rate for up to and including 30 miles. The bureau, in its sole discretion, will annually determine the total maximum per mile rate by comparing club expenditures for the preceding year with anticipated revenue for the projected year. The maximum per mile rate will be stated on the application, but is subject to change if the bureau later determines that the actual available funds are less than anticipated. The bureau in its sole discretion will determine eligible expenses and grants will not exceed reimbursement of actual expenses. No residual funds will be transferred to the bureau’s capital equipment fund.

B. Application and Reimbursement Process

(1) The grant programs are administered by the Bureau's Off Road Recreational Vehicle Office. All correspondence and application forms must be submitted to:

Maine Department of Agriculture, Conservation and Forestry, Bureau of Parks and Lands

Off Road Recreational Vehicle Office

Snowmobile Grant Program

Station #22

Augusta, Maine 04333

(2) Grant applications must be received or postmarked no later than December 1st to be eligible for a grant for the current winter season.

(3) The applicant must complete and submit the following documents:

(a) Snowmobile Club Trail Maintenance Grant‑In‑Aid Application/Agreement (supplied by the Bureau); and

(b) A quality, commercially produced base map that shows the trail at a scale of at least one‑half inch to one mile. The map must show the location of the trails, water bodies, streams, roads, the topography of the land, parking areas, clubhouses, and support facilities.

(4) After reviewing the application, the Bureau will issue a written notification to the applicant approving or denying the application. Specific terms and conditions of the grant are listed in Section 3, although the Bureau may require additional terms and conditions to effectively carry out its program.

(5) To be considered for full reimbursement, the club must submit a completed Request for Reimbursement form (supplied by the Bureau) no later than May 15th. Only expenses incurred from the preceding May 1 through the date of the request for reimbursement will be considered for payment. The Bureau will review the request, determine the appropriate grant amount, and reimburse the club according to the terms of the agreement.

SECTION 3. TERMS AND CONDITIONS OF APPLICATION/AGREEMENT

By applying for the grant, the applicant agrees to the following conditions:

A. All grant money received under the program must be used for the sole purpose of maintaining the snowmobile trails specified in the grant application. Trail maintenance is defined as dragging, or smoothing the snow on the trail to remove the moguls or pot holes, trail brushing, building/repairing/replacing bridges, bulldozing , signing, construction and installation of gates. Payment is based on actual out‑of‑pocket expenses incurred in the trail maintenance process, including: reasonable labor expenses, and appropriate safety equipment, if a person is actually hired to work on the trails; reasonable hourly rate for equipment used, including groomers; or purchases of items such as plugs, drive belts, gas and oil; repairs to the snowmobile and drag, provided the damage occurred while grooming snowmobile trails specified in the application (only applicable when itemizing reimbursement request); backing material for signs, and bridge materials.

B. The club's trails must be established only on land that the club has received oral or written permission from the landowners (and tenants, where applicable) to use. By signing the application, the club president certifies that permission has been obtained for all trails included in the application.

C. The club and its members ensure, and will continue to ensure, that the trails and related facilities are safe, in good condition, and conform with all applicable laws and regulations, including obtaining all necessary permits, and erection of adequate trail signs shall be maintained, including as suggested by Bureau guidelines.

D. The trails must be open to the general public for snowmobile use. Landowners and tenants who gave permission to use the land have been notified the trails are open to the general public for snowmobile use. The trails are not part of a system that another club, municipality, or any other party has applied for or received a grant under this program..

E. A map of the trail location must be submitted with the application and will be incorporated into the agreement.

F. Applicants must submit a request for reimbursement form (supplied by the Bureau) to the Snowmobile Program. To have expenses considered for full reimbursement, the completed request must be received by the Bureau, or postmarked, no later than May 15th. Request forms postmarked after May 15th, forfeit 10% of the approved amount for each day the request is late, and may be subject to further reductions if the Bureau determines it no longer has the funds on hand to meet the request.

G. An explanation of expenditures must accompany the reimbursement request. Expenses incurred but not authorized for reimbursement should be listed separately from authorized expenses. All supporting materials (bills & invoices) must be retained by the grantee for three years, and must be submitted to the Snowmobile Program on request and available for audit by the Bureau. If the grantee does not comply with this requirement, the grantee forfeits and must return the grant received for those expenses.

H. The Bureau has sole discretion to determine if expenditures are permitted and reasonable and the club has complied with the terms of the agreement and all applicable laws, rules and regulations. After making this determination, the Bureau will pay the approved expenditures up to the amount stated in the application, provided funds are available in the appropriate Bureau account.

I. Title 5 M.R.S.A. §784(2) provisions on nondiscrimination in employment apply to the agreement.

J. The club agrees not to assign, transfer, lease or encumber its rights or obligations under the agreement or to the trails, without the Bureau's prior written consent. The club shall indemnify, defend, and save the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way arising out of the use, occupation, maintenance, repair or development of any trails or related facilities or equipment used in connection with the trail maintenance or equipment funded under the agreement. The Bureau shall have no responsibility or liability for the maintenance or use of the trails, beyond the limits of the State sponsored Landowner Liability Insurance.

K. The State may at any time inspect any facilities or equipment used in connection with the agreement.

L. The club must be legally incorporated with the Secretary of State, Bureau of Corporations, Elections and Commissions and in good standing.

History

• STATUTORY AUTHORITY: Title 12, M.R.S.A.§7824, Paragraph 4B
• EFFECTIVE DATE: October 20, 1984 - filing 84-351
• AMENDED: September 14, 1986 - filing 86-343
• AMENDED: August 11, 1987 - Section 1(b) and 2(2), filing 87-275
• AMENDED: August 16, 1988 - Sections 7(B), filing 88-275
• AMENDED: September 19, 1993 - Section 1(B), filing 93-327
• AMENDED: September 26, 1995 - Section 1 (B), 3(7, 8), filing 95-361
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• REPEALED AND REPLACED: November 20,1999; also converted to MS Word. - filing 99-483
• AMENDED: October 30, 2002 - filing 2002-410
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: January 29, 2022 – statute citation, office name, filing 2022-013

Chapter 9 Rules for Snowmobile Capital Equipment Grant-in-Aid Program

Code Me. R. 01-670 Ch. 9 Rules for Snowmobile Capital Equipment Grant in Aid Program {#sec-01-670-ch.-9 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 9}

SECTION 1. SCOPE AND PURPOSE

Title 12, M.R.S.A., Chapter 937, 13104-4 authorizes the Bureau's Off Road Recreational Vehicle Office to award grants to qualified snowmobile clubs or political subdivisions to assist any entity that has a snowmobile trail-grooming contract with the Bureau in the purchase of trail-grooming equipment to maintain snowmobile trails. The purpose of this rule is to establish the Bureau's Snowmobile Capital Equipment Grant in Aid Program ("Program") and its associated Capital Equipment Fund ("Fund"), identify the application and scoring process for qualified snowmobile clubs or political subdivisions seeking Capital Equipment Grants ("Grants"), and to define the terms and the conditions of these Grants.

SECTION 2. ELIGIBILITY REIMBURSEMENT PROCESS AND REQUIREMENTS

1. General Eligibility Requirements

The Program is available to any political subdivision or a snowmobile club, as conditioned below. (Hereafter "applicant" or "grantee").

To be eligible, a snowmobile club must be incorporated and registered with the Program. Registration requires providing the Bureau with a completed copy of the club's "Request for Taxpayer Identification Number" (IRS Form W-9) by December 1st to be eligible for Grants to be awarded during that winter season. The snowmobile club must also file a Snowmobile Club Information form with the Bureau each year. The club must be legally incorporated with the Secretary of State, Bureau of Corporations, Elections and Commissions and in good standing.

Operators of capital grant supported equipment must successfully complete the Off-Road Vehicle Division's "Maine Trail Groomer Operator Awareness Training" program prior to operating said equipment.

2. Amount of Grant and Application Process

To receive a Grant, the applicant must submit a complete application, as supplied by the Bureau. In order to receive the maximum allowable grant or reimbursement, the application must be received by the Bureau or postmarked on or before June 15th of the fiscal year in which a purchase was made or the applicant entered into a purchase order with a vendor. For the purposes of these rules, unless otherwise stated, a year means the State's fiscal year that begins on July 1st and ends on June 30th. Applications postmarked after June 15th of the fiscal year in which the purchase was made or the applicant entered into a purchase order with a vendor will be denied.

A. Amount of Grant

(1) The Bureau will, on an annual basis, determine the reimbursement percentage. Awards will be granted based on the results of the application review and scoring sheet. The first award will be given to the applicant that received the highest score. The second award will be given to the applicant with the next highest score. This process will continue by awarding grants to applicants with the next highest score until the amount of money available for reimbursement is depleted or when the Bureau determines in its best judgment that no further awards should be made. In the event of a tie in the scoring, applicants that received the same score will be treated the same to the greatest extent possible. A wards will continue to be based upon the percentage of reimbursement determined by the Bureau. An applicant may only submit one grant request per fiscal year. The disbursement of funds is always subject to the availability of sufficient moneys in the Fund for this purpose.

(2) Equipment purchased under the program or equipment described in an approved purchase order must cost a minimum of $1500 for a drag unit or $3000 for a power unit. The purchase price of a groomer cannot exceed $200,000. Purchases based on approved purchase orders must be completed by September 15th of the calendar year in which the purchase order was approved. The Bureau will subtract the value of any previously sold equipment, trade-in and any other grants or funding received from the total cost before calculating the amount of the Grant.

B. Application and Reimbursement Process

(1) The Bureau's Off Road Recreational Vehicle Office administers the Program. All correspondence and applications forms must be submitted to:

Maine Department of Agriculture, Conservation and Forestry,

Bureau of Parks and Lands

Off Road Recreational Vehicle Office

Capital Equipment Grant Program

SHS # 22

Augusta, ME 04333-0022

(2) The applicant must complete and submit the following documents:

(a) Capital Equipment Grant Application form (supplied by Bureau);

(b) A legible photocopy of a purchase order or the receipt for the proposed purchase of the equipment with buyer's and seller's names; description of equipment; purchase price, date of purchase if sale is complete, and amount credited for a trade-in of grooming equipment;

(c) A photograph of the equipment;

(d) The amount, if any, of any other grants or funding, or sale obtained from previously paid for grant equipment awarded for the purchase of the equipment.

(3) The Snowmobile Advisory Council's Review Committee will review applications for grants. The Committee then will submit its recommendation of award or denial to the Director of the Off-road Recreational Vehicle Office, and reimburse the grantee using the procedure set for in Section 2(2)(A)(l).

SECTION 3. TERMS AND CONDITIONS OF APPLICATION/AGREEMENT

1. By applying for the Capital Equipment Grant, the applicant agrees to the following conditions:

A. The applicant and any associated officer or elected official ensure, and will continue to ensure, that the equipment purchased is maintained in a safe condition, in good repair, stored at a protected site and used for the sole purpose of winter grooming of snowmobile trails that are open to the general public at no cost.

B. Landowners and tenants who give permission to use the land have been notified the trails must be open at no cost to the general public for snowmobile use.

C. The Bureau has the sole discretion to determine if expenditures are reasonable and prudent, and whether the grantee has complied with the terms of the agreement and all applicable laws, rules and regulations.

D. The State shall have no responsibility for the use, maintenance, or fitness of the equipment. The applicant agrees not to assign, transfer, lease or encumber its rights or obligations under the agreement, without the Bureau's prior written consent. The applicant shall indemnify, defend, save and hold the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way arising out of the use, operation, maintenance, or repair of equipment.

E. The State may inspect any facilities or equipment used in connection with the agreement at any time.

F. Grantee must retain ownership and use the equipment for trail maintenance for periods covering six years for equipment valued at $100,000 or more and four years for equipment valued under $100,000 from the date on the purchase receipt. The grantee must notify the Bureau in writing within 30 days of any sale, trade, destruction or abandonment of equipment purchased under the grant program.

G. If a grantee ceases to participate in one of the Bureau's Snowmobile Club or Municipal Trail Grant Programs, or the grantee's organization disbands without forming, or being absorbed into another participating organization, or the equipment is sold, traded, abandoned or destroyed, the grantee must reimburse the Bureau twenty-five percent of the grant for each year, or portion of a year, remaining in the grant period for equipment valued under $100,000 and seventeen percent per year for equipment valued at $100,000 or more. If the grantee otherwise violates the terms of the grant agreement, these rules or other applicable laws, the grantee shall repay the Bureau upon its demand the entire amount granted together with interest thereon at 6% per annum. No new grants will be issued until the grantee repays the grant amount as required by this paragraph.

H. If a piece of equipment is replaced within the grant period, the new replacement is not eligible for a grant. However, reimbursement provisions under section G applies to the replacement equipment until the original four or six year grant period expires.

I. All Grant recipients will purchase and maintain insurance to cover the value of the equipment from loss by fire during the grant period.

History

• STATUTORY AUTHORITY: Title 12, M.R.S.A. Chapter 937, §13104-4
• EFFECTIVE DATE: October 30, 2002
• REPEALED AND REPLACED: September 23, 2011 – filing 2011-317
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: August 29, 2015 – filing 2015-155
• AMENDED: 01-670 Chapter 9 page 4

Chapter 10 Rules for Snowmobile Disaster Relief Grant-in-Aid Program

Code Me. R. 01-670 Ch. 10 Rules for Snowmobile Disaster Relief Grant-in-Aid Program {#sec-01-670-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 10}

SUBCHAPTER 1: DISASTER RELIEF GRANT-IN-AID PROGRAM

SECTION 1. DESCRIPTION

Title 12 M.R.S.A., Chapter 220, authorizes the Bureau to award grants to snowmobile clubs to maintain snowmobile trails. This rule set forth the Bureau's procedures for making disaster relief grants-in-aid available to snowmobile clubs or political subdivisions for the remediation of catastrophic events that significantly impact the connectivity of the Interconnected Trail System (ITS).

SECTION 2. ELIGIBILITY

Any snowmobile club in good standing with Maine Secretary of State's Division of Corporations, or political subdivision properly registered with the Off-road Recreational Vehicle Program (hereinafter referred to as "the Applicant") is eligible to apply for this grant.

SECTION 3. FUNDING

1. The Bureau's goal at the end of each fiscal year is to carry a cash balance in the Snowmobile Trail Fund (STF) that is equivalent to 10% of revenue (actual revenue averaged for the past three years).

2. Any funds carried over that exceed the STF target of 10% of revenue, will be transferred and allocated to the disaster relief grants-in-aid fund to a maximum $100,000, if approved by the Bureau's administration.

3. In any year that the STF carry forward balance does not meet the 10% target described above, no money will be transferred into the disaster relief grant program fund.

4. The Snowmobile Advisory Council ("Council") will recommend the amount of funds available for disaster relief grants-in-aid by August 15th each year. That amount cannot exceed $100,000.

5. Any funds that are allocated to the disaster relief grants-in-aid fund but not spent during the fiscal year, will carry forward into the next fiscal year.

6. In any year in which the disaster relief grants-in-aid fund retains $100,000 and the balance carried over in the STF exceeds the target of 10% of revenue, those excess funds will be used to increase the amount available for club and municipal trail grants administered under Title 12, M.R.S.A., Chapter 220, Section 1893-3.

SECTION 4. GRANT A WARD CONDITIONS

1. Grants will be awarded for unforeseen, catastrophic events on ITS trails. Grants will not be awarded for damage that is the result of substandard maintenance practices. Repairs or replacement shall be to pre-disaster functional condition. The list of qualifying projects includes, but is not limited to:

A. Catastrophic bridge failure replacement/restoration due to a weather event.

B. Erosion remediation that is necessary due to storm damage.

C. Vegetation management needed due to a storm event.

SECTION 5. GRANT APPLICATION/GRANT AGREEMENT

1. Grant Applications must be post-marked after August 15th 2014 and must be submitted within 60 days after the weather event. Applications must be submitted on forms provided by the Bureau and contain all of the information required by these rules.

2. Applications must include the following:

A. A description of the catastrophic event.

B. A project description that includes a detailed description of completed/ proposed work.

C. The estimated/actual cost of materials, equipment, labor, etc. needed to complete the proposed work.

D. Copies of all required state, federal and local permits.

E. Pictures of damage and completed restoration.

F. A map showing the location of the project.

G. The identity of a Nonpoint Source DEP certified contractor who will supervise project activity in resource protection areas (shoreland zone, wetlands, etc.).

H. The written permission of any landowner impacted by bridge and erosion repair projects.

3. The Snowmobile Advisory Council will review applications for grants within 60 days of the date the application is post marked. The Council then will submit its recommendation of award or denial to the Director of the Off-road Recreation Vehicle Office.

SECTION 6. REIMBURSEMENT

1. Projects will be funded on a reimbursement basis and will be expected to be completed within the fiscal year of the award unless an extension is requested in writing, on forms provided by the Off-road Recreational Vehicle Program and approved by the Council prior to the end of the fiscal year.

2. Grants will be awarded to a maximum of $20,000 but the award cannot exceed 70% of the total project cost.

3. The following expenses are eligible for partial reimbursement:

A. Administrative costs incurred in obtaining land use permits, preparing grant material, reimbursement requests, etc.

B. Materials, equipment and labor costs for bridge replacement due to a catastrophic event.

C. Materials, equipment and labor costs for repairing erosion caused by storm damage.

D. Equipment and labor costs for vegetation management needed due to storm damage.

4. The following expenses are not eligible for reimbursement:

A. Costs of restoring or replacing items that were insured or were insurable.

B. Costs of restoring or replacing items that were covered by other disaster relief organizations or programs (e.g., Federal Emergency Management Agency).

C. Damage due to substandard maintenance practices, including beaver damage.

D. Fees paid for land use permits, fines for Department of Environmental Protection/Land Use Planning Commission violations or general club trail administration.

SECTION 7. PROCESSING OF APPLICATIONS

All applications will be processed and reviewed in the order in which they are received by the Bureau. When the disaster relief program funds are exhausted for the fiscal year, the awarding of grants will cease.

SECTION 8. RETURN OF APPLICATION

When an application is approved and a grant awarded by the Council, the Bureau will return one fully-executed original to the applicant.

SECTION 9. REIMBURSEMENT REQUESTS

1. Requests for reimbursement must be postmarked by April 15th of the fiscal year in which the application is approved and a grant awarded except as provided in §6(1).

2. Requests for reimbursement must be supported by legible copies of all receipts demonstrating the payment of expenditures reported, or a copy of the town warrant on which the payment was made.

3. Requests for reimbursement must include all expenses incurred during the period covered. No expenses may be carried over and submitted with another request or submitted to another grant program.

4. Requests for reimbursement that include worksheets provided by the Bureau must be legible. The director of the project for which reimbursement is sought must verify all work that has been performed and all purchases made.

5. Requests for reimbursement must include a signature of a person authorized to do so for the club or political subdivision.

SECTION 10. DESIGN, CONSTRUCTION & MAINTENANCE

All projects must comply with the Bureau's Best Management Practice (BMP) Guidelines for the maintenance of trails.

Any request to deviate from these guidelines must be made part of the application. The Bureau may waive compliance with specific provisions of the BMP Guidelines when it determines that waiver is in the best interest of the State. Written waivers must be in writing and provided to the applicant to be effective.

An applicant for a project over $10,000 that includes the repair or reconstruction of a bridge must submit a design for the site that has been certified by a licensed engineer.

SECTION 11. LIABILITY AND INDEMNIFICATION

Upon request by the State, the applicant shall indemnify, defend, save and hold the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way arising out of or in connection with the use, occupation, construction, development, repair or maintenance of any property, facilities or .equipment used in connection with the facilities funded under this Agreement. Upon request of the State, the Applicant shall, at its own cost and expense, provide and keep in force comprehensive general public liability insurance against claims for personal injury, death or property damage occurring on, in or about any property or facilities funded under or used in connection with this Agreement, or respecting the use of any vehicle or equipment used in connection therewith. Any such insurance shall be in an amount, form and content determined from time to time by the State, shall include the State as a named insured at the State's request, and shall be carried by responsible companies satisfactory to the State. The State may at any time inspect any facilities or equipment used in connection with this Agreement.

History

• STATUTORY AUTHORITY: 12 MRS ch. 220 §1893-3
• EFFECTIVE DATE: August 29, 2015 – filing 2015-156

Chapter 15 General ATV Trail Guidelines ATV Trail Program Insurance

Code Me. R. 01-670 Ch. 15 General Atv Trail Guidelines {#sec-01-670-ch.-15 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 15}

1. All trails must be established in accordance with Title 12, Chapter 715, Subchapter IV, Laws pertaining to All Terrain Vehicles.

2. The trail corridor is a strip or parcel of land in which the trail is to be located.

3. The trail will consist of a treadway from which hazardous obstacles such as, stumps and rocks will be removed, severe depressions will be filled in, side brush removed at least one foot outside the established treadway and overhead brush and limbs will be cleared to a minimum of (7') seven feet. All brush, trees, stumps and rocks removed from the corridor should be disposed of in a way not to detract from the aesthetic interest of the trail.

The established treadway should be maintained a minimum of -

Class I - Two feet for two wheel vehicles including dirt bikes, off-road bikes, fat cats, etc.

Class II - Five feet for three and four wheel vehicles 50 inches or less in width, dry registered weight of less than 600 pounds traveling on low pressure tires of 6 pounds or less designed to be straddled by the operator.

Class III - Eight feet for vehicles greater than 50 inches in width, greater than 600 pounds registered dry weight, traveling on Multi-wheels or tracks not limited to but including 4 X 4 trucks, dune buggies, coots and amphibious vehicles.

4. Marking the trail will be consistent with established Bureau guidelines. Signs to be used will be provided by the Bureau or will be of equal quality and design. Signs will be attached to trees or posts with aluminum nails at eye level.

5. Trails will be established only on land where written landowner permission has been obtained. If written permission is unattainable, oral permission will be accepted with a written affidavit from the club President confirming permission was obtained and the date it was obtained.

6. Trails should pass through variable terrain to hold users interest and create a reasonable degree of challenge. Established routes will avoid critical wildlife and ecological areas and areas of anticipated serious user conflict such as, tree plantations, dwellings, agricultural land, or other recreational user areas.

7. Highway crossings should be avoided whenever possible. When necessary, crossing should be made as near 'right angles to the traveled roadway as possible at locations providing clear visibility along the highway in both directions, to assure safe crossing.

8. Trails should not be routed parallel with steep side slopes. Sustained perpendicular slopes should not exceed 30 percent. Bypass trails should be provided around grades exceeding 25%. Approaches or exits to slopes and grades should be straight for a sufficient distance to make a safe entrance and exit.

9. If grading trail surfaces is required, precautions should be taken to eliminate future erosion.

10. Streams and rivers will be bridged in compliance with all environmental regulations. Bridges will be a minimum of (5') five feet wide for Class I and II trails. Class III trails designed for dune buggy or off-highway four wheel drives, will be a minimum of (8') eight feet wide.

11. Trails will not be established in the stream bed, parallel with the flow of current, on dry or wet channels.

12. Crossing active railroad tracks will be at authorized crossings clearly approved by the appropriate Rail Line.

13. Trails should be maintained sufficiently to allow reasonably safe operation of off road motorized vehicles, considering some operators will be less experienced than others. When an approved trail is abandoned or discontinued, the Bureau should be notified immediately in writing.

14. It is of utmost importance that all trails be monitored on a regular basis in order to assure they are kept in reasonably safe usable condition.

15. Trail signs and bridges should be removed completely from trails that have been discontinued or abandoned.

16. Trails should not be routed over frozen bodies of water.

REFERENCE NUMBER ______

BATCH NUMBER ______

STATE OF MAINE

ATV CLUB TRAIL APPLICATION/AGREEMENT

ATV TRAIL PROGRAM INSURANCE

This application is made for the Purpose Of Providing liability insurance coverage for landowners, ATV clubs maintaining trails, and municipalities, as defined under the terms of this application.

1. The ATV club must have been organized and recorded with the All-Terrain Vehicle Program. Of the Bureau of Parks & Lands. An ATV club, or organization for the purpose of this application shall be defined as an organization formed to encourage safe ATV operation. development of organized trails, and promotion of the sport of ATV Operation.

2. If the organization does not have a Trail Committee Chairman or Trailmaster, one must be appointed who is responsible for maintenance of the trail. This person will be the one to whom we will direct inquiries concerning trail activities.

3. By applying for this agreement, the ATV club, and person executing this application on the club's behalf, are agreeing to the following terms and conditions:

(a) The ATV club trails must be established only on land where the club has received permission from the landowners (and tenant. where applicable) to use. Upon signing this application, the club president is certifying that such permission has been obtained for all trails included in the application. Permission must be in writing. The Bureau will provide sample use permits. If a landowner refuses to sign a permit, an affidavit must be signed by the club president stating who gave the permission, to whom it was given, the date it was given, and how long the permission is gained for. Original copies of the permits are to be submitted with the trail map to the Bureau.

(b) All reasonable efforts have been and will be taken by the club and its members, to ensure that the trails and related facilities, are safe and in good condition and in Conformity with all applicable laws and regulations. These efforts must include the erection of adequate trail signs as per the guidelines established by the Bureau of Parks & Lands, so that the trail is readily recognizable and hazards are noticed.

(c) The trails will be open to anyone wishing to use them for ATV or other compatible Purposes. All landowners and tenants, from whom permission is required to be obtained, must have been notified of the fact that the trails are to be open to the general ATV public. If trails are designed for certain types of all-terrain vehicle use, it should be so stated on the application as per the Bureaus trail classification system.

(d) A map of the trail location must accompany the application and is incorporated into this agreement upon approval of the application. Parking areas, clubhouses and other support facilities information must be noted on the map. The map should be a USCS topographical map or a map of similar scale and quality with the trails drawn on accurately.

(e) Upon approval or denial of the application. the organization will be notified in writing by the Bureau.

(f) The club shall not assign, transfer. lease or encumber its rights or obligations hereunder, or in or to the trail without the State's and the landowner's and tenant's prior written consent. The club shall indemnify, defend, and save the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way & rising out of the use, occupation, maintenance, repair or development of any trails or related facilities or equipment used in connection with the trails. If the trails are abandoned seasonally or permanently, in part or in whole, the club will notify the Bureau in writing immediately in order to amend or discontinue insurance coverage.

(g) The State may at any time inspect any facilities or equipment used in connection with this agreement.

4. Provided that the trail club complies with all the terms of this Agreement, the Bureau shall, upon accepting their application, make its best efforts to provide liability insurance policy which provides coverage protecting the landowner, the tenant, the club and the State. The Bureau shall not be required to provide such a policy if there is not available funding earmarked therefore.

We, the undersigned, have reviewed the contents of this application and agreement and agree to comply with the terms hereof. We further understand that failure to comply with the terms hereof, will void this agreement in addition to any other remedy the state may have. Upon approval by the Bureau of Parks & Lands, this application shall be deemed an agreement between the undersigned and the Bureau of Parks & Lands.

It is further understood that the Bureau of Parks & Lands reserves the right to accept or reject any or all applications, and has no obligation for expenses incurred except in accordance with the terms of this agreement, if approved. The Bureau of Parks & Lands also reserves the right to inspect at any time the trails referred to in this application.

Trail-Design & Maintenance Classification

• Established Treadway -

Class I - Two feet for two wheel vehicles including dirt bikes, off-road bikes, fat cats, etc.

Class II - five feet for three and four wheel vehicles 50 inches of less in width, dry registered weight of less than 600 pounds traveling on low pressure tires of 6 pounds or less designed to be straddled by the operator.

Class III - Eight feet for vehicles greater than 50 inches in width, greater than 600 pounds registered dry weight, traveling on Multi-wheels or tracks not limited to but including 4 X 4 trucks, dune buggies, coots and amphibious vehicles.

NAME OF ATV CLUB ____________________________________

ADDRESS _______________________________________________

COUNTY ____________________________ ZIP CODE_______

NAME OF TRAILMASTER_________________________________

ADDRESS _______________________________________________

TELEPHONE ______________________

These Trails are designed and designed to accommodate

Class I ___ Class II _____ Class III _____ vehicles.

TRAIL LOCATION

MILES

(one way only)

TOWN _________________________ COUNTY _____________

DATE _________________________ ________________________

PRESIDENT (SIGNATURE)

---

WITNESS (SIGNATURE) CHAIRMAN OF TRAIL COMMITTEE OR TRAILMASTER (SIGNATURE)

APPROVED BY:

Bureau of Parks & Lands

By ___________________ Date: ___________________

History

• STATUTORY AUTHORITY: Title 12, Chapter 715, Subchapter IV
• STATUTORY AUTHORITY: Section 7857 Subsection 4-B
• EFFECTIVE DATE: July 4, 1987
• AMENDED: April 13, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: August 7, 1997 - corrected line breaks and spacing in 3).
• NON-SUBSTANTIVE CORRECTIONS: February 24, 2000 - converted to MS Word
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-670 Chapter 15 page 4

Chapter 18 ATV Municipal/County Grant-In-Aid Program

Code Me. R. 01-670 Ch. 18 Atv Municipal/County Grant-in-Aid Program {#sec-01-670-ch.-18 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 18}

MUNICIPAL GRANT-IN-AID PROGRAM

RE: Administration of Grants-In-Aid to Municipalities/Counties for ATV Trails and Facilities , M.R.S.A., Title 12, Section 1893(1)(B) and Section 1893 (2)(A&B) PLEASE READ!!!

Enclosed is a packet that explains the Bureau of Parks & Lands Grants-In-Aid Program to municipalities and counties. Under the terms of the grant, the State can cost share up to but not exceed the rate of 90% State 10% local match. All trail plans will require approval by the Bureau and a determination will be made at that time on what formula will apply. The approved percentage could change annually depending on available funds and the size of any one project.

All applications for assistance with trail development and/or maintenance during the ATV season must be submitted to the Bureau of Parks & Lands no later than May 30. Trail development is considered creating NEW trail, rerouting trail, constructing new bridges, or parking facilities. Included in this packet is a sample copy of a use permit which may be used to obtain authorization to cross private property. This type of authorization would meet the requirements of the Bureau of Parks & Lands when reviewing your request for assistance. Also included is a sample Project Certification, Project Description, Application, Agreement, and Reimbursement Request.

I. PROCEDURES FOR APPLYING FOR A GRANT

A. The following materials must be submitted when requesting assistance for an ATV trail project. All materials should be originals with original signatures, except the map providing the project location.

(1) Project Certification - This must be typed on letterhead, using the enclosed sample as a guide. Insert the proper wording that applies to your community wherever indicated by BOLD PRINT IN PARENTHESIS on the sample. It must be signed by the appropriate officers (Example: selectmen, town or city council, etc.) This assures us that the legislative body approves of the proposed project and the requesting of financial assistance.

(2) Project Description - A detailed description of the proposed project must be submitted before we can give the project funding consideration. The description must include ALL work, type and cost of necessary equipment, personnel required and resources available for the project. It must also include a breakdown of the material costs, estimated number of hours for labor equipment and the hourly rate to be paid. The cost of purchasing capital equipment items ($500.00+) is not reimbursable. If the project is to be contracted, the contract should specify the responsibilities of the contractor, the method of payment including the maximum amount and a copy forwarded to this office. We recommend a per hour rate for contracts if that is the way the work will be completed. The construction of bridges requires permits or notification to LUPC or DEP. Copies of these notices are required if you want State funding assistance.

(3) Map - A map of the proposed ATV trail project. The map should be a topographical map if at all possible to enable us to determine the terrain and other natural features. in any event, the scale of the map submitted should be equal to the topographical map or greater. The map must show the proposed trail, water crossings, if any, opportunity for expansion, relationship with existing trails in surrounding areas and number of miles existing in your project. If you are to use the map on file with last years project, you must notify us IN WRITING. This may be included on the Project Description (see sample).

(4) Landowner Permission - If the request for financial assistance is for use and minor maintenance of existing trail we will accept a letter certifying that all landowners over whose land the trail passes have been contacted and have granted permission, (this may be a part of the Project Description - see sample). However, in the event that the application is requesting financial assistance for development of new trail or major construction on existing trail, landowner permission must be in writing for the areas to be developed.

(5) Application - The application must be completely filled out and signed by the person given the authority in the Project Certification.

a. The estimated costs specified on the application may include administrative costs incurred in obtaining land use permits but not costs of same if a fee is paid for use of the land.

b. Cost of the actual development of new trail or improvements to existing trails, including related facilities.

c. Cost of maintaining the trail, parking areas, trail signs, enforcement of trail rules and Maine statutes.

(6) Agreement - The municipality/County must submit the original agreement between the State of Maine and the municipality/County. One signed copy will be returned to the municipality/county. Approval of the grant will be expedited if the signed agreement is submitted with the grant application.

II. REIMBURSEMENT

A request for reimbursement can be submitted on a monthly basis or at the end of the season, whichever best suits the municipality/county best. We prefer that they be submitted monthly because we can conduct our review much more quickly at the end of each month than if submitted for an entire season. It is also an advantage to the municipality if the requests are submitted monthly because they will only have to have their portion of the money in a fund rather than the entire amount in order to pay the bills. In any event, THE FINAL REIMBURSEMENT REQUEST MUST BE SUBMITTED NO LATER THAN NOVEMBER 30TH of the year in which the project was operational. Reimbursement requests that are POSTMARKED after November 30th will forfeit state reimbursement.

Requests containing items not preapproved on the Project Description or by letter, will loose reimbursement by the State for those items. The method of filing for reimbursement is as follows:

(1) One copy of the Request for Reimbursement completed as per the terms of the grant. A sample is provided in the packet for your reference.

(2) Copies of all receipts substantiating payment of expenditures reported or a copy of the town warrant on which the payment was made or an invoice marked paid. (See sample enclosed). Worksheets are not invoices or receipts.

(3) A worksheet must be used by the project director as work is performed or purchases made and a copy of that must be forwarded with the reimbursement request. This should describe briefly where the work is done by site location or trail number.

(4) The reimbursement request must be signed by the person to whom the municipality/county gave the authority to submit the application requesting financial assistance. (See Project Certification).

Upon receipt of the reimbursement request, it will be reviewed by the ATV Program, Bureau of Parks & Lands, to ensure compliance with the terms of the grant and if so, reimbursement will be made on basis of the previously approved percentage of the cost for the work performed during the dates covered by the reimbursement request. All expenses incurred during the period covered should be included on the appropriate request for reimbursement and not carried over to a later request.

ATV TRAIL DESIGN AND CONSTRUCTION GUIDELINES

1. ATV Trails

(a) The minimum trail width should be 5 feet unless where otherwise specifically exempted.

(b) Brush will be cleared from an area at least 1 foot outside the trail edge.

(c) A height of not less than 7 feet above the trail will be cleared of brush.

(d) Sustained grades and slopes will be a maximum of 30%. Grades of less than this are preferred to prevent problems caused by erosion.

(e) All signs will be of the same design as that which is approved and used by the Bureau of Parks & Lands. (Signs may be available from Parks & Lands upon request).

2. Any brush or hanging branches at road crossings should be cut back to provide adequate visibility in both directions. Warning signs should be installed on the trail at a sufficient distance to warn ATVers of road crossings. Request for signs along the highway will follow the policy as published by the Department of Transportation.

3. When the trail approaches or exits a steep slope or grade, the trail. should be straight for sufficient distance to make a safe entrance and exit.

4. The topography and land characteristics should be of a varied nature to hold the users interest and to create a reasonable degree of challenge.

5. Proper layout, development, and maintenance of the trail is extremely important for usability and enjoyment of the user. This will also help avoid major environmental impacts and associated problems.

6. If stream or river crossings are necessary, bridges at least 5 feet wide must be provided. Permits with LUPC or DEP will usually be required to build bridges on navigable streams or rivers.

7. Trails should avoid traversing steep side slopes if at all possible. This type of trail requires a lot of work to lay out and is expensive to maintain.

8. Trails should be laid out in such fashion that they avoid any areas of anticipated conflict such as tree plantations, nurseries, conflicting uses, or any areas on which trail development may be damaging.

Failure to follow the previously listed guidelines or to properly fill out all necessary forms and permits may result in the forfeiture of some or all monies available in this grant. The state may withhold all or any part of the monies which might be payable to municipalities/counties by this or other state programs by invoking the provisions of Title 5 M.R.S.A. §133. If you have further questions, please contact:

Department of Agriculture, Conservation and Forestry

Bureau of Parks & Lands

Off-Road Vehicle Division

ATV Program

Station #22

Augusta, Maine 04333-0022

Tel: (207) 287-4958

AGREEMENT

Municipal Grant-In-Aid Program

THIS AGREEMENT, MADE THIS day of 20 , between the State of Maine acting by and through the Director, Bureau of Parks & Lands, hereinafter referred to as the State and hereinafter referred to as the Municipality/County.

Municipality/County:

WHEREAS, the Municipality/County desires to establish, construct and maintain a public ATV trail system and,

WHEREAS, by M.R.S.A. Title 12, Section 1893(1)(B), the Bureau of Parks & Lands is authorized to make grants-in-aid to Municipalities/Counties from the monies in the ATV Recreational Management Fund.

NOW THEREFORE, IT IS AGREED between the parties hereto: The State agrees to reimburse the Municipality/County of the cost of trail acquisition, development, and maintenance pursuant to and in accordance with this Agreement. In no event shall the total liability of the State under this Agreement exceed in the aggregate sum of _______ without the prior written consent of the State. This Agreement is subject to the following terms and conditions.

A. The Municipality shall not be entitled to any reimbursement hereunder with respect to any proposed trail unless the entire trail plan shall have been approved in advance as hereinafter provided by the Supervisor of the ATV Program, Department of Agriculture, Conservation and Forestry, Bureau of Parks & Lands.

1. The Municipality/County shall submit to the Supervisor of the ATV Program, Bureau of Parks & Lands, the following trail documentation (hereinafter called the "trail plan"):

a. A topographic map or a local tax map designating to the satisfaction of the State, the location of the proposed trail system over all lands, including public and private. Where the State so requests parcel number shall be assigned to each parcel and a distinction made, on the map, between the private landowners and public lands over which the trail is proposed to go.

b. A list of landowners and parcel numbers corresponding to the map of the land owned by each as requested.

c. A work plan for the proposed trail. The work plan when accepted by the State, shall constitute the obligation of the Municipality/County to do all things contained in the work plan, as if said work plan were a part of this Agreement.

The work shall provide the following:

1. Clearing, developing, and maintaining trail;

2. Providing and maintaining parking areas where appropriate;

3. Erecting signs which are approved by the Bureau of Parks and Lands. Sign material content, location and erection shall be strictly in accordance with guidelines and recommendations of the Bureau of Parks & Lands;

4. Providing information as to the estimated number of signs needed of each denomination;

5. Providing for adequate sanitary facilities, and picnic areas as appropriate.

6. Providing for trash receptacles and regular pickup of trash deposited (no less frequent than weekly);

7. Removing all signs, posts or other related facilities after the season if required by the landowners or by the State;

8. Enforcement of trail rules/regulations and Maine statutes.

d. Designation of an individual or agent of the Municipality/County to serve as administrator of the program hereunder.

2. The Municipality/County may make any revisions in the original trail plan necessary to make the plan acceptable to the Supervisor of the ATV Program.

3. Any approval of the trail plan by the Supervisor shall be in writing to the person appointed by the Municipality/County as administrator of the trail.

4. The Municipality/County shall strictly adhere to the terms of the approved trail plan and shall not amend, revise, or alter the same without written approval of the Supervisor of the ATV Program.

5. The provisions of Title 5 M.R.S.A. §4572 regarding nondiscrimination in employment are hereby incorporated into this Agreement by reference as if the same were set out in full herein, and the Municipality/County agrees to comply therewith.

B. The Municipality/County shall provide copies of any permits that are required by law to the Supervisor of the ATV Program before approval can be given for the proposed trail plan. (Examples: Health and Human Services Sanitary Facilities, DEP, LUPC, (if proposed development is in the unorganized area of the State), etc.

C. Subject to budgetary and staff limitation, the State shall provide reasonable technical assistance to the Municipality/County in the development of ATV trails and related facilities.

The State agrees to reimburse the Municipality/County on the basis of _______% of all costs directly related to the acquisition of easements, development and maintenance of ATV trails, subject to the terms of this Agreement.

1. The costs incurred must be in accordance with the trail plan as approved by the Supervisor of the ATV Program and any approved revision thereto.

2. The Municipality/County may acquire land by easement, lease or permit. Any trail easement, lease or permit shall be for such term as is necessary, in the opinion of the Supervisor of the ATV Program, to fully utilize facilities and to implement the purposes hereof.

a. An affidavit must be provided to insure that the person or entity who is the grantor of the rights to use the land for the proposed ATV trail is the same person or entity shown in the records in the office of the Registrar of Deeds, in the County in which the land is located, to be the owner of the property. All instruments of conveyance, affidavits and the like are subject to approval as to form and content by the State. The State may where it deems the same is necessary, require adequate title opinions to be provided to the State at the Municipality's/County’s expense.

3. Contracts entered into by the Municipality/County for development or services which are funded in whole or in part by the State shall, wherever State law so requires as determined by the Supervisor of the Program, be awarded through competitive bid and following approval of such contracts by the Supervisor.

D. The Municipality/County shall submit receipted invoices of the out-of-pocket costs actually incurred by it in the establishment, development and maintenance of the approved ATV trail.

a. Upon the submission, not more often than once monthly, of receipted invoices of trail costs, the Municipality/County may request the State to pay ______% of the amount so submitted and approved by the Supervisor.

b. The Municipality/County shall retain for three years and make available to the State, all records relating to receipt and expenditures of funds under this Agreement.

E. The State of Maine shall not assume any liability for any expense incurred by the Municipality/County; (I) which expense was not expressly approved in writing in advance by the Supervisor of the ATV Program or, (II) after depletion of the grants-in-aid funds available. All obligations of the State hereunder are subject to the availability of funds in the ATV Recreational Management Fund.

F. The Municipality/County shall operate and maintain the trails and facilities in good and safe condition of their purposes and in accordance with all applicable federal, state and local laws, ordinance, codes, rules, regulations and standards. The Municipality/County shall not assign, transfer, lease or encumber its rights or obligations hereunder in or to the trails or facilities without the State's prior written consent. The Municipality/County shall indemnify, defend and save the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way arising out of or in connection with the use, occupation, construction, development, repair or maintenance of any property, facilities or equipment used in connection with the facilities funded under this Agreement. Upon request of the State, the Municipality/County shall, at its own cost and expense, provide and keep in force comprehensive general public liability insurance against claims for personal injury, death or property damage occurring on, in or about any property or facilities funded under or used in connection with this Agreement, or respecting the use of any vehicle or equipment used in connection therewith. Any such insurance shall be in an amount form and content determined from time to time by the State, shall include the State as a named insured at the State's request, and shall be carried by responsible companies satisfactory to the State. The State may at any time inspect any facilities or equipment used in connection with this Agreement.

G. Once the trail plan has been approved, the Municipality/County shall proceed to acquire the necessary interest in the land, establish the trail and open it to use by the general public. Should the Municipality/County fail to expedite completion of this project or fail to provide for adequate maintenance to keep the trail reasonably safe for public use, provide sanitation and adequate sanitary facilities where needed, and other maintenance and/or facilities as the State may deem necessary, or fail to comply with any provision of the Agreement (including the trail plan), the State may withhold any future payments and terminate this Agreement immediately upon written notice to the Municipality/County. If the Municipality/County receives any funds improperly paid or misapplies or misuses any funds received from the State pursuant to this Agreement, or if the State incurs or is charged with any costs, expenses or damages in connection with the property which is the subject of this Agreement (except as herein expressly provided), the Municipality/County shall immediately upon demand promptly reimburse the State for all such amounts. If the Municipality fails to make such payment, the State may withhold all or any part of the monies which may be payable to the Municipality/County under other State programs, by invoking the provisions of Title 5 M.R.S.A. §133 or otherwise.

MUNICIPAL/County APPROVAL

Municipality: ___________________ County: ___________________

Signature: ______________________ Dated: ____________________

Title: __________________________

Chairman of Board of

Selectman/Town/ City or County

Manager

STATE OF MAINE APPROVAL

Department of Agriculture, Conservation and Forestry

Bureau of Parks & Lands

By: ___________________________ Dated: ____________________

Title: __________________________

History

• STATUTORY AUTHORITY: Title 12 sub-section 1893(1)(B)
• EFFECTIVE DATE: April 12, 1992
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: August 7, 1997 - insertion of % in Agreement (C) and (D); minor spelling and formatting.
• NON-SUBSTANTIVE CORRECTIONS: February 24, 2000 - converted to MS Word
• AMENDED: March 11, 2007 – filing 2007-77
• CORRECTIONS: February, 2014 – agency names, formatting
• AMENDED: May 3, 2021 – filing 2021-088
• WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 51 Use of "Public Lands"

Code Me. R. 01-670 Ch. 51 Use of "public Lands" {#sec-01-670-ch.-51 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 51}

SUMMARY: These rules give the definition of "Public Lands" and explain the Bureau's policy governing public use on camping, fires, litter, disturbances, altering of property, abandoned property, storage of property, closed areas, vehicular use, firearms, preserves, and enforcement and penalty.

1.1 Definitions

"Public Lands" shall include the Public Reserved Lands of the State and all other lands under the jurisdiction, and control of the former Bureau of Public Lands. "Bureau" shall mean the Bureau of Parks and Lands within the Department of Agriculture, Conservation and Forestry.

1.2 Camping

No person shall camp, stay overnight or maintain any tent, camper, shelter, trailer or other camping unit on any public lands for more than fourteen days in any 45 day period, without the prior written permission of the Bureau.

1.3 Fires

Unless ground is snow covered no person shall build or maintain an open fire including charcoal on public lands except (i) at a campsite duly authorized and designated for open fires or (ii) where a permit has been obtained for such fire from the Maine Bureau of Forestry. For visitor safety and resource protection, open fires must be attended. Campstoves fueled with sterno, propane, kerosene, etc. are allowed in any safe location. Charcoal fires, off the ground, attended and used in proper cooking containers, which will not leave a disposable residue or ash on the ground, are permitted on structurally improved leased lots. On islands in tidal areas, all fires shall be built below the mean high tide line.

1.4 Litter

In accordance with State law that prohibits littering, trash which cannot be burned in accordance with Section 1.3 Fires, must be carried out. Plastic and other tarps such as shelters shall be removed.

1.5 Disturbances

All persons camping on public lands will conduct themselves in a manner which does not impair the reasonable use and enjoyment of public lands by others. In consideration of other visitors and wildlife, pets in campsites must be kept leashed, and shall not be left unattended; outside of campsites, pets must be kept under control. To maintain reasonable quiet, the use of chain saws, generators, and other power equipment is prohibited within and around campsites.

1.6 Property

No person shall deface, paint, damage or mutilate any structure, natural feature, tree or marker, on any public lands. Dead and down wood only may be used for campfires. No living trees shall be cut without the Bureau's prior written permission.

1.7 Abandoned Property

Any boat, tent, shelter or other personal property (or structure or fixture) which is left unattended on any public land for more than three consecutive days without prior written authorization from the Bureau shall be deemed to have been abandoned, and the Bureau may take custody of such property and dispose of the same in accordance with the law. For purposes of this regulation, personal property shall be deemed to be "unattended" unless it is actually personally used.

1.8 Closed Areas

During periods determined by the Bureau to be critical for forest fire danger or other condition, any portion of the public lands may be closed to the public at the discretion of the Bureau and no person shall enter or remain in said closed area except agents of the Bureau, law enforcement personnel in the line of duty and others authorized by the Bureau in writing. In making a determination to close any portion of the public lands because of a forest fire danger, the Bureau will consult with the Bureau of Forestry.

1.10 Enforcement

These regulations may be enforced by any law enforcement officer. These regulations shall constitute written authorization to the appropriate agencies of the State and its political subdivisions to enforce the provisions of Title 12, M.R.S.A. §556

1.11 Authorized Storage

Storage of private property on public lands is authorized only by special use permit issued by the Bureau. Unauthorized stored property shall be confiscated or destroyed.

Permits for storage will be subject to an annual fee (based upon the estimated cost of disposing such property). Permittees will be liable for the removal of their property upon request of the Bureau. Failure to remove such property within thirty (30) days of notice will result in the forfeit of said property and payment of a $50 penalty.

1.12 Firearms

Except for persons holding a valid Maine concealed weapons permit, loaded firearms are not permitted in campsites, on marked hiking trails, or at boat launches and picnic sites, and should not be discharged within 300 feet of such areas.

1.13 Vehicular Use

Vehicles shall use only designated public access roads. Parked vehicles shall not block any road (including closed side roads).

Off-road travel by wheeled vehicles of any sort is prohibited. Except as specified by the Bureau, all-terrain vehicles (ATVs) are not permitted on public lands.

Snowmobiles are permitted to traverse public lands, but may not travel on plowed roads, marked cross-country ski trails, and other areas so designated.

1.14 Preserves

To preserve Critical Areas, Forest Preserves, Cultural Resources and other designated sites for educational and scientific purposes, such areas and objects are to be left undisturbed.

1.15 (Deleted March 3, 2004)

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §552
• STATUTORY AUTHORITY: EFFECTIVE DATE (as 04-063, Bureau of Public Lands, Chapter 1):
• STATUTORY AUTHORITY: August 18, 1976 (filed with Secretary of State 6-30-78)
• AMENDED: May 30, 1986
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: January 21, 1997
• NON-SUBSTANTIVE CORRECTIONS: RENUMBERED (to 04-059, Bureau of Parks and Lands, Chapter 51):
• NON-SUBSTANTIVE CORRECTIONS: December 28, 1999
• NON-SUBSTANTIVE CORRECTION: March 3, 2004 - Section 1.15 deleted on the authority of Assistant Attorney General Jeff Pidot
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-670 Chapter 51 page 4

Chapter 52 "Coastal Island Registry" Regulations

Code Me. R. 01-670 Ch. 52 "coastal Island Registry" Regulations {#sec-01-670-ch.-52 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 52}

SUMMARY: These rules explain who must register ownership of coastal islands, the proper completion of the Coastal Island Registration Form, the acceptance of late registrations, the procedure for the review of registered claims, consequences of fraudulent registrations and listing and notification of unregistered islands.

2.1 Presentation of Claims

A. Who Shall Register

1. Each true owner of a free hold estate in a coastal island must register that interest with the Coastal Island Registry. Freehold estates include fee simple estates, fee tail estates, and life estates.

2. A common and undivided ownership may be registered by one true owner on behalf of all true owners of that estate. The name of each true owner must appear on the registration form and the source of title for each true owner must appear on the form.

3. A true owner may designate an authorized representative to register on behalf of the true owner. An authorized representative includes an attorney at law, an attorney in fact, the administrator or executor of an estate, the guardian ad litem of a minor or an incompetent person, an agent having written authorization of the owner, and any individual who can demonstrate to the satisfaction of the Registry his/her authority to act.

4. A true owner of a coastal island which is also owned in part by the State of Maine or United States of America shall register that portion owned by said true owner.

B. Registration Fee

1. The registration fee of $10 may be paid in cash, check or money order. Multiple fees may be paid in a single check or money order.

2. Registration forms received without the registration fee shall not be accepted for registration by the Registry.

3. Fees received by check or money order must be honored by the institution upon which they are drawn before the registration will be accepted.

C. Registration Forms

1. Each registration must be filled out in triplicate upon forms provided by the Registry.

2. A copy of the registration form will be returned to the sender by the Registry upon completion of registration. The Registry shall attach to said copy a statement indicating that the registration has been received and accepted by the Registry.

3. Registration forms received by the Registry containing incomplete information shall not be accepted for registration.

4. Incomplete information includes:

a) No name of the true owner

b) No description of the coastal island

c) A description of the coastal island inadequate to locate said island on a map of the United States Coast and Geodetic Survey for Maine's coastal waters and for use in 1972

d) No statement of the year the island was acquired by the registrant

e) No statement of the person, if any, from whom the registrant acquired the claimed title

g) No signature of the true owner or the authorized representative designated by the true owner.

5. Registrants who have sent incomplete registration forms or have sent complete forms without the $10 registration fee shall be notified by mail within 10 days that their registrations have not been accepted.

6. Registrants shall have thirty (30) days from receipt of said letter to provide the Registry with the lacking information or fee during which time the registration form and fee, if received, shall be held by the Registry.

7. Incomplete registration forms for which the registrant has failed to respond to the notice of incompleteness within thirty (30) days shall be returned to the registrant. The $10 registration fee shall also be returned to the registrant.

8. Registration forms which have been completed by the registrant within thirty (30) days shall be treated as received and accepted effective on the date of receipt by the Registry of the additional required information.

2.2 Late Registration

A. Registrations received after December 31, 1975, shall be accepted if they contain the required information and $10 registration fee.

B. A list of true owners and authorized representatives of true owners who registered after December 31, 1975, shall be compiled and referred to the Office of the Attorney General for collection of the $50 late penalty.

C. The collection of non-payment of the late penalty shall not affect the validity of the registration.

2.3 Review of Registered Claims

A. Review of title source for registered coastal islands shall be conducted by order of priority as determined by the Director of the Bureau of Parks and Lands or the Director's designate.

B. The Director or the Director's designate shall send notice of the defect(s) in title claim by certified mail to registrants whose claims are initially determined to be not valid.

C. The registrant shall have thirty (30) days from the receipt of the letter of notice of defect to present the Director or the Director's designate with a response. The response shall contain any further written evidence which the registrant wishes to produce including but not limited to unrecorded deeds, affidavits, letters, family papers or other authenticated writings to correct the defect in his title claim, or a statement of reasons why such evidence cannot be produced within the thirty (30) day period. The Director or the Director's designate may extend the period allowed for presenting further evidence upon the showing of just reason for delay.

D. Written evidence produced by the registrant will be reviewed by the Director of the Bureau of Parks and Lands or the Director's designate to determine whether such evidence establishes valid legal title to the island property claimed in the registration form.

E. The Director after consultation with the Attorney General shall rule as to the validity of the title claimed. Notice of the ruling shall be made by certified mail to the registrant within thirty (30) days of the receipt of the additional evidence by the Coastal Island Registry.

F. Rulings adverse to the claim made by the registrant may be appealed in accordance with Rule 80B of the Maine Rules of Civil Procedure.

2.4 Fraudulent Registration

Registrations which are suspected to be products of fraud shall be referred by the Registry to the Office of the Attorney General for appropriate action.

2.5 Unregistered Coastal Islands

A. A list of all unregistered islands by island name (if known) and by number (as given on the Maine Coastal Island Registry maps located in each coastal county Registry of Deeds and at the Bureau of Parks and Lands in Augusta) shall be posted in the Registry of Deeds in each county, and shall appear once a week for three (3) consecutive weeks in the State paper, in two newspapers of general circulation within the State, and in a newspaper in each coastal county as required by Title 12 M.R.S.A. §1206 (4).

B. Notice of failure to register shall be sent to those true owners whose identity may reasonably be ascertained by the following means:

1. The tax rolls of coastal municipalities

2. Information given by other registrants for the same island on their registration form

3. Reference to possible true owners in letters of correspondence to the Registry, including letters of request for registration forms or island information

4. Other reasonable means by which a possible true owner might come to the attention of the Registry.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. § 552
• STATUTORY AUTHORITY: EFFECTIVE DATE (as 04-063, Bureau of Public Lands, Chapter 2):
• STATUTORY AUTHORITY: November 1, 1975 (Filed 6-30-78)
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NONSUBSTANTIVE CORRECTIONS: January 21, 1997
• NONSUBSTANTIVE CORRECTIONS: RENUMBERED (to 04-059, Bureau of Parks and Lands, Chapter 52):
• NONSUBSTANTIVE CORRECTIONS: December 28, 1999
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-670 Chapter 52 page 4

Chapter 53 Submerged Lands Rules

Code Me. R. 01-670 Ch. 53 Submerged Lands Rules {#sec-01-670-ch.-53 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 53}

Section Page

PREAMBLE 1

SUMMARY 1

1.1 AUTHORITY 1

1.2 PURPOSES 1

1.3 APPLICABILITY 1

1.4 DEFINITIONS 2

1.5 USES REQUIRING A CONVEYANCE 5

A. Uses 5

B. Exceptions 6

C. Unauthorized Structures and Uses 7

1.6 CONVEYANCES 7

A. Types 7

B. General Terms and Conditions 8

1. Right, Title and Interest in Adjacent Upland 8

2. Term for Leases and Easements 9

3. Area Conveyed 9

4. Renewal 10

5. Lease Options 10

6. Constructing a Project in Phases 10

7. Change in Use or Area Conveyed 10

8. Conversion of Easements to Leases 11

9. Constructive Easements 11

10. Regulatory Permits 12

11. Littoral Zones and Setbacks 12

12. Buffer Zone 13

13. Docking Areas 13

14. Transfer or Assignment 14

15. Subleasing 14

16. Termination 15

17. Improvements 15

18. Public Compensation 16

19. Upland Uses and Fill 16

20. Determination of Mean Low Water Line 16

21. Detached Floats and Other Structures 17

22. Construction Deadline 17

23. Abandoned, Deteriorated and Damaged Structures 17

1.7 APPLICATION REVIEW PROCEDURES AND STANDARDS 18

A. Application 18

B. Actions Taken by the Bureau 19

C. Standards 21

1.8 FEES 24

A. Easements 24

B. Standard Leases (including Options) 24

C. Dredging Lease 26

D. Constructive Easements 27

E. Lease Transfers, Assignments, and Amendments 27

F. Billing Procedure and Cancellation of Leases for Unpaid Rent 27

G. Exemptions 28

1.9 COMPLIANCE AND ENFORCEMENT 29

1.10 CONFLICTS WITH OTHER RULES OR STATUTES 29

1.11 EFFECTIVE DATE AND REPEAL OF FORMERLY ADOPTED RULES 29

PREAMBLE

The State of Maine holds the Submerged Lands, as defined herein, in trust for the benefit, rights and use of the general public. The private use of Submerged Lands requires a lease or easement from the Bureau of Parks and Lands, which has been authorized by the Maine Legislature to grant such conveyances. Because exclusive, private uses of Submerged Lands restrict the public's ability to exercise their rights to use and enjoy these lands, the issuance of any conveyance requires careful consideration of the impacts of such conveyances on public trust rights as well as a just and fair compensation to the public for the private use of the Submerged Lands.

SUMMARY

These Rules set forth the Bureau's regulations and policies relating to the use and conveyance of Submerged Lands owned by the State of Maine and held in the public trust for the people of Maine. These Rules provide definitions of key terms, explain when a lease or easement of Submerged Lands is required, and establish the process to be used in granting such leases and easements.

1.1 AUTHORITY

These Rules are established in accordance with the Submerged Lands Act - 12 MRSA §1801, §1803 and §1862 and the Administrative Procedure Act - 5 MRSA §8051 to §8060.

1.2 PURPOSES

The purposes of these Rules are to ensure a consistent and standard approach to the management of the Submerged Lands of Maine; to protect customary and traditional public access ways to, and public trust rights in, on or over the Submerged Lands and the waters above those lands; to protect fishing and other existing marine uses of the Submerged Lands; to protect ingress and egress of riparian owners; to balance competing uses in, on or over Submerged Lands; and to provide procedures for the issuance of conveyances for use of Submerged Lands.

1.3 APPLICABILITY

These Rules apply to all Submerged Lands of the State of Maine (herein defined).

1.4 DEFINITIONS

For purposes of these Rules, the following definitions shall apply:

A. Bureau

"Bureau" means the Maine State Department of Agriculture, Conservation and Forestry, Bureau of Parks and Lands.

B. Commercial Fisherman

"Commercial fisherman" means a person whose livelihood depends upon the harvesting of shellfish, finfish or other natural, renewable products of the sea, including those products produced by aquaculture.

C. Commercial Fishing

"Commercial fishing" means any activity involving the landing or processing of shellfish, finfish or other natural, renewable products of the sea, or other activities, including aquaculture, directly related to landing or processing shellfish, finfish or natural sea products and loading or selling these products. Commercial fishing also includes facilities which are directly involved in commercial fishing activities, including but not limited to, fish piers, lobster impoundments, fish processing facilities, fuel and ice facilities, berthing for fishing boats, and floats or piers for the storage of gear.

D. Commercial Marine Activities

"Commercial marine activities" means water-dependent commerce and industry.

E. Complete Application

"Complete application" means an application for a Submerged Lands lease or easement for which all application processing fees have been paid and for which all information required of the applicant and necessary for the determination of preliminary findings has been submitted. Information required of the applicant shall include, but not be limited to sufficient proof of right, title or interest in adjacent shoreland property, a description of the proposed project, and a site plan of sufficient detail to allow accurate determination of the area of Submerged Lands to be occupied by the project.

F. Conveyance

"Conveyance" means a lease or easement issued by the Bureau conveying a right to limited use of Submerged Lands for some specific and defined purpose for a fixed period of time.

G. Director

"Director" means the Director of the Bureau.

H. Fill

"Fill" means the placement of solid material other than pilings or other open support structures upon Submerged Lands.

I. Littoral Zone

"Littoral zone" means the area of Submerged Lands adjacent to shoreland property within which the property owner may request permission for a lease or easement, subject to review by the State and in accordance with applicable laws and rules.

J. Mean Low Water

"Mean Low Water" means the arithmetic mean of the low water heights observed over a specific 19-year metronic cycle (National Tidal Datum Epoch) as defined by the National Oceanic and Atmospheric Administration. For purposes of these Rules, an approximation of mean-low water made by observation of low tide during a 0.00 foot tide will generally be sufficient.

K. Natural Low Water Mark of Great Ponds

For unimpounded lakes, the “natural low-water mark” is the average low-water mark as estimated over a 5-year period. For impounded lakes, “the natural low-water mark” is the estimated low-water mark of the lake in an unimpounded state.

L. Non-Permanent

"Non-permanent" means uses which occupy Submerged Lands for less than seven months in any one calendar year.

M. Permanent

"Permanent" means uses which occupy Submerged Lands during seven or more months in any one calendar year.

N. Pipelines, cables and Similar linear structures

"Pipelines, cables and similar linear structures" means any structure that is less than one foot (12 inches) in total width.

O. Port Facility

"Port facility" means structures necessary for water borne commerce which are used for the purposes of loading and unloading cargo or passengers.

P. Public Access Way

"Public access way" means an area or strip of land used for passage by the general public to Submerged Lands. The Bureau recognizes that such access ways can be established by a variety of legal means, including but not limited to custom, prescription, implied dedication, acquiescence, laying out and acceptance, dedication and acceptance, purchase or gift, or tax acquired property.

Q. Public Trust Rights

For the purpose of determining specific uses of publicly owned Submerged Lands which may take place without the need for a lease or easement, "Public trust rights" means transitory fishing, fowling, recreation, navigation and other customary or traditional uses whereby the public may use or enjoy the waters, Submerged Lands, and associated natural resources of the State of Maine. This definition should not be construed to be a complete definition of "Public trust rights" nor is it meant to be used for any other purpose than that stated herein.

R. Slip Space

"Slip space" means the area adjacent to a pier or float that is used for berthing a boat. For purposes of computing the area of a Submerged Lands lease, slip space shall include the finger floats which are immediately adjacent to the berthing area and are used solely for access to and from berthed vessels. Slip space does not include principal piers or floats which provide access to finger floats. If no finger floats are present and vessels berth adjacent to a principal pier or a general service area, only the space occupied by the vessel is considered slip space.

S. Structure

"Structure" means any object built or placed upon Submerged Lands.

T. Submerged Lands

"Submerged Lands" means:

1. All land seaward from the mean low-water mark or a maximum of 1,650 feet seaward of the mean high-water mark, whichever is closer to the mean high-water mark, out to the 3-mile territorial State marine boundary.

2. All land below the mean low-water mark of tidal rivers and streams up to the farthest natural reaches of the tides;

3. All land below the natural low-water mark of ponds which in their natural state are 10 or more acres in size; and

4. The river bed of international boundary rivers out to the international boundary line, including segments of the St. John, St. Francis and St. Croix Rivers. The bed is defined as land lying between defined banks, created by the action of surface water and characterized by a lack of terrestrial vegetation and devoid of topsoil.

U. Upland Uses

"Upland uses" means uses that can operate in a location other than on Submerged Lands. Such facilities shall include, but are not limited to, residences, offices, restaurants and parking lots.

V. Water-Dependent Uses

"Water-dependent uses" means uses that are functionally dependent for their primary purpose on a waterfront location and cannot reasonably be located or operated on an upland site. Such facilities shall include, but not be limited to, piers and docks, port facilities, boat ramps, shipping and ferry terminals, tug and barge facilities, businesses that are engaged in watercraft construction, maintenance or repair, aquariums and marinas.

1.5 USES REQUIRING A CONVEYANCE

A. Uses

All uses of Submerged Lands require a conveyance from the Bureau with the following exceptions.

B. Exceptions

1. Exercise by the public of non-exclusive public trust rights.

2. Non-Permanent Structures only as follows:

a. Water-Dependent uses which in total area occupy less than 500 square feet of Submerged Lands.

b. Commercial fishing uses which in total area occupy less than 2,000 square feet of Submerged Lands.

3. Activities and structures covered under aquaculture leases, as defined and regulated by the Maine Department of Marine Resources, under 12 MRSA §6072.

4. Maine Department of Transportation (DOT) Bridges

Bridges built on state and state-aid highways and railroad bridges under the DOT's jurisdiction within the State of Maine, records for which are on file with the DOT. This exception is subject to the following terms and conditions:

a. That the Submerged Lands be used for state public transportation purposes only.

b. That at such time as the DOT develops plans for a new transportation project involving a bridge over Submerged Lands, the DOT shall provide the Bureau with a copy of said plans at the same time as said plans are submitted to the Department of Environmental Protection for review and comment. The Bureau shall have 30 days from receipt of such plans to object to the DOT.

c. Any plan objected to under term and condition b. above shall not be exempted by these Rules until such time as the DOT and the Bureau have resolved such objections to their mutual satisfaction .

5. Harbor Improvement by the Federal Government

6. Moorings

7. Single-Family Residential Water Intake Pipes

8. Those portions of the Submerged Lands which have been filled in prior to October 1, 1975, as defined in 12 MRSA §1865, and subject to the conditions therein.

9. Cables, bridges or other structures which are suspended above the surface of the water at a sufficient height so that they do not interfere with navigation of vessels that would ordinarily use that body of water. This includes cables which comply with Chapter 91 of the Public Utilities Commission rules for safety of overhead utility lines. The base of supporting structures such as towers and abutments are not exempt from the requirement for a lease or easement, but shall be considered water-dependent uses.

C. Unauthorized Structures and Uses

Any structures or uses of Submerged Lands which have not been granted a constructive easement by the legislature or which do not otherwise qualify as an exception herein, shall be considered unauthorized structures or uses unless a lease or easement is granted by the Bureau as provided by these Rules. Unauthorized structures and uses shall include but are not limited to seasonal structures which do not have constructive easement status and which were not required to obtain a lease prior to September 30, 1989. The Director may waive the review procedures for unauthorized structures or uses which have otherwise obtained all other necessary permits.

1.6 CONVEYANCES

Conveyances are required to dredge, fill, or erect any structure or for any use not specifically exempted under Section 1.5 of these Rules.

A. Types

1. Easements may be granted for:

a. Permanent structures, permanent structures and associated non-permanent structures, or fill that in total area occupy less than 500 square feet of Submerged Lands.

b. Permanent structures, permanent structures and associated non-permanent structures, or fill that in total area occupy less than 2,000 square feet of Submerged Lands for the exclusive purpose of commercial fishing

c. Pipelines, cables and similar linear structures which are less than 500 feet in length and less than one foot in width.

2. Standard Leases may be granted for:

a. All structures, permanent or non-permanent, or fi11, that in total area occupy 500 square feet or more of Submerged Lands.

b. All structures permanent or non-permanent, that in total area occupy 2,000 square feet or more of Submerged Lands for the exclusive purpose of commercial fishing.

c. Pipelines, cables and similar linear structures which are 500 feet or more in length and one foot or more in width.

3. Dredging Leases may be granted for:

The removal of any material from Submerged Lands for purposes of navigation, use of the dredged material in another location, sale, or the placement of structures.

4. Constructive Easements have been granted by the Maine Legislature for:

Structures located upon Submerged Lands prior to October 1, 1975. All constructive easements shall terminate by September 30, 2005.

B. General Terms and Conditions

1. Right, Title and Interest in Adjacent Upland

a. An applicant for a lease or easement must demonstrate sufficient right, title or interest in the upland property adjacent to the littoral zone in which the lease or easement is sought as follows:

(1) When the applicant owns the property, a copy of the deed(s) to the property shall be supplied;

(2) When an applicant has a lease on the property, a copy of the lease shall be supplied. The lease shall be of sufficient duration and other terms, as determined by the Bureau, to permit construction and reasonable use of the facility;

(3) When the applicant has an option to buy or lease the property, a copy of the option agreement shall be supplied. Option agreements shall contain terms deemed sufficient by the Bureau to establish future title or a leasehold of sufficient duration.

This requirement for sufficient right, title, or interest in adjacent shoreland property may be waived if the project is to be constructed in an area which lies outside of a littoral zone as defined in section 1.6.B.11 of these Rules.

This requirement may also be waived for those portions of projects which extend beyond the bounds of an applicant's littoral zone provided the applicant meets the Bureau's requirements for exemptions to littoral zone setbacks as described in section 1.6.B.11 of these Rules.

b. The interest conveyed by a lease or easement in Submerged Lands may not be severed from the right, title or interest in the adjacent upland. If the holder of a lease or easement for Submerged Lands conveys the right, title or interest in the upland property to another party and does not transfer the Submerged Lands lease or easement to the new upland owner, subject to the approval of the Bureau, or if the holder’s right, title or interest in the upland terminates, then the lease or easement shall be invalid and all leasehold or easement interest in the Submerged Lands shall be extinguished.

2. Term for Leases and Easements

a. A standard lease or easement may be granted for a period of time not to exceed 30 years.

b. Unless otherwise specified, a dredging lease may be granted for a period of time not to exceed 2 years. In any event, dredging leases shall terminate when any government agency permits for the dredging expire.

3. Area Conveyed

a. The area of Submerged Lands conveyed by easement shall be the area upon or over Submerged Lands occupied by the structure(s).

b. The area of Submerged Lands conveyed by lease shall be the area upon or over Submerged Lands occupied by the structure(s) and adjacent areas to the extent that the general public may be restricted from exercising public trust rights. Such adjacent areas include but are not limited to space used for berthing or docking vessels.

4. Renewal

Lease and easement renewal may be granted at the end of the conveyance term. When renewing a conveyance, the Bureau shall consider all the factors considered in an initial application review under the standards in effect at the time of renewal, as well as any history of noncompliance by the applicant with conveyance terms, these Rules, the Submerged Lands Act , or other applicable law.

5. Lease Options

a. Lease options may be granted only for the purpose of securing an environmental or regulatory permit for the construction of a project or portion thereof. Lease options may be granted at the Bureau's discretion so that an applicant may demonstrate an intent to obtain right, title, or interest in Submerged Lands for the purpose of obtaining an environmental or regulatory permit. Lease options may not be granted for a period exceeding 2 years.

b. Lease options are subject to the same application, review, and approval process as a lease.

c. Areas under lease option may be subsequently leased only for those purposes described and approved in the initial application. Any change will require a new application.

d. At the end of the lease option period, a lease may be issued subject to the terms of the lease option.

e. Construction of any phase of a project may not begin until a lease has been granted.

6. Constructing a Project in Phases

Leases may be granted for projects which are to be constructed in distinct phases. The areas, rental fees and dates for the phases will be defined in the lease. Application review for such projects will be of the entire project as it will be when completed.

7. Change in Use or Area Conveyed

A holder of a conveyance may not change the nature of the use, beyond the uses specified in the conveyance, without prior Bureau approval. Significant changes will be considered under the same criteria used to review new applications, and if approved will require an amendment to the conveyance.

A holder of a conveyance may not expand the area of occupied Submerged Lands beyond the area specified in the conveyance. Any change in area will require an amendment and will be considered under the same criteria used to review new applications.

8. Conversion of Easements to Leases

In the event that the purpose or area for which a Submerged Lands easement has been granted is found to be inconsistent with the standards set forth for easements herein, the easement shall terminate. The Bureau may subsequently, at its discretion, enter into a lease with the holder of the easement in accordance with the standards for leases herein.

9. Constructive Easements

a. All structures under constructive easement shall be registered by December 31, 1995.

b. All constructive easements shall terminate by September 30, 2005.

c. A holder of a constructive easement may apply for a lease or easement prior to September 30, 2005. Any such application must include documentation which clearly extinguishes the existing constructive easement before a new lease or easement can be issued. In order to maintain the existing use, the holder of any constructive easements must obtain a lease or easement by October 1, 2005.

d. Any significant change in the nature of the use of the structure or increase in the area of Submerged Lands occupied by an existing constructive easement shall cause the constructive easement to be extinguished. Continued occupancy and use shall require a lease or easement. Holders of constructive easements must request a determination from the Bureau prior to any change in use or area of Submerged Lands occupied.

e. When a constructive easement terminates, for any reason, the owner of the structure shall be required to obtain a lease or easement. The Director may waive the review and appeal procedures for such structures, provided that the nature of its use or its size has not changed significantly from what it was at the time that the constructive easement was granted.

10. Regulatory Permits

A conveyance from the Bureau for a use requiring permits or approvals from any other state, federal, or municipal agencies shall be conditional upon issuance of and adherence to all applicable permits or approvals.

11. Littoral Zones and Setbacks

a. Determination of an Applicant's Littoral Zone

(1) The base line of the littoral zone shall be determined by a straight line drawn between the two points at which the applicant's shoreland property line(s) intersect with the normal high-water line. Additional base lines may be included to accommodate irregular shorelines, peninsulas, and islands at the discretion of the Bureau.

(2) The sidelines of the littoral zone shall be two lines extending towards the water perpendicular to the base line.

(3) The outer boundary of the littoral zone shall terminate at either the established navigational channel, established anchorage identified as such by the U.S. Department of the Army, Corps of Engineers, the midline between opposing shorelines, or 1,000 feet, whichever is less.

(4) When two or more littoral zones overlap, the Bureau may require a letter of no objection from any shoreland owner into whose littoral zone the proposed project extends.

b. Determination of Setback Lines

(1) When littoral zones are contiguous, structures must be set back 25 feet from the applicant's littoral sidelines.

(2) When littoral zones are overlapping, structures must be set back 25 feet from the applicant's littoral sidelines.

(3) When littoral zones diverge, the setback line shall be a line which bisects the angle formed by the two diverging sidelines. Structures must be at least 25 feet from the setback line.

(4) Regardless of the configuration of littoral zones, any new structure which may be used for docking or berthing of boats, must be at least 50 feet from any other existing structures unless it is designed to be used in conjunction with that existing structure.

(5) The Bureau may grant exemptions to these setback requirements if the Bureau determines that such exemptions will otherwise meet the terms, conditions, and standards of these Rules and the applicant has demonstrated that no reasonable alternative location is available.

c. Exemptions to Setbacks

In making the decision to grant an exemption to littoral zone setbacks or setbacks from existing structures, the Bureau may require written notice of no objection from other persons whose ingress and egress or whose future ability to construct a wharf may be adversely affected by the proposed project. The nature and format of the letter of no objection shall be prescribed by the Bureau.

12. Buffer Zone

A buffer zone of not more than 30 feet in width around a permanent structure located on Submerged Lands may be leased, provided it is necessary to preserve the integrity and safety of the structure or its uses.

13. Docking Areas

a. Leases for piers, wharves and floats and other similar structures shall include designated areas – independent of slip space – to account for the temporary or periodic docking of vessels adjacent to these structures. These areas shall not be included in determining whether a lease or easement is required, but shall be factored into the computation of fees.

b. A minimum 10-foot wide strip shall be included adjacent to floats and to other structures that involve temporary or periodic docking of vessels.

c. The Bureau may grant larger docking areas than those stipulated under b. above to accommodate the size and number of vessels likely to be docked.

14. Transfer or Assignment

a. Leases are transferable or assignable only with the Bureau's prior written approval.

b. At the time of transfer or assignment, the lease shall be revised in accordance with the Rules and Submerged Lands Laws in effect at that time.

c. No lease transfer or assignment will be approved until:

(1) All uncollected fees for past use are paid in full;

(2) Interest on uncollected fees is paid at a rate equal to the highest conventional rate of interest charged for commercial unsecured loans by Maine banking institutions as determined by the State Treasurer;

(3) All conditions of the conveyance have been met; and

(4) The transferee or assignee has demonstrated sufficient right, title and interest in the adjacent upland when the area to be conveyed is contiguous with the upland, subject to the requirements of section 1.6.B.l. of these Rules.

d. Easements may be transferred or assigned, but easement holders shall notify the Bureau of the name and address of the new easement holder and pay any outstanding registration fees and otherwise bring the premises into full compliance with the easement terms prior to transfer or assignment.

15. Subleasing

A lease or any portion thereof, may be subleased for the purpose of providing berthing space for a vessel or other uses designated in the lease. No sublease or any portion thereof may be further subleased or transferred except for a transfer to heirs upon death of the sublease holder or a transfer to the original leaseholder. The term of a sublease may not exceed that of the lease.

16. Termination

a. A conveyance may be terminated by the Bureau when:

(1) It is required to do so in order to comply with an act of the Legislature; or

(2) The conveyee defaults under the terms and conditions of the lease or easement or otherwise fails to comply with these Rules or other applicable laws.

b. The procedure to be used in terminating a lease or easement under subparagraph 2 above shall be as follows:

(1) Lessee or Easement holder will be notified of any violation of the terms of the conveyance and shall be informed in writing of the corrective action required. Lessee or easement holder will be given a specific date by which corrective action must be taken.

(2) If corrective action required by the Bureau is not completed upon the date specified by the Bureau, Lessee or Easement holder will be informed in writing that the lease or easement will terminate as provided in the notice and the Bureau may demand that any structures or portions thereof on Submerged Lands be removed within 90 days.

(3) If, at the end of the aforementioned 90 day period, structures are not removed as required by the Bureau, the Bureau may request that the Maine Department of the Attorney General proceed with legal action for removal of structures and recovery of any unpaid rental fees.

(4) Under extenuating circumstances, as determined by the Director, the Bureau may extend the amount of time available to the conveyee for complying with one or more of the requirements under this section.

17. Improvements

Upon the expiration, cancellation or termination of a conveyance, regardless of the reason therefor, the conveyee shall have 90 days to remove its property. The Bureau at its discretion, shall become the owner of all improvements and structures erected upon the conveyed premises not so removed. The Bureau may require as a term of the conveyance that the conveyee will remove all such improvements and structures at conveyee's expense and restore the premises to the condition in which they existed prior to construction of any improvements upon Submerged Lands.

18. Public Compensation

The Bureau may require that public walkways, boat launching ramps, parking space, other facilities or other mitigation measures shall be provided by the conveyee to compensate the public for the loss of customary or traditional public access ways to, public trust rights in, on or over Submerged Lands or ingress and egress to riparian owners. Determination of appropriate public compensation will be made in consultation with municipal officials and other agencies having jurisdiction or an interest in the project area.

19. Upland Uses and Fill

Leases or easements for upland use or filling of Submerged Lands will not be granted unless they are for an essential but subsidiary part of a commercial fishing use, water-dependent use, shoreland stabilization, cable, or pipeline and the applicant has demonstrated that there is no other reasonable alternative site available. The Bureau may require the following:

a. a map prepared and signed by a registered land surveyor showing the location and boundary of the proposed site; and

b. monumentation of the Submerged Lands boundary adjacent to the fill; and

c. that fill materials be removed from the Submerged Lands at the termination of the conveyance; and

d. that the leased area be restored to the conditions which existed prior to the placement of fill.

20. Determination of Mean Low and Natural Low Water Marks

In coastal areas and tidal rivers “the mean low-water mark” can be approximated by observing the location of the water’s edge at the time of a 0.00-foot low tide as indicated on a tide chart, based on current information from the National Oceanic and Atmospheric Administration (NOAA) and adjusted for that location. Where there is uncertainty regarding the true location of the mean low-water line mark, the Director may require an applicant to establish the true mean low-water mark through a survey conducted by a qualified land surveyor and referenced to a National Geodetic Vertical Datum as established by NOAA .

For great ponds that are not impounded, the “natural low-water mark” shall be the average low-water mark as observed during the time of year when water levels are ordinarily at their lowest due to natural conditions. Whenever possible, this mark shall represent the average low-water mark as observed or estimated over a period of 5 years or more. For great ponds that are impounded, the natural low-water mark is the estimated low-water mark of the lake in an unimpounded state. This mark may be approximated by consulting information, including, but not limited not to, archeological and historical data, calculations of dam heights and draw-down capacities, and other relevant facts. The applicant shall have the responsibility of providing information on the location of the natural low-water mark relative to the proposed structure. In cases in which the Bureau disagrees with estimated location of the natural low-water mark, the Bureau may require that the applicant establish the natural low- water mark through a survey conducted by a qualified land surveyor.

21. Detached Floats and Other Structures

a. In determining the total area of permanent and non-permanent structures on or over Submerged Lands, the Bureau will generally combine the area of structures that are not attached but which are proximate to and associated with each other.

b. The area of detached floats shall generally be combined, unless they are located more than 50 feet from each other.

22. Construction Deadline

Structures for which a lease or easement has been issued shall be placed on the conveyed premises within two (2) years of the issuance of the lease or easement. Failure to install the structures within this time frame will be grounds for termination of the conveyance in accordance with the termination provisions of Section 1.6.B.16 above.

23. Abandoned, Deteriorated or Damaged Structures

Once installed on Submerged Lands, structures shall be used and maintained for their intended purpose. Structures that have deteriorated beyond reuse, or have been unused for extended periods of time may be considered abandoned by the Bureau. Upon determining that the conveyed premises or a portion thereof have been abandoned, the Bureau at its option may terminate the conveyance covering the entire premises, or the portion that has been abandoned, in accordance with the termination provisions of Section 1.6.B.16 above.

Structures that have been damaged shall not be deemed abandoned if they are repaired to their original condition and dimensions within two (2) years of the date of damage.

1.7 APPLICATION REVIEW PROCEDURES AND STANDARDS

The Bureau shall process all conveyance applications under the process defined herein.

A. Application

1. Requests for Submerged Lands conveyances may be made in writing to the Bureau. Upon receipt of a request for conveyance, the Bureau will send the applicant a Submerged Lands Application for a conveyance. Preliminary application for a conveyance will be deemed to have been made when the Bureau receives any of the following:

a. an application for lease or easement of Submerged Lands;

b. an application for a wetlands alteration permit, or equivalent application from the Department of Environmental Protection;

c. an application for a building, development, great ponds, or equivalent application from the Land Use Planning Commission;

d. any similar application from an agency with appropriate jurisdiction.

2. Upon receipt of any of the above listed applications, the Bureau will notify the appropriate agency and the applicant of the need for a Submerged Lands lease or easement. If the proposed project is not on Submerged Lands or is otherwise exempt, the Bureau will notify the agency or, in case of direct application to the Bureau, the applicant that the Bureau does not have jurisdiction over the project.

3. If the Bureau determines that a lease or easement is required, the applicant will be requested to forward the appropriate fees, and when necessary, proof of sufficient right, title or interest in the adjacent upland, a description of the proposed project, a detailed site plan and any additional information the Bureau may require for review of the lease or easement application. If publication of a public notice is not otherwise required of the applicant, the Bureau may require the applicant to publish such notice in a format to be provided by the Bureau. Application for a conveyance will be deemed complete when the Bureau has received the appropriate administrative fee and any additional information requested.

4. If the application is determined to be incomplete or if at any time the Bureau finds that additional information is needed to supplement the application, the applicant will be notified of what additional information needs to be submitted in order for the Bureau to make a decision. If this information is not received within 90 days from the date it is requested, the Bureau may require the applicant to reapply for the proposed lease or easement.

B. Actions Taken by the Bureau

1. The Bureau shall review all completed applications and issue Preliminary Findings within 60 working days of receipt of a completed application subject to extension in cases where the matter is more complex and additional information or studies are requested by the Bureau, or the Bureau otherwise requires more time. The Bureau may request additional information from the applicant, government agencies, or other parties when necessary to complete its review and make a decision.

2. The Bureau will notify interested parties of the receipt of a completed application. As determined by the Bureau on a case-by-case basis, interested parties may include, but are not limited to, abutting landowners, landowners with overlapping littoral zones, local municipal officials, including town selectmen, planning boards, and harbor masters, local commercial fishermen or others engaged in commercial marine activities, and others who have notified the Bureau of their interest in a particular project. The Bureau will also seek expert advice regarding potential impacts from State and Federal agencies including but not limited to the Department of Marine Resources, the Department of Environmental Protection, the State Planning Office, the Department of Transportation, and the U.S. Department of the Army, Corps of Engineers. There shall be a 30 day period during which any party may provide comments pertaining to the application. The Bureau will specify the date by which comments are due. A request by a town or other interested party for extension of this date may be allowed if sufficient need for such an extension is demonstrated.

3. If the Bureau determines that a letter of no objection is required from one or more littoral abutters, the Bureau will send such notice to the abutters and the applicant. The letter of no objection will be in a format provided by the Bureau.

4. The Bureau or its designee may conduct inspections of the proposed project site in order to assess on-site conditions, the characteristics and uses of adjacent lands, waters and structures, and potential public trust impacts.

5. After the initial 30-day review period, if the Bureau determines that it is appropriate, additional information may be requested from the applicant or other interested parties or a public informational meeting may be scheduled in order to allow the general public to provide additional information for consideration.

6. Once all requested information is received and any public meetings have been concluded, the Bureau will issue Preliminary Findings. Preliminary Findings and Conclusions shall be sent to the applicant, all parties who provided comments during the initial review period, and other interested parties.

7. Within 30 days of the issuance of Preliminary Findings any party may petition the Director to reconsider such Findings by written request. The Director may waive the reconsideration period if no comments are received during the initial review period, or if the comments that are received are determined to not be related to public trust considerations or any of the other requirements of these Rules, and the Bureau concludes that a lease or easement will be issued.

8. After the reconsideration period has ended, the Bureau shall review all petitions for reconsideration and related information and issue Final Findings and Conclusions. If the Conclusion is to approve the application, 2 original copies of the lease or easement will be sent to the applicant for signature.

9. Failure of the applicant to return the signed lease or to pay applicable rental or registration fees within 90 days of the issuance of the Final Findings and Conclusions may constitute grounds for reconsideration or rescission of the lease or easement.

10. Materially incorrect information submitted in conjunction with an application for a Submerged Lands conveyance shall constitute grounds for reconsideration of or rescinding of any Findings, Conclusions, or Conveyances issued by the Bureau.

11. The Director may waive the review procedures or reduce the length of the initial or reconsideration review periods, and proceed directly to issuing Findings and Conclusions for any application if, in the opinion of the Director, one or more of the following conditions apply:

a. A genuine emergency exists and prompt approval of the project is essential to protect lives, homes, or structures which are essential to a person's livelihood; or

b. The project proposes to replace an existing similar project on an area already leased for that purpose or for which an easement or constructive easement exists; or

c. The project represents a minor addition or change to an existing lease or easement and will not significantly increase the impact of the existing project.

d. The project constitutes a non-permanent, temporary structure, and letters of non-objection are provided by the municipality, the town, abutters and the Department of Marine Resources.

C. Standards

The Bureau may grant a conveyance upon receipt of a completed application and upon such terms and conditions as it deems necessary to fulfill the purposes of these Rules, the public interest, and other applicable laws. The Bureau may grant a conveyance when it finds that the applicant has demonstrated that the proposed use of Submerged Lands meets the following standards.

1. The use will not be inconsistent with these Rules.

2. The use will not unreasonably interfere with customary or traditional public access ways to, or public trust rights in, on or over Submerged Lands and the waters above those lands.

3. The use will not unreasonably interfere with navigation, fishing or existing marine uses of the area, unreasonably diminish the availability of services and facilities necessary for commercial marine activities, or unreasonably interfere with ingress and egress of riparian owners.

4. For consideration of impacts upon commercial fishing industries or infrastructure, the following guidelines shall apply:

a. The use will not result in the loss or unreasonable diminishment of opportunity to economically pursue commercial fishing for the operators of any commercial fishing vessels that will be displaced.

b. The use will not result in a loss of access or unreasonable diminishment of access to existing commercial fishing grounds.

c. The use will not result in a loss or unreasonable reduction of repair and maintenance services essential for commercial fishing operations.

d. The use will not result in a loss of fish buying, processing, or handling facilities that are in operation at the time of the application.

e. The use will not result in a loss or unreasonable diminishment of access to existing commercial fishing facilities.

5. For proposals involving the installation of underwater cables on Submerged Lands, the following guidelines apply:

a. New cable crossings shall generally not be permitted between two mainland areas when routing over land is possible;

b. New cable crossings shall generally not be permitted to islands already served by cables that provide the needed utility service.

The Director may grant an exception to this guideline in cases in which the applicant demonstrates that an additional cable is necessary to provide back-up service, or is otherwise in the public interest, or that no reasonable alternatives exist for providing service to additional customers.

c. In approving new cable crossings, the Bureau may require a condition that the cable owner agree to grant a right-of-way over upland property to adjacent landowners in the event that they request a connection to utility service.

d. In the routing of cables, the following areas shall be avoided to the greatest possible extent:

(1) areas where commercial dragging for scallops, urchins or other marketable sea organisms periodically occurs, or

(2) areas where anchoring or mooring of commercial and noncommercial vessels frequently occurs.

e. In instances where avoiding the areas described in d. above is not possible, burial of cables shall be required unless the applicant demonstrates that burial is not feasible due to bottom conditions or other factors.

f. Whenever possible, cables shall be located within existing cable areas as mapped on NOAA charts, or, if no mapped cable area exists, near existing cable routes – unless such siting is determined to have more interference with public trust rights than an alternative routing.

g. In coastal areas cables shall be sited with Global Positioning Systems (GPS) so that the location of installed cables can be accurately determined and so that the width of cable areas can be minimized in accordance with NOAA charting procedures. In other areas, siting of cables using GPS shall generally be required, unless the applicant demonstrates that cables can be accurately located and mapped in another manner.

h. Within one year of the termination of use, unburied cables shall be removed from Submerged Lands, unless this requirement is waived by the Director. If cables are allowed to be left in place, the owner shall be required to maintain a valid Submerged Lands conveyance from the Bureau and pay the applicable lease or easement fees.

5. The use will not result in significantly increased risk to life or property in the vicinity of the use under conditions of weather and vessel traffic that are likely to be encountered.

6. The use will comply with requirements imposed by state, federal or municipal agencies with jurisdiction over the area of the proposed project.

7. The use will not conflict with established management guidelines designed to protect marine habitats or other areas of Submerged Lands which have been designated for special protection status by an agency authorized to make such designations.

8. The use does not conflict with those aspects of the Coastal Policies or the Coastal Policy guidelines, 38 MRSA §1801, which relate to the criteria considered by the Bureau as outlined in these Rules.

9. The use is not otherwise determined to be contrary to the public interest.

10. A conveyance may not be granted, transferred, or renewed until all outstanding fees have been paid in full plus interest and all conditions of the conveyance have been met. The interest rate shall be equal to the highest conventional rate of interest charged for commercial unsecured loans by Maine banking institutions as determined by the Treasurer of State.

It shall be the responsibility of the applicant to demonstrate, to the satisfaction of the Bureau, that the proposed use will comply with these standards.

1.8 FEES

Fees are required for the processing of conveyance applications and for private uses of Submerged Lands granted through conveyances.

A. Easements

1. Application Processing - $50.00

2. Registration - $50.00 every 5 years

3. Registration fee is payable upon execution of the easement and on or before December 31 every 5th year thereafter.

B. Standard Leases

1. Application Processing: $100.00

2. Annual Rental

a. Rental fees for Submerged Lands leases are set by the Legislature and are subject to change by action of the Legislature. The Bureau shall charge rental fees in accordance with the Submerged Lands Act , , as from time to time amended. Fees for certain uses which are not specified by law, such as dredging, pipelines, and cables are specified herein. The Legislature has defined two categories of methods for determining the annual rental fees for leased Submerged Lands:

(1) The annual rental fee for permanent structures greater than one foot in width, non-permanent structures greater than 500 square feet in area, buffer zones, loading, service and repair areas, and private berthing or docking space that is not rented or otherwise made available to other parties for a fee is based on a percentage of the value of the adjacent upland. The Submerged Lands Act provides the guidelines and formulas to be used in determining annual rental fees which are based on a percentage of upland value.

(2) The annual rental fee for slip space that is rented or otherwise made available for private use for a fee is based upon a percentage of the gross income of the Lessee. Examples of this kind of slip space include berthing space at marinas, dockominiums, boat clubs, and similar facilities and berthing space that is rented by the pier owner to a commercial vessel for a fee. The Submerged Lands Act provides the specific formulas to be used in determining annual rental fees which are based on a percentage of gross income. In order to determine annual fees, gross income must be reported to the Bureau annually on a form provided by the Bureau. Information sent to the Bureau on gross income is subject to verification by independent audit, which may be requested at the discretion of the Director.

b. When the Bureau determines that the municipally assessed value of the adjacent upland is not an accurate indicator of the value of Submerged Lands, the Bureau may:

(1) make adjustments in the municipally assessed value so that it more closely reflects the values of comparable waterfront properties in the vicinity; and

(2) require the applicant to provide an appraisal of the Submerged Lands. The appraisal must be approved by the Bureau.

c. Cables and Pipelines of less than one foot in width: $0.02 per linear foot.

d. Minimum Rental Rate: If the rental rate is determined to be less than $0.01 per square foot, it shall be rounded off to $0.01 per square foot.

e. Minimum Annual Rental Fee: $100.00

f. Rental fees are payable on or before each February 1 and on an annual basis thereafter. The rental fee due at the time of execution of a new lease shall be a portion of the total annual rental fee prorated over the remainder of the year.

g. Any lease fee which is more than thirty days past due shall be subject to a processing charge of $10.00 and interest on the amount due equal to the highest rate of interest charged for commercial unsecured loans by Maine banking institutions, as determined by the Treasurer of State.

3. Lease Options

a. Application Processing: $100.00 for the initial application.

b. Administrative Fee: $100.00 for the second year.

4. Rents for leased areas other than slip space which were in existence prior to August 1, 1989, shall be revalued to the full fair market rental rate as defined under Section 1.8.B of these Rules. Rents shall be incrementally adjusted annually until full fair market rental rate is reached in the year 2000.

5. Rental rates may be revised as follows:

a. As a result of any revision of these Rules, the Submerged Lands Act , or other applicable laws.

b. For slip space, rates are revised annually to reflect changes in gross income.

c. For areas other than slip space, no adjustment may be made within the first 5 years of the lease. Thereafter, the Bureau will conduct a periodic reevaluation of all non-slip space rental fees once every 5 years by contacting local municipal officials to determine the current valuation of adjacent upland property and making other adjustments and equalizations as necessary.

C. Dredging Lease

1. Application Processing: $100.00

2. Public Navigational Projects: There is no fee required for projects conducted by public agencies for a public purpose.

3. Private or Commercial Navigational Projects

a. Less than 1,000 cubic yards: $100.00

b. 1,000 to less than 5,000 cubic yards: $250.00

c. 5,000 to less than 10,000 cubic yards: $500.00

d. 10,000 or more cubic yards: $1,000.00

4. Materials removed for profit or use in another location: Fair market value to be determined by the Bureau.

5. Material removed for the placement of structures

a. Private or Commercial: Same schedule under 3 above.

b. Public Purposes: There is no fee required for projects conducted by public agencies for a public purpose.

6. Fees are payable upon execution of lease.

D. Constructive Easements

1. Administrative Processing: $50.00.

2. Registration Fee: $50.00 every 5 years.

3. Registration fee is payable upon execution and on or before December 31 every 5th year thereafter.

E. Lease Transfers, Assignments, and Amendments

Administrative Processing: $100.00.

There shall be no charge for minor amendments, as determined by the Bureau, that do not involve changes in the size of the leased area or substantive changes to the provisions of the lease.

F. Billing Procedure and Cancellation of Leases for Unpaid Rent

The following billing procedure will be used:

1. The Bureau will send the annual rental bill 30 days before due date.

2. If not paid by due date, the Bureau will notify lessee of overdue rent by letter.

3. After the due date, and whatever period the Bureau provides for corrective action, the Bureau will notify lessee that lease has been canceled and demand removal of any structures within 90 days.

4. If the structures are not removed as directed by the Bureau, the Bureau may turn the matter over to the Department of the Attorney General for appropriate legal action.

G. Exemptions

Although required to obtain a lease or easement, the following uses shall be exempt from the requirement to pay an annual rental or registration fee. If any of these criteria should cease to be met at any time during the operation or maintenance of the facility, then the exemption from the requirement to pay fees shall also cease, and the Lessee or Grantee shall be required to pay the applicable fee to the Bureau consistent with these Rules or other rules or laws then in effect.

1. Structures used by municipal or quasi-municipal entities in providing utility services.

2. Port facilities that:

a. Provide significant public benefits to the people of Maine, to offset the loss of the Submerged Lands occupied by the structure; and

b. Are an essential component of the State's marine waterway infrastructure, as determined by the Department of Transportation and approved by the Bureau; and are owned and controlled by a public entity which is publicly accountable for the business transacted at the facility, even though that business may be conducted by a privately owned and operated company under contract to the owner; and

c. Are sited and operated in a manner consistent with Maine's Coastal Management Policies.

3. Facilities, or portions of facilities, which are publicly owned or owned by nonprofit organizations that offer public use for free or with nominal user fees. Public uses include but are not limited to, municipal facilities that provide public access to the water, town wharves, walkways, fishing piers, boat launches, parks, nature reserves, swimming or skating areas and other projects designed to allow or enhance public recreation, fishing, fowling and navigation and for which user fees are used exclusively for maintenance of the facility.

4. Facilities, or portions of facilities owned by entities other than public or nonprofit organizations which are used only to provide free public access.

5. Other structures owned by municipal, state or federal governmental entities that are used to provide essential public services or enhance public trust values, including defense, maritime safety and environmental protection.

1.9 COMPLIANCE AND ENFORCEMENT

A project which has received a conveyance from the Bureau, may be visited by the Bureau or its designees to determine if the project has been constructed in accordance with the terms and conditions of the conveyance. Designees of the Bureau may include staff of the Department of Environmental Protection, the Land Use Planning Commission, or other agencies. If the Bureau determines that the project is not in compliance with the terms and conditions of the conveyance the lessee or easement holder will be notified in writing of specific violations and what must be done to bring the project into compliance. In general, the lessee will be given 60 days to correct the violations, although this period may be lengthened or shortened if deemed necessary by the Director. If a lessee or easement holder fails to correct a violation within the time specified by the Bureau, termination procedures, as outlined in Section 1.6.B.15 of these Rules, will begin. Violation of these Rules is a Class E crime [12 MRSA §1803(6)].

1.10 CONFLICTS WITH OTHER RULES OR STATUTES

Whenever a provision of these Rules conflicts with or is inconsistent with another provision of these Rules or of any other ordinance, regulation, rules, or statute, the more restrictive provision shall control.

1.11 EFFECTIVE DATE

These Rules were originally adopted on January 15, 1992 , and revised on May 28, 2000.

EFFECTIVE DATE (as 04-063, Bureau of Public Lands, Chapter 3):

March 15, 1986

AMENDED:

February 2, 1992

November 21, 1993 - Sec. 1.5 & 1.7

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

January 21, 1997

RENUMBERED (to 04-059, Bureau of Parks and Lands, Chapter 53):

December 28, 1999

AMENDED:

May 28, 2000

NON-SUBSTANTIVE CORRECTIONS:

September 8, 2000

CORRECTIONS:

February, 2014 – agency names, formatting, umbrella-unit number changed to 01-670

WORD VERSION CONVERSION AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 54 Bear Baiting on Public Lands

Code Me. R. 01-670 Ch. 54 Bear Baiting on Public Lands {#sec-01-670-ch.-54 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 54}

PREAMBLE

In accordance with 5 M.R.S. § 8052 and 12 M.R.S. § 1802 the Department of Conservation, Bureau of Parks and Lands adopted rules to regulate bear baiting on Public Lands in 1991. The rules permitted bear baiting on public reserved lands and nonreserved public lands in a manner consistent with the Bureau’s land management responsibilities. The rules, last amended in 2002, set bear bait site permit fees, permit application requirements, the lottery process for assigning sites to applicants, the size of bait sites, and other standards.

SUMMARY

There are a disproportionately large number of hunters competing for limited bear baiting stations on Public Lands. These rules provide a process to efficiently and equitably issue permits for bait sites, while minimizing or avoiding land management conflicts and risks to public safety in certain high-use recreation areas. Fees are established to support the Bureau’s administrative costs.

These rules also clarify procedures which allow bear baiting on public reserved lands and nonreserved public lands in a manner that will not conflict with land management activities, will ensure safety to all users of these lands and will streamline administration of the bear baiting permit process.

Sec. 1: AUTHORITY AND PURPOSE

12 M.R.S. § 11301 allows bait to be placed for the purpose of hunting bear. 12 M.R.S. § 1847 directs rules to be adopted to permit bear baiting on public reserved lands.

Sec. 2: DEFINITIONS

Bait – Has the same meaning as in 12 M.R.S. § 11227.

Bait Sites - Any location where bait is placed to attract bear for the purpose of hunting or trapping them. The bait site has a diameter of 150 yards around a center point defined by GPS coordinates.

Bureau - Shall mean the Bureau of Parks and Lands within the Department of Agriculture Conservation and Forestry.

Commercial Bear Bait Sites - Bait sites permitted to licensed guides for use by hunters paying the guide to hunt the bait site.

Director – Shall mean the Director of the Bureau of Parks and Lands.

Personal Bear Bait Sites - Bait sites intended solely for the non-commercial use of no more than 2 individuals.

Public Lands - Shall include only the public reserved lands and nonreserved public lands of the State as defined by M.R.S § 1801. For purposes of this rule, public lands does not include state parks, historic sites, memorials and the Allagash Wilderness Waterway , or lands jointly managed by the Bureau and another state agency.

Sec. 3: PERMIT REQUIRED

No person may place bait for bear on Public Lands without a valid permit from the Bureau of Parks and Lands.

Sec 4. PERMIT APPLICATIONS AND RENEWALS

Application Submission Period. The Bureau will accept applications between the first and last business days of February of the first year of each permit period, beginning in 2025. Only one application per individual, per region, will be accepted whether applying as a permittee, co-permittee, or registered Maine guide. An applicant may request multiple sites, but duplicate applications within the same region may not be considered. Applications received after the deadline will remain on file and considered for future vacancies. Successful applicants will be notified of their permit sites by the third Friday in March. Successful applicants must provide payment and any remaining proof of license and insurance by the third Friday in April. Failure to provide payment within this timeframe will result in sites being forfeited and re-allocated. Permits will be issued by the second Friday in July.

Commercial Bear Bait Sites:

1. Only applicants possessing a guide license with a hunting classification are eligible for commercial bear bait sites, will be subject to the commercial bear bait site fee, and must comply with the insurance requirements of Section 4(B)4. Applicants possessing a guide license with a hunting classification that apply for a personal bait site waive their opportunity to apply for commercial bear bait sites.
2. An application for a commercial bear bait site must include the following information: the name of any guide, sporting camp, or other hunting related business with which the applicant has a business or financial relationship that pertains to the sites listed on the application form.
3. All applicants for commercial bear bait site permits must provide a valid, current guide license number at the time they submit an application, as such license(s) are required for such activities.
4. All applicants for commercial bear bait sites must possess and provide on request a current certificate of insurance evidencing that they have secured at their expense liability insurance issued by a company fully licensed or designated as an eligible surplus lines insurer to do business in this State by the Maine Department of Professional & Financial Regulation, Bureau of Insurance, which policy includes the activity to be covered by the bear bait site permit with limits of not less than $500,000 per occurrence single limit and an annual aggregate limit of not less than $1,000,000.
5. All applicants shall also list the name and phone number of anyone authorized to place bait at permitted site(s) if other than the applicant.

Available bait sites will be allocated to applicants as described below:

One-half of the available bear bait sites will be reserved for personal bear bait sites. If more personal site applications are received than are available, the Bureau may limit the number of sites that will be issued to any individual.

Personal bear bait sites may be renewed annually for up to 2 years after the first year of the permit period. Commercial bait sites may be renewed annually for up to 5 years after the first year of the permit period. Notice of renewal option will be made by the first business day in February of each renewal year. Acceptance of the renewal option will be due by the last business day in February, after which the site will be forfeited and reallocated. Proof of license, insurance and payment will be due by the third Friday in April, with permit issued by the second Friday in July provided that the applicant has a record of previous compliance with all rules/laws. Sites for which required documentation and payment are not made by the third Friday in April will be forfeited and re-allocated.

If bait sites become available after permits are issued, sites will be allocated based on applications from the first year of the permit period. Permits issued after the first year of the permit period will be valid only for the remainder of that permit period.

When applications for bear bait sites exceed the number of available sites the Bureau will award bear bait sites by lottery.

Sec. 5. PERMIT FEES

An application for a bear bait site must be accompanied by the requisite permit fee. Permit fees for bait sites site will be established by the Bureau and will be stated in the application. The Bureau may adjust permit fees every three years before the beginning of the application period. There will be no refunds of fees once submitted unless the Bureau determines in its sole discretion that a site(s) is unusable after permit(s) have been issued.

Sec. 6. BAIT SITE STANDARDS

Permits for bear bait sites will include GPS coordinates for each approved site. A bait site is considered to have a radius of no greater than 150 yards within which all bait must be placed. Bait sites along a traveled way must be located at least 50 yards from the traveled way but not more than 150 yards from the GPS coordinates. Bait sites on a navigable water body must be located within 150 yards of the GPS coordinates.

Each bear bait site must be tagged by the permittee as follows: Bait site tags provided by the permittee must be placed at a distance no greater than 100 feet from the bait when bait is present at the site. Bait site tags must be placed in such a manner that they are conspicuous when approaching the bait site.

All commercial bear bait site permittees must maintain a valid guide’s license for the duration of the permit period, including any renewal period.

Bait site permits may not be transferred, assigned, bartered, exchanged, or sold.

Permits are valid for only the bear hunting season for which they are issued and for the specific bait site locations approved by the Bureau and listed on the permit.

The Bureau may deny an application for any bear bait site that is considered unsafe or that is inconsistent with other management activities or objectives.

Personal bear bait sites may be used only by the individuals named in the permit for that specific bait site. No more than two (2) individuals may be named on a single personal bear bait site permit.

Permitees must abide by all applicable state laws, rules and regulations governing bear baiting, tree stands and other hunting, trapping, and guiding activities.

Sec. 7: REVOCATION, RECONSIDERATION, AND APPEAL

1. Revocation of the permit. A bear bait permit is a revocable license and does not create any real property interest in public lands. The Director, in his sole discretion, may revoke a bear bait permit for any reason including, without limitation, any violation of these rules or any conviction or adjudication for a violation of any provision of 12 M.R.S. Part 13. When revoked, permits must be surrendered to the Director on demand. If the revocation is based on an action of the permittee, the permittee will be ineligible to apply for a permit during the next period.
2. Reconsideration. Any person whose permit has been revoked may request reconsideration of the revocation from the Director. The request for reconsideration under this paragraph must be submitted to the Director in writing within 30 days of receipt of the notice of revocation of the permit and must set forth in detail all bases for the request. The Bureau will endeavor to respond to reconsideration requests within 30 days.
3. Appeal. The Bureau’s decision to revoke a bear baiting permit pursuant to this section may be appealed to the Superior Court within 30 days of the decision. If the revocation is appealed to the Superior Court, the revocation remains in effect and enforceable during the pendency of the appeal, except as otherwise provided by the Director or as ordered by the Superior Court.

EFFECTIVE DATE (as 04-063, Bureau of Public Lands, Chapter 4):

February 12, 1991

AMENDED:

March 21, 1993

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

January 21, 1997

AMENDED:

November 6, 1999; also converted to MS Word.

RENUMBERED (to 04-059, Bureau of Parks and Lands, Chapter 54):

December 28, 1999

AMENDED:

June 23, 2002

August 15, 2006 – filing 2006-363

CORRECTIONS;

February, 2014 – agency names, formatting

AMENDED:

February 12, 2025 – filing 2025-032

WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 55 Sunken Log Salvage Rules

Code Me. R. 01-670 Ch. 55 Sunken Log Salvage Rules {#sec-01-670-ch.-55 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 55}

Preamble 1

Summary 1

Section 1 Authority 1

Section 2 Purposes 1

Section 3 Applicability 1

Section 4 Definitions 2

Section 5 Application Procedure 3

1. General Provisions 3

2. Competing Applications

A. Special Application Period 5

B. General Application Period 6

Section 6 General Standards 7

Section 7 Compensation 8

1. Amount 8

2. Timing of Payments 8

3. Late Payments 8

Section 8 General Terms and Conditions 9

1. Salvage Limits 9

2. Insurance Coverage 9

3. Financial Capacity 10

4. Technical Capability 10

5. Post Authorization Procedures and Notifications 12

6. Take-Out Site 12

7. Assignment 13

8. Archeological Sites 13

9. Other Public Trust Uses 13

10. Salvage Limitations in Specified Areas 13

11. Waiver for Annual Salvages Less than 5,000 Board Feet 14

Section 9 Exemptions 14

Section 10 Conformance with Other Requirements 14

Section 11 Compliance and Enforcement 15

Section 12 Other Rules and Statutes 15

Section 13 Effective Date 15

Preamble

Under 12 MRSA §1867, the State of Maine reserves to itself title and ownership to all logs resting on publicly owned Submerged Lands. This statute authorizes the Director of the Bureau of Parks and Lands to establish a program allowing the Bureau to issue authorizations for the salvage and sale of sunken logs. The program, as set forth in these Rules, needs to be carefully administered to ensure that it is consistent with purposes as described below and the Bureau’s overall stewardship role of public lands.

Summary

These Rules set forth the Bureau’s requirements regarding the salvage of sunken logs on publicly owned Submerged Lands. These Rules also establish the procedures for granting sunken log salvage authorizations and for determining compensation to the State for sale of these logs.

Section 1: Authority

These Rules are established in accordance with 12 MRSA §1867 and the Administrative Procedure Act – 5 MRSA §§ 8051 to 8060.

Section 2: Purposes

The purposes of these Rules are to ensure that the removal of sunken logs on Submerged Lands does not unreasonably interfere with public trust rights and is accomplished in a publicly responsible and environmentally sound manner, and that the State is adequately compensated for the private use of these logs. The Rules also are intended to ensure that issuance of sunken log salvage authorizations is orderly and fair, and that the State administers the disposition of this finite resource in accordance with prudent business practices.

Section 3: Applicability

These Rules apply to the salvage of any sunken logs located on Submerged Lands (herein defined), with the exception of those activities described in Section 9.

Section 4: Definitions

Unless the context otherwise requires, the following terms will have the following meanings:

1. Applicant

The individual, company or entity proposing to salvage sunken logs.

2. Bureau

"Bureau" means the Maine Department of Agriculture, Conservation and Forestry, Bureau of Parks and Lands.

3. Director

"Director" means the Director of the Bureau.

4. Log

A portion of the trunk of a felled tree which has not been further processed for any end-use.

5. Natural Low-Water Mark of Great Ponds

For unimpounded lakes, the natural low-water mark is the average low-water mark as estimated over a 5-year period. For impounded lakes, the natural low-water mark is the estimated low-water mark of the lake in an unimpounded state.

6. Salvage

Any activity involved in the retrieval of sunken logs from Submerged Lands.

7. Salvage Season

The time period each calendar year when salvage operations on Submerged Lands are allowed. The salvage season will generally run from May 1 to September 30, but starting and ending dates may be adjusted for individual authorizations to account for the date of “iceout,” to avoid conflicts with fish spawning and recreational uses, or to account for extenuating circumstances.

8. Submerged Lands [12 M.R.S.A. §1801]

A. All land seaward from the mean low-water mark or a maximum of 1,650 feet seaward of the mean high-water mark, whichever is closer to the mean high-water mark, out to the 3-mile territorial State marine boundary.

B. All land below the mean low-water mark of tidal rivers and streams up to the farthest natural reaches of the tides;

C. All land below the natural low-water mark of ponds which in their natural state are 10 or more acres in size; and

D. The river bed of international boundary rivers out to the international boundary line, including segments of the St. John, St. Francis and St. Croix Rivers. The bed is defined as land lying between defined banks, created by the action of surface water and characterized by a lack of terrestrial vegetation and devoid of topsoil.

9. Sunken Logs

Logs resting on Submerged Lands.

10. Sunken Log Authorization

A written document issued by the Bureau giving the applicant conditional permission to salvage and sell logs located on Submerged Lands.

11. Vessel

Any watercraft used to salvage sunken logs.

Section 5: Application Procedures

1. General Provisions

A. Applications for a sunken logs salvage authorization will be accepted by the Bureau only during the application period. The application period will generally be from the first working day on or after January 15 to the last working day in the month of May. The Bureau may make adjustments to these dates on a year-to-year basis.

B. Applications for a sunken log authorization shall be made using an application form provided by the Bureau. Each application shall be accompanied by a nonrefundable $100.00 application fee. An application will not be considered complete and the application will not be acted upon unless all of the information required by the Bureau has been submitted.

C. A separate application is required for each lake or noncontiguous river segment in which the applicant is proposing to conduct a salvage.

D. Usually within seven (7) days of receiving the application, the Bureau will make a determination of whether the application is complete, or whether additional information is needed to consider the application. If the application is determined to be incomplete, or if at any time the Bureau finds that additional information is needed to supplement the application, the applicant will be notified of what additional information needs to be submitted in order for the Bureau to make a decision.

E. Upon a determination that the application is complete, the Bureau will notify what it determines to be parties likely to be interested in the application. Interested parties may include, but are not limited to, local officials, landowners adjacent to the proposed salvage or take-out site, and others who have notified the Bureau of their interest in a particular project. Notification of interested parties may be delayed for applications received during the special application period and at other times during which competing applications are being resolved in accordance with Section 5, Subsection 2 below.

F. The Bureau may also seek advice regarding potential impacts from State and Federal agencies including but not limited to other Bureaus within the Maine Department of Agriculture, Conservation and Forestry, the Maine Department of Inland Fisheries and Wildlife, the Maine Department of Marine Resources, and the U.S. Department of the Army, Corps of Engineers.

G. Upon notification of interested parties, there will be a 30-day period during which any party may provide comments pertaining to the application. The Bureau will specify the date by which comments are due. A request by an interested party for 15-day extension of this date may be granted by the Director for good cause. The review period also may be extended or reopened in cases in which the Director determines that additional information or studies are needed to address issues or concerns identified during the review process.

H. Ordinarily, within ten (10) days after the conclusion of the designated review period, the Bureau will approve, approve with conditions or deny the proposed log salvage.

I. The Bureau’s written decision will include findings relevant to its decision. The sunken log salvage authorization will be in the form of a contract between the Bureau and the applicant. If the salvage is approved, two copies of the authorization will be sent to the applicant for signature. No salvage operations shall commence until the signed authorizations are received by the Bureau and the applicant has met all other applicable authorization conditions.

J. Materially incorrect information submitted in conjunction with an application for a sunken log authorization will constitute grounds for the Bureau’s reconsideration or rescission of its decision and any authorization issued.

2. Competing Applications

A. Special Application Period

(1) The time period from the beginning of the application period to a date specified by the Bureau will be designated a special application period. Generally, the special application period will be open for ten (10) working days; however, the Bureau may make adjustments to this time period on a year-to-year basis.

(2) After reviewing applications for completeness and prior to notifying interested parties, the Bureau will review all complete applications received during the special application period to determine if there are multiple proposals to salvage logs in the same areas.

(3) If the Bureau finds there are multiple proposals for salvage in the same areas, the Bureau will evaluate whether the areas can accommodate the proposals of all the applicants interested in salvaging in the areas based on the following criteria:

(a) Whether the areas can accommodate the proposals without unreasonable interference with navigation and other public trust rights;

(b) Whether the areas can accommodate the proposals in a manner consistent with the other General Standards of Section 6; or

(c) Whether, based on available information using conservative estimates, the marketable sunken log resources in the areas are sufficient to accommodate the proposals.

(4) If the Bureau determines that the areas cannot accommodate the proposals of all the applicants interested in salvaging in the areas, the Bureau, at its discretion, may take the following actions:

(a) Establish “standoff” distances for salvage vessels operating in the same areas;

(b) Limit the amount of the salvage within the proposed area by designating the maximum board feet of logs allowed per applicant;

(c) Divide the areas into sub-areas and assign applicants rights to logs within the sub-areas;

(d) Stagger salvage activities according to defined time frames to avoid congestion;

. (e) Limit the number of applicants authorized to conduct sunken logs salvage in the areas or sub-areas by use of a random drawing conducted by Bureau staff, and allow those not selected to apply for log salvages in other areas; and/or

(f) Place other limitations on salvage operations that the Bureau determines to be reasonable.

(5) Upon establishing the salvage location and amount for each application, the Bureau will proceed with the notice requirements described in Section 5, Subsection 1 above.

B. General Application Period

(1) In reviewing applications received after the special application period, the Bureau shall not issue authorizations for areas in which salvage proposals have already been approved or are being processed, unless the Bureau determines that the proposed salvage can be accommodated based on criteria of Section 5.2.A (3). In allowing additional salvages in the same area, the Bureau may impose conditions regarding the amount, location and timing of the salvage.

(2) Based on authorizations it is processing or has approved, the Bureau may, at any time after the special application period, determine that it will not accept additional applications for sunken log salvage on particular waterbody or area of the waterbody for that salvage season.

Section 6: General Standards

The Bureau may grant a sunken log authorization if it finds that the applicant has demonstrated to the Director’s satisfaction that the proposed sunken log salvage meets the following standards:

1. The salvage will not unreasonably interfere with customary or traditional public access to, or public trust rights or uses in, on or over Submerged Lands and the waters above those lands [12 MRSA §1867, sub§ 3];

2. The salvage will not unreasonably interfere with navigation, recreation, fishing, fowling or existing marine uses of the area or unreasonably interfere with ingress and egress of riparian owners;

3. The salvage will not result in significantly increased risk to life or injury under conditions of weather and vessel traffic that are likely to be encountered;

4. The salvage will not conflict with established management guidelines designed to protect aquatic habitats or other areas of Submerged Lands which have been designated for special protection by an agency authorized to make such designations;

5. The salvage is not otherwise determined to be contrary to the public interest;

6. The applicant has demonstrated adequate financial and technical ability to conduct the salvage in a lawful, publicly responsible, environmentally sound and competent manner, to pay for the use of the logs and to otherwise meet the requirements of these Rules and the conditions of the authorization;

7. The anticipated value of the salvaged logs as derived from their sale or use by the applicant approximates their market value as determined by the Bureau;

8. The salvage will be consistent with all other provisions of these Rules; and

9. The applicant has complied with and is in good standing regarding previous authorizations issued by the Bureau.

It shall be the responsibility of the applicant to demonstrate, to the satisfaction of the Bureau, that the proposed salvage will comply with these standards.

Section 7: Compensation

1. Amount

A. The applicant shall pay the Bureau compensation for the logs in an amount not less than 20% of the market value of the logs as determined after they are salvaged and ready for sale or processing.

B. Market value for the purposes of paragraph 1 will be calculated in one of the following methods as approved by the Bureau.

(1) The gross value or mill-delivered price as shown on scaling slips or receipts produced by the buyer of whole logs and submitted to the Bureau. This value will not include reductions or allowances for transportation or other factors;

(2) The market value as determined by the Bureau after the logs are scaled by a licensed log scaler acceptable to the Bureau or by Department of Conservation staff. In assigning market value using this approach, the Bureau will consider the specifications and prices of selected mills and/or buyers of salvaged logs, and information on salvaged log values from operations already authorized by the Bureau; or

(3) Another method as negotiated between the Bureau and the applicant, and determined by the Bureau to reasonably approximate market value.

2. Timing of Payments

A. For whole logs sold to and scaled by a buyer, payment of the royalty in full shall be made to the Bureau within 14 days of the date of log scaling.

B. For logs in which market value is being determined by the Bureau, payment shall be made in full within 14 days of the Bureau’s determination of market value.

3. Late Payments

A. A penalty on late payments will be assessed and paid at a rate that will be established in the authorization.

B. If payment is not received by the due date, all salvage activities shall cease, unless the Bureau has given specific written permission to allow the operation to continue, and only under any conditions imposed as part of that permission.

C. In cases in which the Bureau has not received payment of all sums due within 14 days of the due date, the Bureau, at its discretion, may take the following steps:

(1) Revoke other sunken log salvage authorizations issued to the applicant,

(2) Deduct all amounts owed the Bureau from the applicable performance guarantee held by the Bureau;

(3) Take possession of any logs that have been salvaged; and/or

(4) Take any other steps allowed under the law.

Section 8: General Terms and Conditions

1. Salvage limits

A. No person, nor any subsidiaries, subcontractors, partners or legal entities associated with that applicant, may be issued sunken log salvage authorizations allowing an aggregate of more than 125,000 board feet of sunken logs in any given salvage season.

B. The Bureau will only issue authorizations for the current year’s operations. Authorizations are not transferable or applicable to future salvage seasons. In cases in which delays in obtaining regulatory permits or other necessary approvals prevent the start of salvage activities for the current salvage season, the Bureau may reissue the salvage authorization for the following salvage season.

2. Insurance Coverage

A. Applicants shall provide worker’s compensation insurance for all of their employees as required under law.

B. Applicants shall provide evidence of and maintain for the term of the salvage authorization, adequate and appropriate insurance coverage. Liability insurance shall be in an amount not less then $400,000 per occurrence. At a minimum, this insurance shall cover liability claims, and shall cover all aspects of the salvage operation, including but not limited to, diving, retrieval and transport of logs, use of marine vessels, and operation of other machinery and equipment.

C. Applicants shall agree to hold the Bureau and the State harmless against all claims, demands, judgments for loss, damage, death or injury arising out of the applicant’s activities and operations.

3. Financial Capacity

A. Prior to beginning any salvaging operations, applicants shall provide a performance guarantee in the form of either an irrevocable letter of credit or an escrow account to be held by the Bureau until final payment is received.

B. The amount and type of the performance guarantee will be approved by the Bureau, but shall not be less than 10% of the projected market value of the salvaged logs as determined by the Bureau.

C. As part of the application process, applicants shall demonstrate that they have a viable market for the salvaged logs. If the logs are to be sold to a third party, the applicant shall provide the name of the prospective buyer or mill, the specification and price list from the buyer and mill, and copies of any contracts or agreements between the applicant and the buyer/mill. The Bureau reserves the right to deny sunken log authorizations if it determines that the anticipated value derived from sale or use of the logs by the applicant is significantly below the market value of the logs as estimated by the Bureau.

4. Technical Capability

A. Prior to the Bureau issuing an authorization, applicants must demonstrate that:

(1) They have competency in sunken log salvage, or in other fields that involve similar skills, duties and responsibilities.

(2) All divers participating in the operation are fully qualified. In addition to holding the appropriate certifications for the type of diving proposed in the operation, all divers shall have at least two (2) years diving experience in a commercial setting. Dive log books shall be available for the Bureau’s inspection upon request. The Bureau may relax certification requirements if the applicant demonstrates an extensive background in commercial diving beyond two (2) years experience.

(3) The dive team includes, in addition qualified divers, a qualified “tender” who holds current certificates in Cardiovascular Resuscitation and First Aid, is familiar with safe dive practices, and either holds a current tenders license from the Maine Department of Marine Resources, or otherwise demonstrates competancy to serve as a tender.

(4) If diving is involved, that the applicant possesses a current edition of the publication “Consensus Standards for Commercial Diving Operations” published by the Association of Diving Contractors, Inc., and that all divers and tenders are familiar with this publication; and

(5) They own or will lease equipment and machinery, that, in conjunction with the methods proposed for the retrieval, transport and landing of logs, will allow the proposed salvage to be conducted in a publicly responsible, environmentally sound and competent manner.

B. In issuing authorizations, the Bureau may include terms and conditions aimed at ensuring that the operation meets the technical capability standard of Section 6, including but not limited to:

(1) Assurances that the operation will be conducted in accordance with referenced standards relating to diving, marine and general work safety;

(2) Assurances that the operation as conducted will adhere to the approach proposed in the application, including use of qualified personnel, adequate equipment and appropriate salvage methods.

(3) Assurances that the applicant will conduct all diving operations in accordance with the applicable provisions of the “Consensus Standards for Commercial Diving Operations,” published by the Association of Diving Contractors, Inc.

(4) Other terms and conditions deemed necessary for the operation to meet the technical capability standard and the other requirements of these Rules.

C. In evaluating technical capability, the Bureau will consider the applicant’s performance during previous salvages authorized by the Bureau.

D. Failure to meet any of the requirements pertaining to technical capability in the authorization or these Rules will be grounds for the Bureau’s rescission of the authorization in accordance with Section 11.

5. Post Authorization Procedures and Notifications

A. After the Bureau issues a sunken log salvage authorization, no salvage work shall start until the applicant has complied with all terms and conditions of the authorization and of these Rules pertaining to:

(1) Performance guarantees,

(2) Insurance coverage,

(3) Other necessary State and local permits, and

(4) Other applicable pre-operation submissions or requirements.

B. Prior to the start of salvage work, the applicant shall contact the Bureau to inquire if all applicable terms and conditions have been met to the Bureau’s satisfaction. If the Bureau determines they have, it shall give the applicant written permission to start work. If not, the Bureau shall notify the applicant what terms and conditions need to be met prior to the start of work.

C. The applicant shall notify the Bureau staff of the following other occurrences:

(1) The actual start date of the operation;

(2) The date the logs arrive at the mill or buyer’s location.

(3) At other times as required in the authorization.

6. Take-Out Site

A. Applicants shall designate the take-out site or site(s) for the removal of logs from the water.

B. The take-out site(s) shall be reasonably located to minimize the transport distance of salvaged logs on water bodies and minimize impacts on public trust uses.

C. Applicants shall demonstrate and maintain adequate rights in take-out sites in order to use the sites as proposed. For this purpose, applicants shall provide a copy of a deed, lease, or other legal document showing sufficient rights to use the property as a take-out site.

D. When logs are stored on Submerged Lands at the take-out site(s), they shall be deposited in such a manner that that they do not unreasonably interfere with navigation or other public trust rights, or create a safety hazard.

E. Provision shall be made for proper disposal or storage of logs not sold or processed by the applicant.

7. Assignment

The authorization is nontransferable and shall not be assigned without prior written permission from the Bureau. Assignment will not be permitted unless the potential assignee demonstrates adequate technical and financial capability and otherwise can meet the provisions of these Rules.

8. Archeological Sites

No logs may be removed or Submerged Lands disturbed that are part of an archeological or heritage site as determined by the Bureau or other governmental agency. Such sites shall include but not be limited to, shipwrecks and their cargos, artifacts, cribs, wharves, and weirs. It is the responsibility of the applicant to ensure that the salvaged logs are not part of such a site and to contact the Maine Historic Preservation Commission in the event that archeological or heritage sites are encountered.

9. Other Public Trust Uses

The area where the salvage is conducted shall remain open to other public trust uses to the maximum extent possible, provided such uses do not unreasonably interfere with the salvage operation.

10. Salvage Limitations in Specified Areas

A. The Bureau may impose limitations on salvage operations on certain Submerged Lands in order to reduce potential conflicts with other public trust uses, minimize potential environmental or ecological impacts, or address other management considerations. The Bureau will consider such limitations based on input from State agencies or other organizations that have management responsibility or jurisdiction over particular resources or bodies of water.

B. Such limitations may include prohibiting log salvage on certain waterbodies or portions of waterbodies, limiting the number or size of salvage operations allowed on waterbodies or portions of them or imposing conditions on the timing of salvages to minimize conflicts and impacts.

C. Applicants proposing to salvage logs in any area the Bureau has imposed a salvage limitation will be so notified upon receipt of their application.

11. Waiver for Annual Salvages Less than 5,000 Board Feet

In the case of applicants proposing to salvage a total of 5,000 board feet or less of sunken logs during the salvage season, the Director may waive selected terms and conditions of Section 8 of these Rules in the review of applications submitted by such applicants, if the Director finds the application otherwise meets the General Standards of Section 6. In no instance shall the director waive the requirement of insurance coverage. Waiver of the performance guarantee requirement shall only be made if the applicant otherwise demonstrates adequate finanical capacity.

Section 9: Exemptions

The following activities are exempt from having to obtain a sunken log authorization from the Bureau:

1. The removal of any logs from flowed lands or other areas other than Submerged Lands as herein defined.

2. The removal of single sunken logs that pose a threat to navigation and safety;

3. The removal of multiple sunken logs that pose a threat to navigation and safety, with the Bureau’s written permission;

4. The removal of less than 500 board feet of sunken logs for scientific or educational purposes, with the Bureau’s written permission; and

5. The removal of sunken logs by governmental agencies, with the Bureau’s written permission.

Section 10: Conformance with Other Requirements

All sunken log salvage operations shall comply with all applicable laws and regulations of any Federal, State or local authority having jurisdiction, and no sunken log salvage activities shall commence prior to the applicant obtaining all necessary permits and other approvals. If the applicant fails to obtain and comply with all permits and other approvals, this authorization will be revoked or suspended until such permits and other approvals are obtained.

Section 11: Compliance and Enforcement

1. The Bureau and its designees reserve the right to inspect any sunken log salvage operation to determine if it is being carried out in accordance with the terms and conditions of the authorization and these Rules. Designees of the Bureau may include staff of the Maine Departments of Agriculture, Conservation and Forestry, Environmental Protection and Inland Fisheries and Wildlife, and other agencies or persons approved by the Bureau.

2. If the Bureau determines that a salvage operation is not in compliance with the terms and conditions of the authorization and of these Rules, the applicant will be notified of the violations and the Bureau may provide, at its discretion, a time period for remedying the violations. At its discretion, the Bureau may require that salvage work be suspended while the violation is being remedied.

3. If an applicant fails to correct a violation within the stated time frame set by the Bureau, the authorization may be revoked by the Director in addition to any other remedy provided herein or by law. Violation of these Rules is a Class E crime. (12 MRSA §1803).

Section 12: Other Rules and Statutes

Whenever a provision of these Rules conflicts with or is inconsistent with another provision of the Bureau’s rules or any other ordinance, regulation, rules, or statute, the more restrictive provision will control.

Section 13: Effective Date

These Rules are effective as of May 2, 2000.

EFFECTIVE DATE:

May 2, 2000

NON-SUBSTANTIVE CORRECTIONS:

November 23, 2000 - minor spelling and punctuation

February, 2014 – agency names, formatting

APAO ACCESSIBILITY CHECK: November 12, 2025 (no issues detected following agency action)

Chapter 56 Grievance Procedures for the Handicapped

Code Me. R. 01-670 Ch. 56 Grievance Procedures for the Handicapped {#sec-01-670-ch.-56 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 56}

SECTION 504 GRIEVANCE PROCEDURE

Maine Department of Agriculture, Conservation and Forestry has adopted the following internal grievance procedure providing for prompt and equitable resolution of complaints alleging any action prohibited by federal regulations implementing Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794).

Section 504 states, in part, that "No otherwise qualified handicapped individual . . . shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance..."

This 504 grievance procedure is not meant to preclude other avenues of relief for the grievant.

The law and regulations may be examined in the office of

Susan Benson

Assistant to the Commissioner for Public Information

State House Station 22, Harlow Building

Augusta, Maine 04333

207/287-2211

who has been designated to coordinate the efforts of the Department of Agriculture, Conservation and Forestry to comply with the regulations.

1. A complaint must be tiled in writing or verbally within 180 days of the alleged violation with the Agency 504 Coordinator, contain the name and address of the person filing it, and describe the action alleged to be prohibited by the regulations.

2. The Agency 504 Coordinator or his designee shall conduct an investigation to determine the validity of the complaint. The investigation shall include an opportunity for the grievant, by requesting an informal conference within 30 days of filing the complaint, to confront the people responsible for the action complained against. The 504 Coordinator shall, immediately upon receipt of the complaint,-inform the grievant in writing of his right to-request a conference. If the grievant requests and participates in a conference, he shall have an opportunity to present evidence and arguments on all issues, to cross-examine any person present and testifying, and to be represented at the conference. The 504 Coordinator shall be responsible for creating and maintaining a record or report of the conference. if the grievant does not request a conference, he shall still have the right to present evidence such as documents and written statements to the 504 Coordinator for consideration during the investigation. The Agency 504 Coordinator shall provide the Agency head with a written report of the findings of the investigation, including the record or report of the informal conference, if such a conference occurred.

3. The agency head shall issue a written-decision within 60 days of the date the complaint was filed describing what action, if any, she/he will take regarding the complaint.

4. The 504 Coordinator will maintain the 504 complaint files of the agency for two years.

History

Under the Department of Conservation:

EFFECTIVE DATE:

December 26, 1984

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 4, 1996

NON-SUBSTANTIVE CORRECTIONS:

February 23, 2000 - converted to MS Word

The Department of Conservation was later merged with the Department of Agriculture, Food and Rural Resources to form the Department of Agriculture, Conservation and Forestry. This rule chapter was placed under the newly constituted Bureau of Parks and Lands.

01-670 Chapter 56 page 2

Chapter 57 Logging and Forestry Education Grant Program

Code Me. R. 01-670 Ch. 57 Logging and Forestry Education Grant Program {#sec-01-670-ch.-57 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 57}

AUTHORITY: 12 MRS §1859 (P.L. 2017, ch. 289, §9)

Summary: This rule establishes standards for the Bureau of Parks and Lands' administration of an educational grant program for public secondary or public postsecondary institutions or career and technical education centers that are related to logging or forestry.

SECTION 1. PURPOSE, SCOPE, AND APPLICABILITY

A. Purpose

Pursuant to 12 MRS §1859, the purpose of this logging and forestry education grant program is to provide grants to eligible education programs to develop loggers capable of working on the State’s public reserved lands.

B. Scope

This rule governs the Bureau of Parks and Lands' administration of an educational grant program for public secondary or public postsecondary institutions or career and technical education centers that are related to logging or forestry.

SECTION 2. DEFINITIONS

For the purpose of 12 MRS §1859 and this rule, the following terms are defined as follows:

1. Department means the Department of Agriculture, Conservation and Forestry.
2. Bureau means the Bureau of Parks and Lands.
3. Commissioner means the Commissioner of the Department of Agriculture, Conservation and Forestry.
4. Director means the Director of the Bureau of Parks and Lands.
5. Deputy Director means the Deputy Director of the Bureau of Parks and Lands.
6. Eligible Educational Program means an educational program at a public secondary or public postsecondary educational institution or career and technical education center that is related to logging and forestry approved by Maine Department of Education.
7. Public Reserved Lands. have the same meaning as in 12 MRS §1801(8).
8. Regional Manager means the manager of each of the three administrative regions of the Bureau.
9. The Grant Review Committee shall include the Director, Deputy Director, a Regional Manager, a representative from the Department of Education, and a representative of the forest products industry

SECTION 3. REQUESTS FOR PROPOSALS

The Department will issue a request for proposals (RFP) for grant applications. The Grant Review Committee will review all proposals. Criteria for the Grant Review Committee’s evaluation of proposals consistent with this rule will be set forth in the RFP. The Grant Review Committee will make recommendations to the Commissioner. The Commissioner will make the final decision on grant awards. The Department will notify applicants of the Commissioner’s decision. Award decisions may be appealed to the Director of Bureau of General Services pursuant to 18-544 C.M.R. ch. 120, Rules for Appeal of Contract and Grant Awards .

SECTION 4. CRITERIA FOR ELIGIBILITY

Any educational program at a public secondary or public postsecondary educational institution or career and technical education center approved by Maine Department of Education that is related to logging or forestry

Any grants issued to an eligible educational program must supplement, not supplant, existing school funding.

Timber harvesting on Public Reserved Lands use policies outlined in the integrated resource policy, public reserved managers may be involved with, any eligible educational program that receives funding through the grant program. All applicants must provide:

1. Basic understanding of Forestry principles, law and regulations for students
2. Include a clear statement of the additional development of the current curriculum that provides students with a clear understanding of the integrated resource policies and procedures governing timber harvesting and related activities on public reserved lands.

The proposal must include an itemized budget for the project. The budget must identify sources of current and pending support, including in-kind and matching funds, and must specify which itemized items would be funded using the grant funds sought by the applicant.

Proposals must include a viable plan for education prior to equipment, purchase, rental, or repair.

All proposals must include measurable outcomes as to how the funds proposed to be used will benefit public reserved lands.

The Grant Committee will review past performance and compliance with reporting requirements when evaluating future proposals received by eligible educational programs

SECTION 5. FUNDING REQUIREMENTS

Grants received through the grant program may be used only for educational purposes, including but not limited to upgrading existing logging equipment.

An eligible educational program may receive grants of up to $50,000, if available, from the grant program.

Grants will be awarded over a two-year period, with 20% of the total grant in the first year and the remaining 80% granted in the second year.

The initial 20% disbursement must be used to develop educational materials, purchase classroom materials such as, software, handheld devices, and provide educational field training relating to the understanding of forestry principles, statutes, and regulations. Educational materials must include a statement of the additional development of the current curriculum that provides students with a clear understanding of the integrated resource policy governing timber harvesting and related activities on public reserved lands.

Distribution of the remaining 80% is contingent on documentation of implemented curriculum that provides students with a understanding of forestry principles, statutes, regulations.

Grant recipients must submit a final report at the end of the grant period detailing the program outcomes achieved as a result of the grant. Second year funding is contingent upon meeting performance standards.

SECTION 6. ACCOUNTABILITY AND REPORTING

Grant recipients must:

1. Within 30 days of the end of the first grant year, submit a written progress report detailing accomplishments and setbacks and steps taken to overcome any setbacks. Reports must include an accounting of how grant funds have been expended according to the budget lines identified in Section 5(F). Expenditures must be supported by adequate documentation.
2. Within 30 days of the end of the second grant year, submit a written final report detailing accomplishments and setbacks. Reports must include accounting of how grant funds have been expended according to the budget lines identified in Section 5(F). Expenditures must be supported by adequate documentation.

Modifications within the scope of any grant award must be approved by the Bureau in writing. Requests for modification must be submitted to the Bureau in writing at least 30 days prior to implementation of the requested change. The Bureau is not obligated to fund any changes made without the Bureau’s prior written approval.

Grant recipients must immediately notify the Bureau in writing of developments that have a significant impact on the activities supported under this award. Also, grant recipients must notify the Bureau of problems, delays or adverse conditions arise that materially impair the recipient's ability to meet the objectives of the award. This notification must identify the action taken or contemplated, and any assistance needed to resolve the situation.

Grant recipients must maintain all records for a period of three years following the expiration of a grant and must make such records available for inspection by the Bureau.

SECTION 7. PAYMENTS TO GRANT RECIPIENTS

The Bureau will make one payment to grant recipients within 60 days of issuing a notice of award equal to 20% of the total grant award.

The Bureau will make one payment to grant recipients within 30 days of receiving a satisfactory annual report equal to 80% of the total grant award.

The Director may withhold payment of any or all grant funds to a grant recipient if the Director determines that the grant recipient is not capable of fulfilling the terms and conditions of the grant or if the grant recipient has not complied with these rules. Such determination must be issued in writing.

SECTION 8. WAIVER

The Director may waive the terms set forth in sections 5(C), (D), and (E) as well as in sections 8(A) and (B) if requested in writing by a grant recipient and if the Director, at the Director's sole discretion, determines that such alternative terms are in the best interest of the Bureau and the State.

History

• STATUTORY AUTHORITY: 12 MRS §1859 (P.L. 2017, ch. 289, § 9)
• EFFECTIVE DATE: January 2, 2019 – filing 2018-273
• AMENDED: September 27, 2020 – filing 2020-209
• AMENDED: WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 160 Rules for ATV Club Trail Maintenance Grant-in-Aid Program

Code Me. R. 01-670 Ch. 160 Rules for Atv Club Trail Maintenance Grant-in-Aid Program {#sec-01-670-ch.-160 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-670 Ch. 160}

Summary: This rule establishes a process that All Terrain Vehicle (ATV) Clubs use to apply for a grant from the Department of Agriculture, Conservation and Forestry, Bureau of Parks and Lands, to construct and maintain trails open for public use.

SECTION 1. SCOPE AND PURPOSE.

Under Title 12, M.R.S.A., Chapter 715, the Bureau of Parks and Lands (Bureau) uses a portion of the annual ATV registration fees to fund ATV related projects, including grants to groups to construct and maintain trails. The purpose of this rule is to establish a process that qualified ATV organizations use to obtain an annual grant, and certain terms and conditions of the grant.

SECTION 2. APPLICATION PROCESS

1. Eligibility Requirements

To be eligible for the grant program, the ATV organization ("applicant" or "grantee") must meet the following criteria:

A Be a non-profit corporation in good standing. For purposes of this rule, a qualified applicant must be a group formed to encourage safe ATV operations, develop organized trails for the public, and promote appropriate ATV use. The applicant must have a President, Vice President, and Trailmaster, all of whom must be at least 18 years old.

B Register with the Bureau's ATV Program by June 1st. Registration is done by providing a completed Officer update form (provided by the Bureau) which must include the organizations taxpayer ID number

2. Grant Program

A Grant Amount

The grant programs are administered by the Bureau's Off Road Vehicle Division. The Bureau, in its sole discretion, will determine the maximum yearly grant by considering, among other factors, a comparison of the average qualified expenditures of all clubs for the preceding year with anticipated revenue available for the projected year. An applicant may apply for anticipated costs up to the maximum Grant amount established for that year.

B Application process

1 All correspondence and application forms must be submitted to the following address:

Maine Department of Agriculture, Conservation and Forestry,

Bureau of Parks and Lands

Off Road Vehicle Division

ATV Grant Program

22 SHS

Augusta, Maine 04333

2. Grant applications may be submitted beginning May 1 but must be postmarked no later than July 1 of the current year.

3. The applicant must complete and submit the following documents:

(a) ATV Trail Grant-in-Aid Application/Agreement (Supplied by the Bureau)

(b) An accurate, commercially produced map that shows the trail(s) at a scale of at least one-half inch to one mile. The map must show the location of the trails, water bodies, streams, roads, the topography of the land, parking areas, clubhouses, and support facilities.

4 After reviewing the application, the Bureau will issue a written notification to the applicant approving or denying the application, subject to the availability of funds. Specific terms and conditions of the grant are stated in Section 3, although the Bureau may require additional terms and conditions to effectively carry out its program.

C. Reimbursement process

1. An approved applicant must submit a "Request for Reimbursement" form (Supplied by the Bureau) and required documentation including worksheets and receipts in order to be reimbursed. Requests must be postmarked no later than January 31 of the year following the approved grant application.

2. Only expenses actually incurred from the preceding January 1 through the date of the request for reimbursement will be considered for payment. Only expenses incurred during the calendar year from January 1st through December 31st are eligible for reimbursement. By example, for a grant approved in July 2004, with expenses incurred from January through December 2004, the request must be postmarked by January 30, 2005. In no case will the state reimbursement exceed the maximum approved Grant Amount.

SECTION 3. TERMS AND CONDITIONS OF APPLICATION/AGREEMENT

By applying for the grant, the applicant agrees to the following conditions together with any other terms that are stated in the grant application or approval:

A. All grant money received under the program must be used only for construction and maintenance of the ATV trails specified in the grant application. For purposes of this grant, trail construction and maintenance includes removing rocks, stumps, and debris, trail brushing, constructing or repairing bridges, and developing erosion control features such as ditches and water bars. It also includes the cost of gas, oil, reasonable rates for heavy equipment use, backing material for signs and bridges, and reasonable labor expenses if actually paid to a person who is hired to work on the trails. All expenses to be reimbursed are subject to the approval of the Bureau.

B. The applicant’s trails must be established only on land where it has received permission from the landowners (and tenants, where applicable) to use for ATV trail purposes. By signing the application, the applicant’s president must certify that landowner permission has been obtained for all trails included in the application.

C. The applicant and its members must ensure, and will continue to ensure, that the trails and related facilities are safe, in good condition, and conform with all applicable laws and regulations, including obtaining all necessary local, DEP and/or LURC permits, and maintaining adequate trail signs, as provided by Bureau guidelines.

D. The trail(s) must aggregate at least 5 miles in length and must be open to the general public for ATV use. Landowners and tenants giving permission to use the land must have been notified the trails are open to the general public for ATV use. The trails must not be part of a system that another grantee has applied for or received a grant under this program.

E. A map of the trail location must be submitted with the application and will be incorporated into the agreement.

F. Approved applicants must submit a request for reimbursement form (supplied by the Bureau) to the ATV Program In order to have expenses considered for full reimbursement. The completed request must be received by the Bureau, or postmarked, no later than January 31st. Request forms postmarked after January 31st, forfeit 10% of the total approved amount for each day the request is late, and may be subject to further reductions if the Bureau determines it no longer has the funds on hand to meet the request.

G. An explanation of expenditures including worksheets must accompany the reimbursement request. All supporting materials (bills & invoices) must be submitted to the ATV Program on request and be available for up to three years for audit by the Bureau. If the grantee does not comply with this requirement, the grantee forfeits the reimbursement.

H. The Bureau has sole discretion to determine if expenditures are permitted and reasonable and the club has complied with the terms of the agreement and all applicable laws, rules and regulations. After making this determination, the Bureau will pay the approved expenditures up to the amount stated in the application, provided funds are available in the appropriate Bureau account as determined by the Bureau.

I. Title 5 M.R.S.A., §784(2) provisions on nondiscrimination in employment apply to the agreement.

J. The applicant agrees not to assign, transfer, lease or encumber its rights or obligations under the agreement or to the trails, without the Bureau's prior written consent. Except for proceeds received by the Bureau under any liability insurance policy, the applicant shall indemnify, defend, and save the State and its employees harmless from and against any claims, losses, liabilities, costs, expenses, damages or other obligations of any nature in any way arising out of the use, occupation, maintenance, repair or development of any trails or related facilities or equipment used in connection with the grant.. The Bureau shall have no responsibility or liability for the maintenance or use of the trails. The Bureau may, in its discretion, provide an insurance policy that, subject to its terms, provides liability coverage to itself, the landowner, and/or the approved applicant covering the use of the property by the applicant and members of the public pursuant to the terms of the grant and this rule.

K. The State may at any time inspect any facilities or equipment in connection with the agreement.

L. The applicant must be a non-profit corporation in good standing with the Secretary of State, Bureau of Corporations, Elections and Commissions.

History

• STATUTORY AUTHORITY: Title 12, M.R.S.A. § 7854(4)(B)
• EFFECTIVE DATE: April 13, 1988 (as Chapter 16)
• AMENDED: April 12, 1992
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTION: August 7, 1997 - corrected "Specifications" to "Guidelines" in the Summary to reflect the actual title of Chapter 15.
• AMENDED: May 12, 1998 (as Chapter 160)
• REPEALED AND REPLACED: April 27, 2004 - filing 2004-126
• CORRECTIONS: February, 2014 – agency names, formatting
• CORRECTIONS: 01-670 Chapter 160 page 5

01-672 Land Use Planning Commission (formerly Land Use Regulation Commission)

Chapter 1 Fee Schedule

Code Me. R. 01-672 Ch. 1 of the Commission's Rules {#sec-01-672-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 1}

Effective Date: August 27, 1990

Amended Effective: June 3, 2026 – filing 2026-108

1.01 Purpose and Legal Authority 1

1.02 Schedule of Fees 1

A. General Provisions 1

B. Fees for Applications, Advisory Rulings, Certifications, and Certificates of Compliance 2

C. Fees for Applications for zone Change 7

D. Special Service Fees 8

E. Exceptions 9

1.01 Purpose and Legal Authority

This rule establishes a fee schedule for applications and petitions processed by the Maine Land Use Planning Commission and prescribes fees for general administrative services including reproduction of documents and distribution of maps and publications.

This rule is authorized by and adopted pursuant to 1 M.R.S. § 408-A and 12 M.R.S. §§ 684, 685-B(2), 685-C(3), and 685-F.

1.02 Schedule of Fees

A. General Provisions

Fees that are based on acres, square feet, or linear feet are calculated using the square feet or linear feet of all new, reconstructed, replaced, expanded, or changes in use to nonconforming structures, disturbed areas, or other development, including utility lines. Legally existing development is not counted in the fee calculation. For utility lines, roads, land management roads, and natural resource extraction, only the portions of the project or the additional length, acreage, or withdrawal that triggers permit review are subject to application fees.

Except as may be provided by Section 1.02(B), application fees for major amendments to permits are assessed using the same method as the application fees for an initial permit application.

No application for a permit or zone change, or request for certificate of compliance, advisory ruling, certification, variance, or service will be processed until the fees have been paid in full in accordance with this rule.

All fees are non-refundable, except any fees assessed in accordance with Section 1.02(E)(2)(c), and Section 1.02(E)(3) that exceed actual processing costs.

B. Fees for Applications, Advisory Rulings, Certifications, and Certificates of Compliance

Except as provided in Sections 1.02(C) through (E), the following fees are required for processing applications, requests for advisory rulings, certifications, and certificates of compliance. Unless otherwise indicated, the fees listed below will be assessed only for activities or projects, or portions of the activity or project that require approval from the Commission.

Fees for Building Permit Applications.

Applications are assessed for each applicable fee listed below. If more than one activity is proposed in a single application under Section 1.02(B)(1)(b), a single fee is assessed for those activities.

1. New, replaced, reconstructed dwellings, or the addition or replacement of a permanent foundation under a dwelling where:

The footprint is less than 1,000 square feet: $200.00 per dwelling unit

The footprint is greater than or equal to 1,000 square feet: $300.00 per dwelling unit

1. Additions, accessory structures, and other residential development (including but not limited to residential campsites, enclosing decks, relocating structures, and filling and grading): $100.00
2. Home-based business: $100.00
3. After-the-fact fee Notwithstanding other provisions of this chapter, the provisions of Section 1.02(B)(4) apply to development initiated prior to receiving permit approval.

Fees for all Other Applications, Advisory Rulings, Certifications, and Certificates of Compliance.

The application fee is the sum of the applicable provisions of Sections 1.02(B)(2)(a) and (b), (3), and (4) below.

Base Fee

• Activity Specific Fee

• Fees for Uses Allowed by Special Exception (if applicable)

• After-the-Fact Fee (if applicable)

= Application Fee

Base Fee and Maximum Fee.

Applications proposing more than one land use will be assessed the highest applicable base fee listed below, except that shoreland alterations must always be assessed a separate base fee.

1. Advisory ruling requests – not involving subdivision interpretations^[1]

$100.00

Base fee

1. Advisory ruling requests – subdivision interpretations¹

$150.00

Base fee for requests involving up to five transactions

$300.00

Base fee for requests involving more than five but not more than 15 transactions

$500.00

Base fee for requests involving 16 or more transactions

1. Certificates of compliance

$50.00

Base fee

1. Hydropower

$200.00

Base fee for micro-hydropower or hydropower development that does not require water quality certification

$500.00

Base fee for all other hydropower development

1. Metallic mineral mining certifications

$200.00

$5,000.00

Base fee

Maximum fee

1. Minor amendments (except for permit transfers)

50% of base fee listed for applicable use

Base fee

$250.00

Maximum fee

1. Non-residential development (except as listed separately in Section 1.02(B)(1))

$200.00

$5,000.00

Base fee

Maximum fee

1. Permit transfers¹

$200.00

Base fee

1. Resource extraction

$200.00

$5,000.00

Base fee

Maximum fee

1. Roads

$200.00

$1,000.00

$2,500.00

$5,000.00

Base fee

Maximum Fee Level A Projects and Land Management Roads

Maximum Fee Level B Projects

Maximum Fee Level C Projects

1. Service drop

$25.00

Base fee

1. Shoreland alterations or wetland alterations

$100.00

$200.00

Base fee for expedited review^[2]

Base fee for all others

1. Site Law certifications or statutory LUPC certifications

$200.00

$5,000.00

Base fee

Maximum fee

1. Subdivisions

$1,000.00

Base fee

1. Utility facilities and utility lines

$500.00

$5,000.00

Base fee

Maximum fee

1. Water crossings

$200.00

Base fee

1. All other land uses not listed above

$100.00

Base fee

Activity Specific Fees.

As applicable, the following fees will be added to the applicable base fees identified in Section 1.02(B)(2)(a). Unless indicated otherwise, only one activity fee applies to any specific square foot or acre.

1. Disturbed areas:

• $0.40

Per square foot of disturbed area within 25 feet of shoreline, and wetland impact areas

• $1.00

Per 1,000 square feet for all other disturbed areas more than one acre in size

1. Extraction:

• $100.00

• $200.00

Per acre of extraction area

Per well or extraction point

1. Roads

• $0.15

• $0.10

• $0.15

• $0.30

Per linear foot of:

Land management road

Level A Road Projects

Level B Road Projects

Level C Road Projects

1. Shoreland and wetland alterations:

• $0.20

• $0.40

Per square foot of shoreline alteration

allowed by expedited review

in all other instances (includes areas within 25 feet of shoreline, and wetland impact areas)

1. Structures:

• $0.15

• $0.20

• $0.30

Per square foot (footprint^[3]) structures

for residential development on lots within Commission approved subdivisions

for residential development on lots not within Commission approved subdivisions

for nonresidential development on lots within Commission approved subdivisions

• $0.40

for nonresidential development on lots not within Commission approved subdivisions

1. Subdivision lots:

Regarding subdivision proposals

• $600.00

• $300.00

• $200.00

Per lot or dwelling created requiring Commission approval:

for basic and rural layouts

for clustered layouts

for flexdesign layouts

Regarding Certificates of Compliance

• $50.00

Per lot or unit approved by permit

1. Towers:

• $3.00

• $5.00

Per foot of tower height

for towers less than 200 feet tall

for towers more than 200 feet tall

1. Utility lines & pipelines:

• $0.10

Per linear foot of utility line, pipe, or other linear development (except roads)

1. Water crossings:

• $2.00

Per linear foot of span length or culvert width

3. Fees for Uses Allowed by Special Exception

An additional fee of $100.00 applies to all applications or requests for certification seeking approval of a use allowed by special exception.

Notwithstanding Section 1.02(B)(3), where the entire parcel is within the P-FP subdistrict, this additional fee for uses allowed by special exception is not required for: single-family dwellings, including their reconstruction, relocation, or replacement; new construction, reconstruction, or replacement of a permanent foundation; or substantial improvements or accessory structures allowed by special exception within the P-FP subdistrict.

4. After-the-Fact Fees

Notwithstanding other provisions of this chapter, the following fees apply. Fees for development already begun prior to receiving permit approval, also known as after-the fact fees, are three times the otherwise applicable fee as established by this chapter, regardless of any maximum fee specified by this chapter.

C. Fees for Applications for zone Change

Applications proposing more than one of the following will be assessed the highest applicable base fee, and each applicable per acre fee listed below.

1. Change to a protection subdistrict 1. Includes Resource Plans but not Concept Plans

$250.00

1. Change to a management subdistrict

$500.00

1. Change to a development subdistrict

• 1. Change to a D-RB or other prequalified development subdistricts made available as result of a community-based planning process^[4].

$250.00

• $8.00

Base fee

per acre of new or changed development subdistrict

• 1. Change to a D-PD subdistrict

$5,000.00

• $25.00

Base fee

per acre of new or changed development subdistrict

• 1. Change to a D-RF or D-PR subdistrict

$500.00

• $10.00

Base fee

per acre of new or changed development subdistrict

• 1. Change to a development subdistrict (except as provided in Section 1.02(C)(3)(a) through (c))

$1,000.00

• $25.00

Base fee

per acre of new or changed development subdistrict

1. Concept Plans

$5,000.00

• $25.00

Base fee

per acre of new areas proposed for development, including infrastructure

D. Special Service Fees

Fees will not be assessed to view or download materials available on the Commission’s website or other web-based transfer.

The following fees will be assessed to recover expenses incurred by the Commission in providing the services listed:

For reproduction of documents, transcripts, or other records: $1.00 for the first page, and $0.25 per page thereafter, except as provided below.

For full-sized subdistrict boundary (zoning) maps: $3.00 per map plus applicable postage. Each applicant may request and receive, at no charge, one copy of each applicable subdistrict boundary map for application purposes.

For publications or rules: No fee will be assessed for the first copy of any publication or rule. Charges will be made for additional copies as follows:

a. Comprehensive Land Use Plan $10.00 or actual costs, whichever are greater;

b. Rules and standards $5.00 or actual costs, whichever are greater;

c. All other publications $3.00 or actual costs, whichever are greater;

For photographs, oversized documents, reduced size subdistrict boundary maps, or other items requiring special handling: Actual cost of reproduction, handling, and applicable postage.

If the Commission records documents at a county registry of deeds on behalf of the permittee or owner, the Commission may assess only the actual cost charged by the applicable county registry of deeds for recording and for any applicable copy required for the Commission’s records.

E. Exceptions

No fee is assessed:

1. for minor changes;
2. for notifications which may be required by law or by the Commission’s rules;
3. to a governmental agency seeking to amend subdistrict boundaries; and
4. for subdistrict boundary changes to or from an interim protection subdistrict, or resulting from correction of an error as to the boundary of a subdistrict.

The Director, at the Director’s discretion, may:

1. reduce or waive the fees of Section 1.02(C) for an agency of state government and application, or certification fees when the applicant is a governmental agency;
2. reduce or waive an application, certification, or special service fee when the applicant or person requesting the reduction or waiver demonstrates to the satisfaction of the Director that an extreme hardship or inequity would result from payment of the fee; or
3. assess the applicant the actual costs incurred for a public hearing as part of the Commission’s review of either, application for zone change for the purpose of a subdivision or commercial development, or a request for certification. Actual costs may include but are not limited to: filing notices in newspapers, postage, transcription fees, travel, and room rental costs.

3. In addition to the fees specified by Sections 1.02(B) and (C) above, the Director may determine that a particular application or request for certification, by virtue of its size, uniqueness, complexity or other relevant factors is an extraordinary project and assess a processing fee as provided in 12 M.R.S. § 685-F, not to exceed 0.25 percent of the estimated development costs.

History

• STATUTORY AUTHORITY: 1 M.R.S. §408-A; 12 M.R.S. §§ 684, 685-B(2), 685-C(3), 685-F
• EFFECTIVE DATE: August 27, 1990 – filing 90-348, as “General Provisions”
• AMENDED: December 1, 1993 – filing 93-421
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996 – filing 96-165
• NON-SUBSTANTIVE CORRECTIONS: January 10, 1997
• NON-SUBSTANTIVE CORRECTIONS: September 2, 1997 - converted to Microsoft Word for Windows
• AMENDED: October 17, 2000 – filing 2000-446
• AMENDED: January 1, 2003 - filing 2002-507
• AMENDED: August 22, 2005 – filing 2005-330, affecting 1.04(A)(9)
• AMENDED: July 23, 2007 – filing 2007-248 (Final adoption, major substantive)
• AMENDED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 04-061 to 01-672.)
• REPEALED AND REPLACED: November 1, 2021 – filing 2021-170, as “Fee Schedule” (Final adoption, major substantive)
• APAO ACCESSIBILITY CHECK (Word): May 4, 2026
• AMENDED: June 3, 2026 – filing 2026-108 (Final adoption, major substantive)
• AMENDED: These items likely do not include Activity Specific Fees as listed in Section 1.02(B)(2); all other land uses will likely include a related Activity Specific Fee. The Commission’s determination of whether an Activity Specific Fee is required will be based on the facts of each application. ↑ Often identified as an expedited form or process. ↑ For the purpose of interpreting the provisions of Section 1.02(B)(2)(b)(5) only, “footprint” of solar panels shall be the square footage of all footings and foundations. ↑ Prequalified development subdistricts include specific eligible locations within the subdistrict description. ↑

Chapter 2 Definitions

Code Me. R. 01-672 Ch. 2 of the Commission's Rules {#sec-01-672-ch.-2 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 2}

Effective: January 12, 2026

A Note about this chapter

This rule offers terminology and their applicable definition. Terminology are listed in alphabetical order of the primary term, particularly in cases involving multiple variants of a primary term (e.g., projecting sign is listed as “Sign, Projecting.”

Purpose and Legal Authority

This rule establishes definitions that apply to terms as they appear in this chapter, the other chapters of the Commission’s rules, and the Commission’s statute (12 M.R.S., Chapter 206-A).

This rule is authorized by and adopted pursuant to 5 M.R.S. § 8051 and 12 M.R.S. § 684.

Definitions

A

• 1. Accessory Use or Accessory Structure: "A use or structure subordinate to a permitted or conditional use or structure and customarily incidental to the permitted or conditional use of the structure." 12 M.R.S. § 682. Accessory structures include but are not limited to garages, decks, porches, accessory solar energy generation facilities, and sheds. For purposes of regulating development in flood prone areas, accessory structures are walled and roofed, detached from the principal structure, and located on the same lot as a principal structure; involve a use that is incidental to the use of the principal structure; and are used only for parking or storage. 2. Adjacent Grade: The natural elevation of the ground surface prior to construction next to the proposed wall of a structure. 3. Advanced Exploration: Any metallic mineral bulk sampling or exploratory activity that exceeds those activities that are exploration activities, but removes 10,000 tons or less of mine waste. Samples taken as part of “exploration” are not considered bulk sampling.

The term is further distinguished as follows:

Tier One Advanced Exploration: Advanced exploration activities provided that bulk sampling does not exceed 2,000 tons of mine waste.

Tier Two Advanced Exploration: Advanced exploration activities exceeding tier one advanced exploration provided that bulk sampling does not exceed 10,000 tons of mine waste.

• 1. Affordable Housing: Affordable housing is decent, safe, and sanitary dwellings, apartments or other living accommodations that are affordable to lower income households and moderate income households, in accord with the following provisions. 1. An owner-occupied housing unit is "affordable" to a household if the unit's expected sales price is reasonably anticipated to result in monthly housing costs (including mortgage principal and interest payments, mortgage insurance costs, homeowners' insurance costs, real estate taxes, and basic utility and energy costs) that do not exceed 28 percent to 33 percent of the household's gross monthly income. Determination of mortgage amounts and payments are to be based on down payment rates and interest rates generally available to lower and moderate income households. 2. A renter-occupied housing unit is "affordable" to a household if the unit's monthly housing costs (including rent and basic utility and energy costs) do not exceed 28 percent to 33 percent of the household's gross monthly income. 3. A "lower income household" is a household with a gross income less than or equal to 80percent of the applicable HMFA/County median income. Lower income households include both very low income households and low income households. A "very low income household" is a household with a gross income less than or equal to 50 percent of the applicable HMFA/County median income. A "low income household" is a household with a gross income over 50 percent, but less than or equal to 80 percent, of the applicable HMFA/County median income. 4. A "moderate income household" is a household with a gross income over 80 percent, but less than or equal to 150 percent, of the applicable HMFA/County median income. 5. The "applicable HMFA/County median income" is the median family income most recently published by the U.S. Department of Housing and Urban Development (HUD) for the federally-designated Metropolitan Fair Market Rent Area (HMFA) or County (non-HMFA part) in which the housing unit is located. Where appropriate to use of this definition, median family income may be adjusted for family size. 6. A household's "gross income" includes the income of all household members from all sources. 2. Affordable Housing Covenant: Any agreement among one or more owners, one or more tenants of residential real estate and one or more qualified housing entities, or between one or more owners and one or more qualified housing entities, or between one or more tenants and one or more qualified housing entities, that permits a qualified housing entity to control, either directly or indirectly, the purchase or rental price of residential housing for the primary purpose of providing that the housing remains affordable to lower income and moderate-income households. 3. Agricultural Management Activities: Land clearing if the land topography is not altered, tilling, fertilizing, including spreading and disposal of manure, liming, planting, pesticide application, harvesting or cultivating crops, pasturing of livestock, minor drainage and maintenance of drainage, and other similar or related activities, but not the construction, creation or maintenance of land management roads, nor the land application of septage, sludge and other residuals and related storage and composting activities. 4. Agricultural Processing Facility: A facility or operation, and associated site improvements or buildings, that is located on land where farm products are produced, and that processes raw farm products to increase their value, to reduce bulk, or to enable efficient transportation for sale or further processing. Agricultural processing facilities may include temporary or permanent structures, and may include worker housing. Agricultural processing facilities do not include agricultural management activities. The term is further distinguished as follows: Small-scale agricultural processing facility: An agricultural processing facility where all the raw farm products used in the processing are grown onsite or on lands owned or leased by the operator, and that utilizes no more than 2,500 square feet of gross floor area. Large-scale agricultural processing facility: An agricultural processing facility where a majority of the raw farm products used in the processing are grown onsite or on lands owned or leased by the operator, and that utilizes up to 5,000 square feet of gross floor area. 5. Agricultural Structure: For purposes of regulating development in flood prone areas, walled and roofed structures that are used exclusively for the production, harvesting, storage, raising, or drying of agricultural commodities and livestock, including aquaculture. Structures that house tools or equipment used in connection with these purposes or uses are also considered to be agricultural structures. Processing and production of agricultural commodities outside of harvesting, storage, raising, or drying are not considered agricultural purposes or uses. Structures used for human habitation or used by the public are not considered agricultural structures. 6. Agritourism: An activity that: 1. Draws people to a working farm for one or both of the following:

(1) The purchase of farm products, provided that the majority of items for sale are from products that are principally produced on the farm where the business is located; or

(2) Educational, recreational, or social events that feature agricultural activities or farm products;

• • 1. Is clearly secondary to the principal use of the property for agricultural management activities; and 2. Is operated by the farm owner or lessee.

The term is further distinguished as follows:

Small-scale Agritourism: Agritourism that utilizes no more than 2,500 square feet of floor area at any given time in all principal and accessory buildings and employs no more than two people who work primarily in agritourism.

Medium-scale Agritourism: Agritourism that utilizes no more than 5,000 square feet of floor area at any given time in all principal and accessory buildings and employs no more than five people who work primarily in agritourism.

Large-scale Agritourism: Agritourism that does not meet the definition of small- or medium-scale agritourism. Also, agritourism that draws more than 100 people (including visitors and support staff) to more than three distinct events per year.

• 1. Alteration: Dredging; bulldozing; removing or displacing soil, sand, vegetation or other materials; draining or dewatering; filling; or any construction, repair or alteration of any permanent structure. On a case-by-case basis and as determined by the Commission, the term "alteration" may not include: 1. An activity disturbing very little soil such as installing a fence post or planting shrubs by hand; 2. The addition of a minor feature to an existing structure such as a bench or handrail; and 3. The construction, repair or alteration of a small structure with minimal impact such as a nesting box, pasture fence, or staff gauge. 2. Amendments: An action to modify a permit, petition, or request for certification previously issued by the Commission, except for minor changes.

The term is further distinguished as follows:

Minor Amendments include an action to modify a permit, petition, or certification previously issued by the Commission where the scale or nature of the proposed modification results in a development which is not substantially different from the one which has been approved, examples include but are not limited to:

• • 1. Expanding existing or approved development which does not increase the total footprint or height of structures, impervious area, or limit of disturbance by more than 20 percent and does not involve a new land use activity for the parcel; 2. Relocating or reorienting structures, roadways, parking lots, or lot lines for the purpose of reducing nonconformance with the Commission’s dimensional requirements; 3. Permit transfers (in accordance with Chapter 4 of the Commission’s rules); and 4. Modifications to permit conditions which do not result in a substantially different outcome or impact on existing natural resources;

Major Amendments include an action to modify a permit, petition, or certification previously issued by the Commission that does not qualify as a minor change or minor amendment.

• 1. Applicant: A person applying for a permit or zone change, or submitting a request for a variance or advisory ruling. In the case of a request for certification, the applicant is the person submitting an application to the Maine Department of Environmental Protection. 2. Application: Materials submitted by a person applying for a permit or zone change, or requesting a variance, advisory ruling, or certification intending to demonstrate how a proposal satisfies applicable statutory or regulatory decision-making criteria or standards. 3. Aquatic Vegetation: Plants that usually grow on or below the surface of the water for most of the growing season in most years. 4. Area of Special Flood Hazard: See Flood, Area of Special Flood Hazard.

B

• 1. Base Flood: The flood having a one percent chance of being equaled or exceeded in any given year, commonly called the 100-year flood. 2. Basement: Any area of the building having its floor subgrade (below ground level) on all sides. 3. Battery Energy Storage System: Commercially available technology intended to serve structural development or the grid that uses chemical processes for absorbing energy and storing it for use at a later time, including but not limited to lithium-ion batteries. 4. Battery Energy Storage System Facility: A battery energy storage system large enough to require one or more internal systems such as heating, ventilation and cooling, fire suppression, monitoring systems that are remotely monitored, or is required to decommission in accordance with 35-A M.R.S. Chapter 34-E. 5. Bed and Breakfast: An owner-occupied, single-family dwelling comprising a single residential building and its accessory structures, in which up to six sleeping rooms are rented for a fee for transient occupancy by guests. Breakfast is the only meal to be served to overnight guests. There must be no kitchen facilities in rented rooms and no separate ownership of rooms. 6. Boathouse: A structure that extends over or beyond the normal high water mark into which boats are directly maneuvered without leaving the water body. Boathouses are distinct from boat storage buildings, which require the boat to be removed from the water for entry. 7. Boat Ramp: See commercial trailered ramp, private trailered ramp, public trailered ramp, or trailered ramp. 8. Body of Standing Water: A body of surface water that has no perceptible flow and is substantially permanent in nature. Such water bodies are commonly referred to either as constructed or natural lakes or ponds, or water impoundments. 9. Breakaway Wall: A wall that is not part of the structural support of the building and is intended through its design and construction to collapse under specific lateral loading forces, without causing damage to the elevated portion of the building or supporting foundation system. 10. Building: “Any structure having a roof or partial roof supported by columns or walls used or intended to be used for the shelter or enclosure of persons, animals or objects regardless of the materials of which it is constructed.” 12 M.R.S. § 682. The Commission finds that a temporary camping tent constructed of fabric or similar materials is not considered a building. 11. Bulk: The size, volume, and shape of buildings and structures, and the physical relationship of their exterior walls or their location to lot lines, other buildings, structures, and surrounding open space. Bulk does not suggest any architectural style or design. This term is used, for example, to ensure that new adjacent development is compatibly arranged and does not dwarf or overshadow existing development. 12. Bulk Sampling of Mineral Deposits: The removal of samples of mineral deposits for the purpose of testing to determine the feasibility, method or manner of extraction and/or processing of minerals. Such testing may include metallurgical analyses, milling or grinding tests and/or pilot plant and processing tests. Methods of bulk sampling may include, but not be limited to drilling and boring, the digging of shafts and tunnels, or the digging of pits and trenches. 13. Bunkhouse: An accessory structure consisting of detached sleeping quarters having no plumbing, for the temporary accommodations of guests of the property owner or facility while the owner or facility operator is an occupant of the principal dwelling or at the facility. A bunkhouse that is accessory to a dwelling can be up to 750 square feet or 50 percent of the footprint of the principal dwelling unit, whichever is larger.

C

• 1. Campground: Any area, other than a campsite, designed for transient occupancy by camping in tents, camp trailers, travel trailers, motor homes or similar facility designed for temporary shelter. Campground does not include Residential Campsites. 2. Campsite: A camping location containing tents, registered tent trailers, registered pickup campers, registered recreational vehicles, registered trailers or similar devices used for camping. A campsite must not have access to a pressurized water system or permanent structures other than outhouses, fireplaces, picnic tables, picnic tables with shelters or lean-tos. A campsite must be designed and utilized for transient occupancy by 12 or fewer people. The term “tents” includes but is not limited to tents with ground level platforms not to exceed 150 square feet in area. The shelters for picnic tables shall not exceed 120 square feet in area. Outhouses shall not exceed 36 square feet in area. 3. Campsite, Remote: Campsites which are not part of commercial campgrounds and which are characterized by their remoteness, limited scale, dispersed nature, and limited usage. More specifically, remote campsites include sites which: 1. are designed to be accessible and generally are only accessible by water or on foot; 2. are comprised of not more than four individual camping areas designed for separate camping parties, and are designed for a total of not more than 12 overnight campers; 3. have permanent structures limited to privies, fireplaces or fire rings, picnic tables, and picnic table shelters not larger than 80 square feet in area consisting of a roof without walls; and 4. require no other construction or grading and only minimal clearing of trees. 4. Campsite, Residential: A camping location containing tents; or a legally registered tent trailer, pickup camper, recreational vehicle, or trailer; or similar device used for private non-commercial camping. “Residential campsite” includes a camping location that may have access to a pressurized water system or permanent structures. Except that each lean-to shall not have more than 200 square feet in floor area, each such additional permanent structure shall not have more than 150 square feet in floor area, shall not have a permanent foundation and, except for lean-tos and tent platforms, shall not be used for human habitation. A single lot may contain only one residential campsite, whether or not a dwelling is present, designed to contain not more than one camping site for transient occupancy by 12 or fewer people. 5. Capacity Expansions of Utility Facilities: The addition of new telephone or electric wires or similar equipment to existing electric or telephone transmission and distribution poles for the purpose of increasing the capacity thereof. 6. Checkpoint Building: A structure on land under forest management which is used primarily for control of access to private roads or trails, provided it does not include more than one residence. 7. Children’s Day Care Facility: A building, not the residence of the operator, in which a person carries out a regular program, for consideration, for any part of a day providing care for three or more children under 19 years of age. 8. Cluster Development: A compact form of development that results in buildings being located in a group such that a significant amount of open space is preserved. 9. Coastal Nesting Island: An island used for nesting by sea birds during their breeding period. 10. Combined Floor Area: The total floor area of all principal and accessory structures on a lot. 11. Combined Septic System: A disposal system designed to dispose of gray and black wastewater on or under the surface of the earth that includes but is not limited to: septic tanks; disposal fields; or any other fixture, mechanism, or apparatus used for this purpose. 12. Commercial Fishing Activities: Activities directly related to commercial fishing and those commercial activities commonly associated with or supportive of commercial fishing, such as the manufacture or sale of ice, bait and nets and the sale, manufacture, installation or repair of boats, engines and other equipment commonly used on boats. 13. Commercial Mineral Extraction: Mineral extraction other than Mineral Extraction for Road Purposes. 14. Commercial Sporting Camp: A “building or group of buildings devoted primarily to the offering of lodging facilities for a fee to persons primarily in pursuit of primitive recreation or snowmobiling.” 12 M.R.S. § 682(14). In addition, for the purposes of the application of the Commission’s rules, the term “commercial sporting camp” shall be construed according to the following: A facility which functions primarily as a destination for the above activities rather than as a transient development unit or as a base of operations for activities in another location, such as whitewater rafting. A sporting camp is usually located in a remote location and typically consists of, but does not have to include, all of the following: a number of cabins for the housing of guests, including but not limited to housekeeping cabins; a main lodge for serving of meals and socializing for the guests; outbuildings for housing of the owners, guides, and other workers; workshop, woodsheds, laundry, equipment storage, and other utility buildings as needed. Outpost cabins are not a part of commercial sporting camp facilities. Guests of outpost cabins may use the services of the commercial sporting camp whether or not the commercial sporting camp is permitted for expanded access (See Chapter 10, Section 10.27(Q)(1)). A resident, on-site attendant must be available on a full-time basis to meet the needs of guests. 15. Commercial Trailered Ramp, Hand-Carry Launch, or Dock: A trailered ramp, hand-carry launch, or dock, including an associated parking area and access road, that is privately owned and operated, and open to all members of the public, with or without a fee, but not meeting the definition of a public trailered ramp, hand-carry launch, or dock. 16. Commercial Use: The use of lands, buildings or structures the intent or result of which is the production of income from the buying or selling of goods or services. Commercial use includes the short-term rental of more than one of the following on a single lot, unless the lot is part of a condominium where the dwelling units are individually owned: a dwelling unit; a portion of a dwelling unit; or a residential campsite. Commercial use does not include: 1. a home-based business; 2. the rental of a dwelling unit for 30 days or more; 3. incidental sales of goods or services as may be allowed by permit or standard within a recreational lodging facility or forest management activities where such activities are otherwise exempt from review. 17. Commission: The Maine Land Use Planning Commission. 18. Commission Decision: A final action taken by the Land Use Planning Commission including, but not limited to, permits, and amendments to land use district boundaries. 19. Common Open Space: Any parcel or area of land essentially unimproved and set aside, dedicated, designated, or reserved for the public use, for the common use of owners and occupants of land adjoining or neighboring such open space, or for purposes intended to preserve important natural features of the site. 20. Community Living Facility: A housing facility for eight or fewer persons with disabilities that is approved, authorized, or certified by the State. A community living facility may include a group home, foster home, or intermediate care facility. Disability has the same meaning as the term “handicap” in the Federal Fair Housing Act, 42 USC §3602 [30-A M.R.S. § 4357-A]. Residents of a community living facility cannot be using or addicted to a “controlled substance” as defined in the Controlled Substances Act, 21 USC § 802(6), or living in the facility as a result of a criminal offense. 21. Community Public Water System: (Reserved) 22. Community Public Water System Primary Protection Areas: (Reserved) 23. Community-based off-shore wind project: “A wind energy development, as defined by Title 35-A, section 3451, subsection 11, with an aggregate generating capacity of less than 3 megawatts that meets the following criteria: the generating facilities are wholly or partially located on or above the coastal submerged lands of the State; the generating facilities are located within one nautical mile of one or more islands that are within the unorganized and deorganized areas of the State and the project will offset part or all of the electricity requirements of those island communities; and the development meets the definition of "community-based renewable energy project" as defined by Title 35-A, section 3602, subsection 1.” 12 M.R.S. § 682. 24. Compatible Use: A land use which is capable of existing in harmony with other uses or resources situated in its immediate vicinity because that use does not adversely affect such other uses or resources. In considering whether a use is compatible with other uses, the Commission considers, among other items, project scale; the presence, amount, type, timing, or characteristics of traffic generation, noise or sound, emissions (e.g., fumes, smoke, dust, odors), lighting, glare, other sources of nuisance; unsafe, or unhealthy conditions; and available avoidance or mitigation measures including buffers, separation, and treatment technology. 25. Compensation: Replacement of a lost or degraded wetland function with a function of equal or greater value. 26. Conforming: Often describing or regarding a structure, use, or lot (e.g., conforming structure, conforming use, conforming lot). A structure constructed or placed, a use commenced, or a lot created in accordance with applicable requirements. A structure or use granted permit approval as a special exception is a conforming structure or use. 27. Constructed Pond: A body of standing water that is man-made and is not within or fed by a protected natural resource. 28. Containment Wall: A wall surrounding all sides of an aboveground tank to contain any spills or leaks. 29. Conversion of Use: The alteration of a use or structure such that the use or structure constitutes a different use listing or defined term. 30. Critically Imperiled Natural Community (S1): An assemblage of plants, animals and their common environment that is extremely rare in Maine or vulnerable to extirpation from the state due to some aspect of its biology. An example of an S1 community that occurs in freshwater wetlands is the Outwash Plain Pondshore community. 31. Cross-Sectional Area: The cross-sectional area of a stream channel must be determined by multiplying the stream channel width by the average stream channel depth. The stream channel width is the straight line distance from the normal high water mark of one side of the channel to the normal high water mark on the opposite side of the channel. The average stream channel depth must be the average of the vertical distances from a straight line between the normal high water marks of the stream channel to the bottom of the channel.

D

• 1. Deer Wintering Areas: Areas used by deer during winter for protection from deep snows, cold winds, and low temperatures. 2. Development: “Any land use activity or activities directed toward using, reusing or rehabilitating air space, land, water or other natural resources, excluding, however, such specific uses or classes and categories of uses as the Commission may by regulation determine do not need regulating to achieve the purpose, intent and provisions of this chapter.” 12 M.R.S. § 682. 3. Development Costs: All costs of a proposed project including, without limitation, site preparation, building and road construction, installation of wastewater disposal systems and monitoring, and erosion control devices, but does not include the cost of acquiring the land. 4. Development Unit: A single family dwelling unit or non-residential use containing a total of no more than 8,000 square feet of gross floor space for all principal buildings concerned. Multiple family dwelling units and larger non-residential uses shall be counted as an equivalent multiple number of development units. 5. Dining Amenities: A common space where meals are served to guests of the recreational lodging facility or the general public. Dining amenities do not include private kitchens for individual cabins. 6. Direct Watershed: That portion of the land area which drains surface water directly to a body of standing water without such water first passing through an upstream body of standing water. 7. Director: The Director of the Maine Land Use Planning Commission is the principal administrative, operational, and executive employee of the Commission. 8. Disturbed Area: The area of a parcel that is stripped, graded, grubbed or otherwise results in soil exposure at any time during the site preparation for, or construction of, a project. “Disturbed area” does not include maintenance of an existing impervious area, but does include a new impervious area or expansion of an existing impervious area. 9. Docking Structure: A structure placed in or near water primarily for the purpose of securing or loading or unloading boats and float planes, including but not limited to docks, wharfs, piers, and associated anchoring devices, but excluding boathouses and floatplane hangars. The term is further distinguished as follows:

Permanent Docking Structure: A docking structure in place for longer than seven months in any calendar year or which is so large or otherwise designed as to make it impracticable to be removed on an annual basis without alteration of the shoreline, and associated on-shore structures used to secure a permanent dock or mooring.

Temporary Docking Structure: A docking structure in place for less than seven months during any calendar year upon or over any body of standing water, coastal wetland, or flowing water and which is of such a size or design that it can be removed on an annual basis without requiring alteration of the shoreline, and associated temporary on-shore structures used to secure a temporary dock or mooring.

• 1. Driveways: A vehicular access-way, other than a land management road, less than 1,000 feet in length serving two or fewer lots or dwelling units. 2. Dwelling Unit: “Any part of a structure which, through sale or lease, is intended for human habitation, including single-family and multifamily housing, condominiums, time-share units, and apartments.” 12 M.R.S. § 682(11). A dwelling unit may consist of a room or group of rooms designed and equipped for use primarily as living quarters, including any minor home occupations, for one family. Accessory structures intended for human habitation that have plumbing for internal living spaces, such as kitchens or bathrooms, are considered separate dwelling units. Dwelling units do not include buildings or parts of buildings used as a hotel, motel, commercial sporting camp, outpost cabin, or other similar facility. Staff housing in such facilities is not considered to be a dwelling unit, unless specifically regulated as such as part of the permit approval.

E

• 1. Elevated Building: A building, without a basement, 1. built, in the case of a building in FEMA zones A or AE, to have the top of the elevated floor, or in the case of a building in Zone VE, to have the bottom of the lowest horizontal structural member of the elevated floor, elevated above the ground level by means of pilings, columns, post, piers, or "stilts;" and 2. adequately anchored so as not to impair the structural integrity of the building during a flood of up to one foot above the magnitude of the base flood.

In the case of Zones A or AE, elevated building also includes a building elevated by means of fill or solid foundation perimeter walls with hydraulic openings sufficient to facilitate the unimpeded movement of flood waters, as required in Chapter 10, Section 10.25(T)(2)(n). In the case of Zone VE, elevated building also includes a building otherwise meeting the definition of elevated building, even though the lower area is enclosed by means of breakaway walls, if the breakaway walls meet the standards of Chapter 10, Section 10.25(T)(2)(r)(2)(b)(iii).

• 1. Emergent Marsh Vegetation: Plants that are erect, rooted and herbaceous; grow in saturated to permanently flooded areas; and do not tolerate prolonged inundation of the entire plant (e.g., cattails, bur-reed, tussock sedge, rice cut grass, phragmites, pickerel weed, arrowhead and bulrush). 2. Excursion Service: A water-borne transport service established to ferry tourists and other persons non-resident to the place of destination. This term shall also include sight-seeing and other recreational cruises such as "whale-watchers" where there may be no specific point of destination. 3. Expansion of a Structure: The increase in the floor area of a structure, including attached decks and porches, or the increase in the height of a structure.

F

• 1. Family: One or more persons occupying a premise as a single housekeeping unit. 2. Farm Product: Those plants and animals and their products that are useful to humans and includes, but is not limited to, forages and sod crops, grains and food crops, dairy and dairy products, poultry and poultry products, bees and bee products, livestock and livestock products, manure and compost, fish and fish products and fruits, berries, vegetables, flowers, seeds, grasses, Christmas trees, or any other plant, animal, or plant or animal product that supply humans with food, feed, fiber, or fur. 3. FEMA: Federal Emergency Management Agency. 4. Fishery Management Practice: Activities engaged in for the exclusive purpose of management of freshwater and anadromous fish populations by manipulation of their environment for the benefit of one or more species. Such practices may include but not be limited to the construction of traps and weirs, barrier dams, stream improvement devices, fishways, and pond or stream reclamation, provided that any such activities are specifically controlled and designed for the purpose of managing such species and are conducted or authorized by appropriate state or federal fishery management agencies in compliance with the water quality standards contained in 38 M.R.S. § 465. 5. Flood or Flooding: 1. A general and temporary condition of partial or complete inundation of normally dry land areas from:

(1) the overflow of inland or tidal waters.

(2) the unusual and rapid accumulation or runoff of surface waters from any source.

• • 1. The collapse or subsidence of land along the shore of a lake or other body of water as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels or suddenly caused by an unusually high water level in a natural body of water, accompanied by a severe storm, or by an unanticipated force of nature, such as flash flood or an abnormal tidal surge, or by some similarly unusual and unforeseeable event which results in flooding as defined in sub-part a,(1) of this definition. 1. Flood, Area of Special Flood Hazard: The land in the floodplain having a one percent or greater chance of flooding in any given year, as specifically identified in a Flood Insurance Study, where available, and/or as delineated on the Flood Insurance Rate Map, Flood Hazard Boundary Map, or Commission’s Land Use Guidance Map. 2. Flood Boundary and Floodway Map (FBFM): An official map of a township, plantation or town, issued by the Federal Insurance Administrator, where the boundaries of the base flood and floodway have been designated. 3. Flood Elevation Study: An examination, evaluation and determination of flood hazards and, if appropriate, corresponding water surface elevations. 4. Flood Hazard Boundary Map (FHBM): An official map of a township, plantation or town, issued by the Federal Insurance Administrator, where the boundaries of the base flood have been designated. 5. Flood Insurance Rate Map (FIRM): An official map of a township, plantation or town, on which the Federal Insurance Administrator has delineated both the special hazard areas and the risk premium zones applicable to the community. 6. Flood Insurance Study (FIS): See Flood Elevation Study. 7. Flood, Zones A, AE, VE: The areas identified by FEMA as areas of special flood hazard on Flood Insurance Rate Maps or Flood Hazard Boundary Maps. The Commission adopts the FEMA maps and incorporates them by reference into the P-FP subdistrict. The adopted maps are referenced on the applicable Official Land Use Guidance Maps. 8. Floodplain or Flood Prone Area: Any land area susceptible to being inundated by water from any source (see Flood or Flooding). 9. Floodproofing: Any combination of structural and non-structural additions, changes, or adjustments to structures which reduce or eliminate flood damage to real estate or improved real property, water and sanitary facilities, structures and contents. 10. Floodway Encroachment Lines: The lines marking the limits of floodways on federal, state, and local floodplain maps. 11. Floodway, Regulatory: The channel of a river or other flowing water and the adjacent land areas that must be reserved in order to discharge the base flood without cumulatively increasing the water surface elevation more than one foot. When not designated on the township’s, plantation’s, or town’s Flood Insurance Rate Map, Flood Boundary and Floodway Map, or Flood Hazard Boundary Map, it is considered to be the channel of a river or other flowing water and the adjacent land areas to a distance of one-half the width of the floodplain, as measured from the normal high water mark to the upland limit of the floodplain. 12. Floor Area: The sum of the horizontal areas of the floor(s) of a structure, excluding basements, measured by their exterior dimensions. Floor area shall include, but not be limited to, all stories and lofts, decks, garages, porches and greenhouses. 13. Flowing Water: A channel that has defined banks created by the action of surface water and has two or more of the following characteristics: 1. It is depicted as a solid or broken blue line on the most recent edition of the U.S. Geological Survey 7.5-minute series topographic map or, if that is not available, a 15-minute series topographic map. 2. It contains or is known to contain flowing water continuously for a period of at least six months of the year in most years. 3. The channel bed is primarily composed of mineral material such as sand and gravel, parent material or bedrock that has been deposited or scoured by water. 4. The channel contains aquatic animals such as fish, aquatic insects or mollusks in the water or, if no surface water is present, within the stream bed. 5. The channel contains aquatic vegetation and is essentially devoid of upland vegetation.

Such waters are commonly referred to as rivers, streams, and brooks. Flowing water does not mean a ditch or other drainage way constructed, or constructed and maintained, solely for the purpose of draining storm water or a grassy swale.

The term is further distinguished as follows:

Major Flowing Water: A flowing water downstream from the point where such water drains 50 square miles or more.

Minor Flowing Water: A flowing water upstream from the point where such water drains less than 50 square miles.

• 1. Footprint: The measure of the area in square feet within the exterior limits of the perimeter of a structure. This includes any overhangs, or attached porches or decks whether or not enclosed. 2. Forest: A plant community predominantly of trees and other woody vegetation growing more or less closely together. 3. Forest Management Activities: Forest management activities include timber cruising and other forest resource evaluation activities, pesticide or fertilizer application, timber stand improvement, pruning, timber harvesting and other forest harvesting, regeneration of forest stands, and other similar or associated activities, but not the construction, creation, or maintenance of land management roads, nor the land application of septage, sludge and other residuals and related storage and composting activities. 4. Forest Product: Any raw material yielded by a forest. 5. Functionally Dependent Use: For purposes of regulating development in flood prone areas, a use which cannot perform its intended purpose unless it is located or carried out in close proximity to water. The term includes only docking facilities, port facilities that are necessary for the loading and unloading of cargo or passengers, and ship building and ship repair facilities, but does not include long-term storage or related manufacturing facilities.

G

• 1. Gatehouse: See Checkpoint Building. 2. General Management Subdivision: See Subdivision, General Management. 3. Gravel Extraction: Any extraction of a deposit of sand, fill or gravel. 4. Gravel Pit: A mining operation undertaken primarily to extract and remove sand, fill or gravel.

H

• 1. Hand-Carry Launch: A shoreland alteration, including, but not limited to, a landing area (that portion of the launch at or below the normal high water mark), a launch area (that portion of the launch immediately adjacent to and above the normal high water mark) any associated parking area, access pathway and/or road, and other similar related facilities to allow an item, including but not limited to a boat, personal watercraft, or dock float, to be moved by hand, to or from the surface of a water body. Unless otherwise specified by permit condition, boat trailers or dollies designed to be moved by hand may be used at such facilities provided no special site design is required to accommodate such devices. 2. Height of Structure: The vertical distance between the mean original (prior to construction) grade at the downhill side of the structure and the highest point of the structure, excluding chimneys, steeples, antennas, and similar appurtenances that have no floor area. 3. High Mountain Area: All mountain areas included in Mountain Area Protection Subdistricts (P-MA), as described in Chapter 10, Section 10.23(G) and shown on the Commission’s Land Use Guidance Maps. 4. High-density Subdivision: See Subdivision Density. 5. Hillside: An area of two or more contiguous acres having a sustained slope of 15 percent or greater. 6. Historic Structure: Any structure that is: 1. listed individually in the National Register of Historic Places (a listing maintained by the U.S. Department of Interior) or preliminarily determined by the Secretary of the Interior as meeting the requirements for individual listing on the National Register; 2. certified or preliminarily determined by the Secretary of the Interior as contributing to the historical significance of a registered historic district or a district preliminarily determined by the Secretary of the Interior to qualify as a registered historic district; 3. individually listed on a state inventory of historic places in states with historic preservation programs which have been approved by the Secretary of the Interior; or 4. individually listed on a local inventory of historic places in communities with historic preservation programs that have been certified either:

(1) by an approved state program as determined by the Secretary of the Interior, or

(2) directly by the Secretary of the Interior in states without approved programs.

• 1. Home Adult Day Services Program: A group program of care, therapeutic activities and supervision maintained or carried out on a regular basis by a person or persons in a private dwelling, for consideration, for at least two hours a day, for three to 12 adults 19 years of age or older, who are not related to, or under the guardianship of the provider. 2. Home Child Day Care Provider: A person who receives consideration to provide childcare in their residence on a regular basis, for three to 12 children under 13 years old, who are not related to, or under the guardianship of the provider. 3. Home-based Business: A business, profession, occupation, or trade undertaken for gain or profit which: a) is clearly incidental and secondary to the use of the dwelling unit for residential purposes; b) is wholly carried on within a dwelling unit or other structure accessory to a dwelling unit; c) is carried on by a resident of the dwelling unit; and d) utilizes no more than 50 percent of all floor area of the dwelling unit or of the total combined floor area of the dwelling unit and accessory structure(s) in which the occupation is carried out. The term is further distinguished by Chapter 10, Section 10.27(N).

I

• 1. Imperiled Natural Community (S2): An assemblage of plants, animals and their common environment that is rare in Maine or vulnerable to further decline. Examples of S2 communities that occur in freshwater wetlands are Atlantic White Cedar Swamp, Alpine Bog-Meadow, Circumneutral Fen, Maritime Slope Bog, and Coastal Plain Pocket Swamp. 2. Impervious Area: The area of a parcel that consists of buildings and associated constructed facilities or areas that will be covered with a low-permeability material, such as asphalt or concrete, and areas such as gravel roads and unpaved parking areas that will be compacted through design or use to reduce their permeability. Common impervious areas include, but are not limited to, rooftops, walkways, decks, porches, patios, driveways, parking lots or storage areas, concrete or asphalt paving, gravel roads, packed earthen materials, and macadam or other surfaces which similarly impede the natural infiltration of stormwater. A constructed pond, water impoundment, or natural water body is not considered an impervious area. 3. Incidental: A use, activity, service, or amenity that occurs by chance and not on a regular basis. Any use, activity, service, or amenity that is advertised individually is not incidental. 4. Interested Person: A person who submits written comments on an application or who requests, in writing, receipt of materials related to a particular application. 5. Intervenor: A person who, in accordance with the Maine Administrative Procedure Act, 5 M.R.S. §§ 9054(1) and (2), and the Commission’s rules governing hearings, has been granted leave to participate as a party in a particular proceeding where a decision has been made to hold a hearing.

L

• 1. Land Management Road: A route or track consisting of a bed of exposed mineral soil, gravel, or other surfacing material constructed for, or created by, the repeated passage of motorized vehicles and used primarily for agricultural or forest management activities, including associated log yards but not including skid trails, skid roads, and winter haul roads. 2. Land Use Subdistrict: “The area located within the boundaries of air, land or water delineated vertically or horizontally by the Commission to provide for distinct categories of uses.” 12 M.R.S. § 682. District and subdistrict may be used interchangeably. 3. Lean-To: A three-sided, roofed structure, limited to no larger than 200 square feet in area and no more than nine feet in height, used for transient occupancy and commonly constructed for campsites. 4. Light Fixture, Fully Shielded: Fully shielded light fixtures are constructed such that a light-blocking shield covers the top and sides of the lowest direct light-emitting part (bulb, tube, or lamp) and all light is projected below the horizontal plane. 5. Locally Established Datum: For purposes of regulating development in flood prone areas, an elevation established for a specific site to which all other elevations at the site are referenced. This elevation is generally not referenced to the National Geodetic Vertical Datum, North American Vertical Datum, or any other established datum and is used in areas where Mean Sea Level data is too far from a specific site to be practically used. 6. Lot Coverage: The total footprint area of all impervious area, which includes, but is not limited to, buildings, driveways, sidewalks, parking lots, and other impervious surfaces. 7. Low-density Subdivision: See Subdivision Density. 8. Lowest Floor: The lowest floor of the lowest enclosed area (including basement). An unfinished or flood resistant enclosure, usable solely for parking of vehicles, building access or storage in an area other than a basement area is not considered a building's lowest floor, provided that such enclosure is not built so as to render the structure in violation of the applicable non-elevation design requirements described in Chapter 10, Section 10.25(T)(2)(n).

M

• 1. Maintenance: Activities required to assure continuation of a wetland or the accomplishment of project goals after a restoration or creation project has been technically completed, including, but not limited to, water level manipulations and control of non-native plant species. 2. Major Water Bodies: Major water bodies are bodies of standing water greater than 10 acres in size and major flowing waters. 3. Management Class 1 Lake: Lake, also referred to as a "Least Accessible, Undeveloped, High Value Lake", which meets the following criteria: 1. Relatively undeveloped: As of November 17, 1988, having less than one development unit per shore mile within 250 feet of the normal high water mark, taken as an average over the entire lake shore. The shoreline is measured by following the shoreline of the lake, including all the shoreline irregularities, on the Commission's Land Use Guidance Map. 2. Relatively inaccessible: As of November 17, 1988, having no road passable during summer months with a two-wheel drive vehicle within 1/4 mile of the normal high water mark of the lake. 3. High resource value(s): Found to have one or more outstanding resource values according to the Commission's Wildlands Lake Assessment as shown in Chapter 10, Appendix C.

Such lakes are designated as MC1 on the Commission's Land Use Guidance Maps. All lakes included in the Wildlands Lake Assessment are listed in Chapter 10, Appendix C with their Management Class noted.

• 1. Management Class 2 Lake: Lake, also referred to as an "Accessible, Undeveloped, High Value Lake", which meets the following criteria: 1. Relatively Undeveloped: As of November 17, 1988, having less than one development unit per shore mile within 250 feet of the normal high water mark, taken as an average over the entire lake shore. The shoreline is measured by following the shoreline of the lake, including all the shoreline irregularities, on the Commission's Land Use Guidance Map. 2. Relatively Accessible: As of November 17, 1988, having a road passable during the summer months with a two-wheel drive motor vehicle within 1/4 mile of the normal high water mark of the lake. 3. High Resource Value: Having at least two of the following outstanding resource values according to the Commission's Wildlands Lake Assessment: 1. An outstanding rating for fisheries 2. An outstanding rating for scenic value 3. An outstanding rating for shore character 4. An outstanding rating for wildlife when the rating was due to exceptional concentration and/or diversity of wildlife species.

Such lakes are designated as MC2 on the Commission's Land Use Guidance Maps. All lakes included within the Wildlands Lake Assessment are listed in Chapter 10, Appendix C with their Management Class noted.

• 1. Management Class 3 Lake: Lake, also referred to as "Potentially Suitable for Development" which through a consideration of existing water quality, potential water quality impacts, location, access, conflicting uses, available shoreline, water level fluctuation, regional considerations, and special planning needs is found by the Commission to be a potentially suitable location for shoreland development. Such lakes are more specifically defined in the Commission's Comprehensive Land Use Plan. Such lakes are designated as MC3 on the Commission's Land Use Guidance Maps encompassing such lakes. All lakes included within the Wildlands Lake Assessment are listed in Chapter 10, Appendix C with their Management Class noted. 2. Management Class 4 Lake: Lake, also referred to as a "High Value, Developed Lake", which meets the following criteria: 1. Two or more "outstanding" resource values as identified in the Maine Wildlands Lake Assessment; 2. Relatively accessible: As of November 17, 1988, accessible to within 1/4 mile of the normal high water mark of the lake by two-wheel drive motor vehicle during summer months; 3. Relatively developed: As of November 17, 1988, having an average of more than one development unit per mile of shore within 250 feet of the normal high water mark of the lake. The shoreline is measured by following the shoreline of the lake, including all the shoreline irregularities, on the Commission's Land Use Guidance Map; and 4. Not meeting the criteria for Management Class 3 Lakes.

Such lakes are designated as MC4 on the Commission's Land Use Guidance Maps. All lakes included within the Wildlands Lake Assessment are listed in Chapter 10, Appendix C with their Management Class noted.

• 1. Management Class 5 Lake: Lake, also referred to as a "Heavily Developed Lake", which meets the following criteria: 1. As of November 17, 1988, having more than one development unit per 10 acres of lake surface area; or 2. As of November 17, 1988, having more than one development unit per 400 feet of shore frontage, taken as an average around the entire lake shore. The shoreline is measured by following the shoreline of the lake, including all the shoreline irregularities, on the Commission's Land Use Guidance Map.

Such lakes are designated as MC5 on the Land Use Guidance Maps. All lakes included within the Wildlands Lake Assessment are listed in Chapter 10, Appendix C with their Management Class noted.

• 1. Management Class 6 Lake: Lake, also referred to as a "Remote Pond", which meets the following criteria: 1. Having no existing road access by two-wheel drive motor vehicles during summer months within 1/2 mile of the normal high water mark of the water body; 2. Having existing buildings within 1/2 mile of the normal high water mark of the water body limited to no more than one non-commercial remote camp and its accessory structures; and 3. Supporting cold water game fisheries.

Such lakes are designated as MC6 on the Commission's Land Use Guidance Maps. All lakes included within the Wildlands Lake Assessment are listed in Chapter 10, Appendix C with their Management Class noted.

• 1. Management Class 7 Lake: All lakes which are not otherwise classified in one of the other six lake Management Classes. 2. Manufactured Home: A structure, transportable in one or more sections, which is built on a permanent chassis and is designed for use with or without a permanent foundation when connected to the required utilities. For purposes of regulating development in flood prone areas, the term manufactured home also includes park trailers, travel trailers, and other similar vehicles placed on a site for greater than 150 consecutive days. 3. Manufactured Home Park or Subdivision: A parcel (or contiguous parcels) of land divided into two or more manufactured home lots for rent or sale. 4. Maple Sugar Processing Operations: The facilities and related structures and equipment for use in the processing of raw maple sap resources into maple syrup but not including the trees, taps and collection lines associated with the harvesting and collection of the raw maple sap resources. Commercial maple sugar processing operations may include temporary accommodations for a reasonable number of employees but shall not include other types of accommodations, dwelling units, or residential use. 5. Maple Sugar Processing Subdivision: See Subdivision, Maple Sugar Processing. 6. Mean Lower Low Water Level: By a 1980 international convention, a standard for all nautical charts, as providing the lowest low water levels likely to be encountered in navigation. 7. Mean Sea Level: For purposes of regulating development in flood prone areas, the National Geodetic Vertical Datum of 1929, North American Vertical Datum of 1988, or other datum, to which base flood elevations shown on a Flood Insurance Rate Map are referenced. 8. Metallic Mineral Mining Activity: Activities, facilities, or processes necessary for the extraction or removal of metallic minerals or overburden or for the preparation, washing, cleaning, or other treatment of metallic minerals and includes the bulk sampling, advanced exploration, extraction or beneficiation of metallic minerals as well as waste storage and other stockpiles and reclamation activities, but does not include Level A or B exploration activities. 9. Mineral Deposit: Any deposit of peat, sand, gravel, rock, topsoil, limestone, slate, granite, coal, gems, metallic or non- metallic ores or other minerals. 10. Mineral Exploration Activities, Level A: Mineral exploration activities conducted for the purposes of determining the location, extent, and composition of mineral deposits, provided that such activities are limited to test boring, test drilling, hand sampling, the digging of test pits, trenching or outcrop stripping for the removal of overburden having a maximum surface opening of 100 square feet per test pit or trench, or other test sampling methods determined by the Commission which cause minimum disturbance to soil and vegetative cover. Access ways for Level A mineral exploration activities shall include only access ways the creation of which involves little or no recontouring of the land or ditching, and does not include the addition of gravel or other surfacing materials. Clearing of the vegetative cover shall be limited to the minimum necessary to allow for the movement of equipment and shall not exceed 1 acre of total disturbed area. 11. Mineral Exploration Activities, Level B: Mineral exploration activities which exceed those defined as Level A mineral exploration activities having a maximum surface opening of 300 square feet per test pit or trench. Level B mineral exploration activities shall not include bulk sampling of mineral deposits. Access ways for Level B mineral exploration activities shall include only access ways the creation of which involves little or no recontouring of the land or ditching, and does not include the addition of gravel or other surfacing materials. Clearing of the vegetative cover shall be limited to the minimum necessary to allow for the movement of equipment. 12. Mineral Extraction: Any extraction of a mineral deposit, other than peat extraction, metallic mineral mining activities, or Level A or B exploration activities. 13. Mineral Extraction for Road Purposes: Mineral extraction where at least 75 percent by volume of the minerals extracted over any three year period are used for the purposes of construction or maintenance of land management or other roads. 14. Mineral Processing Equipment: Equipment used to process minerals following extraction including, but not limited to, rock crushers and batch plants. The term does not include equipment used to remove, sort or transport minerals, such as front end loaders, screens or trucks. 15. Mineral Soil: Soil material in which inorganic (mineral) constituents predominate. 16. Minor Campground: “A camping location containing tents, registered tent trailers, registered pickup campers, registered recreational vehicles, registered trailers or similar devices used for camping. “Minor campground” does not include a camping location that has access to a pressurized water system or permanent structures other than outhouses, fireplaces, picnic tables, picnic tables with shelters or lean-tos. A minor campground may be designed to contain a maximum of 4 camping sites for transient occupancy by 12 or fewer people per site, or numbers of sites and occupancy rates consistent with a landowner’s recreational policy filed with the commission. The commission may require a permit if it determines that the recreational policy is inconsistent with the commission’s comprehensive land use plan.” 12 M.R.S. § 682. The term “tents” includes but is not limited to tents with ground level platforms not to exceed 150 square feet in area. The shelters for picnic tables shall not exceed 120 square feet in area. Outhouses shall not exceed 36 square feet in area. For the purpose of the application of the Commission’s rules, the statutory provision that a “minor campground may be designed to contain a maximum of 4 camping sites for transient occupancy by 12 or fewer people per site” means there may be not more than 4 camping parties occupying a minor campground, that an individual party may not exceed a total of 12 people, and that each camping site shall be designed for a single party of not more than 12 people. A group of people sharing an association or relationship, apart from staying in the same camping site, traveling together, or sharing meals and camping equipment shall be considered a camping party unless the assemblage of the group is intended to avoid regulation of the camping facilities as a campground. 17. Minor Change: An action to modify a permit previously issued by the Commission where the revision is a result of: 1. updating current ownership or indicating a new permit holder; 2. correcting clerical errors; 3. clarifying the Commission’s decision, which clarification is consistent with the intent of the Commission’s decision and does not materially change any findings of fact or conclusions of law; 4. correcting the dimensions of structures, approving minor variations to the dimensions of structures previously approved, or approving expansions or changes affecting less than 10 percent of a structure or project; or 5. renewing a permit and extending the deadline for a substantial start or for substantial completion by up to two years. 18. Mitigation: Actions taken to off-set potential adverse environmental impact. Such actions include the following: 1. Avoiding an impact altogether by not taking a certain action or parts of an action; 2. Minimizing an impact by limiting the magnitude or duration of an activity, or by controlling the timing of an activity; 3. Rectifying an impact by repairing, rehabilitating, or restoring the affected environment; 4. Reducing or eliminating an impact over time through preservation and maintenance operations during the life of the project; and 5. Compensating for an impact by replacing affected resources or environments. 19. Moderate-density Subdivision: See Subdivision Density. 20. Mooring: A structure for securing a vessel or aircraft that consists of a line and buoy that is fixed to the bottom of a water body, or attached to a weight that rests on the bottom of a water body. 21. Moratorium: “A temporary land use regulation or ordinance approved by the commission or a municipal legislative body which prevents development or subdivision by withholding authorization or approval necessary for development.” 12 M.R.S. § 682. 22. Motorized Recreational Gold Prospecting: “Motorized recreational gold prospecting” means the operation of small-scale, motorized equipment for the removal, separation, refinement, and redeposition of sediments and other substrates occurring below the normal high water mark of a stream, for the noncommercial, recreational discovery and collecting of gold specimens. “Motorized recreational gold prospecting” includes, but is not limited to, the operation of a motorized suction dredge, sluice, pump, rocker box, or winch, individually or together. 23. Multi-Family Dwelling: A building containing three or more dwelling units.

N

• 1. National Geodetic Vertical Datum (NGVD): The national vertical datum, whose standard was established in 1929, which is used by the NFIP. NGVD was based upon mean sea level in 1929 and also has been called “1929 Mean Sea Level”. 2. Natural Resource Extraction: The commercial development or removal of natural resources including, but not limited to, mineral deposits and water, but excluding Level A and Level B mineral exploration activities, metallic mineral mining, wind energy development, and solar energy development. Natural resource extraction also does not include timber harvesting, mineral processing equipment, or portable mineral processing equipment. 3. Natural Resource Processing Facility: A facility or operation, and associated site improvements or buildings, that processes forest products to reduce bulk or otherwise enable efficient transportation for sale or further processing. Natural resource processing facilities may include temporary or permanent structures, or mobile processing equipment, and may include transient accommodations for a reasonable number of employees, but shall not include other types of accommodations, dwelling units, or residential use. Natural resource processing facilities do not include forest management activities, permanent worker housing, or further processing beyond what is necessary to do close to the source of the raw materials. 4. Net Developable Land: The area of a parcel, as determined by the Commission, that is suitable for development. The area must be calculated by subtracting the following from the total acreage of the parcel: 1. Portions of the parcel subject to rights-of-way and easements for vehicular traffic; and 2. Unbuildable land. Unbuildable land includes, but is not limited to, land that has a low or very low soil potential rating, or that contains sensitive areas such as slopes exceeding 20 percent, non-tidal water bodies, or wetlands. Regarding soil suitability, the Commission may determine land is buildable if the plan for development satisfies the provisions of Chapter 10, Section 10.25(G)(2) for low or very low soil potential ratings. 5. Net Developable Shorefront Area: Land, as determined by the Commission, that is within 250 feet from the shoreline and is suitable for development. The area must be calculated by subtracting the following from the total acreage of the shorefront area: 1. Portions of the shorefront that do not meet the minimum shoreline setback requirements of Chapter 10, Section 10.26(D); 2. Portions of the shorefront area that have a low or very low soil potential rating; and 3. Portions of the shorefront area that contain or are part of a land area that contains at least 40,000 contiguous square feet of which 20 percent or more is comprised of sensitive areas including, but not limited to, slopes exceeding 20 percent, non-tidal water bodies or wetlands.

Regarding soil suitability, the Commission may determine the shorefront area is developable if the plan for the development satisfies the provisions of Chapter 10, Section 10.25(G)(2) for low or very low soil potential ratings.

• 1. Nonconforming Lot: A preexisting lot which, upon the effective date of adoption or amendment of these rules, does not meet the area, frontage or other dimensional requirements for a legally existing or proposed use. 2. Nonconforming Structure: "A structure, lawfully existing at the time of adoption of district regulations or subsequent amendment made thereto, that does not conform to the district regulations." 12 M.R.S. § 682 More specifically, a nonconforming structure is legally existing, but does not meet one of the following dimensional requirements: setback, lot coverage, or height requirements. 3. Nonconforming Use: "A use of air, land, water or natural resources or a parcel of land, lawfully existing at the time of adoption of district regulations or subsequent amendments made thereto, that does not conform to the district regulations." 12 M.R.S. § 682. More specifically, a nonconforming use is a legally existing use of buildings, structures, premises, lands, or parts thereof which would not be allowed to be established under current regulations in the subdistrict in which it is situated. 4. Non-Tidal Water Bodies: All water bodies or portions thereof, which are not subject to ebb and flow as the result of tidal action, including bodies of standing water and flowing waters. 5. Normal High Water Mark of Coastal Wetlands: That line on the shore of coastal wetlands reached by the shoreward limit of the highest astronomical tide for the current National Tidal Datum Epoch as published by the National Oceanic and Atmospheric Administration (NOAA). This is often referred to as the upland edge of the coastal wetland. 6. Normal High Water Mark of Non-Tidal Water Bodies: That line on the shores and banks of non-tidal water bodies that is apparent from visible markings, changes in the character of soils due to prolonged action of the water or from changes in vegetation and that distinguishes between predominantly aquatic and predominantly terrestrial land. In places where the shore or bank is of such character that the normal high water mark cannot be easily determined (as in the case of rock slides, ledges, rapidly eroding or slumping banks) the normal high water mark shall be estimated from places where it can be determined by the above method. 7. Normal Maintenance and Repair: Unless otherwise provided, work necessary to maintain an improvement, structure, or docking structure in its original or previously improved state or condition, as long as there is no expansion of a nonconforming structure and less than 50 percent of a structure is replaced. This includes general upkeep, such as painting, fixing portions of the structure that are in disrepair, or the replacement of sill logs, roofing materials, siding, or windows. In-kind and in-place replacement of decking or exterior stairs is considered to be normal maintenance and repair. Normal maintenance and repair shall not include reconstruction, or change in design, change in structure, change in use, change in location, a change in size or capacity, or any land use activity that is a shoreline alteration. Activities involving a permanent docking structure constitute normal maintenance and repair only when less than 50 percent of those portions of the permanent docking structure that are above the level of the water during normal high water are maintained or repaired. 8. North American Vertical Datum (NAVD): The national datum, established in 1988, which is the new vertical datum used by the NFIP for all new FIRMs.

O

• 1. 100-year Flood: See Base Flood. 2. Outpost Cabin: A building used primarily by the guests of a commercial sporting camp on a transient basis primarily in pursuit of primitive recreation or snowmobiling in an isolated setting and which is located more than one half mile from a commercial sporting camp as measured in a straight line from the nearest structure providing guest services. Outpost cabins are not a part of commercial sporting camp facilities and are not served by an on-site attendant while guests are present. Guests of outpost cabins may use the services of the commercial sporting camp whether or not the commercial sporting camp is permitted for expanded access (see Chapter 10, Section 10.27(Q)(1)).

P

• 1. Parking Area: A place, whether or not paved, designed primarily for parking motor vehicles. “Parking area” includes parking lots, parking spaces, parking lanes, and circulation aisles and corridors. 2. Peatland: Freshwater wetlands, typically called bogs or fens, consisting of organic soils at least 16 inches deep, predominantly vegetated by ericaceous shrubs (heath family), sedges, and sphagnum moss and usually having a saturated water regime. 3. Permanent Foundation: A supporting substructure that either extends below the frost line or is designed to permanently withstand freeze-thaw conditions. Permanent foundations include full foundations, basements, slabs and frost walls. For the purposes of this definition "sono tubes" or posts installed with augers are not considered permanent foundations. 4. Permanent Trail: A trail that is land-based, owned in-fee, and managed and maintained by one or more organizations or public entities for the purpose of allowing public access. The location of a permanent trail may vary slightly, but generally remains in the same physical location within a designated corridor. A trail that is established by lease, license, or informal agreement with a landowner who is not maintaining the trail is not a permanent trail. 5. Permits: Any approval, license, certification, or other authorization issued by the Commission, including amendments thereto. 6. Persistence: The overall ability of a wetland to be self-sustaining, continue to exist, and serve intended functions over an indefinite period of time, although its vegetation, soils, hydrologic characteristics and precise boundaries may change. 7. Person: "An individual, firm, association, organization, partnership, trust, company, corporation, state agency or other legal entity." 12 M.R.S. § 682. 8. Personal Watercraft: "Any motorized watercraft that is 14 feet or less in hull length as manufactured, has as its primary source of propulsion an inboard motor powering a jet pump and is capable of carrying one or more persons in a sitting, standing or kneeling position. 'Personal watercraft' includes, but is not limited to, a jet ski, wet bike, surf jet and miniature speedboat. 'Personal watercraft' also includes motorized watercraft whose operation is controlled by a water skier. ‘Personal watercraft’ does not include a motorized watercraft that does not have a horsepower rating greater than 15 horsepower and does not generate an unreasonable amount of noise." 12 M.R.S. § 13001(23). 9. Pesticide: A chemical agent or substance employed to kill or suppress pests (such as insects, weeds, fungi, rodents, nematodes or other organisms) or intended for use as a plant regulator, defoliant or desiccant. 10. Piped Water: Water supplied to a building by means other than hand pump or hand carry. 11. Planned subdistrict: “A delineated area for which a specific land use plan and standards have been agreed to by the owner of the land within the delineated area and approved by the commission.” 12 M.R.S. § 682. 12. Plat: A map or site plan of a subdivision showing the location and boundaries of individual parcels of land divided into lots and customarily drawn to a scale. 13. Portable Mineral Processing Equipment: Mineral processing equipment that is not fixed to a location on the ground but rather is designed to be readily moved from one mineral extraction operation to another. 14. Practicable: Available and feasible considering cost, existing technology and logistics based on the overall purpose of the project. 15. Primary Location: Area identified within the primary location according to Chapter 10, Section 10.08-A(C). 16. Primitive Recreation: Those types of recreational activities associated with non-motorized travel, including fishing, hiking, hunting, wildlife study and photography, wild crop harvesting, trapping, horseback riding, tent and shelter camping, canoe portaging, cross country skiing, and snowshoeing. 17. Primitive Septic System: A septic system that uses an alternative toilet, such as a pit privy, compost, chemical, recirculating, incinerating, and vacuum types and a minimal disposal field designed to treat gray waste water that originates from a non-pressurized water supply. 18. Principal Building: A building which provides shelter for the primary use of a parcel. On a single parcel, all buildings related to forest or agricultural management activities, including dwellings of the owner or lessee and employees, are considered one principal building. 19. Principal Use: A use other than one which is wholly incidental or accessory to another use on the same premises. 20. Private Trailered Ramp, Hand-Carry Launch, or Dock: A trailered ramp, hand-carry launch, or dock that is privately owned and operated, and not open to all members of the public. 21. Property Line: Any boundary between parcels of land owned or leased by different persons or groups of persons. 22. Protected Natural Resource: Coastal sand dune systems, coastal wetlands, significant wildlife habitat, high mountain areas, freshwater wetlands, community public water system primary protection areas, bodies of standing water, and flowing water. 23. Public Drinking Water Source: Any groundwater well or any surface water source that directly or indirectly serves a water distribution system that has at least 15 service connections or regularly services an average of at least 25 individuals daily at least 60 days of the year. 38 M.R.S. §490-A. 24. Public Road or Roadway: Any roadway which is owned, leased, or otherwise operated by a governmental body or public entity. 25. Public Trailered Ramp, Hand-Carry Launch, or Dock: A trailered ramp, hand-carry launch, or dock, including associated facilities, that is owned, leased, or operated by a public entity and made available with or without a fee. Such entities include owners of federally licensed hydropower projects within the resource affected by the hydropower project for use by all members of the public.

R

• 1. Real Estate: “Land and structures attached to it.” 12 M.R.S. § 682. 2. Reclamation: The rehabilitation of the area of land affected by mineral extraction, including but not limited to, the stabilization of slopes and the creation of safety benches, the planting of vegetation including grasses, crops, shrubs, and/or trees, and the enhancement of wildlife and aquatic habitat and aquatic resources. 3. Reconstruction: Unless otherwise provided, the addition of a permanent foundation or the rebuilding of a structure after more than 50 percent by area of its structural components, including walls, roof, or foundation, has been destroyed, damaged, demolished or removed. Leaving one or two walls or the floor of a structure in place, while rebuilding the remaining structure, is considered reconstruction, not normal maintenance and repair or renovation. 4. Recreation Activity, Features, or Services: Recreation activity, features, and/or services do not include modes of transportation to and from the site (e.g., airplane, snowmobile, ATV, or car), but do include any on-site track or trail that does not extend off-site (e.g., motocross track, mud runs, airplane rides). Measures taken to reduce noise and odor, including but not limited to, soundproofing, buffering, hours of operation, or emissions control devices may be considered when evaluating noise and odor levels. Examples of on-site recreation activities, features, and/or services grouped by noise and odor impacts: 1. Low noise/odor – climbing wall, horseshoes, open field activities, tennis, swimming, small range for sighting of firearms, archery, guiding, vehicle shuttle or transportation services, rental of non-motorized equipment, and mini golf; 2. Some noise/odor – facilities for organized team sports (e.g., baseball), paintball, rafting base, rental of motorized equipment, and airplane rides for overnight guests; and 3. Routine noise/odor – shooting range, atv/snowmobile/motocross racing, amusement park, public airplane rides. 5. Recreation Day Use Facility: Site improvements, a building, part of a building, or a group of buildings, not part of a recreational lodging facility, where recreational activities are offered to the public. 6. Recreation Supply Facility: A facility or operation that provides equipment rental, guide services, or pre-prepared food to the recreating public at or near the location of the recreational activity. Recreation supply facilities may be located in a permanent or temporary structure, or in a parked vehicle or trailer, and excludes restaurants, general stores, repair shops, and other more intensive uses. 7. Recreational Lodging Facilities: Site improvements, a building or group of buildings, or any part thereof, used, maintained, advertised or held out to the public as a place where sleeping accommodations are furnished to the public for commercial purposes. Recreational lodging facilities primarily cater to recreational users who engage in recreation activities that are primarily natural resource-based. The term includes, but is not limited to, commercial sporting camps, youth or group camps, back-country huts, rental cabins, outpost cabins, campgrounds, lodges, hotels, motels, inns, or any combination of these types of uses that exhibit characteristics of a unified approach, method or effect such as unified ownership, management or supervision, or common financing. To be included in a recreational lodging facility, rental units must be served by an on-site attendant while guests are present. Related development that is located more than one half mile, measured in a straight line, from the nearest structure providing guest services, such as dining, gathering places, retail, shower house, dumping station, check-in office, and equipment rental shall be considered a separate facility, unless the owner chooses to consider them as one facility. Caretaker or attendant housing will not be used to establish the one half mile distance unless no other guest services are provided. If no guest services are provided then all development on the regulatory parcel shall be considered part of the same facility and may be part of a facility on an adjoining parcel. The term is further distinguished as follows

Level A Facilities have minimal impacts on existing resources within the development site and surrounding areas. Level A recreational lodging facilities are specifically designated by Chapter 10, Section 10.27(Q)(1).

Level B Facilities have low impacts on existing resources within the development site and surrounding areas. Level B facilities are specifically designated by Chapter 10, Section 10.27(Q)(1).

Level C Facilities have moderate impacts on existing resources within the development site and surrounding areas. The standards for these facilities are designed to allow development while conserving the natural resource and recreation values of the development site and surrounding areas. Level C facilities are specifically designated by Chapter 10, Section 10.27(Q)(1). A Level C facility characterized by any of the factors in Chapter 10, Section 10.27(Q)(1), Table B is referred to as a “Level C – Expanded Access” facility.

Level D Facilities have moderate to high impacts on existing resources within the development site and surrounding areas. Level D facilities may provide limited on-site goods and/or services to meet the needs of guests, though these are not of a type, scale or design intended to meet the goods and services needs of the public at large that is not an overnight guest. The standards for these facilities are designed to allow larger-scale development while conserving the natural resource and recreation values of the development site and surrounding areas. Level D facilities are specifically designated by Chapter 10, Section 10.27(Q)(1). A Level D facility characterized by any of the factors in Chapter 10, Section 10.27(Q)(1), Table B is referred to as a “Level D – Expanded Access” facility. A Level D facility may be located in a geographic allowance area as provided in Chapter 10, Section 10.27(Q)(3).

Level E Facilities have the potential to have significant local and regional impacts. Level E facilities may include a range of lodging options at larger scales and typically include a broad range of recreational services and/or amenities that make the facility not only a recreation destination but also may meet some of the goods and services needs of the greater region. The standards for these facilities are designed to allow large scale development while conserving the natural resource and recreation values of the development site and surrounding areas. Level E facilities are specifically designated by Section 10.27(Q)(1).

• 1. Recreational Vehicle: A vehicle which is: 1. built on a single chassis; 2. designed to be self-propelled or permanently towable by a motor vehicle; 3. designed to provide temporary living quarters for recreational, camping, travel, or seasonal use, but not for use as a permanent dwelling; 4. without structural additions to or removal of wheels from the vehicles; and 5. 400 square feet or less when measured at the largest horizontal projection, not including slideouts, when located in a flood prone area. 2. Recreation-based Subdivision: See Subdivision, Recreation-based Subdivision. 3. Registry: The Registry of Deeds for the county within which a parcel is located. 4. Remote Camp: A dwelling unit consisting of not more than 750 square feet of gross floor area, that is not served by any public utilities, except radio communications. 5. Remote Rental Cabin: A building used only as a commercial lodging facility on a transient basis by persons primarily in pursuit of primitive recreation or snowmobiling in an isolated and remote setting. A remote rental cabin cannot be larger than 750 square feet in gross floor area; cannot be served by any public utilities providing electricity, water, sewer, or telephone services; cannot have pressurized water; and cannot have a permanent foundation. Placement of these buildings does not create a lot for subsequent lease or sale.

See Chapter 10, Section 10.25(Q) “Subdivision and Lot Creation” to determine how such buildings are counted for purposes of subdivision.

• 1. Renovation: Restoring or remodeling a structure. Renovation includes interior modifications, and the installation of new windows, floors, heating systems, or other features, as long as there is no expansion of a nonconforming structure and less than 50 percent of the building’s structural components are replaced. The introduction of plumbing to a structure may constitute a change in use that requires a permit. 2. Rental Unit: A structure or any part thereof that is intended for use or is used for human habitation, consisting of a room or group of rooms designed and equipped for use primarily as living quarters for a single party, and which is rented or leased on a regular or recurring basis. This term includes short-term rentals and recreational lodging facilities but does not include outpost cabins or remote rental cabins. 3. Residential: Pertaining to a dwelling unit. 4. Residual: Solid wastes generated from municipal, commercial or industrial facilities that is suitable for agronomic utilization. These materials may include: food, fiber, vegetable and fish processing wastes; dredge materials; sludges; dewatered septage; and ash from wood or sludge fired boilers.” DEP Rules, Chapter 400, § 1. 5. Ridgeline: A line formed by the meeting of steeply sloping surfaces of land that drop away from each other. Ridgeline includes existing vegetation growing on the sloping surfaces. 6. Road Projects, Level A: Reconstruction within existing rights-of-way of public or private roads other than land management roads, and of railroads, excepting bridge replacements. Examples of such activities include, without limitation, culvert replacements, resurfacing, ditching, and bridge repair. When there is no existing layout of right-of-way, the right-of-way should be assumed to extend 33 feet on either side of the existing centerline. 7. Road Projects, Level B: Minor relocations, and reconstructions, involving limited work outside of the existing right-of-way of public roads or private roads other than land management roads and of railroads; bridge reconstruction and minor relocations (does not include water crossings) whether within or outside of existing right-of-way of such roads; "Minor relocations" as used herein may not exceed 300 feet in horizontal displacement of centerline. "Reconstruction" as used herein may involve widening of existing rights-of-way not to exceed 50 feet on either side. 8. Road Projects, Level C: Construction of new roads, and relocations or reconstruction of existing roads, other than that involved in level A or level B road projects; such roads shall include both public and private roadways excluding land management roads. 9. Roadway: A public or private road including any land management road. 10. Rural Business: A building, group of buildings, or site, or any part thereof, used, maintained, or advertised as a commercial, institutional, or light industrial business. Rural business facilities may be operated as a for-profit, non-profit, or public entity. Rural business facilities are either 1) compatible with, and complementary to, natural resource-based land uses such as agriculture, commercial fishing, forestry, small-scale natural resource processing and manufacturing, and outdoor recreation, or 2) of a scale and intensity appropriate to rural areas that are lightly developed but proximate to services and transportation infrastructure. The term is further distinguished as follows:

Category 1: Natural resource based businesses that are small scale processing, storage, sale, and distribution of wood, fish and seafood, and agricultural product; or are related to or in support of agriculture, commercial fishing, forestry, natural resource extraction, or commercial outdoor recreation. Examples include but are not limited to sawmills, value added food production, equipment maintenance and repair facilities, guide services, recreational equipment rental and storage, and motorized and non- motorized recreational centers. Category 1 businesses are specifically designated by Chapter 10, Section 10.27(R)(1)(a).

Category 2: Moderate-scale business facilities for retail businesses, restaurants, food preparation businesses, professional offices, and similar types of businesses. Examples include, but are not limited to, restaurants, art studios, nursing homes, and boarding kennels. Category 2 businesses are specifically designated by Chapter 10, Section 10.27(R)(1)(b).

Category 3: Larger scale commercial facilities for manufacturing and assembly plants, contracting and construction businesses, automobile service and repair, and similar types of businesses. The term includes, but is not limited to, sawmills, value added food production, equipment maintenance and repair facilities, recreational equipment rental and storage, motorized and non-motorized recreational centers, assembly plants, and automobile service and repair. Category 3 may also include Category 1 and Category 2 type businesses, as long as it meets all other criteria for Category 3. Category 3 businesses are specifically designated by Chapter 10, Section 10.27(R)(1)(c).

S

• 1. Secondary Location: Area identified within the secondary location according to Chapter 10, Section 10.08-A(C). 2. Septage: “Waste, refuse, effluent, sludge, and any other materials from septic tanks, cesspools, or any other similar facilities.” 38 M.R.S. § 1303-C “Septage is defined as a mixture of liquids and solids derived from residential sanitary wastewater, and includes sanitary wastewater from tanks connected to commercial and institutional establishments which have inputs similar to residential wastewater. Septage also includes wastes derived from portable toilets.” DEP Rules, Chapter 420, § 1 3. Service Drop: Any utility line extension which does not cross or run beneath any portion of a body of standing water provided that: 1. in the case of electric service 1. the placement of wires and/or the installation of utility poles is located entirely upon the premises of the customer requesting service or upon a roadway right-of-way; and 2. the total length of the extension within any five-year period is less than 2,000 feet. 2. in the case of telephone service 1. the extension, regardless of length, will be made by the installation of telephone wires to existing utility poles; or 2. the total length of the extension within any five-year period, requiring the installation of new utility poles or placed underground, is less than 2,000 feet. 4. Setback: “The minimum horizontal distance from the lot line, shoreline, or road to the nearest part of the structure.” 12 M.R.S. § 682. 5. Shoreland Alteration: Any land use activity, which alters the shoreland area, either at, adjacent to or below the normal high water mark, of any surface water body, including but not limited to: 1. dredging or removing materials from below the normal high water; 2. construction of or repairing any permanent structure below the normal high water mark.

For purposes of this subsection, permanent structure shall mean any structure, including but not limited to, causeways, wharfs, piers, docks, concrete or similar slabs, bridges, hand-carry launches, trailered ramps, water-access ways, piles, marinas, retaining walls, riprap, buried or submarine utility cables and lines, permanent docking structures, mooring structures, and water lines. A structure which is not fixed in or over the water or below the normal high water mark for more than 7 months in a calendar year shall not be a permanent structure;

• • 1. depositing any dredged spoil or fill below the high water mark; and 2. depositing dredged spoil or fill, or bulldozing, scraping or grading, on land adjacent to a water body in such a manner that the material or soil may fall or be washed into the water body, except that filling and grading or water crossings which do not require a permit as specified in Chapter 10, Section 10.27, or other provisions of these rules shall not constitute shoreland alteration.

Activities which cause additional intrusion of an existing structure into or over the water body, are also considered shoreland alterations.

• 1. Shoreland with Heavy Development: Shoreland of lakes that have more than one development unit per 10 acres of lake surface area, or more than one development unit per 400 feet of shore frontage, taken as an average around the entire lake shore. For this purpose, development units within 700 feet of the normal high-water mark of the lake are counted in determining whether the density status has been met. 2. Shoreline: “The normal high water mark of tidal waters, a coastal or inland wetland, a standing body of water, or flowing water.” 12 M.R.S. § 682. 3. Short-term Rental: A legally existing dwelling unit, portion of a dwelling unit, or single residential campsite that is rented for a fee or other compensation to a person or group for a period of tenancy of less than 30 consecutive calendar days. The term excludes land use activities regulated as other use listings, such as, but not limited to recreational lodging facilities, home-based businesses, and commercial uses. 4. Sign: Any structure, display, logo, device or representation which is designed or used to advertise or call attention to anything, person, business, activity, or place and is visible from any roadway or other right-of-way. It does not include the flag, pennant, or insignia of any nation, state or town. Visible must mean capable of being seen without visual aid by a person of normal visual acuity. The size of a ground, roof, or projecting sign must be the area of the smallest square, rectangle, triangle, circle, or combination thereof, which encompasses the facing of a sign, including copy, insignia, background and borders; the structural supports of a sign are to be excluded in determining the sign area; where a supporting structure bears more than one sign, all such signs on the structure must be considered as one sign, and so measured; only one face of a double-faced sign is included as the area of such sign. The area of a wall or window sign must be the area of a regular geometric form enclosing a single display surface or display device containing elements organized, related, and composed to form a unit; where matter is displayed in a random manner without organized relationship of elements, or where there is reasonable doubt about the relationship of elements, each element must be considered to be a single sign.

Sign, On Premises: A sign which is located upon the same lot or parcel of real property where the business, facility, or point of interest being advertised is located.

Sign, Projecting: A sign which is attached to a wall of a building and extends more than 15 inches from any part of the wall.

Sign, Roof: A sign which is attached flat to, painted on, or pinned away from the roof of a building.

Sign, Residential Directional: An off-premise sign erected and maintained by an individual or family to indicate the location of the residence.

Sign, Wall: A sign which is attached flat to, painted on or pinned away from the wall of a building and does not project more than 15 inches from such wall.

• 1. Sign or Device, Traffic Control: A route marker, guide sign, warning sign, sign directing traffic to or from a bridge, ferry or airport, or sign regulating traffic, which is not used for commercial or advertising purposes. 2. Significant Wildlife Habitat: The following areas to the extent that they have been identified by the Department of Inland Fisheries and Wildlife: habitat, as determined by the Department of Inland Fisheries and Wildlife, for species appearing on the official state or federal lists of endangered or threatened animal species; deer wintering areas and travel corridors as determined by the Department of Inland Fisheries and Wildlife; high and moderate value water fowl and wading bird habitats, including nesting and feeding areas as determined by the Department of Inland Fisheries and Wildlife; critical spawning and nursery areas for Atlantic sea run salmon as determined by the Atlantic Sea Run Salmon Commission; shorebird nesting, feeding and staging areas and seabird nesting islands as determined by the Department of Inland Fisheries and Wildlife; and significant vernal pools as defined and identified in specific locations by the Department of Inland Fisheries and Wildlife. 3. Slope, Average: The change in elevation between two points divided by the horizontal distance between them, often expressed as a percentage. 4. Slope, Sustained: A change in elevation where the referenced percent grade or slope is substantially maintained or exceeded throughout the measured area. 5. Sludge: Non-hazardous solid, semi-solid or liquid waste generated from a municipal, commercial or industrial wastewater treatment plant, water supply treatment plant, or wet process air pollution control facility or any other such waste having similar characteristics and effect. The term does not include industrial discharges that are point sources subject to permits under Section 402 of the Federal Water Pollution Control Act.” DEP Rules, Chapter 400, § 1 6. Soil Survey: An inventory of soil resources that is based on a systematic field examination, description and classification of soils in an area. Using the results of the field investigation, a soil map and a written report are prepared which describe and classify the soil resources and interpret the soil suitability for various uses based upon soil limitations. 7. Solar Array: A collection of interconnected solar panels. 8. Solar Energy Generation Facility: 1. Accessory Solar Energy Generation Facility. A freestanding or standalone solar energy system that is intended to convert solar energy into electric or thermal energy for on-site use or off-site use, and which has a project area of 750 square feet or less; excluding rooftop installations over existing footprint. 2. Small-scale Solar Energy Generation Facility. A solar energy system that is intended to convert solar energy into electric or thermal energy for on-site use or off-site use, and which has a project area of more than 750 square feet but not more than one acre. 3. Mid-scale Solar Energy Generation Facility. A solar energy system that generates electricity for on-site use or off-site use, and which has a project area of more than one acre but not more than ten acres. 4. Large-scale Solar Energy Generation Facility. A solar energy system that generates electricity primarily or solely for commercial sale for off-site use, and has a project area of more than ten acres.

Project area includes, but is not limited to, all land area containing new access roads, internal roads, the solar energy generation system ( e.g., panels, inverter, battery storage), electrical and communications infrastructure including generator lead lines, structures, parking, security fencing, and vegetation clearing, including shade management areas.

• 1. Solar Energy System: A device or structural design feature, or group of devices or structural design features, a substantial purpose of which is to provide for the collection, storage, and distribution of solar energy for space heating or cooling, electricity generation, or water heating. 2. Solar Panel: A photovoltaic or solar heating device capable of collecting and converting solar energy into electric or thermal energy. 3. Sole Source Aquifer: An aquifer that supplies at least 50 percent of the drinking water for its service area and for which there is no reasonably available alternative drinking water sources should the aquifer become contaminated. 4. Solid waste facility: Any land area, structure, location, equipment or combination of these, used for the handling of solid waste. These include but are not limited to solid waste transfer stations, landfills, incinerators, processing facilities, composting facilities, storage facilities and agronomic utilization sites, or as may be defined by the Maine Department of Environmental Protection’s rules, Chapter 400. 5. Spaghetti-lot: “A parcel of land with a lot depth to shore-frontage ratio greater than 5 to 1. Shore frontage means land abutting a river, stream, brook, coastal wetland, or great pond as these features are defined in 38 M.R.S. § 480-B.” 12 M.R.S. § 682(13) 6. Special Flood Hazard Area: See Flood, Area of Special Flood Hazard. 7. Sporting camp: See Commercial Sporting Camp. 8. Structure: “[A]nything constructed or erected with a fixed location on or in the ground, or attached to something having a fixed location on or in the ground, including, but not limited to, buildings, mobile homes, retaining walls, billboards, signs, piers and floats. It does not include a wharf, fish weir or trap that may be licensed under Title 38, chapter 9.” 12 M.R.S. § 682. For purposes of regulating development in flood prone areas, a structure is a walled and roofed building or a gas or liquid storage tank that is principally above ground. For the purposes of regulating solar energy generation facilities, a solar panel or solar array is also a structure. 9. Subdivision: “Except as provided in 12 M.R.S. § 682-B, “subdivision” means a division of an existing parcel of land into 3 or more parcels or lots within any five-year period, whether this division is accomplished by platting of the land for immediate or future sale, by sale of land or by leasing. The term “subdivision” also includes the division, placement or construction of a structure or structures on a tract or parcel of land resulting in 3 or more dwelling units within a five-year period.” 12 M.R.S. § 682. Refer to Chapter 10, Section 10.25(Q), “Subdivision and Lot Creation” for additional criteria on types of lots that are included or are exempt from this definition. 10. Subdivision Density, Low-density: A subdivision with a minimum lot size of 11 acres, maximum lot size of 25 acres, and an average lot size of greater than 15 acres. 11. Subdivision Density, Moderate-density: A subdivision with a minimum lot size of one acre, maximum lot size of 10 acres, and an average lot size between two and four acres. 12. Subdivision Density, High-density: A subdivision with a minimum lot size of 20,000 square feet, maximum lot size of three acres, and an average lot size of less than two acres. 13. Subdivision, General Management: A general management subdivision is a residential subdivision that meets the criteria of Chapter 10, Section 10.25(Q). 14. Subdivision, Maple Sugar Processing: A maple sugar processing subdivision is a subdivision that meets the criteria of Chapter 10, Section 10.25(Q). 15. Subdivision, Recreation-based: A recreation-based subdivision is a moderate-density, residential subdivision designed to be integrated with a recreational resource, such as a lake or publicly accessible point of access to a permanent trail. Recreation-based subdivisions have sufficient connection to the recreational resource to facilitate its use, and include provisions for safe enforceable right of access to the resource by lot owners or lessees in the subdivision. 16. Substantial Completion: 1. Except as provided in sub-part b of this definition: 1. Approved construction has been completed to the point where normal functioning, use, or occupancy of the development can occur without concern for general health, safety, and welfare of the occupant or the general public; and 2. Completion of and full compliance with all permit conditions of approval, except those requiring ongoing compliance beyond the expiration date of the permit such as annual water quality monitoring or maintenance of structural stormwater and erosion control best management practices. 2. For approved subdivisions, the Commission has issued a certificate of compliance pursuant to Chapter 10, Section 10.25(Q)(5)(c)(1) or (2). In cases where only a portion of the development has been completed and a partial certificate of compliance has been issued for the project as of the expiration date of the permit, substantial completion shall only apply to that portion of the project for which the partial certificate of compliance was issued. Approval for the remainder of the project authorized by the permit shall lapse unless a permit renewal has been issued pursuant to Chapter 4 of the Commission’s rules. 17. Substantial Damage: For purposes of regulating development in flood prone areas, damage of any origin sustained by a structure whereby the cost of restoring the structure to its before-damage condition would equal or exceed 50 percent of the market value of the structure before the damage occurred. In the case of damage to a bridge, containment wall, wharf, pier, dock, or breakwater, the substantial damage determination is based on the present-day replacement cost in lieu of market value. 18. Substantial Improvement: For purposes of regulating development in flood prone areas, any reconstruction, rehabilitation, renovation, expansion, normal maintenance and repair or other improvement of a structure, the cost of which equals or exceeds 50 percent of the market value of the structure before the start of construction of the improvement. This term also includes structures which have incurred substantial damage, regardless of the actual repair work performed. The term does not, however, include either: 1. Any project for improvement of a structure exclusively to correct existing violations of state or local health, sanitary, or safety code specifications which have been identified by any state or local enforcement official and which are the minimum necessary to assure safe living conditions; or 2. Any alteration of an historic structure, provided that the alteration will not preclude the structure’s continued designation as an historic structure, and a variance is obtained from the Commission in conformance with Chapter 10, Section 10.10.

In the case of a bridge, containment wall, wharf, pier, dock, or breakwater, the substantial improvement determination is based on the present-day replacement cost in lieu of market value.

• 1. Substantial Start: Except as provided in sub-parts a and b, the first placement of a permanent structure on a site, such as the pouring of a slab or footings, the installation of piles, the construction of columns, or any work beyond the stage of excavation. Permanent structures include buildings that are custom-built, manufactured, or modular; and mobile homes.

A substantial start is not made by land preparation, such as clearing, grading, or filling; the installation of roads, driveways, or walkways; excavation for a basement, footings, piers, or foundations or the erection of temporary forms; or installation on the property of accessory structures, except where accessory structures are the only structures permitted on the parcel.

• • 1. Special Flood Hazard Areas. For substantial improvements in special flood hazard areas, substantial start means the first alteration of any wall, ceiling, floor, or other structural part of a building, whether or not that alteration affects the external dimensions of the building. 2. Subdivisions. For approved subdivisions: 1. The signed subdivision plat has been recorded at the Registry of Deeds for the county in which the project is located; and 2. The completion of a portion of the permitted improvements, which represents at least 10 percent of the costs of the permitted improvements within the subdivision, in accordance with the approved plan. For the purposes of sub-part b(2) of this definition, permitted improvements may include internal subdivision roads, docks and boat ramps or launches, structural stormwater and erosion control practices, utilities, and other similar infrastructure. A substantial start for subdivisions is not made by land preparation, such as clearing, grading, or filling. 1. Subsurface Wastewater Disposal System: 1. “Any system for the disposal of waste or wastewater on or beneath the surface of the earth including, but not limited to: 1. Septic tanks; 2. Drainage fields; 3. Grandfathered cesspools; 4. Holding tanks; or 5. Any other fixture, mechanism or apparatus used for these purposes; but 2. Does not include: 1. Any discharge system licensed under 38 M.R.S. § 414; 2. Any surface wastewater disposal system; or 3. Any municipal or quasi-municipal sewer or wastewater treatment system.” 30-A M.R.S. § 4201(5). 2. Subsurface Wastewater Disposal Rules: The Maine Subsurface Wastewater Disposal Rules, 144A CMR 241, administered by the Maine Department of Health and Human Services. 3. Sustained Grade: See Slope, Sustained.

T

• 1. Timber Harvesting: The cutting and removal of trees from their growing site, and the attendant operation of mobile or portable chipping mills and of cutting and skidding machinery, including the creation and use of skid trails, skid roads, and winter haul roads, but not the construction or creation of land management roads. 2. Trail: A route or path other than a roadway, and related facilities, developed and used primarily for recreational activities including but not limited to hiking, backpacking, cross-country skiing and snowmobiling, which passes through or occurs in a natural environment. Related facilities may include but not be limited to subsidiary paths, springs, viewpoints, and unusual or exemplary natural features in the immediate proximity of the trail which are commonly used or enjoyed by the users of the trail. 3. Trailered Ramp: A shoreland alteration, including, but not limited to, an associated parking area, access road, and other similar related facilities to allow a trailer to be backed below the normal high water level of a water body in order to load or unload an item, including but not limited to a boat, personal watercraft, float plane, or dock float. 4. Trailhead: An outdoor space: 1. Designated by an entity responsible for administering or maintaining a permanent trail and that is developed to serve as an access point to the trail; 2. That is publicly accessible, and which provides adequate parking in an off-road lot for the use of the trail; and 3. That is not just the junction of two or more trails or the undeveloped junction of a trail and a road. 5. Transient Occupancy: “Occupancy that does not exceed 150 days in a calendar year” 12 M.R.S. § 682(18). With respect to campsites and residential campsites occupancy is measured by the length of time the tent, trailer, camper, recreational vehicle, or similar device used for camping is located on the site. There is no limit to the number of days a person may store an unoccupied camping device at a lawfully existing camping location within a lawfully existing campground.

U

• 1. Unorganized and Deorganized Areas: “Unorganized and deorganized areas includes: 1. all unorganized and deorganized townships; 2. plantations that have not received commission approval under section 685-A, subsection 4-A to implement their own land use controls; 3. municipalities that have organized since 1971 but have not received commission approval under section 685-A, subsection 4-A to implement their own land use controls; and 4. all other areas of the State that are not part of an organized municipality except Indian reservations.

For the purposes of permitting a community-based offshore wind energy project and structures associated with resource analysis activities necessary for such an intended project, the area of submerged land to be occupied for such a project and resource analysis structures is considered to be in the unorganized or deorganized areas.” 12 M.R.S. § 682.

• 1. Use Notification: A written or digital submission provided to the Commission pursuant to Chapter 4 Section 4.05(C) or other applicable requirements, providing notification or self-verification that a specific use, activity, or development will be conducted in compliance with applicable standards. 2. Utility Facilities: Structures normally associated with public utilities, including without limitation: radar, radio, television, or other communication facilities; electric power transmission or distribution lines, towers and related equipment; telephone cables or lines, poles and related equipment; municipal sewage lines; gas, oil, water, slurry or other similar pipelines or above ground storage tanks.

W

• 1. Water Bar: An obstruction placed across a roadway which effectively diverts surface water from and off the road. 2. Water-Access Ways: A structure consisting of a pair of parallel rails, tracks, or beams extending from above the normal high water mark to below the normal high water mark of a water body, and designed as the conveying surface from which an item, including but not limited to a boat, personal watercraft, float plane, or dock float, with or without a support cradle, is launched into or removed from the water body. 3. Water Crossing: A roadway or trail crossing of any body of standing or flowing water (including in its frozen state) by means of a bridge, culvert, or other means. 4. Water-Dependent Structures for Recreational Lodging Facilities: Accessory structures, located within a recreational lodging facility, that require direct access or proximity to a water body or flowing water, and that are solely utilized to store or display water-related recreation or safety equipment. See Chapter 10, Section 10.27(Q)(7). 5. Water-Dependent Uses: Those uses that require for their primary purpose, location on submerged lands or that require direct access to, or location in, coastal waters and which cannot be located away from these waters. These uses include commercial and recreational fishing and boating facilities, finfish and shellfish processing, fish storage and retail and wholesale marketing facilities, waterfront dock and port facilities, boat building facilities, navigation aides, basins and channels, uses dependent upon water-borne transportation that cannot reasonably be located or operated at an inland site and uses which primarily provide general public access to coastal waters. 6. Water Impoundment: Any water body created, or elevation of which is raised, by man through the construction of a dam. 7. Wetland, Coastal: Tidal and subtidal lands, including any of the following: all areas below any identifiable debris line left by tidal action; all areas with vegetation present that is tolerant of salt water and occurs primarily in a salt water or estuarine habitat; and any swamp, marsh, bog, beach, flat or other contiguous lowland which is subject to tidal action during the highest astronomical tide for the current National Tidal Datum Epoch as published by the National Oceanic and Atmospheric Administration (NOAA). Coastal wetlands may include portions of coastal sand dunes. 8. Wetland Creation: An activity bringing a wetland into existence at a site where it did not formerly occur. 9. Wetland Enhancement: An activity increasing the net value of a wetland. 10. Wetland, Floodplain: Wetlands that are inundated with flood water during a 100-year event based on site specific information including, but not limited to, flooding history, landform, and presence of hydric, alluvial soils, and that under normal circumstances support a prevalence of wetland vegetation typically adapted for life in saturated soils. 11. Wetland, Forested: Freshwater wetlands dominated by woody vegetation that is 20 feet tall or taller. 12. Wetland, Freshwater: Freshwater swamps, marshes, bogs and similar areas that are inundated or saturated by surface or groundwater at a frequency and for a duration sufficient to support, and which under normal circumstances do support, a prevalence of wetland vegetation typically adapted for life in saturated soils and not below the normal high water mark of a body of standing water, coastal wetland, or flowing water. 13. Wetland Functions: The roles wetlands serve which are of value to society or the environment including, but not limited to, flood water storage, flood water conveyance, ground water recharge and discharge, erosion control, wave attenuation, water quality protection, scenic and aesthetic use, food chain support, fisheries, wetland plant habitat, aquatic habitat and wildlife habitat. 14. Wetland Mitigation Banking: Wetland restoration, enhancement, preservation or creation for the purpose of providing compensation credits in advance of future authorized impacts to similar resources. 15. Wetland, Non-Forested: Freshwater wetlands not dominated by woody vegetation that is 20 feet tall or taller. 16. Wetland Preservation: The maintenance of a wetland area or associated upland areas that contribute to the wetland’s functions so that it remains in a natural or undeveloped condition. Preservation measures include, but are not limited to, conservation easements and land trust acquisitions. 17. Wetland Restoration: An activity returning a wetland from a disturbed or altered condition with lesser acreage or fewer functions to a previous condition with greater acreage or function. 18. Wetland Value: The importance of a wetland with respect to the individual or collective functions it provides. 19. Wildlife: All vertebrate species, except fish. 20. Wildlife Management District (WMD): A geographic area identified by the Maine Department of Inland Fisheries and Wildlife to facilitate the management of wildlife. For purposes of these regulations, the boundaries of Wildlife Management Districts are as shown in Chapter 10, Section 10.23(D), Figure 10.23,D-1 and the area of a Wildlife Management District is based on land and water acreage within the LUPC service area. 21. Wildlife Management Practices: Activities engaged in for the exclusive purpose of management of wildlife populations by manipulation of their environment for the benefit of one or more species. Such practices may include, but not be limited to, harvesting or removal of vegetation, controlled burning, planting, controlled hunting and trapping, relocation of wildlife, predator and disease control, and installation of artificial nesting sites, provided that such activities are specifically controlled and designed for the purpose of managing such species. This term does not include impounding water. 22. Winter Haul Road: A route or travel way that is utilized for forest management activities conducted exclusively during frozen ground conditions. Winter haul roads must have the following characteristics: 1. they are constructed with no significant soil disturbance; 2. they do not make use of fill or surfacing material; and 3. they are substantially revegetated by the end of the following growing season and are maintained in a vegetated condition.

Z

• 1. Zones A, AE, VE: See Flood, Zones A, AE, VE.

History

• STATUTORY AUTHORITY: 12 M.R.S. §§ 684 and 685-C(5)
• EFFECTIVE DATE: November 1, 2021 – filing 2021-177
• AMENDED: December 30, 2022 – filing 2022-249
• AMENDED: August 11, 2023 – filing 2023-117
• AMENDED: January 29, 2025 – filing 2025-015
• AMENDED: May 13, 2025 – filing 2025-110
• APAO ACCESSIBILITY CHECK: January 8, 2026
• AMENDED: January 12, 2026 – filings 2026-006, -007, -008

Chapter 4 Rules of Practice

Code Me. R. 01-672 Ch. 4 of the Commission's Rules {#sec-01-672-ch.-4 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 4}

Effective Date: May 16, 1975

Amended Effective: August 11, 2023

SCOPE OF RULES

Except as otherwise provided herein or by other applicable provisions of law, these rules are applicable to procedures before the Commission including:

A. the adoption and amendment of rules;

B. the processing of applications for permits, including special exception permits, required pursuant to 12 M.R.S. § 685-B and as provided by 12 M.R.S. §685-A(10);

C. the processing of variances as provided by 12 M.R.S. §685-A(10);

D. the processing of petitions for changes in land use standards pursuant to 12 M.R.S. §685-A(7-A), or petitions for any rulemaking pursuant to 5 M.R.S. §8055;

E. the processing of petitions for adoption or amendment of district boundaries pursuant to 12 M.R.S. §685-A(7-A) (hereinafter referred to as applications for zone change);

F. the processing of requests for certifications pursuant to 12 M.R.S. §§ 685-B(1-A)(B-1) and (B-2);

G. the delegation of certain authority to the Commission’s staff; and

H. other procedural requirements.

Unless indicated otherwise, reference to an “application” includes: an application for a permit, an application for zone change, a request for a variance, a request for an advisory ruling, or a request for certification. For the purposes of this chapter, unless indicated otherwise, reference to an “applicant” includes: a person submitting an application for a permit or zone change, or submitting a request for a variance, an advisory ruling, or certification. As to a request for certification, the “applicant” may include the person proposing development, not the Maine Department of Environmental Protection (the MDEP).

Administrative Provisions

Computation of Time

1. Days Included

In computing any period of time prescribed by statute or regulations of the Commission, the day of the act or event, after which the designated period of time begins to run, is not to be included. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or legal holiday in which event the period must run until the end of the next day which is not a Saturday, Sunday or legal holiday. A holiday is any day designated as such by the President or Congress of the United States, or the Legislature of the State of Maine.

2. Receipt of Materials

In regard to any time period or deadline for the filing of any submission or for service of any paper, that filing or service is complete:

Upon the Commission, when the Commission receives the submission or paper by mail, in-hand delivery, email, or any other means specified by the Commission; or

Upon a party, when the submission or paper is sent to the party or the party’s attorney, by mail, in-hand delivery, by email, or by delivery to the recipient’s office.

3. Acceptance of Materials After Expiration of the Time Period.

The Commission, for good cause shown, may at any time in its discretion:

With or without motion or notice, order the period extended if request thereof is made before the expiration of the period originally prescribed or as extended by a previous order; or

Upon request made after the expiration of the prescribed period, allow the act to be done where the failure to act was the result of excusable neglect.

Public Access to Information

1. Availability of Documents

In accordance with 1 M.R.S. § 408-A, the Commission must make available to any person for inspection by appointment during normal business hours, at no charge, and for copying at a reasonable fee, in paper or digital form, public records, including the following:

All agency plans, rules, policies, and guidance documents;

All current land use guidance maps;

All applications, including all related or resulting:

(1) forms and information submitted in support of any proposal;

(2) correspondence to or from the Commission, including any attachments thereto concerning any application or request;

(3) written comments received from governmental agencies or any other person;

(4) staff recommendations on applications; and

(5) all permits, certifications, advisory rulings, and other orders issued by the Commission;

The approved minutes of Commission meetings, including the vote of each Commission member on each motion or vote;

Transcripts of all hearings, where available; and recordings of all hearings where transcripts have not been produced;

All other documents and information required to be available by the Constitution of Maine or statute.

2. Confidentiality

The Commission will keep confidential any record, plan, report or other information only in consultation with the Attorney General's Office regarding an enforcement proceeding or other litigation, or other matters where such confidentiality may be provided by law.

Right to Inspection and Entry

1. The right to inspection and entry of lands and structures is provided in 12 M.R.S. §685-C(8).

2. As applicable and appropriate, the Commission will make reasonable efforts to contact applicants, permittees, or property owners before conducting a site evaluation to verify information presented to it, including access to any lands and structures subject to the Commission’s statutes and rules.

Signatures

In accordance with 10 M.R.S., Chapter 1053, the Commission will accept, may require, and may utilize digital signatures regarding digital submissions and other official matters. However, the Commission may, at the Commission’s discretion, require that a digital signature be supplemented shortly thereafter by a manual signature.

Meetings

Pre-Application and Pre-Submission Meetings with Commission Staff

• 1. Purpose

Pre-application meetings. Pre-application meetings between the prospective applicant and Commission staff are an early opportunity to discuss a proposed project or activity. The purpose of these meetings is to identify the applicable statutory and regulatory requirements, expected processing times, applicable fees, potential concerns, and the types of information and documentation necessary for the Commission to properly assess the project. Commission staff will determine what information the applicant must provide before or during a pre-application meeting.

Pre-submission meetings. A pre-submission meeting between the prospective applicant and Commission staff occurs after the prospective applicant has finished preparing an application for submission yet before formally filing the application. The meeting is an opportunity to review at a high level the assembled application to ensure that key information has been included prior to filing the application with the Commission.

Pre-application meetings and pre-submission meetings are held for the benefit of the prospective applicant and do not bind staff or the Commission to matters discussed therein, nor limit the ability of staff or the Commission to raise further issues during the application review process.

• 1. Meetings Required

A pre-application meeting with Commission staff is required before filing with the Commission an application to create or modify the following:

• • 1. Grid-scale Wind and Solar Energy Development; 2. Planned Development (D-PD) or Planned Recreation Facility (D-PR) Subdistricts, and their related development plans. See Chapter 10 for additional provisions; 3. Resource Plan Protection (P-RP) Subdistricts and their related resource plan or concept plan; and 4. As may otherwise be required by any Commission rule adopted after January 1, 2021.

A pre-submission meeting with Commission staff is required before filing with the Commission an application for a zone change proposing to create or modify a Planned Development (D-PD), Planned Recreation Facility (D-PR), or Resource Plan Protection (P-RP) Subdistrict, and their related development or concept plan.

• 1. Scheduling and Attendance

Notwithstanding the provisions of Section 4.03(A)(2) and (3), a pre-application meeting or a pre-submission meeting may be requested by a prospective applicant or by Commission staff. In either case, Commission staff will make a date available for the meeting in a timely manner.

Pre-application and pre-submission meetings must be attended by the prospective applicant or an authorized agent. The prospective applicant may choose to have any consultants or contractors also attend.

• 1. Waiver.

Commission staff may waive the requirement for a pre-application or pre-submission meeting if Commission staff are satisfied that such a meeting would be of limited value in achieving the purposes noted in Section 4.03(A)(1).

Pre-Application Meetings with the Commission

1. Pre-application meetings with the Commission offer a prospective applicant an opportunity to describe the intended project, and for the Commission to ask questions and identify potential concerns that the prospective applicant may choose to address in an application. Pre-application meetings are open to the public; however, they are non-binding in that the Commission makes no formal findings-of-fact or conclusions and no vote or action is taken.

2. Any prospective applicant may request a pre-application meeting with the Commission by filing a request with Commission staff. The Director and the Commission Chair may, at their discretion, schedule a mutually convenient date and time for such a meeting.

3. Pre-application meetings with the Commission are held for the benefit of the prospective applicant and do not bind the Commission to matters discussed therein, nor limit the ability of staff or the Commission to raise further issues during the application review process.

Site Visit with the Commission

1. The Commission may conduct site visits for informational purposes, or as part of, or in preparation for, its review of a proposal.

2. A site visit in which a quorum of Commissioners is present is a public proceeding, for which public notice is required, and is accessible to the public to greatest extent practicable considering public safety and the remoteness of the Commission’s service area.

Commission Meetings

1. Notice and conduct of Commission meetings must be in accordance with 1 M.R.S. subchapter 13, 12 M.R.S. §684, and any other applicable provision of the Constitution of Maine or statute.

2. The Commission, at its discretion, may provide an opportunity for comments or questions from members of the public.

Notices

General Provisions

1. Consolidation of Notices.

Notice provided pursuant to Section 4.05 of this chapter may be included in a written statement providing notice of more than one such application, provided all applicable notice requirements are met.

2. Demonstration of Notice.

The Commission may require an applicant, as part of an application, to provide information regarding the specific notice provided, a list of recipients, and documentation of when and how the notice was provided.

3. Additional Notice.

a. After an application has been filed, if the Commission determines that the applicant submits significant new or additional information or substantially modifies its application at any time after the application has been deemed as complete for processing, the Commission may require the applicant to provide subsequent notice to abutters and interested persons, consistent with Section 4.04(B)(3) or (4) as applicable. The Commission may also require additional public notice at its discretion if a substantial period of time has elapsed since the original public notice.

b. Unless otherwise specified by statute or other applicable rules, the Commission or Commission staff may provide, or require an applicant to provide, additional notice related to an application in any manner the Commission or Commission staff deems appropriate. The Commission may require additional notice without limitation, to adjacent or potentially affected municipalities, counties, or service providers. Additional notice may be provided or required, without limitation, for the extension or reopening of a hearing record or comment period.

Notice Requirements

• 1. Applications Received

The Commission will generate a list of all applications received on a periodic basis indicating the name of the applicant and the location and nature of the proposed activity. This list will be made available to the public on the agency’s website or upon request.

• 1. Notice of Variance Requests

For all requests for variances from the Commission’s standards pursuant to 12 M.R.S. §685-A(10), the applicant must provide notice of the pending application by regular mail to all persons owning or leasing land within 1,000 feet of the proposed project as shown in records of Maine Revenue Services or the applicable plantation or municipality.

• 1. Notice of Filing

a. Applications for permit and applications for zone change:

(1) Applicability. Notice described by Sections 4.04(B)(3)(a)(2) and (3) is required in the following cases:

(a) development permit applications and major amendments;

(b) subdivision permit applications and major amendments;

(c) applications and major amendments to all other nonresidential permit types not otherwise listed in Section 4.04(B)(3)(a)(1)(a) and (b);

(d) applications to amend any permit which was previously appealed to the Commission;

(e) applications proposing amendment of a permit which permit was the subject of a hearing; and

(f) applications for zone changes, except those proposing to change a development subdistrict designation to a management or protection subdistrict designation, and applications addressing clerical corrections.

(2) Recipients. Within seven days prior to filing an application, the applicant must provide notice to:

(a) all persons owning or leasing land within 1,000 feet of the land which is the subject of the proposed change or activity;

(b) In any proceeding involving a proposed amendment of the most recent permit that was the subject of an earlier hearing, all persons granted intervenor status in the hearing for the most recent permit;

(c) If a permittee seeks to amend a term or condition of a most recent permit that was the subject of an appeal to the Commission, notice of the application for permit must be provided to the prior appellant(s);

(d) Persons who have made timely requests to be notified of a specific application or project; and

(e) The municipality or plantation where the project is proposed, or the county if the proposed project site is in an unorganized township.

(3) Method. Notice must be provided by regular postal mail, according to the names and addresses as shown on the records of Maine Revenue Services or plantation or town tax assessors, or by electronic mail with the agreement of the person receiving notice. The address for persons granted intervenor status in an earlier hearing may be according to the applicable means of contact established during the prior proceeding, or according to the best information currently available.

b. All requests for certification:

(1)Within 30 days prior to filing a request for certification either directly with the Commission or with the MDEP for the MDEP to provide to the Commission, a person requesting certification must give public notice of the intent to file such a request. If the request for certification is included as part of the MDEP permit application or filed with the Commission simultaneously with the filing of the MDEP permit application, the person requesting certification may give public notice as part of the notice required by the MDEP in accordance with the MDEP's rules, provided the notice includes the information required in Section 4.04(C) of these rules.

(2) If a person requesting certification elects not to give the notice required by this section as part of a MDEP required notice, or if the person files a request for certification prior to filing a companion permit application with the MDEP, the person requesting certification must give notice in accordance with Section 4.04(B)(3)(a).

• 1. Projects of Substantial Public Interest

a. The Director may deem certain applications or requests for certification to be of substantial public interest due to their nature, location, or size.

b. For applications designated as projects of substantial public interest, applicants must provide notice by certified mail with return receipt to the recipients listed in Section 4.04(B)(3)(a) and to legislators whose districts encompass the project.

c. Notice of projects deemed to be of substantial public interest must also be published twice in the legal notices section of a newspaper of general circulation in the area affected by the permit application as determined by the Commission. The date of the initial publication must be at least 25 days before the date of the filing of an application. The date of the second publication must be at least 7 days before the date of the filing of an application.

• 1. Hearings

Notice of all hearings in regard to applications and appeals thereof must be given as follows:

a. By regular postal mail, or electronic mail with the agreement of the person receiving notice, at least 30 days prior to the initial scheduled hearing, to:

• • 1. The applicant; 2. All persons owning or leasing land within 1,000 feet of the proposed project according to the records of the Maine Revenue Services or the applicable plantation or municipality; 3. The municipality or plantation where the project is proposed, or the county, if the proposed project site is in an unorganized township; 4. The legislators whose districts encompass the project; 5. Intervenors; 6. Persons who have made a timely request to be notified of a specific hearing or project; 7. Persons who have filed a written request to be notified of hearings; 8. Appropriate State and federal agencies, as determined by the Commission; and 9. In any proceeding involving a proposed amendment of a Commission decision which was the subject of an earlier hearing, all persons granted intervenor status at the earlier hearing in the most recent proceeding relevant to the decision.

b. By publication in the legal notices section of a newspaper of general circulation in the area affected by the application as determined by the Commission.

Notice of hearing on permit applications and requests for certification must be published in the newspaper twice. The date of the initial publication must be at least 30 days before the hearing. The date of the second publication must be at least 7 days and no more than 13 days before the date of the hearing.

• 1. Rulemaking

Notice of rulemaking, with or without a hearing, must be provided in accordance with 5 M.R.S. §§ 8053(1), (2), (3-A), and (5), as may be modified or supplemented by 12 M.R.S. §685-A(7-A)(B). Notwithstanding the prior statement, pursuant to 12 M.R.S. §685-A(7-A)(B), notice requirements for applications for zone change are addressed in Sections 4.04(B)(3) through (5).

Notice Contents

1. Pursuant to 5 M.R.S. §9052(4) and 12 M.R.S. §685-A(7-A)(B), notice required under Section 4.04, except rulemaking notices, must include the following information:

a. The name and address of the applicant;

b. The legal authority and jurisdiction pursuant to which the proceeding is being conducted;

c. A reference to the major substantive statutory and rule provisions involved;

d. In a short and plain statement, the nature and purpose of the proceeding;

e. The location and nature of the proposed development;

f. The location where further information, including a copy of the application, may be inspected;

g. The manner and time period within which evidence and argument may be submitted to the Commission for consideration;

h. The time and place of the hearing, or the manner in which a hearing concerning the application may be requested;

i. When a hearing has been scheduled, the manner and time within which petitions for intervention pursuant to Commission rule Chapter 5 may be filed.

j. Such other information as the Commission deems appropriate.

2. Rulemaking

a. Applications for zone change are a form of rulemaking; however, pursuant to 12 M.R.S. §685-A(7-A)(B), notice contents requirements for applications for zone change are addressed in Section 4.04(C)(1).

b. Notice of rulemaking must include all information required by 5 M.R.S. 8053(3) and 12 M.R.S. §685-A(7-A)(B).

Applications, Requests, and Rulemaking

General Provisions

1. Applications for Permit and Zoning Change, and Requests for Advisory Ruling and Certification

Applications must be submitted using the Commission’s forms, which may be changed from time to time by the Commission. The Commission’s application forms will require information deemed necessary or desirable by the Commission to evaluate the application. The Commission may coordinate with the MDEP to incorporate any Commission certification forms into the MDEP’s permit application materials.

A person requesting Commission approval must use the appropriate form, but need not complete any portions of a form determined by the Commission to be unnecessary for a specific application.

2. Signatory Requirement

In addition to the provisions of Section 4.02(D), signatures must comply with the following:

a. Each application or rulemaking petition submitted to the Commission must include the signature of the applicant or the person petitioning for rulemaking, or the duly authorized officer or agent.

b. If a form is signed by an agent, it must include evidence of the agency signed by the applicant or person requesting certification.

3. Title, Right or Interest

Unless otherwise provided by law, the Commission will not accept an application as complete for processing unless and until the applicant demonstrates, to the Commission’s satisfaction, legally enforceable title, right or interest in all the property proposed for development or use sufficient to evaluate the proposed development and use of the property, including closure and post closure care, where required. Unless submitted to the Commission before filing a MDEP permit application, determinations of title, right or interest for certification requests made pursuant to 12 M.R.S. §§ 685-B(1-A)(B-1) and 685-B(1-A)(B-2) are made by the MDEP and are not subject to Section 4.05(A)(3). Methods of demonstrating title, right or interest include, but are not limited to, supplying the following:

a. when the applicant owns the property, a copy of the recorded deed(s) to the property. However, in the instance of large ownerships where, at the discretion of the Commission, providing deeds would be impractical or cumbersome, other methods, such as certificates of ownership, may be acceptable;

b. when the applicant has a lease or easement on the property, a copy of the lease or easement. The lease or easement must be of sufficient duration and terms, as determined by the Commission, to permit the proposed zone change, development, and use of the property;

c. when the applicant has an option to buy, lease, or obtain an easement on the property, a copy of the option agreement and a copy of the property owner’s recorded deed. The option agreement must be sufficient, as determined by the Commission, to give rights to title, or a leasehold or easement of sufficient duration and terms to permit the proposed development and use of the property;

d. when the applicant asserts eminent domain power over the property, evidence describing the ability and intent to use the eminent domain power to acquire sufficient title, right or interest as determined by the Commission;

e. when the applicant has either a valid preliminary permit or a notification of acceptance for filing of an application for a license from the Federal Energy Regulatory Commission for the site which is proposed for development or use, a copy of that permit or notification;

f. when a project involving the State’s submerged lands requires a submerged lands conveyance from the Bureau of Parks and Lands (the BPL), title, right or interest in the property will be presumed for purposes of the Commission’s processing and acting upon the application or notification, subject to the following requirements:

• • 1. When an application is submitted to the Commission involving a use of the State’s submerged lands, the Commission will forward a copy to the BPL. The Commission will not act upon an application until it has received written notice from the BPL that a submerged lands lease or easement is not required, or that BPL has initiated formal review of the project. If the Commission receives written notice from the BPL that a grant of a submerged lands lease or easement is legally required but has been or is likely to be withheld, the Commission will cease processing the application. As a condition of the Commission’s licensing of any project involving the State’s submerged lands which requires a submerged lands lease or easement from the BPL, construction may not commence unless the BPL has granted the required interest in the State's submerged lands and provided a copy of the submerged lands conveyance to the Commission. 2. For projects involving the salvage of sunken logs from the State’s submerged lands and which require a sunken log salvage authorization from the BPL, the Commission will not begin processing the application until the BPL has issued an authorization allowing the salvage in the location proposed, unless the BPL provides written notification that it has initiated review of the proposed salvage operation and approval in the proposed location is likely. The Commission may not issue a permit for sunken log salvage before the BPL issues a sunken log authorization for the project. A permit issued by the Commission must be effective for a period not to exceed the term of the authorization as granted or reissued by the BPL. 3. When the Department of Inland Fisheries and Wildlife or the BPL files a notification to establish a public boat launch, title, right or interest to submerged lands will be presumed for purposes of accepting the notification if the applicant demonstrates it has filed an application for a submerged lands conveyance with the BPL. Work on the project may not begin until a lease or easement is obtained or the BPL has provided notification that one is not necessary.

g. if the property is subject to a conservation easement or other restrictions of record, a copy of the conservation easement or other restrictions.

The Commission, in its discretion, may require additional information from the applicant to determine whether the applicant has sufficient title, right, or interest.

The Commission may return an application after it has already been accepted for processing if the Commission determines that the applicant did not have, or no longer has, sufficient title, right, or interest.

4. Fee.

The application must be accompanied by the proper fee as set in Chapter 1 of the Commission’s rules or by the Director pursuant to 12 M.R.S. §685-F.

5. Acceptance of Applications.

a. Application Accepted as Complete for Processing. Upon receipt of an application, the Commission must determine whether to accept the application, as complete for processing based upon whether it:

is properly signed;

• • 1. is accompanied by the proper fee; 2. contains sufficient documentation of title, right, or interest; 3. contains documentation that notice of the filing, when required, has been provided. Documentation of notice must include a list of the recipients and applicable addresses or email addresses, the means and date of notice, and a copy of the notice provided; and 4. answers all applicable questions in the application and contains all applicable exhibits.

b. Notwithstanding the provisions of Section 4.05(A)(5)(a), requests for an advisory ruling must be accompanied by the proper fee and contain sufficient information for the Commission to begin its review.

c. The Commission will notify the applicant of any deficiency in the application within a reasonable time after it becomes aware of the deficiency.

d. Additional Information May Be Required. In addition to the threshold information required by Section 4.05(A)(5)(a), the Commission may request additional information the Commission deems necessary to evaluate applicable review criteria. Even if an application is accepted as complete for processing, the Commission may deny the application if the applicant fails to provide additional information the Commission deems necessary for it to make findings required by applicable review criteria including, but not limited to, criteria set forth in 12 M.R.S. §685-A(8-A) and §685-B(4), Criteria for Approval, and any other applicable review criteria.

e. Modification of Application. If the Commission determines in its sole discretion that an applicant (i) materially modifies its application such that the modified application requires new or supplemental review by the Commission, or (ii) submits additional information necessary to enable the Commission to make findings under applicable review criteria, and the additional information requires new or supplemental review by the Commission, the Commission may:

• • 1. If there is insufficient time to make the findings and conclusions required by law within the deadlines set forth in 12 M.R.S. §685-A(7-A) and §§ 685-B(2-B) and (3-A), deny the application; or 2. With the agreement of the applicant, accept the additional information as a modified application, in which case the processing times set forth in 12 M.R.S. §685-A(7-A) and §§ 685-B(2-B) and (3-A) restart on the date that the Commission determines there is sufficient new information for the Commission to begin its review of the modified application.

6. Burden of Proof

Unless otherwise provided herein or by other applicable provisions of law, the burden of proof is as follows:

a. The burden of proof is upon the applicant. An applicant must demonstrate by substantial evidence that the criteria of all applicable statutes and regulations have been met.

7. Comment Periods Without a Hearing

a. The Commission must allow a period of not less than five days after providing notice of receipt of a permit application, during which time any interested persons may submit written comments to the Commission.

b. Certifications. The Commission must allow a period of not less than 20 days after accepting a request for certification as complete for processing, during which time any interested persons may submit written comments to the Commission. This 20-day period does not apply to the Commission’s determination of whether to certify that the proposed development is an allowed use within the subdistrict or subdistricts for which it is proposed.

c. Exceptions. Exceptions to the time periods stated in Section 4.05(A)(7)(a) and (b) may be made in cases involving emergencies, as determined by the Commission, and requests for certifications determined by the Commission to be routine in nature.

8. Withdrawal of Applications

Unless otherwise provided herein or by other applicable provisions of law, applications may be withdrawn by the applicant at any time prior to:

a. a staff issued decision; or

b. the commencement of Commission deliberation on the application at a Commission meeting.

9. Procedures and Time Limits for Issuing a Decision on Applications

a. Except where otherwise directed by the Commission or determined by the Director, the staff will prepare a recommendation for each application brought to the Commission for a decision.

b. Commission staff will send notice of the decision on an application to the applicant, intervenors, and to any other person having requested such information.

c. Notice of a decision of the staff will indicate that any person aggrieved by the staff decision has the right to a review of the staff decision by the Commission. The request for such review must be made in writing within 30 days of the date of the staff decision.

d. In the event the Commission approves an application for a subdivision, a copy of an approved plat or plan and a copy of the conditions required by the Commission to be included in any deed or other document conveying an interest in the subdivision must be filed by the applicant, or the Commission at the applicant’s expense, with the appropriate registry of deeds for each county in which the real estate lies.

Advisory Rulings

1. General Provisions

Commission staff may, at its discretion, issue an advisory ruling with respect to the applicability to any person, property, or actual state of facts of any statute, standard, or rule administered by the Commission.

a. The request for an advisory ruling must be consistent with Section 4.05(A)(1).The advisory ruling must be made in writing upon review and approval of the Director or their designee, and must state that it is limited in application to the facts stated in the request.

2. Rulings Not Binding

In accordance with 5 M.R.S. §9001(3), advisory rulings are not binding on the Commission.

Use Notifications

Where a written notification to the Commission is required by Chapter 10 of the Commission’s rules or by other Commission approved plans, such notification must be submitted in advance of the date on which the activity, which is the subject of the notification, is commenced. Except as provided in Chapter 10, Section 10.27(L), or by other Commission approved plans, such notification must state the:

1. location of the proposed project by use of an official Commission Land Use Guidance Map of the area;

2. nature of the proposed project; and

3. time period of the proposed project.

Such notification must also state that the activity or project will be accomplished in conformance with the applicable minimum standards of Chapter 10, Sub-Chapter III and must be signed by a duly authorized person who will be responsible for the execution of the activity.

Permit Applications

1. Applicability. This section governs the procedures by which the Commission may consider permit applications submitted under 12 M.R.S.§685-B and Chapter 10 of the Commission’s rules.

2. Who May Apply. An applicant may designate an agent for the purposes of completing an application and representing the applicant’s interests before the Commission.

3. Who May Apply for a Subdivision Application in which Interests Have Been Sold without a Subdivision Permit

The following provisions apply to a permit application for a subdivision or similar development in which interests have been sold without a subdivision permit as required by 12 M.R.S. §685-B:

a. If the person who subdivided the land is still holding an interest in some or all of the land that was subdivided, that person must be the applicant or co-applicant .

b. If the Commission determines that the person who subdivided the land is unavailable or no longer holds an interest in the subdivision, all persons having an interest in any lot in the subdivision may apply for a subdivision permit provided that:

• • 1. All such persons coapply or are otherwise represented, or 2. The Commission determines that those lot owners not represented are not necessary to the proceeding. In determining the necessity of such representation, the Commission will consider:

(a) The extent to which a decision reached in the person's absence might be prejudicial to that person's interests in the subdivision or to the interests of the other parties to the proceeding;

(b) The extent to which such prejudice can be lessened or avoided by provisions in the decision; and

(c) Whether the other parties will have an adequate remedy if no decision is made by the Commission.

c. An applicant must provide the following to the Commission:

• • 1. A complete list of those persons having an interest in any lot in the subdivision; and 2. A written statement certifying that the applicant has provided all persons having an interest in any lot in the subdivision with notice of the pending application. The notice must state the nature of the application, the criteria pursuant to which the application will be reviewed, the procedure for review of the application, the possible effects of the application on persons having interests in lots in the subdivision, the opportunity for any such persons to participate in the proceedings before the Commission and any other information which the Director deems appropriate.

4. Who May Apply for Amendments to Existing Subdivision Permits

The following provisions apply to an application to amend a subdivision permit issued by the Commission pursuant to 12 M.R.S. §685-B:

a. The person who subdivided the land must file the application. If the Commission determines that this person is unavailable or no longer holds an interest in the subdivision, the lot owners’ association or, if no lot owners’ association has been formed, any individual lot owner must be considered a proper applicant before the Commission.

b. The applicant must provide to the Commission all information required by Section 4.05(D)(3)(c). In addition, if there is a lot owners’ association, the applicant must document how that the amendment is in compliance with all applicable bylaws.

5. Procedures and Time Limits for Issuing a Permit Decision

a. Application with a hearing. Within 60 days after closure of a hearing concerning a permit, the Commission must make written findings of fact and issue a decision either granting approval, subject to reasonable terms and conditions that the Commission determines appropriate to fulfill the requirements and intent of the Commission’s statute, the Comprehensive Land Use Plan, and the Commission’s rules, or denying approval of the application as proposed.

b. Application without a hearing. If the Commission determines to act upon a permit application without a hearing, the Commission, within 90 days after accepting the application as complete for processing, must make written findings of fact and issue a decision either granting approval, subject to reasonable terms and conditions that the Commission determines appropriate to fulfill the requirements and intent of the Commission’s statute, the Comprehensive Land Use Plan, and the Commission’s rules, or denying approval of the application as proposed.

c. Subdivision. The Commission must render its determination on an application for subdivision approval within 60 days after the Commission accepts the application as complete for processing and determines that the proposal is a permitted use within the affected district or subdistrict.

d. Expedited permitting area for wind energy development. The Commission must render its determination on a permit application for a wind energy development in an expedited permitting area within 185 days after the Commission accepts the application as complete for processing, except that the Commission must render such a decision within 270 days if it holds a hearing on the application. At the request of an applicant, the Commission may stop the processing time for a period of time agreeable to the Commission and the applicant. The expedited review period specified in this paragraph does not apply to the associated facilities, as defined in 35-A M.R.S. §3451(1), of the wind energy development if the Commission determines that an expedited review time is unreasonable due to the size, location, potential impacts, multiple agency jurisdiction or complexity of that portion of the development.

Applications for Zone Change

1. Applicability. This subsection governs the procedures by which the Commission may consider petitions to change the boundaries of existing subdistricts or establish new subdistricts (applications for “zone change”). If approved, the Commission will amend its land use maps to reflect the zone change.

2. Who May Apply. The Commission or its staff may initiate, and any state or federal agency, any county or municipal governing body, or the property owner or lessee may apply for a zone change. A lessee must provide, as part of the application for zone change, written permission from the property owner.

3. Application Content.

a. The district boundary that the applicant requests the Commission adopt or amend;

b. The existing and proposed district designations;

c. The basis for the change requested;

d. Compelling evidence that the requested change is in conformity with the applicable criteria for zone changes set forth in 12 M.R.S. §685-A(8-A); and

e. Evidence that the notice provisions of Section 4.04(B) have been completed.

4. Procedures and Time Limits for Issuing a Decision on an Application for a Zone Change.

a. Within 45 days after deeming an application for zone change complete for processing, the Commission must decide whether to hold a hearing, and either schedule a hearing or, if no hearing is held, set a final date by which comments on the petition may be submitted to the Commission;

b. The Commission must act on an application for zone change within 90 days after the final closure of the hearing, or, when the Commission does not hold a hearing, within 90 days of the close of the public comment period;

c. At any time before acting on an application for zone change, the Commission may elect to reopen the record and extend the time period for public comment to such date as it may designate;

d. District boundaries adopted by the Commission must be effective not less than 15 days after adoption, provided all applicable requirements for their adoption have been met and the Commission staff have filed the boundaries and maps with the appropriate registry of deeds for each county involved;

e. A notice of adoption of land use district boundaries must be filed by the Commission staff with the Secretary of State. This filing must state that current copies of maps showing district boundaries are on file in the Commission’s office and must state the method by which copies of the adopted map may be obtained; and

f. Commission staff must ensure public notice of adoption is provided by publication one time in a newspaper or newspapers of general circulation in the area affected.

Requests for Certification

1. Certification of Development

Pursuant to 12 M.R.S. §685-B(1-A)(B-1) and 38 M.R.S. §489-A-1, for development in the unorganized and deorganized areas reviewed by the MDEP and requiring a permit, the Department may not issue a permit until the Commission certifies to the Department that the proposed development is an allowed use within the subdistrict or subdistricts for which it is proposed and the proposed development meets any land use standard established by the Commission that is not considered in the MDEP’s review. Commission certification determinations will conform with the following:

a. The Commission will consider receipt, by the Commission, of a notice of intent to develop and map indicating the location of the proposed development, required by 12 M.R.S. §685-B(1-A)(B-1), as a request for certification. The person proposing development may provide the notice and map directly to the Commission or to the MDEP for the MDEP to provide to the Commission.

b. The Commission's decision on a request for certification will be issued:

• • 1. Solely to the MDEP for inclusion in the MDEP’s permitting decision if the Commission approves a request for certification. 2. Solely to the MDEP for inclusion in the MDEP’s permitting decision if the Commission denies a request for certification and the request is associated with a development proposal being reviewed by the MDEP as part of a pending permit application. 3. Both to the MDEP and to the person proposing development if the Commission denies a request for certification and the request is not associated with a development proposal being reviewed by the MDEP as part of a pending permit application.

c. A Commission decision to approve a request for certification may include reasonable terms and conditions that the Commission determines appropriate to fulfill the requirements and intent of the Commission’s statute, rules, and plans. The Commission retains, pursuant to 12 M.R.S. §685-B(1-A)(B-1), the authority to enforce the land use standards certified to the MDEP, including through the enforcement of terms and conditions that are a part of a certification determination.

d. The Commission may conduct its certification review and issue its decision as a single certification determination or in two parts. If provided in two parts, the first part will address whether the proposed development is an allowed use within the subdistrict or subdistricts for which it is proposed and the second part will address whether the proposed development meets the land use standards established by the Commission that are not considered in the Department’s review.

e. The Commission will evaluate the applicant's title, right or interest as follows:

• • 1. If a person requesting certification simultaneously applies to the MDEP for a permit for the same proposed development, the Commission will not evaluate whether the person has title, right or interest in the property proposed for development. In such instances, the Commission will rely on the MDEP’s title, right or interest determination. If at any point the MDEP determines the applicant does not possess sufficient title, right or interest, the Commission may stop reviewing the companion request for certification. Any time period contained in this Chapter for completing review of a request for certification will be tolled if the Commission stops its review pursuant to this paragraph. 2. If a person requesting certification seeks certification before filing a permit application with the MDEP, the Commission will proceed in accordance with one of the two options contained in this paragraph. The Commission may require the applicant to demonstrate, to the Commission’s satisfaction, legally enforceable title, right or interest in the property proposed for development or use sufficient to approve the request for certification. Any title, right, or interest determination by the Commission will be made in consultation with the MDEP. If the Commission determines that a person requesting certification lacks title, right or interest, the Commission will return the request to the person who made the request for certification. Alternatively, the Commission may elect to not independently evaluate title, right or interest and condition any certification determination on the MDEP finding in a future companion permit decision that the person possesses title, right or interest in the property proposed for development or use.

f. A Commission determination to approve or deny a request for certification is not final agency action when the request is associated with a development proposal being reviewed by the MDEP as part of a pending permit application and will be incorporated into the MDEP permitting decision. Pursuant to 5 M.R.S. §§ 11001 et seq ., a person aggrieved by a MDEP permit decision containing a certification determination may appeal the Department’s final agency action to state court in accordance with applicable state laws and court rules. As part of such an appeal, a person aggrieved may seek judicial review of any of the components of the MDEP’s final agency action, including the Commission’s certification determination that is incorporated into the MDEP’s permitting decision.

g. A Commission determination to approve or deny a request for certification is a final agency action subject to judicial review, when the request is not associated with a development proposal being reviewed by the MDEP as part of a pending permit application.

2. Procedures and Time Limits for Issuing a Certification

a. Within 60 days after closure of a hearing concerning a request for certification, the Commission must issue a written certification determination.

b. If the Commission acts upon a request for certification without a hearing, the Commission, within 90 days after accepting the request as complete for processing, must issue a written certification determination. Notwithstanding the provisions of Sections 4.05(F)(2)(a) and (b), the Commission must issue its determination on a request for certification for a subdivision within 60 days after the Commission accepts the request for certification as complete for processing.

d. Except where otherwise directed by the Commission or determined by the Director, the staff will prepare a recommendation for each request for certification brought to the Commission for a determination.

e. Notice of a certification determination of the staff must indicate that any person aggrieved by the staff determination has the right to a review of the staff determination by the Commission. The request for such review must be made in writing within 30 days of the date of the staff determination.

Rulemaking

1. Applicability

This section governs the adoption or amendment of the Commission’s rules, other than zone changes, which are governed by Section 4.05(E).

2. Who May Petition

a. The Commission may initiate the adoption or amendment of any rule.

b. Any person may petition the Commission in writing to request the adoption of a rule or amendment of any rule administered by the Commission. Such petition must specify the change requested. Within 60 days after receipt of a complete petition, the Commission must either:

• • 1. Deny the proposed adoption or amendment, indicating in writing the reasons for denial; or 2. Initiate rulemaking proceedings on the proposed adoption or amendment.

c. Whenever a petition to adopt or amend a rule is submitted by 150 or more registered voters of the State, the Commission must initiate rulemaking within 60 days after receipt of the petition. The petition must conform to the applicable provisions of 5 M.R.S., Chapter 375, the Maine Administrative Procedure Act, including with respect to the certification of names on the petition. Pursuant to 5 M.R.S. §8055, and Section 4.08(C)(1), rulemaking is considered to be initiated when the Commission directs staff to post the rulemaking to a comment process or a hearing, comment, and rebuttal process.

3. Petition Content

Petitions must be in writing and must state the change requested and the basis for the change requested.

4. Time Limits for Rule Adoption

a. Land Use District Standards:

(1) The Commission must act to adopt proposed land use district standards within 90 days after the final closure of the hearing, or where the Commission determines to proceed without a hearing, within 90 days of the final date by which data, views or arguments may be submitted to the Commission for consideration in adopting the standards.

(2) At any time prior to adoption of proposed land use standards, the Commission may elect to reopen the hearing record and extend the time period for public comment to such date as it may designate.

b. All Other Rules:

(1) Except as provided in Section 4.05(E)(4)(a) and (b), the Commission must act to adopt proposed rules within 120 days of the final date by which data, views or arguments may be submitted to the Commission for consideration in adopting the rule.

(2) The final date for comments may be extended if notice of doing so is published within 14 days after the most recently published comment deadline, in the Secretary of State’s consolidated notice publication.

5. Adoption Requirements

With respect to all rules adopted or amended by the Commission, the Commission must follow the adoption procedures in 5 M.R.S. Chapter 375; and as applicable, 12 M.R.S. §685-A(7-A).

6. Coordination with the Legislature

The Commission must:

a. At the time of giving notice of rulemaking or within 10 days following the adoption of an emergency rule, provide to the Legislature a rulemaking fact sheet providing information described in 5 M.R.S. §8053-A(1), and where applicable, 5 M.R.S. §8053-A(2);

b. If the Commission determines that a rule which it intends to adopt will be substantially different from the proposed rule, provide the Legislature, in accordance with Section 4.05(G)(6)(a), with a revised fact sheet as it relates to the substantially different rule pursuant to 5 M.R.S. §8053-A(1)(A);

c. Provide copies of its regulatory agenda to the Legislature at the time the agenda is issued pursuant to 5 M.R.S. §8060;

d. If the Commission proposes a rule not in its current regulatory agenda, file an amendment with the Legislature and Secretary of State at the time of rule proposal, pursuant to 5 M.R.S. §8064; and

e. When the Commission provides materials to the Legislature, follow the requirements of 5 M.R.S. §8053-A(3).

7. Emergency Rulemaking.

If the Commission finds that immediate adoption of a rule is necessary to avoid an immediate threat to the public health, safety or general welfare, it may modify these procedures, to the extent required, to enable adoption of a rule to mitigate or alleviate the threat found. Emergency rulemaking is subject to the requirements of 5 M.R.S. §8054.

8. Effective Date of Adopted Rules.

a. Rules adopted or amended by the Commission become effective in accordance with 5 M.R.S. §8052(6) for routine technical rulemaking; § 8054 for emergency rulemaking; and §8072(8) for major substantive rulemaking.

b. Land use district standards are effective not less than 5 days after filing with the Secretary of State, but must be submitted to the next regular or special session of the Legislature for approval or modification. If the Legislature fails to act, those standards continue in full force and effect. [12 M.R.S. §685-A(7-A)(B)(6)]

Hearings

When to Hold a Hearing

1. A person may prepare and submit evidence and argument to the Commission in support of a request to hold a hearing on any matter.

2. The Commission will consider all written requests for a hearing submitted in a timely manner.

a. Within 45 days after receipt of such request for a hearing, the Commission must either:

• • 1. Deny the request for a hearing and notify in writing the person requesting the hearing of the Commission’s decision; or 2. Grant the request for a hearing and initiate a hearing process in accordance with Commission rules, Chapter 4 and Chapter 5. The Commission must notify the persons requesting a hearing of the Commission’s decision.

3. Hearing is Required

The Commission must conduct a hearing:

a. When required by the Constitution of Maine or statute;

b. If five or more interested persons request in writing that the Commission hold a hearing regarding a rulemaking, including without limitation, an application for zone change;

c. If a rulemaking proposal includes a rule or provision that is a major substantive rule as defined by 5 M.R.S. §8071(2)(B); or

e. If otherwise required pursuant to the Commission’s rules.

4. The Commission must not amend or modify any permit unless it has afforded the permittee an opportunity for hearing, nor may it refuse to renew any permit unless it has afforded the permittee an opportunity for a hearing.

5. Hearing is Optional

Unless otherwise required by the Constitution of Maine, statute, or the Commission’s rules, hearings are at the discretion of the Commission in the following cases:

a. Hearings on a permit application or a request for certification; and

b. Applications for zone change in the case of changes proposed on motion of the staff which involve only clerical corrections.

In determining whether a hearing is advisable, the Commission considers i) the degree of public interest; ii) the likelihood of credible conflicting technical information regarding applicable regulatory criteria; iii) whether certain information material to the Commission’s review cannot be effectively presented as written comments on the pending application; or iv) any other considerations the Commission deems appropriate or compelling.

Cancellation or Change of Hearing

1. All Commission Hearings

If a scheduled hearing is canceled or postponed to a later date, the Commission must provide timely notice to the persons described in Section 4.04(B). When hearings are continued, the Commission must provide such additional notice as it deems appropriate to inform the parties and interested persons, but the Commission may be entitled to continue a hearing to a later date and place as is announced at the hearing.

Final Action

(RESERVED)

Staff Decisions

1. Unless otherwise indicated in statute (e.g. 12 M.R.S. §685-A(7-A)(B)(5)) or as a condition of the permit or certification, a final action issued by the staff is effective on the date the decision document is signed by the staff.

2. Any person aggrieved by a decision of the staff (e.g., regarding a permit, certificate of compliance, notice of violation) has the right to a review of that decision by the Commission. A request for such a review must be made in writing within 30 days of the date of the staff decision.

Commission Decisions

1. To the extent practicable, copies of staff recommendations for Commission decisions will be made available at least 7 days prior to the date of expected decision, to the applicant, intervenors, and any other person requesting to be so notified.

2. A decision of the Commission is considered final on the date rendered by the Commission, unless the Commission receives a request for a public hearing pursuant to Section 4.06(A) or 4.07(K) or as otherwise indicated in statute (e.g. 12 M.R.S. §685-A(7-A)(B)(5)) or as a condition of the permit or certification. Where a request for a public hearing is made, the decision of the Commission is considered final on the date the Commission denies the request for public hearing or on the date of the Commission's decision after a public hearing has been held.

Corrections

• 1. Within 30 days following the effective date of a permit, petition, or certification, any person aggrieved by the decision or order of the Commission may petition to seek the correction of any misstatement of fact or clerical error contained in the final decision or to challenge any material fact of which the Commission took official notice pursuant to 5 M.R.S. §9058 and Chapter 5, Section 5.07(B) of the Commission’s rules. The Commission will determine whether to dismiss the petition as without merit, to correct the error, to reopen the hearing pursuant to Chapter 5, Section 5.10(D) of the Commission’s rules, or to take such other steps as it deems appropriate. Failure to invoke the provisions of this section will have no effect upon an aggrieved party's right of appeal to a court of law. 2. The Commission or Commission staff, as applicable, will consider requests for correction within 30 days of receipt of such request. 3. At any time, the Commission may issue a corrected permit, certification, or petition in accordance with Section 4.07(D). 4. The filing of a request for, or the issuance of, a correction under Section 4.07(D) does not serve to stay the deadlines for any appeal of a Commission decision, and the effective date of any corrected decision must be the same as the original decision.

Amendments

An application for amendment or request for minor change must be submitted to the Commission before undertaking any modification not exempted from permitting requirements by statute or rule to a project, development, or activity that is the subject of Commission authorization. Written approval for the modification must be received before the modification is undertaken.

Expiration

Except as provided in Sections 4.07(F)(1) through (4) below or as otherwise authorized by the Commission in the permit conditions of approval, development or uses authorized by a permit must be substantially started within two years of the effective date of the permit and substantially completed within five years of the effective date of the permit:

• 1. Permits Issued Prior to July 1, 2003

For permits issued prior to July 1, 2003 with no specified expiration dates, the expiration date is October 1, 2004.

• 1. Special Flood Hazard Areas

In special flood hazard areas, development or uses authorized by a permit must be substantially started within 180 days of the effective date of the permit and substantially completed within five years of the effective date of the permit.

• 1. Subdivisions

Development authorized by a Commission approved subdivision permit must be substantially started within four years of the effective date of the permit and substantially completed within seven years of the effective date of the permit.

Upon the Commission’s determination that a subdivision permit has expired under this paragraph, notice of such expiration must be recorded, by the permittee or by the Commission at the permittee’s expense, in the appropriate Registry of Deeds.

• 1. Multi-phased Projects

For multi-phased projects or project expansions that are permitted separately, final Commission approval of each phase or expansion will be treated as a separate permit for the purposes of determining “substantial start” and “substantial completion” for each phase or expansion.

Renewals

An application to renew a permit must be submitted prior to the expiration of the permit.

• 1. If an application to renew a permit is not timely submitted prior to expiration of the permit, or is timely submitted but not accepted as complete for processing in accordance with Chapter 4, Section 4.05(A)(5)(a), the permit lapses. 2. If the renewal application is timely submitted prior to the expiration of the permit and accepted as complete for processing, the terms and conditions of the existing permit remain in effect until the final Commission decision on the renewal application. 3. The Commission may renew a permit and extend by up to two years, either or both of the deadline for a substantial start or for substantial completion. 4. Renewal applications to extend the expiration date for projects that have not been substantially started are subject to the procedural and substantive requirements in effect at the time of acceptance of the renewal application.

Re-application

1. After receipt of a final decision as described in Sections 4.07(B) and (C) above, no person may reapply to the Commission for a permit for the same proposed use for the property in question, unless they can demonstrate that there is a significant change in circumstances or substantial new information to be presented to the Commission.

Transfer

• 1. Transfer of Commission permits is required for all subdivisions, nonresidential development, or certifications, where there is at the time of change in ownership:

a. development or activities that have been authorized or required but are not yet completed, except accessory structures;

b. other on-going compliance obligations including outstanding conditions and long-term operational or maintenance requirements;

c. condominium type residential development involving more than four dwellings; or

d. nonresidential development cumulatively involving more than 3 acres of total impervious area.

Except as may be required by the Constitution of Maine or statute, all other permits carry forward with the land and therefore any change in ownership thereof.

• 1. No later than two weeks after the transfer of ownership of property subject to certain Commission permits or certifications that meet one or more of the provisions of Section 4.07(I)(1), the new owner must submit a transfer application for all relevant permits or certifications that have not expired. 2. Pending determination on the application for a transfer, the transferee must abide by all of the conditions of such permit, and is jointly or severally liable with the original permittee for any violation of the terms and conditions thereof. The transferee must demonstrate to the Commission’s satisfaction sufficient technical ability and financial capacity, and the intent and ability to: (a) comply with all terms and conditions of the applicable permits, and (b) satisfy all applicable statutory and regulatory criteria.

Revocation, Suspension, and Surrender

1. The Commission may revoke or suspend, or seek revocation or suspension of, permits or certifications granted by it in accordance with applicable provisions of the Maine Administrative Procedure Act and 12 M.R.S. §685-C(8).

2. Suspension.

Any permittee may propose to suspend activities for a period specified as part of a permit transfer, permit application, or other appropriate situations. The proposal must be made in writing and contain sufficient detail for the Commission to understand the purpose and effect of the suspension. If a proposed suspension is approved,

a. the Commission must confirm such suspension, and any subsequent release from suspension, in writing; and

b. the suspension does not pause, extend, or otherwise affect requirements regarding substantial start or substantial completion.

3. Surrender

Any permittee may request to surrender its permit, certification, or zone change if the permittee demonstrates to the Commission’s satisfaction that it has never used the permit, certification, or zone change for its intended purpose nor begun any of the activities approved under the permit and does not intend to do so in the future. The request must also provide that the permittee waives notice and opportunity for hearing.

The Commission may require written and photographic documentation, certified statements, and sampling analyses, in addition to any other relevant information, as demonstration that the activities described in the permit have not been undertaken. For any approved permit recorded in a registry of deeds which is later surrendered, the Commission will require that evidence of the surrender be filed by the permittee, or the Commission at the permittee’s expense, with the same registry of deeds.

When the Commission approves the surrender, the permit, certification, or zone change is deemed null and void as of the date the surrender is approved.

Appeals

1. General Provisions

a. Person Aggrieved. It is the Commission’s intent to interpret and apply the term “person aggrieved,” whenever it appears in statute or rule, consistent with Maine state court decisions that address judicial standing requirements for appeals of final agency action.

b. A person aggrieved by a staff decision may appeal the decision to the Commission. Requests for Commission review of staff decisions must be made within 30 days of the date of the decision. If the staff decision regarded a certification determination made in two parts as provided for in Section 4.05(F)(1)(d), the appeal must be made within 30 days of the part of the determination of for which review is sought.

c. In the event a person aggrieved appeals a MDEP permit decision that includes a certification determination to state court, the Commission certification determination record must be considered part of the MDEP permit record for the purpose of the appeal.

d. Appeals of Commission decisions that are final agency action must be taken to Superior Court, or in the case of applications for expedited wind energy development, to the Supreme Judicial Court, in accordance with applicable state laws and court rules. However, any person aggrieved by a decision of the Commission in which no hearing was held, may petition the Commission for a hearing.

2. Contents

An appeal to the Commission of a Commission staff determination, permit, or certification must set forth in detail:

a. The written appeal must include evidence demonstrating the appellant’s standing as an aggrieved person; the findings, conclusions or conditions objected to or believed to be in error; the basis of the objections or challenge; and the remedy sought.

b. Exhibits attached to an appeal must be clearly labeled indicating date and source, and indicating whether the exhibit is in the existing record or is proposed supplemental evidence. Unlabeled exhibits may be rejected by the Chair. Electronic links to documents will not be accepted. In the case of lengthy documents, the appellant must specify the relevant portions.

c. If the appellant requests that supplemental evidence be included in the record and considered by the Commission, such a request, with the proposed supplemental evidence, must be submitted with the appeal. A request to supplement the record must address the criteria for inclusion of supplemental evidence set forth in Section 4.07(K)(4).

d. If a hearing is requested, the appellant must provide an offer of proof regarding the testimony and other evidence that would be presented at the hearing. The offer of proof must consist of a statement of the substance of the evidence, its relevance to the issues on appeal, and whether any expert or technical witnesses would testify.

e. Appeals must be copied to the permittee. The Commission staff will provide notice of the appeal to persons on the Commission’s interested persons list for the application at issue.

3. Response to Appeal

A written response to the merits of an appeal may be filed by a permittee (if the permittee is not the appellant) and any person who submitted written comment on the application (hereafter collectively referred to as the respondents). All proposed supplemental evidence is subject to the labeling and form requirements of Section 4.07(K)(2)(b) and the criteria for inclusion of supplemental evidence set forth in Section 4.07(K)(4).

a. If no supplemental evidence is offered by any party, a respondent’s complete response to the merits of the appeal must be filed within 30 days of the date of the staff’s written acknowledgement of receipt of the appeal with a copy to the appellant.

b. If supplemental evidence is offered by any party, the opposing party may submit written comment on the admissibility of the proposed supplemental evidence and may offer proposed supplemental evidence in response. The written comment is due within 15 days of the date of the Chair’s written determination as to which of the submissions constitute proposed supplemental evidence unless the Commission establishes an alternative schedule.

c. The Chair shall rule on the admissibility of all proposed supplemental evidence in accordance with Section 4.07(K)(6) within 10 days of receipt of all comments regarding admissibility of all of the proposed supplemental evidence.

d. Within 20 days after the decision on the admissibility of all of the proposed supplemental evidence, the respondent’s complete response to the merits of the appeal must be filed.

e. Further evidence may not be provided directly to Commission members or distributed at Commission meetings or hearings without specific permission of the Chair.

4. Record on Appeal, Supplemental Evidence

The record for appeals decided by the Commission is the administrative record prepared by Commission staff in its review of the application, unless the Commission admits supplemental evidence or decides to hold a hearing on the appeal.

a. If an appellant or respondent seeks to supplement the record, that person shall provide copies of all proposed supplemental evidence with the written appeal or in response to the appeal as provided in Sections 4.07(K)(4)(b) and (5).

b. The Commission may allow the record to be supplemented on appeal when it finds that the evidence offered is relevant and material and that:

the person seeking to supplement the record has shown due diligence in bringing the evidence to the attention of the Commission at the earliest possible time; or

the evidence is newly discovered and could not, by the exercise of reasonable diligence, have been discovered in time to be presented earlier in the regulatory process.

c. The Chair may accept into the record additional evidence and analysis submitted by Commission staff in response to issues raised on appeal or supplemental evidence offered by the appellant or respondent.

5. Procedure

The procedure for hearings on appeals is governed by Chapter 5 of the Commission’s rules. Appeals decided without a hearing will be considered based on the administrative record on appeal and oral argument at a regular meeting of the Commission as follows, at the Chair’s discretion:

a. the Commission staff briefly introduces the appeal, indicating the subject matter, the appellant's basis for appeal, and the relevant statutes and rules, and indicating the staffs’ recommended disposition of the appeal;

b. the appellant makes a presentation discussing objections or challenges to the staff's decision on the application;

c. when the appellant is a person other than the permittee, the permittee is then provided an opportunity to address the issues raised by the appellant;

d. other persons may comment on the appeal;

e. the appellant and permittee may be provided with a final opportunity for rebuttal.

The Commission, its staff and the Commission’s legal representative may at any time address questions to any person participating in the appeal.

6. Decision on Appeal

a. The Commission will, as expeditiously as possible, affirm all or part, affirm with conditions, order a hearing to be held as expeditiously as possible, reverse all or part of the decision of the staff, or remand the matter to the staff for further proceedings.

b. The Commission’s decision is based on the administrative record on appeal, including any supplemental evidence admitted into the record and any evidence admitted during the course of a hearing on the appeal. The Commission is not bound by the staff findings of fact or conclusions of law.

Delegation of Authority to Staff

A. Purpose and Scope

Pursuant to 12 M.R.S. §§ 685-B(1-B) and (8), the Commission finds that:

1. Many of the applications submitted to the Commission are similar and are therefore of a routine nature;

2. The handling of that type of application by the staff will eliminate a waiting period between completion of the staff work and the next Commission meeting; and

3. The nature of the applications is such that the decision may be made by the staff on the strict basis of the statutory criteria for approval contained in 12 M.R.S. §685-B(4) and the policies, standards, and rules duly adopted by the Commission.

B. Delegation of Authority

1. The Commission delegates to its staff, under the responsibility of the Director, the authority to

a. Approve, approve with conditions, disapprove, issue, or otherwise act on the following, provided they are routine in nature and do not raise significant policy issues:

(1) all applications, including those for special exceptions, submitted to the Commission.

These include situations where applicable Commission rules contain qualifying phrases, including but not limited to: the Commission may reduce, may consider, may allow for development by waiving, may waive, and must consider.

b. Extend the time limits herein imposed for review of staff decisions and for Commission review and decision, upon written request by the applicant or with the written consent of the applicant, where circumstances necessitate a longer time or for other good cause.

2. For the purposes of this section, applications for zone changes considered to be routine in nature are limited to:

a. Requests to amend subdistrict boundaries on a parcel based on a site-specific wetland delineation completed by a qualified professional in accordance with the “Corps of Engineers Wetlands Delineation Manual,” U.S. Army Corps of Engineers (1987) and the “Regional Supplement to the Corps of Engineers wetland Delineation Manual: Northcentral and Northeast Region,” U.S. Army Corps of Engineers (Version 2.0, January 2012; and

b. Proposals to adopt new or amended Flood Insurance Rate Maps, Flood Boundary and Floodway Maps, or Flood Hazard Boundary maps prepared by the Federal Emergency Management Agency, which the Commission is required to adopt as a participating community in the National Flood Insurance Program.

3. Notwithstanding the provisions of Sections 4.08(B)(1) and (2), at the discretion of the Commission or the Director, any application, request, or matter may be forwarded to the Commission for discussion, decision, guidance to staff, or directive to staff.

C. Exceptions

1. Except as provided above, the Commission does not delegate to its staff authority to:

a. Approve or disapprove applications for zone changes, including adoption or amendment of any related development, concept, or resource plans;

b. Preside over a hearing regarding, or decide on, appeals of staff actions;

c. Approve or disapprove requests for a variance;

d. Initiate, approve, disapprove, or terminate rulemaking;

e. Approve or disapprove on requests for a hearing;

f. Revoke any Commission or staff approval or certification; and

g. Approve or disapprove requests to, or actions that would, affect land use regulatory authority, such as those provided in 12 M.R.S. §685-A(4-A).

History

• STATUTORY AUTHORITY: 12 MRS §§ 684, 685-B(1-B), 685-C(5)
• EFFECTIVE DATE: May 16, 1975
• AMENDED: August 3, 1978
• AMENDED: July 2, 1980 - Sec. 4.05 (1 & 3); 4.07 (1 & 2) 4.09 & 4.12 (1);
• AMENDED: June 18, 1988
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: January 10, 1997
• NON-SUBSTANTIVE CORRECTIONS: September 2, 1997 - converted to Microsoft Word
• AMENDED: October 20, 2011 – filing 2011-368
• AMENDED: October 18, 2013 – filings 2013-219 (Routine Technical), and 2013-220 (Major Substantive final adoption – Section 4.03(11))
• AMENDED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 04-061 to 01-672.)
• REPEALED AND REPLACED: November 1, 2021 – filing 2021-184
• AMENDED: August 11, 2023 – filing 2023-118

Chapter 5 Rules for the Conduct of Public Hearings

Code Me. R. 01-672 Ch. 5 of the Commission's Rules {#sec-01-672-ch.-5 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 5}

Effective Date: May 16, 1975

Amended Effective: November 1, 2021

Chapter 5

Rules for the Conduct of Public Hearings

5.01 Scope of Rules

These rules govern all public hearings conducted by the Land Use Planning Commission (“Commission” or “the LUPC”).

5.02 General Provisions

A. Consolidation of Proceedings

On motion and for good cause shown, or on its own initiative, the Commission may consolidate two or more proceedings if it finds that such action will be conducive to just and proper dispatch of its business and that opportunities for public participation will not be compromised.

B. Notice

Notice of all public hearings before the Commission must be in accordance with Chapter 4 of the Commission’s rules.

C. Location and Attendance

Hearing Locations: All hearings of the Commission must be held in a location or through certain means, and at a time determined by the Commission to be appropriate when considering the needs, costs, safety, and convenience of the interested parties together with those of the Commission. To the extent practicable, hearings must be held at a location in close proximity to, or significantly affected by, the project or projects under review or which are concerned about the issue.

Attendance at Hearings: Attendance at a hearing must be in accordance with 12 M.R.S.§684.

D. Presiding Officer

Designation of Presiding Officer: The Presiding Officer at any hearing must be either:

a. The Chair, if present and willing to preside;

b. A Commissioner selected by those members present at the hearing; or

c. A qualified employee or representative of the Land Use Planning Commission, as designated by the Chair.

Unless otherwise determined by the Commission on a case by case basis, the Presiding Officer is presumed to be the Chair.

Authority of Presiding Officer: The Presiding Officer maintains the authority to:

a. Require and administer oaths or affirmations;

b. Rule upon issues of procedure and admissibility of evidence;

c. Regulate the course of the hearing, set the time and place of continued hearings, and fix the time for filing of evidence, briefs and other written submissions;

d. Certify questions to the Commission for its determination;

e. Take other actions, on behalf of the Commission consistent with these regulations and applicable statutes, as may be ordered by the Commission or that are necessary for the efficient and orderly conduct of the hearing;

f. To the extent permitted by law, where good cause appears, the Presiding Officer may permit deviation from the procedural rules of the Commission insofar as compliance therewith is found to be impractical or unnecessary and the change does not prejudice any of the parties; and

g. Issue conclusions and fact to be considered by the full Commission.

E. Ex parte Communications

Limitations of this section: This Section 5.02(E) applies to those public hearings concerned with applications for zone changes pursuant to 12 M.R.S. §685-A(7-A); permit applications pursuant to 12 M.R.S. §685-B; applications for a variance or issuance of special exception permit pursuant to 12 M.R.S. §685-A(10); and any public hearing in which the legal rights, duties, or privileges of specific persons are to be adjudicated.

Prohibitions on ex parte communications: After a decision by the Commission to conduct a public hearing, Commission members, and any Presiding Officer designated by the Commission, must not engage in any ex parte communication in connection with any issue of fact, law or procedure which is the subject of the hearing.

Allowable communications: However, Section 5.02(E) does not prohibit any Commission member or Presiding Officer from:

a. Communicating in any respect with other members of the Commission or other Presiding Officers; and

b. Having the aid and advice of members of the staff, counsel or consultants retained by the Commission; provided that, in adjudicatory proceedings subject to 5 M.R.S. Sections 9051 et seq. , this exception extends only to consultation with members of the staff, counsel or consultants who have not participated and will not participate in the proceeding in an advocate capacity.

Actions considered as ex parte communication: For purposes of Section 5.02(E), "ex parte communication" includes, but is not limited to, oral communication (other than public communication occurring upon notice to all parties and during a properly scheduled public hearing or meeting of the Commission) or any written communication (other than motions, prefiled testimony or other writings, copies of which are furnished or available, as required herein, to all other parties to the proceeding).

Disclosure of ex parte communication: In the case of an ex parte communication prohibited by this Section 5.02(E), the Commission member or Presiding Officer involved therein must disclose the nature and substance of the communication to the Commission members and parties to the proceeding, but will not be disqualified from voting in connection with the proceeding. The Commission may provide an opportunity to the other parties to the proceeding to respond to the matter communicated.

Such disclosure will be made part of the public record, but the substance of the ex parte communication will not form a basis for the decision of the Commission or Presiding Officer unless other parties to the proceeding have been given an opportunity to respond.

5.03 Parties and Governmental Agencies

A. Intervention

Petition for Intervention: Prior to the commencement of any public hearing of the type described in Section 5.08(A) of these regulations, the Commission or Presiding Officer may require or allow any person who desires to participate as a party, offer testimony and evidence, and participate in oral cross-examination, to file a petition under oath or affirmation for leave to intervene. Notice of the requirement of filing a petition for intervention will be given in a manner consistent with Section 4.04 of the Commission’s rules or in such other manner as the Presiding Officer deems appropriate. A petition to intervene must be granted if it demonstrates that the petitioner is or may be substantially and directly affected by the proceeding.

The Commission or Presiding Officer may further allow any other interested person to intervene as a party or to participate in more limited manner as the Commission or its Presiding Officer may designate.

A petition for leave to intervene must be filed by the date specified by the Commission or the Presiding Officer or, if an earlier date is not specified, before the public hearing. A petition to intervene which is not timely filed will be denied unless the petitioner shows good cause for failure to timely file. A person permitted to intervene will become a party to the proceeding and will be permitted to participate in all phases of the hearing, subject, however, to such limitations as the Commission or Presiding Officer may direct. Petitioners for intervention may be required to consolidate or join their appearances in part or in whole if their interests or contentions are found to be substantially similar and such consolidation would expedite or simplify the hearing without prejudice to the rights of any party or petitioner. A consolidation under this section may be for all purposes of the proceeding, all of the issues of the proceeding or with respect to any one or more issues or purposes thereof.

Duration of Intervenor Status: Unless otherwise specified by the Commission or Presiding Officer, intervenor status will be deemed to have been granted for the duration of the proceeding. Any applicant whose proposal is approved will be required to provide notice to any intervenors of the filing of any documents presented to the Commission indicating actions taken to comply with the conditions attached to the approval or of proposals to vary or amend approved activities, provided, however, that the applicant's responsibility under this subsection will be deemed fulfilled when such notice has been mailed to the person designated to represent an intervenor in the petition for intervention.

Denial of Intervenor Status: When a petition to intervene is denied, the Commission must include in the record of the hearing an entry to that effect and the reasons therefore.

Legal Counsel: Nothing in this regulation will be construed to require or prevent representation by legal counsel in order for a person to be granted intervenor status or otherwise participate before the Commission.

Copies: The applicant must provide each person granted intervenor status pursuant to this section with a copy of the application or petition and any amendments thereto.

B. Participation by Interested Persons

Any person may, in the discretion of the Commission or Presiding Officer, be permitted to make oral or written statements on the issues, introduce documentary, photographic and real evidence, attend and participate in conferences and submit written or oral questions of other participants, within such limits and on such terms and conditions as may be fixed by the Commission or the Presiding Officer.

C. Governmental Agencies

Governmental agencies may notify the Commission of their anticipated participation in any hearing in the form and manner required by Section 5.03(A)(1). Such governmental agencies must, upon having filed such notice, be entitled to all rights of an intervenor in such proceedings. Representatives of governmental agencies may participate in their official capacity only if representing the views of the agency on whose behalf they appear, and not personal views and opinions. Government agencies may provide testimony at the hearing without filing a notice under this section.

5.04 Service and Filing of Documents

A. Service

Unless the Presiding Officer otherwise provides, any person submitting any notices, motions, petitions, briefs, written testimony or testimony pursuant to Section 5.10, permitted or required to be filed with the Commission pursuant to these regulations (except briefs or proposed findings prepared by the staff, its consultants or counsel), must serve such documents upon all applicants and intervenors in the proceeding or their representatives.

B. Filing

Unless the Presiding Officer otherwise provides, all motions, petitions, briefs and prefiled testimony shall be filed in digital form. The Commission or Presiding Officer, may require one or more paper copies be filed.

C. Forms

All motions, proposed findings, petitions, briefs, and, to the extent practicable, written testimony filed within the Commission (except for documents not susceptible of reproduction in the manner herein provided or for other good cause shown) shall be typewritten or printed on white opaque paper 8 1/2 x 11 inches in size. Typed materials must be double spaced. The first page of each such document must be headed by the title:

STATE OF MAINE

LAND USE PLANNING COMMISSION

and must have a caption with:

The title of the matter, giving the name of the applicant, the action in issue and the location;

The Commission's application number; and

The title of the document ( e.g. , Petition to Intervene).

The final page must be dated and signed.

D. Representatives

The first document filed by any person in a proceeding must designate the name and address of a person on whom service should be made and to whom all correspondence from the Commission and staff will be sent.

5.05 Conferences

A. Prehearing Conferences without Intervenors

At the request of an applicant, the staff may confer with the applicant concerning the nature and types of information and testimony which the applicant will be expected to present at the hearing. Any conference is held for the benefit of the applicant and does not bind the Commission or Presiding Officer to matters discussed therein, nor limit the ability of the Commission or Presiding Officer to raise further issues at the hearing.

B. Prehearing Conferences with Intervenors or Petitions for Intervention

The Presiding Officer or the staff may, upon notice to the applicant, to any parties intervening pursuant to Section 5.03(A) of these regulations and to any other persons the Commission or the Presiding Officer deems appropriate, hold conferences and issue procedural orders for the purpose of formulating or simplifying the issues, obtaining admissions of fact, arranging for the submission of proposed exhibits or written testimony, limiting the numbers of witnesses, consolidating the examination of witnesses, consolidating parties or specifying procedures in connection with the hearing, and such other matters which may expedite the orderly conduct and disposition of the proceedings.

C. Recording of Conferences

The actions taken at or following any such conference and any agreements or orders arising therefrom must be stated on the record by the Presiding Officer, or detailed in a procedural order, and any person may ask questions about or raise objections to such actions at the time they are stated.

5.06 Subpoenas

A. Who May Request Subpoenas

At the request of any party, or at the request of the Commission, or any member thereof, or on the Presiding Officer’s own motion, the Presiding Officer may issue subpoenas for the attendance of witnesses or for the production of documents.

B. Content

Every subpoena so issued must bear the name of the Commission, bear the name of the issuing officer, and must command the person to whom it is directed to attend and give testimony or produce specified documents or things at a designated time and place. The subpoena requires the approval of the Attorney General or their designee. The subpoena must also advise of the quashing procedure provided by Section 5.06(E).

C. Service

Unless receipt of the subpoena is acknowledged by the witness, it must be served by a person who is not a party to the proceeding and is not less than 18 years of age. Service must be made by delivering a copy of the subpoena to the person named in it and tendering to them the fees and mileage paid to witnesses in the Superior Courts of this State.

D. Proof of Service

The person serving the subpoena must make proof of service, by filing the subpoena and affidavit or acknowledgment of service with the Presiding Officer. Failure to make such proof of service will not affect the validity of such subpoena and service.

E. Quashing

On motion made promptly, and before the time specified in the subpoena, and on notice to the party at whose instance the subpoena was issued, the Presiding Officer may:

Quash or modify the subpoena if the Presiding Officer finds that it is unreasonable or requires evidence not relevant to any matter in issue; or

Deny the motion to quash.

F. Confidentiality

If any person served with such subpoena claims, at or before the hearing, that the production of books, records or other data under such person's control may disclose secret processes, formulae or methods used by or under the direction of such person, which are entitled to protection as trade secrets or as to which the confidentiality is otherwise entitled to protection by law, and the Presiding Officer determines that such claim is valid after consultation with a representative of the Attorney General, such information from such books, records, or other data must be disclosed at a nonpublic portion of the hearing and the record thereof must be confidential.

G. Court Orders

Failure to comply with a subpoena lawfully issued under Section 5.06 will be punishable as for contempt of court. (5 M.R.S. §9060(1)(D))

H. Costs

Any costs incident to complying with a subpoena must be borne by the party requesting the subpoena.

5.07 Evidence

A. Admissible Evidence

Evidence will be admissible if it is relevant and material to the subject matter of the hearing and is of a type customarily relied upon by reasonable persons in the conduct of serious affairs. Evidence which is irrelevant, immaterial, or unduly repetitious may be excluded. Notwithstanding Section 5.07(B), the experience, technical competence and specialized knowledge of the Commission or Presiding Officer may be utilized in the evaluation of all evidence submitted.

B. Official Notice

The Commission or Presiding Officer may, at its discretion and at any time, take official notice of any facts of which judicial notice could be taken, including relevant statutes, regulations, transcripts of other hearings, non-confidential agency records, generally recognized facts of common knowledge to the general public, and physical, technical or scientific facts.

In a hearing of the type described in Section 5.08(A) of these regulations, the Commission must include in its final decision those facts of which it took official notice, unless those facts are included in the recording of the proceedings.

C. Documentary and Real Evidence

All documents, materials and objects offered in evidence as exhibits must, if accepted, be numbered or otherwise identified.

Documentary evidence may be received in the form of copies or excerpts if the original is not readily available.

The Presiding Officer may require that any person offering documentary or photographic evidence must provide the Commission with a specified number of copies or provide the materials in digital form.

Any documentary or real evidence must:

a. be produced, compiled and submitted by the person offering the same, who must not request the Commission or its staff to produce or compile the same on his behalf; and

b. be clearly labeled indicating date and source, and indicating whether the evidence is in the existing record or is proposed supplemental evidence. Unlabeled exhibits may be rejected by the Presiding Officer, and electronic links to documents will not be accepted.

In a hearing of the type described in Section 5.08(A) of these regulations, the applicant, intervening parties, and state, federal or municipal agencies must provide each other with copies of any exhibit offered in evidence unless otherwise ordered by the Presiding Officer.

All documents, materials and objects admitted into evidence must be made available during the course of the hearing for public examination. All such evidence will also be available for public examination at the Commission's primary office during normal business hours.

D. Objections

All objections to rulings of the Presiding Officer and the grounds therefore must be timely stated. If, during the course of or after the close of the hearing and during its deliberations, the Commission determines that the ruling of the Presiding Officer was in error, the Commission may reopen the hearing or take such other action as it deems appropriate to correct such error.

E. Offer of Proof

An offer of proof may be made in connection with an objection to a ruling of the Presiding Officer excluding or rejecting any testimony, evidence, or questions on cross-examination. Such offer of proof must consist of a statement of the substance of the proffered evidence which is expected to be shown.

5.08 Testimony and Questions

A. Hearings on applications

In those hearings concerned with a permit application pursuant to 12 M.R.S. §685-B(4) or with an application for variance or special exception pursuant to 12 M.R.S. §685-A(10) or with an application for zone change pursuant to 12 M.R.S. §685‑A(7-A), testimony must be offered as follows:

Direct Testimony

Direct Testimony will be offered in the following order:

The applicant and such representatives and witnesses as the applicant selects;

Governmental agencies and representatives thereof;

Intervenors; and

Other interested persons.

The staff of the Commission and its representatives and consultants may offer testimony at any time, at the discretion of the Presiding Officer.

Cross-Examination and Questions

At the conclusion of the testimony of each witness, the Commissioners, staff and consultants, Federal and State and other governmental representatives, the applicant, and intervenors must have the right of oral cross-examination. Cross-examination will be conducted in the following order:

Commissioners, counsel, staff members and consultants may be permitted, by the Presiding Officer, to ask questions at any time;

The applicant or petitioner;

Intervenors; and

Federal, State, and other governmental representatives.

Redirect and Rebuttal Evidence

A person who has concluded their presentation cannot thereafter introduce further evidence except in rebuttal, unless by leave of the Presiding Officer. Rebuttal evidence must be directed only to contradict or respond to evidence presented by another party, except by leave of the Presiding Officer.

All parties must have the right to redirect and re-cross-examination of any witness, unless otherwise directed by the Presiding Officer. Such re-examination must be limited to evidence or issues presented by another party, except by leave of the Presiding Officer.

Varying Order of Appearance

When circumstances warrant, the Presiding Officer may vary the order in which witnesses appear and the order or manner in which testimony is given or witnesses cross-examined.

B. All Other Hearings

In all other hearings, testimony may be offered first by the staff and then by any interested persons in such order and on such conditions as the Presiding Officer may designate.

C. Oral Argument

For hearings conducted under Section 5.08(A), oral argument may be permitted before the Commission at the conclusion of the evidence or at a time and place fixed by the Presiding Officer, at their discretion.

5.09 Conduct of the Hearing

A. Opening Statement

The Presiding Officer, or their designee, must open the hearing by describing in general terms the purpose of the hearing and the general procedure governing its conduct.

B. Recording of Testimony; Report to Commission

All testimony at hearings before the Commission must be recorded and may, as necessary, be transcribed.

If the hearing is conducted by a single commissioner or qualified employee or representative, the commissioner, employee, or representative must report the findings of fact and conclusions to the Commission together with a transcript of the hearing and all exhibits. The findings of fact and conclusions become part of the record. The Commission is not bound by the findings or conclusions when acting upon the record, but will take action, issue orders, and make decisions as if it had held and conducted the hearing itself.

C. Oral Testimony

Hearings on Applications

Witnesses must be sworn. Witnesses may be compelled to attend, testify and produce records if subpoenaed by the Commission. Witnesses will state for the record their name, place of residence, business or professional affiliation, if any, and whether or not they represent another individual, firm, association, organization, partnership, trust company, corporation, state agency, or other legal entity for the purpose of the hearing.

All Other Hearings

Persons testifying are not required to be sworn, but must state for the record their name and place of residence. If the person testifying represents another individual, firm, association, organization, partnership, trust company, corporation, state agency or other legal entity for the purpose of the hearing, the person testifying must identify the business or professional affiliation.

D. Written Testimony

At any time prior to or during the course of the hearing, the Presiding Officer may require that all or part of the testimony to be offered at such a hearing be submitted in written form. Any written testimony must be submitted and be in such form and at such time as the Presiding Officer may specify. All persons offering testimony in written form must be available for cross-examination as provided in Section 5.08(A) of these rules. Testimony offered in written form must be available for public inspection. The person submitting the written testimony may be required within a specified time to serve a copy thereof on the applicant or petitioner, on all intervenors and on any other person whom the Presiding Officer deems appropriate.

This rule must not be construed to prevent oral testimony at a scheduled hearing by a member of the public who is not affiliated with a party required to file testimony in writing and who requests and is granted time to testify at a hearing.

E. Continuance; Multiple Hearings on Matter

All hearings conducted pursuant to these rules may be continued and reconvened from time to time and from place to place by the Presiding Officer as circumstances require. Any hearing may also be convened in multiple hearing sessions, on multiple dates and in multiple locations, in the interest of providing the public with an opportunity to be heard across the Commission’s jurisdiction. When the Commission elects to hold multiple public hearings on any matter, either by continuance of a hearing or by holding multiple scheduled hearing sessions, all hearings within a 45-day period are considered one hearing for administrative purposes. All orders for continuance must specify the time and place at which such hearing will be reconvened, or must set forth the manner in which such information may be later publicized by the Commission and obtained by interested persons. The Presiding Officer, or the staff under the direction of the Presiding Officer, must give notice to interested persons and the public in such a manner as is appropriate to ensure that reasonable notice will be given of the time and place of such reconvened hearing.

F. Regulation of Certain Devices and Signage

The placement and use of signage or devices for recording of audio or video at Commission hearings may be regulated by the Presiding Officer in a manner consistent with the provisions of 1 M.R.S. §§ 401 et seq .

5.10 Closure of the Hearing

A. Closure of the Hearing Record

Except as provided in Sections 5.07(B) and 5.10(D), of these rules, after final closure of the public hearing, including any period when the record remains open as provided in this section or as directed by the Presiding Officer, no further evidence will be allowed into the record.

B. Time Periods for Written Comments After the Conclusion of a Hearing

After the conclusion of a hearing the record will remain open for:

A period of 10 days for the purpose of allowing interested persons to file written statements with the Commission; and

A period of seven additional days for the purpose of allowing interested persons to file statements in rebuttal of those filed pursuant to Section 5.10(B)(1) above.

C. Reopening a Hearing Prior to a Decision

Prior to issuance of a final order or decision, the Commission or Presiding Officer may elect to reopen a hearing and extend the time period for public comment in compliance with Chapter 4 of the Commission’s rules.

D. Reopening the Hearing after Decision on Applications for Permit or Zone Change

Within 30 days after the Commission has rendered a decision on an application following a hearing, any person aggrieved by such decision or order may petition the Commission to reopen the hearing for the purpose of introducing new evidence with regard to any provision of such order or decision. The petitioner must deliver or mail a copy of any such petition simultaneously to any other party to the proceeding. Upon receipt of such petition, the Commission will consider the offer of evidence contained therein and determine whether to dismiss the petition as offering no material evidence not already before the Commission or to reopen the hearing. Upon reopening the hearing, the Commission will amend its original order only if new evidence is presented to support such amendment. Failure to invoke the provisions of this section shall have no effect upon an aggrieved party's right of appeal to a court of law.

Within seven days of the filing of a petition to reopen hereunder, any other interested person may file an answer in opposition to the petition.

E. Final Closure

The date of final closure of the hearing record, including any extension of the open record or reopening of the hearing or record, constitutes final closure of the public hearing and the final date by which data, views or arguments may be submitted to the Commission for consideration in acting upon an application or in adopting the rule.

5.11 Hearing Record

A. The record of the hearing must consist of all applications, petitions, motions, preliminary and introductory rulings and orders, the recording of the hearing or the transcript, all exhibits or written testimony submitted at the hearing or pursuant to Section 5.10 of these regulations, any other evidence received or considered, all briefs and proposed findings and comments thereon, the findings of fact and conclusions of the Presiding Officer, any facts officially noticed, any offers of proof, objections and rulings thereon, and all staff memoranda to the Commission together with the decision or order of the Commission.

B. Copies of the record must be available in accordance with Chapter 4 of the Commission’s rules. Where available, a transcript of the testimony of any hearing and copies of evidentiary materials may be purchased directly from the independent official Commission reporter or from the person having submitted such materials, if any, or if necessary, through the Commission, provided that no undue burden is placed upon the Commission in responding to such request, and further provided that such materials are in a form or size possible to reproduce by photocopying or similar means.

History

• STATUTORY AUTHORITY: 12 M.R.S. §§ 684, 685(B(1-B), 685-C(5)
• EFFECTIVE DATE: May 16, 1975
• ADMINISTRATIVE REFILING: December 8, 1978 – filling 78-378
• AMENDED: June 27, 1980 – filing 80-186
• EFFECTIVE DATE (ELECTRONIC CONVERSION): April 29, 1996 – filing 1996-165
• NON-SUBSTANTIVE CORRECTIONS: April 18, 1997 – filing 1997-071
• AMENDED: October 12, 2000 – filing 2000-449
• AMENDED: June 21, 2011 – filing 2011-203
• AMENDED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 04-061 to 01-672.)
• REPEALED AND REPLACED: November 1, 2021 – filing 2021-185

Chapter 10 Materials Incorporated by Reference into Chapter 10: Maine Stormwater Management Design Manual: Technical Design Manual Vol. III (.pdf)

Code Me. R. 01-672 Ch. 10 Introduction {#sec-01-672-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 10}

Chapter 2 The Watershed Phosphorus Budget 2.1 Watershed Per-Acre Phosphorus Allocation 2.2 Project Phosphorus Budget (PPB)

Chapter 3 Meeting the Project’s Phosphorus Budget 3.1 Estimating Stormwater Phosphorus Export from the Project 3.2 Redevelopment or Expansion of Existing Uses 3.3 Options for Reducing Phosphorus Export 3.4 Estimating Project Phosphorus Export after Treatment (Post-PPE)... 3.5 Evaluating Project Overall Phosphorus Export

Chapter 4 Treatment Factors for Phosphorus BMPs 4.1 Rules of Thumb for BMP Design and Selection 4.2 Common BMPs and their Standard Sizing 4.3 Determining BMP Phosphorus Treatment Factors 4.4 Minimum Treatment Factors 4.5 Multiple BMPs Placed in Series

Chapter 5 Credits for Mitigation and Compensation Fees 5.1 Types of Mitigation 5.2 Estimating Credits for Mitigation 5.3 On-site vs. Off-site Mitigation 5.4 Compensation Fees

Chapter 6 Performance Standards for Smaller Projects 6.1 Residential Lots and Small Subdivisions with No New Road 6.2 LID Practices

Appendix A Phosphorus and Lake Water Quality

Appendix B DEP’s Method for Defining Watershed Per Acre Phosphorus Allocations

Appendix C Per Acre Phosphorus Allocations for Selected Maine Lakes

Appendix D Worksheets

Appendix E Alternative Method for Small Commercial-type Developments Located Within Designated Growth Areas Excess Phosphorus Levels in a Lake Can Cause Dense Blooms of Blue-Green Algae which Cause:

• Murky green water • Odors • Depleted oxygen levels in the deep, cold water which can lead to fish kills

Chapter 1 Introduction Phosphorus is a nutrient that controls the level of algae production in lakes. Algae are microscopic organisms that grow suspended in the open water of the lake or in concentrated clumps around the shallow margins of the lakeshore. The amount of algae in the lake water affects the clarity of the water, as well as the amount of well oxygenated, cold water available to cold water fish species (trout and salmon) in the summer months. Low phosphorus concentrations yield clear lakes with plenty of deep, well oxygenated cold water. High phosphorus concentrations yield cloudy lakes and oxygen may be severely depleted or eliminated from the deep, cold water in the summer months. Very high concentrations cause dense blooms of blue-green algae, which turns the water a murky green and accumulate as an odorous scum along the shoreline (for more information about lakes and phosphorus see Appendix A).

Phosphorus, a common nutrient typically associated with soil particles and organic matter, mostly reaches the lake in stormwater runoff from the lake's watershed, the land area draining to the lake. Since the portion of stormwater phosphorus that support algae growth tends to be associated with small, lightweight soil particles, it is easily carried by stormwater and can be delivered to the lake from anywhere in the watershed.

The amount of phosphorus reaching the lake depends on what the stormwater runs over on its way to the lake. For example, forested areas do not readily release phosphorus to stormwater due to duff and canopy coverage whereas developed areas, such as residential, commercial or industrial areas, contain high levels of phosphorus, which are readily released to stormwater runoff, yielding higher lake concentrations. Generally speaking, the more developed a lake's watershed is, the higher its phosphorus concentration will be (for more information about phosphorus sources and transport see Appendix A).

This volume addresses long-term phosphorus loadings to lakes by setting standards to limit phosphorus contributions from new developments, and outlines guidelines to meet these standards.

It does not address the short term, often catastrophic, increase in stormwater phosphorus that can result from unmitigated soil erosion during the construction process (see Maine DEP Erosion and Sediment Control BMPs for information about addressing erosion from construction sites).

High phosphorus levels in lakes The standards in this volume focus on limiting, not preventing, cause dense algae blooms, which phosphorus contributions from new developments to lakes and can accumulate along the shoreline they are not likely to be applied to all new phosphorus sources in as shown above. a lake's watershed. As such, the implementation of stormwater management alone may not be sufficient to prevent a noticeable decline in lake water quality. To effectively maintain lake water quality, the elimination of existing significant sources of phosphorus would be necessary.

Chapter 2 of this volume presents the basic phosphorus standard for new development. Chapters 3 through 6 present a procedure for new developments to meet the standard that can be used by developers and reviewing agencies (i.e. planning board). The Appendices provide detailed supporting information.

• 1 -

Chapter 2 -The Watershed Phosphorus Budget Lakes are individuals, each one differing from the others with varying size, shape and depth. Specific lake characteristics will affect the way a lake will respond to additions of phosphorus.

The watersheds draining to lakes also vary as they can be large or small relative to lake size and can contribute relatively large or small volumes of stormwater and groundwater to the lake. The watershed can be entirely upland or it may contain a number of upstream lakes and wetlands. It may contain steep slopes and hilly terrain, or be relatively flat. Soils may range from loose sands or gravels to tight clays or shallow tills. Watersheds can range from completely forested to highly agricultural or heavily developed, and may be located in areas ranging from little to rapid growth. These factors, along with the characteristics of the lake itself, determine the potential for increased phosphorus, and hence algae, in the lake over time. This

chapter describes how to estimate the amount of additional stormwater phosphorus load to the lake, called phosphorus export that will be generated as a result of the project. It applies to commercial development projects and to subdivisions involving new road construction or expansion, or having more than five lots. 2.1 - Watershed Per-Acre Phosphorus Allocation The Department of Environmental Protection (DEP) has considered all of the factors described above in developing phosphorus budgets for the watershed of each lake. Each budget is based on how much additional phosphorus loading the lake could accept without risking a perceivable change in the lake's water quality. It then distributes this additional phosphorus load amongst anticipated new development sources in the lake's watershed on a per acre basis. The per acre phosphorus allocation (referred to as "P") defines how much phosphorus each acre of land in a lake's watershed is allowed to discharge in stormwater runoff when developed.

If a lake's watershed is located within more than one town, the value of P may vary slightly for each town, depending on its anticipated rate of growth. The process used to define watershed phosphorus budgets is presented in Appendix B.

For large subdivisions and commercial developments Lakes can only accept so much phosphorus before a significant decline in water quality occurs.

The Maine Department of Environmental Protection has developed phosphorus allocations for several Maine lakes to minimize phosphorus loadings and their impacts to lake water quality.

A lake's watershed boundary is dictated by local topography, generally following ridgelines or high points as shown by the shading above. Precipitation that falls within the watershed and is not ‘evapo-transpired’ reaches the lake as groundwater or stormwater runoff. The watershed and lake characteristics dictate the potential for increased phosphorus and algae in the lake over time.

(Chapter 3), P defines the average amount by which a development may increase the annual stormwater phosphorus exported to the lake from each acre of the parcel being developed.

For small projects, such as single family residences and additions to existing development (Chapter 6), the budget simply defines the type and size of phosphorus runoff controls, such as wooded buffers, which should be applied. Phosphorus allocation values range from about 0.02 lb/acre/year for very sensitive lakes in high growth areas to 0.15 lb/acre/year for less sensitive lakes in very low growth areas.

• 2 - P = Per Acre Phosphorus Allocation (lb/acre/year) = the watershed specific amount of stormwater phosphorus each acre of land within a parcel that is being developed is allowed to export annually. This is calculated by the DEP for selected Maine lakes as presented in

Appendix C.

If a P for a lake/town combination is not listed or if you have information that suggests the P for a lake should be higher or lower than that presented in Appendix C, contact DEP's Division of Watershed Management. 2.2 - Project Phosphorus Budget (PPB)

A project's phosphorus budget (PPB) is the maximum amount of algal available phosphorus, which in a typical year, may be exported from the new development. Algal available phosphorus refers to that portion of phosphorus the stormwater runoff transports which can support algae growth in the lake.

Typically about half of the total amount of phosphorus becomes available for algal growth.

PPB = Project's Phosphorus Budget = maximum amount of algal available phosphorus, which in a typical year, may be exported from the new development’s parcel.

To calculate the PPB, multiply the acreage of developable land in the project parcel by the peracre phosphorus budget for the lake.

The developable land area includes all land within the parcel's boundaries except for NWI (National Wetlands Inventory) mapped wetlands over an acre in size and areas of sustained slope greater than 25% that are over one acre in size.

All areas need to be in acres to the second decimal place.

Use Worksheet 1 in Appendix D for calculating project phosphorus budgets.

Special Considerations: Alternative method for small commercial-type development located within designated growth areas. It can be difficult for densely developed projects on small parcels to meet their phosphorus budgets.

Because of the density of high phosphorus producing surfaces like parking lots and lawns, the stormwater draining these projects carries relatively large amounts of phosphorus. The small parcel size, however, means that the phosphorus budget for the parcel will also be small. As a result, highly intensive phosphorus control measures, which are often fairly costly, may be required for the project to meet its In these cases it may cost less to develop outside the designated growth area where land is more readily available for larger parcel sizes (and hence larger project phosphorus budgets) and for less intensive, and less expensive, phosphorus control measures like natural wooded buffers. If a municipality is concerned that the phosphorus budget will counter local planning efforts by being a disincentive for locating development within designated growth areas, they may request that the department allow commercial developers within their designated growth areas to use an alternative means of defining the project phosphorus budget. This alternative is described in Appendix E.

• 3 - Example 1: PPB Calculation for Subdivision Development Problem: 'Homesweet Home Subdivision' is proposing a 12-lot subdivision on 40 acres. There are four acres of NWI wetlands and 1 acre of steep slopes. Calculate the PPB.

Solution: Use Worksheet 1 to calculate the PPB.

WORKSHEET 1 - PPB CALCULATIONS

Project Name: Homesweet Home Subdivision Standard Calculations Watershed per acre phosphorus allocation (Appendix C):

P 0.057 lbs/acre/year Total acreage of development parcel TA 40.00 acres Existing impervious area (Pre 1980) EIAB 0.00 acres Existing impervious area (post 1980) EIAA 0.00 acres NWI wetland acreage: 4.00 acres Steep slope acreage: SA 1.00 acres Project acreage: A 35.00 acres Project Phosphorus Budget:

PPB 1.995 lbs P/year Based on these calculations, the PPB is 1.995 lbs P/year.

Project phosphorus budgets for large projects located within relatively small watersheds.

If a particularly large project is proposed in a relatively small watershed, there is a chance that the project's phosphorus budget may, by itself, use up most of, or even exceed, the watershed's total phosphorus budget, leaving little or no room for additional development within the watershed. In order to avoid this problem, an alternative method for calculating the project phosphorus budget for such projects is provided in Worksheet 1 under Small Watershed Adjustment. For each lake, DEP has identified the parcel size that would trigger use of this alternative method, called the small watershed threshold. If a project's parcel size exceeds the small watershed threshold (SWT) acreage given for each lake in the list of per acre phosphorus budgets in Appendix C, the PPB should be calculated using the Small Watershed Adjustment calculations in Worksheet 1.

• 4 -

Chapter 3 -Meeting the Project’s Phosphorus Budget To determine if a project meets or exceeds its PPB, the project's phosphorus export (PPE) needs to be estimated. This section outlines the procedure for estimating the pre-treatment PPE (Pre-PPE), that is, the phosphorus export from the project before passing through a stormwater management practice designed to remove phosphorus (i.e. buffers, wet ponds). Estimating post treatment phosphorus export will be discussed in the next section.

A site’s phosphorus export must be calculated and compared to the Project Phosphorus Budget (PPB) to determine the extent of phosphorus reductions needed and the best method for achieving these reductions.

PPE = Project Phosphorus Export = amount of phosphorus that will reach the lake from a new development.

Pre-treatment PPE = Raw Phosphorus that the new development will create.

Post-treatment PPE = Phosphorus that will be discharged after treatment by all stormwater management treatment practices.

For all project development and subdivisions projects where the land use and impact has been determined and lot development will be restricted, the pre-treatment export is estimated by:

1. Dividing the project into various land use types (i.e. parking, roads, roofs, lawns by soil type), 2. Determining the area within each land use in acres and to the second decimal place, 3. Multiplying that area by the appropriate phosphorus export factor from Table 3.1 or Table 3.2 as is appropriate, and 4. Summing the resulting phosphorus exports to get the Pre- PPE.

Use the first four columns in Worksheet 2 in Appendix D to calculate the Pre-PPE.

The amount of phosphorus exported from a project site will depend on the land use and soil type, with greatest exports from impervious surfaces as the one shown here.

Table 3.1 gives pre-treatment phosphorus export for new commercial/industrial development and for roads in residential subdivision projects. Table 3.2 should be used for lots in residential subdivisions unless the dimensions and locations of buildings, driveways and lawns have been pre-determined, specifically restricted, and all construction and landscaping on the lot will be done by the developer, in which case the High Export Option from Table 3.1 may be used.

Table 3.2 gives pre-treatment phosphorus export for single family residential lots. In most cases, the specific area of the development on a lot (houses, garages, driveways, lawns) within the subdivision is usually not known. Table 3.2 must be used to determine the export from each lot unless the developer:

• Has pre-determined the area of each land use on each lot • Will be constructing the buildings and driveways and landscaping the lots, and • Will be restricting any further expansion of these land uses. A deed restriction will be required for each lot that incorporates an area restriction.

• 5 - The Low Export Option factors may be selected for commercial/industrial development and roads if all of the following are incorporated in the project:

• A deed restriction prohibiting the use of fertilizers containing phosphorus except when establishing new turf or vegetation on bare soil will be established for all lots. It is recommended that the use of fertilizer containing phosphorus always be limited.

• All roads, driveways and parking areas are paved.

• All ditches and drainage ways are designed, constructed and maintained as stable vegetated swales in accordance with the specifications in Volume III, Chapter 9, or as riprapped swales where required by steep slopes. The algal available phosphorus export for ditches and swales is based on soil type and is the same as the export from a lawn.

If all of these elements are not clearly and permanently incorporated in the project design, use the High Export Option factors of Table 3.1.

Table 3.1 Algal Available Phosphorus Export (pre-treatment) for Commercial Development and Subdivisions Low Export Option High Export Option Land Use Hydrologic Soil Group P Fertilizers restricted, roads and drives paved and constructed with stable swales (lb/acre/yr)

No restrictions on fertilizer use, road surface or ditch design and construction (lb/acre/yr)

Landscaped Areas, Lawns & Ditches A 0.1 0.2 B 0.2 0.4 C 0.3 0.6 D 0.4 0.8 Roads/Driveways N/A 1.25 1.75 Parking N/A 1.25 1.25 Roofs/Other N/A 0.5 0.5 Riprap/crushed rock N/A 0.3 0.6 - 6 - Table 3.2 Algal Available Phosphorus Export from Single Family Residential Lots (pre-treatment)

Hydrologic Soil Group With Area Restrictions Without Area Restrictions Cleared Area < 12,000 sq ft Driveway/Park < 1,750 sq ft (lb/lot/year)

No Restriction on cleared area or driveway/parking area (lb/lot/year) w/ 75% w/o 75% w/ 75% w/o 75% drive/park A 0.09 0.14 0.12 0.18 B 0.12 0.17 0.17 0.24 C 0.15 0.20 0.22 0.29 D 1.08 0.23 0.27 0.34 Note: Driveways and parking are considered to be draining directly to a buffer if the flow path to the buffer is 50 feet or less and if the runoff reaches the buffer in well distributed overland flow.

Note: phosphorus export values in this table assume a driveway of 150 feet in length, or less. If driveways will likely exceed 150 feet, the excess driveway length should be considered a road and its export calculated using Worksheet 2 and Table 3.1.

Example 2: Pre-treatment PPE Calculation for Commercial Development Problem: 'Good Intention Business Mall' is proposing a business mall on 6 acres. The development will consist of 3.5 acres of paved parking; a 0.5 acre paved access road, 1.5 acres of buildings and 0.5 acre of lawn. A deed restriction is proposed, prohibiting the use of fertilizers containing phosphorus. Soils on the site are classified as Hydrologic Soil Group C. Calculate the pre-treatment PPE for the proposed project.

Solution: Use Table 3.1 and Worksheet 2 to calculate the pre-treatment Algal Average Phosphorus Export.

Pre-PPE Calculations Good Intention Business Mall Development Type:

Commercial Land Surface Type of Lot #(s) with description Acres or # of lots from Table 3.1 Algal Av. P Export Parking (pavement) 3.50 1.25 4.375 Access Road (low export) 0.50 1.25 0.625 Buildings 1.50 0.50 0.750 Lawn 0.50 0.30 0.150 5.900 Based on these calculations, the pre-treatment PPE is 5.9 lbs P/year.

• 7 - Example 3: Pre-PPE Calculation for Subdivision Development Problem: The 'Homesweet Home Subdivision' in Example 1 involves the development of 12 lots and 0.5 acres of road. Four lots will be constructed on HSG B soils with no restrictions on cleared area or driveway/ parking area. Eight of the lots will be constructed on HSG C soils and will have restrictions to minimize site clearing to <12,000 square feet each and to minimize driveway/parking areas to <1,750 square feet. Six of the restricted lots will not direct 75% of the driveway and parking area runoff to a buffer. Two of the restricted lots will direct the stormwater runoff from 75% or more of the driveways and parking areas to a buffer. Driveways from two of the lots will exceed 150 feet in length, with an anticipated 0.056 acres of driveway over the 150 length. The proposed road will be paved.

Calculate the pre-treatment PPE for the proposed subdivision.

Solution: Use Tables 3.1 and 3.2 and Worksheet 2 to calculate the pre-treatment Algal Average Phosphorus Export.

Pre-PPE Calculations Homesweet Home Development Type:

Residential Land Surface Type of Lot #(s) with description Acres or # of lots from Table 3.1 Algal Av. P Export Lots 1-4 (HSG B) no restriction, w/o 75% to buffer 4 0.24 0.96 Lots 5-10 (HSG C) <12,000 sqft clearing, w/o 75% to buffer 6 0.20 1.2 Lots 11 & 12 (HSG C) <12,000 sqft clearing, w/ 75% to buffer 2 0.15 0.30 Lots 2 & 3 driveway access > 150 feet 0.056 1.25 0.07 Subdivision Road (low export) 0.50 1.25 0.625 3.155 Since two of the driveways exceeded 150 feet in length, the excess driveway length was considered a road and its export calculated as such.

Based on these calculations, the Pre-treatment PPE is 3.155 lbs P/year.

• 8 - 3.1 - Redevelopment or Expansion of Existing Uses Phosphorus export need not be estimated for any land uses that were in existence prior to 1997 (prior to 1980 for projects that require a Site Location of Development Act (SLODA) Permit from the DEP). For any proposed project that will be built within a parcel having existing development (built before 1997 or 1980 for SLODA projects) that will be enlarged, upgraded or expanded, the phosphorus export should only be estimated for the net increase. This would apply to the redevelopment or expansion of any existing buildings, parking, roads and lawns. Any existing development or land disturbance that was created after 1997 (1980 for SLODA Projects) must be included as a new phosphorus export. This includes logging roads, new access roads, and all other projects created from an undisturbed condition that did not require a phosphorus design and permit at the time of construction.

For example, if a proposed subdivision is served by an existing 2000 foot gravel road, which was built before 1997, and will be upgraded and expanded from a width of 14 feet to a width, with shoulders, of 24 feet, the phosphorus export should only be estimated for the net increase in road area, or 10 feet x 2000 feet = 20,000 square feet. 3.2 - Reduction of Phosphorus Export Most projects will generate more phosphorus than the project's phosphorus budget (PPB) will allow. In order to meet the budget, the excess phosphorus export must be reduced. Comparison of the pretreatment PPE with the PPB will determine how much export will need to be reduced. This section describes options for reducing phosphorus export and how to estimate phosphorus export after treatment.

There are two basic options for reducing long term phosphorus export.

Option 1. Redesign to Reduce Phosphorus Export: The first option is to redesign the project so that initial phosphorus export is minimized. This can be accomplished by:

• Limiting the size or intensity of the project (i.e. reducing the number of lots, the length of roads, the size of a parking area), • Locating the developed portion of the project on the best soils and shallowest slopes, and • Incorporating such measures as clearing restrictions and limitations on the use of phosphorus fertilizers.

These reductions in phosphorus export will be reflected in the calculation of pre-treatment PPE described in the previous section.

Option 2. Implement Best Management Practices (BMPs): The second option for reducing a project's stormwater phosphorus export is to incorporate stormwater best management practices (BMPs) to remove phosphorus from the stormwater before it leaves the site. Some examples of BMPs are vegetated buffer areas, wet ponds, soil filters and infiltration beds. Volume III presents detailed design standards for a number of commonly used BMPs.

All BMPs are not created equal. Some BMPs do a better job of removing phosphorus from stormwater than others. Also, within a given type of BMP, differing designs or locations may result in different levels of effectiveness is removing phosphorus. For example, a broad, wooded buffer on permeable soils with a shallow slope will retain much more phosphorus than a narrow, field buffer on tight soils and steeper slopes. For stormwater treatment ponds, such as wetponds, the size of the pond relative to its contributing watershed, its depth, and its shape determine its effectiveness.

In this Volume, a BMP's effectiveness in treating stormwater runoff is described in terms of a "treatment factor". The Treatment Factor (TF) indicates the fraction of stormwater phosphorus that will pass through the BMP and not be retained. For example, if a wooded buffer was projected to retain 60% and discharges 40% of the inflow phosphorus, it would have a treatment factor of 0.4 and a removal efficiency of 0.6. A simple way of estimating treatment factors for a variety of BMPs based on an adjustment of the standard sizing specifications for BMPs described in Volume III of this manual is presented in Chapter 4 of this volume.

• 9 - When planning the project, the project designer should look for opportunities to locate the most effective BMPs (those with the highest removal efficiency) to collect runoff from the portions of the project which produce the most phosphorus export (i.e. roads, parking areas, driveways, house lots). If the project site is large enough, the preferred BMP is a natural wooded buffer area located immediately downhill of the stormwater source area. Buffers are preferred because they are natural and they require little, if any, maintenance (just don't cut the trees or disturb the ground cover). The critical element in siting buffers is to insure that the stormwater runoff enters the buffer in overland, non-channelized flow that will not concentrate into a channelized flow within the buffer. By comparison, other BMPs require site specific design and careful construction as well as regular inspection and maintenance.

RE = Removal efficiency = The fraction of stormwater phosphorus that will be removed by the BMP. The higher the removal efficiency, the more effective it will be at retaining phosphorus from reaching the resource.

TF= Treatment factor = (1.0 - RE) = The fraction of the stormwater phosphorus that will pass through a BMP and not be retained. The lower the treatment factor, the more effective the BMP.

When phosphorus from a project draining to a BMP is multiplied by that BMP's Treatment factor (1.0 - RE), the resulting product is the amount of phosphorus that, after treatment, will still be exported to the lake. 3.3 - Estimating Project Phosphorus Export after Treatment (Post-PPE)

In order to determine if the BMPs incorporated into the project are adequate to meet the PPB (Project Phosphorus Budget), the pre-treatment PPE must be revised to reflect the treatment capabilities of those BMPs. This is accomplished by multiplying the phosphorus export from each source area (i.e. a parking lot, a house lot, a segment of road) by the treatment factor (1.0 - RE) of the BMP to which it drains. See Section 4.1 BMP Rules of Thumb, if the individual source areas (or subcatchments) drain cumulatively to more than one BMP. The export values for all source areas, both treated and untreated, are then added together to get the total phosphorus export for the project using Worksheet 2.

For large projects or projects where the natural topography divides the site drainage into a number of sub-drainage areas, this process may not be as straight forward. For instance, often the entire length of a road will not drain to the same BMP. The local topography will result in one segment of road being treated by one BMP, other segments by other BMPs, and still other segments receiving no treatment at all. In the case of a crowned road, the uphill side of the road might drain to a road ditch that flows to a wet pond, while sheet runoff from the downhill side of the road may drain to a wooded buffer, which for part of the road length is 75 feet wide, meadow and on shallow slopes and for the remaining length is only 50 feet wide, wooded on steep slopes. Since all three BMPs, the wetpond and the two buffers, have different treatment factors, it is necessary to break the road surface area into three discreet subcatchments based on the BMP(s) to which each road segment drains to calculate treated phosphorus export from the road.

This is true not only for roads but for all other types of development as well.

• 10 - Summarize the project's phosphorus export and treatment as follows:

1. Show, on a topographic site plan, all the BMPs that will be incorporated into the project.

2. Delineate all subcatchments for which each BMP is providing treatment.

3. Identify all portions of the developed area (i.e. buildings, road segments, parking, lawns, house lots) which are being treated by a given BMP or combination of BMPs on Worksheet 2.

4. List on the worksheet each subcatchment and export area with the pre-treatment phosphorus export factor from Table 3.1 or Table 3.2 and the treatment factor(s) for the BMP(s) to which the area drains. If the runoff from a subcatchment receives no treatment, enter 1.0 in the treatment factor column.

5. BMP treatment factors and removal efficiencies can be calculated from Chapter 4 of this volume and Volume III. Enter these values on the worksheet.

6. Multiply each export area with its export factor and treatment factor to obtain the post-treatment phosphorus export value. For areas receiving no treatment, use a treatment factor of 1.0.

7. See “Section 4.1. BMP Rules of Thumb”, if the source area drains to more than one BMP.

8. Sum the export from all treated and untreated areas to obtain the total post- treatment phosphorus export (Post-PPE) from the project. 3.4 - Evaluating Project Overall Phosphorus Export For an acceptable site development, the Post- PPE needs to be smaller than the PPB for the parcel. The calculations can be summarized in Worksheet 4. If the resulting project phosphorus export (Post-PPE) is less than or equal to the project phosphorus budget (PPB) from Worksheet 1 than the project meets its budget. If not, further reductions in stormwater phosphorus are required. Credits for mitigation of existing sources may be another option for reducing the net project phosphorus export (Post-PPE) or paying a compensation fee may be an option (See Chapter 5, Credits for Mitigation and Compensation Fee for guidance).

Using Worksheet 4, summarize the Net Project Phosphorus Export as follows:

1. Bring in the Project Phosphorus Budget (PPB) from Worksheet 1 2. Bring in any Mitigation Credits from Worksheet 3 3. Bring in the total Pre-Treatment Phosphorus Export (Pre-PPE) as calculated on 4. Bring in the total Post-Treatment Phosphorus Export (Post-PPE) as calculated on 5. If the Post PPE is less than or equal to the site's PPB, the project meets its 6. If the Post-PPE is larger than the site's PPB but the Post-PPE is less than or equal to 0.4 times the Pre-PPE, then paying a compensation fee may be an option in certain lake watersheds. That list is available in Appendix F.

2. If the Post-PPE is larger than the site's PPB and the Post-PPE is more than 0.4 times the Pre-PPE, then more phosphorus treatment needs to be provided or less development must occur.

• 11 - Example 4: Post-PPE Calculation for Subdivision Development Problem: The 'Homesweet Home Subdivision' project described in Example 1 and 3 is proposing to treat a portion of the stormwater runoff from the subdivision through the use of buffers. Lots 1-4 will not receive any treatment. Lots 5 through 12, the excess driveway lengths from Lots 2 and 3, and the access road is super-elevated and will be directed to a downgradient buffer sized in accordance with

Chapter 5 of Volume III of this manual. Calculate the post-treatment PPE for the proposed subdivision.

Solution: The pre-treatment PPE was calculated in Example 3. A forested buffer treating stormwater runoff that meets the standard sizing as provided in Chapter 5 of Volume III will achieve a Removal Efficiency of 0.6. Thus, the corresponding Treatment Factor is 0.4, which should be entered into Worksheet 2 as shown below. Note that 1.0 has been entered into the treatment factor column for lots 1 through 4 for which no BMPS are providing stormwater treatment.

Pre-PPE and Post-PPE Calculations Homesweet Home Subdivision Development Type: Residential Sheet # Land Surface Type of Lot #(s) with description Acres or # of lots from Table 3.1 Table 3.2 Algal Av.

P Export Treatment Factor for BMP(s) from

Chapter 6 Posttreatment Algal Av.

P Export Description of BMPs Lots 1-4 (HSG B) no No restriction, 4.00 0.24 0.96 1.0 0.96 treatment w/o 75% to provided Lots 5-10 (HSG C) <12,000 sqft clearing, 6.00 0.20 1,2 0.4 0.48 75 ft forest w/o 75% to Lots 11 & 12 (HSG C) <12,000 sqft clearing, 2.00 0.15 0.30 0.4 0.012 75 ft forest w/ 75% to Lots 2 & 3 driveway access > 150 feet 0.056 1.25 0.07 0.4 0.028 55 ft roadside forest buffer Access Road (low export) 0.50 1.25 0.625 0.4 0.25 3.155 Post-PPE 1.838 Based on these calculations, the Post-treatment PPE is 1.838 lbs P/year.

• 12 - Example 5: Project Phosphorus Export Summary for Subdivision Development Problem: Summarize the Project Phosphorus Export for the 'Homesweet Home Subdivision' project described in Example 1, 3 and 4. Determine whether the project as proposed meets its phosphorus budget.

Solution: Use Worksheet 4 to summarize the Project Phosphorus Export as shown below.

Worksheet 4 Project Phosphorus Export Summary Summarizing the project’s algal available phosphorus export (PPE)

Project name: Homesweet Home Subdivision Project Phosphorus Budget PPB 1.995 lbs P/year Mitigation Credit - Source Elimination Credit SEC 0.00 lbs P/year Source Treatment Credit STC 0.00 lbs P/year Total Phosphorus Mitigation Credit (SWC+STC) TMC 0.00 lbs P/year Total Pre-treatment Phosphorus Export Worksheet 2 Pre-PPE 3.155 lbs P/year Total Post-treatment Phosphorus Export Worksheet 2 Post-PPE 1.838 lbs P/year Project Phosphorus Export (Post-PPE - TMC) PPE 1.838 lbs P/year Since the calculated PPE of 1.838 lbs P/year is less than the PPB of 1.995 lbs P/year, the project meets its phosphorus budget and no further treatment or reduction actions are necessary.

• 13 - IMPORTANT:

Best Management Practices (BMPs) must be designed to meet the required phosphorus reductions based on the Project Phosphorus Budget (PPB). The lowest maintenance BMP that meets the PPB should be selected.

Chapter 4 -Treatment Factors for Phosphorus BMPs This chapter presents the treatment factors that the Department recommends using for the design of a variety of phosphorus control BMPs. 4.1 - Rules of Thumb for BMP Selection Consider these rules before selecting a BMP:

1. Given a choice, select the lowest maintenance BMP that will provide the required phosphorus removal.

For example, natural wooded buffers require much less long term inspection and maintenance than most other BMPs, so, if space and topography allow, buffers are the preferred BMP.

2. The buffer and source area (lawn, parking lot, etc.) should be laid out for runoff to pass in nonchannelized sheet flow from the source area and be evenly distributed across the face of the buffer. If this design is not possible, runoff may first be concentrated and then redistributed into the buffer using a level spreader or ditch turnout, but care must be taken not to hydrologically overload the buffer and to maintain the level spreader (see design standards for level lip spreaders in Volume III, Chapter 9). 4.2 - Common BMPs and their Standard Sizing Volume III of this manual, BMP Technical Design Manual, presents the standard designs for the most commonly used BMPs. These standard BMP designs are sized to provide retention of approximately 60% of the annual stormwater phosphorus export, and thus would have a treatment factor Natural wooded buffers are preferred of 0.40. The standard sizing of these BMPs is as follows: over other BMPs due to their low • Wetponds: Standard sizing for wet ponds requires a maintenance. storage volume below the permanent pool elevation of at least 2.0 inch of runoff times the subcatchment's impervious area plus 0.8 inch of runoff times the subcatchment's non-impervious developed area. The pond must have a mean depth of at least three feet, and a length to width ratio of 2:1 or greater. See Chapter 4 of Volume III.

• Underdrained vegetated soil filter or other approved filter: Standard sizing for filters requires storage of a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's non-impervious developed area. Filter examples are underdrained vegetated soil filters having a single outlet with a diameter no greater than eight inches, or proprietary filter systems approved by the department. See Chapter 7 of Volume III.

• Infiltration Systems: Standard sizing for infiltration systems requires storage of a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's non-impervious developed area. Pre-treatment of stormwater must occur prior to discharge to the infiltration area. See Chapter 6 of Volume III.

• Vegetated Buffers: Standard sizing of flow path lengths for buffers depends on the type of buffer, the soil type and slope of the buffer, and the nature and extent of land use in the contributing watershed for phosphorus export reduction. Standard sizing for a given buffer type in a given landscape and development setting can be determined using the tables found in Chapter 5, of Volume III.

• 14 - 4.3 - Determining BMP Phosphorus Treatment Factors In designing the stormwater management system, the treatment factor of the selected BMPs for the project can be adjusted based on their sizing. A BMP's treatment factor may be reduced or enhanced by modifying either the volume of stormwater runoff it will store and treat or the length of flow path through a buffer. The two formulas presented below provide a way of (1) adjusting the standard sizing of BMPs described in Volume III and in Section 4.2 of this volume to provide a desired treatment factor, or (2) determining the treatment factor of a given size BMP.

Wetponds, underdrained soil filters, infiltration systems may be sized to provide various degrees of treatment by adjusting the storage and treatment volume. In the case of buffers, the flow path length may be adjusted (Volume III, Chapter 5). There is, however, a point at which further increase in sizing of a BMP is not likely to significantly improve the BMP's ability to retain phosphorus. This limit is expressed as a minimum treatment factor for each type of BMP. Treatment factors may not be adjusted below this minimum. Minimum treatment factors are discussed later in this chapter and are presented in Table 4.1.

(1) If you know the treatment factor that is needed and can adjust your BMP design to meet it, use the following equation to determine either the volume of runoff that must be stored and treated or the necessary buffer flow path length to provide a required treatment factor:

= 0.4*(BMP

/TF)

Where:

TF = Desired treatment factor (1-Removal Efficiency of the BMP) = Standard sizing for the BMP, as described in Section 4.2 = Required sizing to achieve the desired treatment factor BMP sizing is based on either volume of runoff stored and treated or buffer flow path length.

Example 6: Alternative BMP Sizing Problem: 5.0 pounds per year of phosphorus is created from the runoff of a four acre parking lot.

The owner wishes to design a wetpond to achieve a desired maximum phosphorus export from the parking lot of 1.8 pounds/year to meet the project’s phosphorus budget for that area. What size pond will be needed to achieve this export?

Solution: The desired treatment factor is calculated as:

TF = Desired Export/Existing Export = 1.8/5.0 = 0.36 or Using the Volume III sizing criteria, 60% removal efficiency can be achieved with a wetpond, or a 0.4 TF. This requires a minimum permanent pool volume of 2.0 inches times the impervious area (parking lot). Since this project requires a 36% TF (64% removal efficiency), the permanent pool volume must be larger by an equally proportional amount. Thus, the wetpond can be sized as follows:

= 0.4*(BMP

/TF) = 0.4*(2.0/0.36) = 2.22 inch of runoff for the impervious area The permanent pool of the pond must be sized for 2.22 inches of runoff over the impervious area.

If the pond is discharging to a stream before reaching the lake, then the channel protection volume needs to be provided per Volume III.

• 15 - (2) If, on the other hand, you know the size of a given BMP, and need to determine its treatment factor, use the following formula:

TF = 0.4 BMP

/ BMP

Where:

TF = Treatment Factor (1-Removal Efficiency of the BMP) of the BMP = Standard sizing for the BMP as described in Section 4.2 = Actual sizing of the given BMP BMP sizing is based on either volume of runoff stored and treated or buffer flow path length.

Example 7: Alternative Treatment Factor and Minimum Treatment Factor Problem: The available downgradient meadow buffer for a one acre parking lot has 150 feet of sheet flow on a 6% slope and on HSG C soil (sandy loam). What would be the allowable treatment factor for this buffer?

Solution: According to the buffer table, “Buffer Flow Path Length Downgradient of Residential, Largely Pervious or Small Impervious Areas” (Chapter 5 in Volume III, the required forested buffer length on sandy loam C soils to adequately treat stormwater runoff is 100 feet. Thus, the treatment factor for the available buffer on this project is:

TF = 0.4 BMP

/BMP = 0.4 (100/150) = 0.27

However, according to Table 4.1, the minimum treatment factor that may be used for a forested buffer on C sandy loam soil is 0.3. Therefore, the treatment factor is limited to 0.3. 4.4 - Minimum Treatment Factors There is a limit to the amount of phosphorus removal a BMP can accomplish, no matter how large one makes it. The physical, chemical, and biological processes that a BMP relies on to remove pollutants have limitations and making a BMP larger generally does not change the limits on the effectiveness of these processes. It only means that the BMP will treat a larger fraction of the runoff generated by infrequent storms. Hence, upper limits have been placed for BMP sizing. Table 4.1 presents the minimum treatment factors that are allowed for selected BMPs. BMPs may be enlarged from their standard sizing criteria as outlined in Volume III to reduce their treatment factors to a point, but treatment factors may not be reduced below the minimums in Table 4.1. 4.5 - Multiple BMPs Placed in Series If multiple BMPs are being used in series, make sure that the last BMP in the series has the ability to remove the types of pollutants which are likely to reach it. For example, treatment credit should not be taken for a filter located downstream of an efficient forested buffer. The filter will not add significant additional treatment because the buffer will most likely have already removed all the fractions of stormwater phosphorus that the filter could.

If multiple BMPs are being used appropriately in series, the net treatment factor for the series of BMPs is the product of the lowest (most efficient) treatment factor of the individual BMPs in the series and the square root of the treatment factor(s) of the less effective BMP(s). For example, if a small wetpond with a treatment factor of 0.6 drained to an engineered infiltration area with a treatment factor of 0.4, the net treatment factor for the two BMPs would be 0.4 x (0.6) 1/2 = 0.31.

• 16 - Table 4.1 Minimum Treatment Factors for Selected BMPs BMPs Treatment Factor (1-RE)

Wetponds Single Pond 0.3 Two ponds in series (per Volume III, Chapter 4) 0.25 Three ponds in series (per Volume III, Chapter 4) 0.2 Underdrained Soil Filters and Other Approved Filters On sand, loamy sand or sandy loam 0.15 All other filters (including filters with an impermeable liner) 0.25 Infiltration All infiltration BMPs 0.1 Vegetated Buffers * Hydrologic Soil Group (and Texture)

Forest Meadow A or B 0.15 0.2 C (sandy loam or loamy sand) 0.2 0.3 C (silt loam, clay loam or silty clay loam) 0.3 0.4 D (non-wetland)

0.4 N/A

The maximum allowed flow path length in a buffer is 150 feet unless the runoff is redistributed by a midcourse stone bermed level lip spreader.

RE= Removal Efficiency N/A = not applicable Example 8: Maximum Treatment Problem: Using the minimum treatment factors in Table 4.1, calculate the maximum amount of runoff that can be treated using an underdrained filter that has less than 2 feet of separation between the bottom of the system and the restrictive layer and that is treating runoff from an impervious area.

Solution: For this situation, the minimum treatment factor from Table 4.1 is 0.25. Standard BMP sizing calls for treatment of 1.0 inch of runoff over the impervious surface. The maximum runoff that can be treated in such a filter is calculated as follows:

BMPTF = 0.4*(BMPST/TF) = 0.4*(1.0/0.25) = 1.6 inch of runoff The filter bed can only be expanded by area and not depth.

• 17 -

Chapter 5 - Credits for Mitigation and Compensation Fees Phosphorus reduction The objective of this project planning process is to limit increases in can also be achieved phosphorus loading to the lake resulting from development. The through mitigation methods discussed thus far have focused on limiting the scope of the measures that focus on development or reducing its phosphorus export by incorporating eliminating or reducing BMPs. Phosphorus load to the lake can also be limited by reducing phosphorus loads from export from long standing, existing sources of phosphorus, a trade off existing sources. usually referred to as mitigation. 5.1 - Types of Mitigation Mitigation can take a number of forms. It can involve the elimination of an historical source or a reduction of the source, usually by treatment with BMPs.

Phosphorus loads can also be limited by reducing export from existing sources of phosphorus on a site, a trade-off usually referred to as mitigation. Mitigation credits can be achieved through two means:

• Elimination of existing phosphorus sources (e.g., elimination of an old gravel road so it can revert back to a forested condition); or • Reduction of existing phosphorus sources through treatment (e.g., diverting stormwater flows from an existing road to a treatment device for phosphorus removal).

However, the following must also be true:

• To be considered an existing source, it must be in existence prior to 1980.

Elimination:

A wood lot being developed as a subdivision can provide a good example of elimination.

An old, gravel road passes through the wood lot. It will not, however, be used by the developer, who plans to eliminate the old road and construct a new road in a different location to access the new house lots. The old road has been exporting phosphorus to the lake for the last 50 years.

Elimination of the road and return to a forested condition will result in a reduction of phosphorus loading to the lake. This reduction in historical phosphorus export can be used to balance, or mitigate, some of the project's new phosphorus export. In this chapter we will discuss various ways of mitigating new phosphorus export by reducing or eliminating historical phosphorus sources, and how credit for this mitigation can be applied to a project's phosphorus budget.

Reduction by Treatment: Suppose the developer actually wants to use the old road in his subdivision scheme. In order to reduce phosphorus export from other parts of his development he is constructing a wet pond BMP down gradient of the development. The old road, which formerly drained directly to the lake, now drains first to the wet pond, which has a treatment factor of 0.40. This means that only 40% of the old road's phosphorus export is now reaching the lake, with the remainder retained in the wet pond. Phosphorus export from the road has now been reduced by 60%. This reduction in phosphorus, called a credit, can now be subtracted from the phosphorus export associated with newly developed portions of the project.

• 18 - Another variation on this example illustrates an even more common situation. Suppose the old gravel road is not wide enough to meet current town standards for subdivision roads and it must be widened from 12 feet to 24 feet. This expansion of road width means that half of the 24 foot road must be considered new in terms of phosphorus export. Its export, as modified by the wet pond's treatment factor, would be included in the list of phosphorus exports in Worksheet 2. Stormwater from the half of the road which can be considered old, however, is now being treated and the resulting reduction in phosphorus export is a credit that can be subtracted from the project's total phosphorus export.

Problems with Estimating Credit for Mitigation: But how does one estimate the amount of phosphorus export that is being reduced or eliminated? Phosphorus export from old, preexisting sources can be estimated in the same way as new sources, using the export factors in Table 3.1. However, in doing so two important issues must be considered. • Comparability of existing and proposed phosphorus export sources: Let us return to the road example. Suppose the old gravel road has seen only very light use as a woods road over the last 50 years. It has started to revert with vegetation encroaching on the sides and in the middle between the tire tracks. It is unlikely that it currently exports nearly as much phosphorus per square foot as will the new subdivision road, which will receive comparably heavy use. So treatment or elimination of this export will not provide equivalent mitigation for the new road which replaces it. To avoid this problem, this evaluation process automatically cuts the estimated phosphorus export from preexisting sources in half unless it is clearly demonstrated that the old source is equivalent in both structure and use to the new sources being mitigated. A multiplier of 0.5 is included in Worksheet 3 for this purpose. • Historic drainage patterns of the phosphorus export: If the runoff from the historic road immediately drained into a road ditch and continued, untreated, to the lake there is no problem with taking credit for elimination or treatment of the old road. But often the runoff from old roads sheets into the woods or fields adjacent to the road where much of its phosphorus export is retained in a natural buffer, and never reaches the lake. In this case credit should not be taken for treatment of the road's stormwater runoff because it was already receiving treatment, unless the new BMP has a much better treatment factor than the historic BMP. In that case, credit may be taken for treatment, but only for the difference between the old and new phosphorus export. If the road is being eliminated, credit should only be taken for an amount of export which has been reduced by the treatment factor of the historic buffer.

Mitigation Dos and Don’ts Don't take credit for mitigation of relatively recent phosphorus sources. Credit should not be allowed on sources, which were not in existence prior to 1980.

Do halve the phosphorus export from mitigation sources unless it is clearly demonstrated that the old source is equivalent in both structure and use to the new sources being mitigated.

Don't take mitigation credit for the treatment of sources which have been historically treated by adjacent buffers or treatment ponds.

Do adjust the credit for any source elimination to reflect historical treatment by buffers or ponds.

Do insure - through property owner agreements, deed covenants and restrictions, conservation easements, endowments and/or long term agreements with maintenance contractors - that eliminated sources will be allowed to revert and remain in a forested condition and that BMPs will be properly maintained.

• 19 - 5.2 Estimating Credits for Mitigation Worksheet 3 may be used to calculate mitigation credits. The upper portion of the worksheet is used to calculate credit when a pre-existing source is being eliminated. The lower portion is used when a pre-existing, historically untreated source is being treated by new BMPs. Credits are determined as follows:

1. List the size of the source area (in acres and to the second decimal place) and phosphorus export coefficient from Table 3.1 for each pre-existing mitigation source in the appropriate spaces.

2. If the source is being eliminated, enter the estimated treatment factor for historical BMPs that provided treatment of the source or enter 1.0 if the source drains directly to the lake.

3. If the source is being treated, enter the treatment factor for the new BMP which will be treating each mitigation source in the worksheet. Also enter the estimated treatment factor for any natural buffers or other BMPs that historically provided treatment of the source or enter 1.0 if the source drained directly to the lake.

4. For source elimination and treatment multiply the source area with the phosphorus export factor and by the modifier 0.5 (unless it has been clearly demonstrated that the old source is equivalent in both structure and use to the new sources being mitigated) to calculate the creditable pretreatment historical phosphorus export from each source area. The modifier can be selected as 1.0 only if it is clearly demonstrated that the old source is equivalent in both structure and use to the new source being mitigated. Then the pre-treatment historical phosphorus export is multiplied with any treatment factors for historical BMPs to obtain the historical phosphorus export.

5. For each source that is being eliminated, the mitigation credit value is equivalent to the historical phosphorus export value (from Step 3). For sources being treated by new BMP(s), subtract the treatment factor for the new BMP from 1.0 and multiply this times the source's historical phosphorus export (from Step 3) to get the mitigation credit value for each source.

6. Sum the phosphorus export credit values for all mitigation sources to obtain the total credit value in Worksheet 3. 5.3 On-site vs. Off-site Mitigation Another important mitigation consideration is whether the mitigation source and, in the case of treatment, the BMP, are located on the parcel (on-site) or elsewhere in the lake's watershed (off-site). If the treatment source and the treatment BMP are located ”on-site”, the developer can insure - through property owner agreements, deed covenants and restrictions, conservation easements, endowments and/or long term agreements with maintenance contractors - that eliminated sources will be allowed to revert and remain in a forested condition and that BMPs will be properly maintained. Essentially these mitigation measures are treated no differently than the buffers and other BMPs incorporated in the project to address new sources of phosphorus export.

If the mitigation measures are being implemented elsewhere in the watershed, it is a much greater challenge, for both the developer and any regulating body which is requiring the mitigation, to insure that the measures are maintained over the long term. In the case of elimination or reduction of off-site mitigation sources by change of land use (i.e. conversion of road to forest), these areas can be reasonably protected by deed restrictions and conservation easements. However, insuring long term maintenance of offsite BMPs is much more problematic. Because of these difficulties, it is recommended that treatment of on-site mitigation sources with “off-site” BMPs be allowed only if the property on which the off-site mitigation is taking place and the project parcel are in common ownership, and that owner is a permanent entity, such as a town or a school district, that is not likely to transfer ownership of either - 20 parcel. Treatment of off-site mitigation sources is only allowed as described in section 3.C.2 of the

Chapter 501 Stormwater Management Compensation Fees and Mitigation Credit Rules. 5.4 Compensation Fees The Maine Stormwater Management Law (38 MRSA § 420-D) and its accompanying regulations (DEP

Chapter 500 and 501) address some of the problems associated with off-site mitigation discussed above by allowing an alternative known as the Compensation Fee Program. The law recognizes the difficulties a state agency would have in tracking and insuring the maintenance of off-site BMPs used for mitigation on a project. The regulations therefore allow mitigation credit only for the elimination or reduction (by land use change) of off-site sources of phosphorus (Chapter 501, Section 3.C.1) and the limited off-site treatment options described in Chapter 501, Section C.3.2.As an alternative to project based off-site treatment mitigation, the Compensation Fee Program allows the department to let the developer offset a portion of the phosphorus reduction required for the project to meet its phosphorus budget by paying a compensation fee to an approved regional organization that performs watershed management activities.

The authorized local entity accumulates compensation fee funds in accounts for each individual lake watershed, and uses these funds to provide long term solutions to priority chronic phosphorus sources within the watershed.

The Compensation Fee option is only available on some lakes. Lakes for which the option is not available include many small, relatively undeveloped lake watersheds that happen to be in a region of high growth. In these cases there are few if any opportunities to address existing problems in the watershed. It may also include watersheds where a large amount of restoration work has already been performed and any problems remaining to be addressed are more expensive than what the compensation rate can cover. Lastly, it includes areas where there are no local watershed management agencies (i.e. soil and water conservation districts, watershed districts, etc.) interested in developing and implementing mitigation projects. The regional organizations which the Department has approved for management of compensation funds and implementation of compensation projects have each developed a list of lakes for which they will accept compensation fees. Developers should not assume that the compensation fee is an option until they have checked with the Department to be sure it is available in the lake watershed in which the proposed development is located.

The Compensation Fee option is only available if the project incorporates onsite treatment and mitigation measures that reduce the pre-treatment phosphorus export by at least 60%. To express this in terms of the worksheets used to calculate project phosphorus export, the sum of post-treatment export expressed on Worksheet 2 must be less than or equal to 0.4 times the sum of pre-treatment export expressed on Worksheet 2 in order for a project to offset any additional phosphorus reductions through payment of a compensation fee.

In addition to the above limitations, the Compensation Fee option is not available for residential subdivision projects unless the wooded or meadow buffers are the only BMPs used to provide the reduction in pre-treatment phosphorus export.

Compensation Fee Calculations:

Projects in lake watersheds regulated by the state under the Stormwater Management Law may have the opportunity to use compensation fees to help meet their project's phosphorus budget as required by that law. These projects may, however, also come under local

regulation, which may or may not recognize compensation fee payment as an alternative to on-site reduction of phosphorus export. If it is available for the lake in question, the Compensation Fee option allows the developer to off-set the difference between the projects phosphorus export and the project’s phosphorus budget by paying a compensation fee based on the amount, in pounds of phosphorus, of that difference.

The current compensation rate (August 2015) is $25,000 per pound for a project that provides on-site reduction of pre-treatment phosphorus export by 60%. The fee becomes progressively less as on-site - 21 reduction of pre-treatment export is reduced, as shown in Table 5.1 below. This means that if a project's phosphorus budget was 0.6 lb P/yr and, after application of reasonable BMPs, the project export could only be reduced 60% to 1.0 lb P/yr, the remaining 0.4 lb reduction required to meet the project's budget could be offset by a compensation fee payment of $10,000 (0.4 lb x $25,000 /lb). Exemptions to the compensation fee application are stated in Chapter 501(3)(C)(3).

Table 5.1 Compensation Fee per Pound of Phosphorus Export Percentage Of Project Phosphorus Export Additional Phosphorus Compensation Fee ($/pound)-fees are prorated 60% $25,000 75% $12,500 100% $0 Note:

a. 25,000 per pound fee is reduced by $500 per percentage point of project’s phosphorus export between 60 and 75%.

b. $12,500 per pound fee is reduced by $834 per percentage point of project’s phosphorus export over 75%.

Example 9: Project Phosphorus Export Summary for Subdivision Development Problem: The Project Phosphorus Export for a subdivision project called ‘Sunnydays’ is similar to the ‘Homesweet Home Subdivision’, but it can only meet its post-treatment phosphorus export for some of the lots. Determine whether the project as proposed meets its phosphorus budget and what will the compensation fee be.

Solution: Use Worksheet 4 to summarize the Project Phosphorus Export as shown below.

Worksheet 4 Project Phosphorus Export Summary Summarizing the project’s algal available phosphorus export (PPE)

Project name: Sunnydays Subdivision Project Phosphorus Budget – Worksheet 1 PPB 0.995 lbs P/year Total Pre-treatment Phosphorus Export Worksheet 2 Pre-PPE 3.155 lbs P/year Total Post-treatment Phosphorus Export – Worksheet 2 Post-PPE 1.213 lbs P/year Total Phosphorus Mitigation Credit - Worksheet 3 TMC 0.0 lbs P/year Project Phosphorus Export (Post-PPE - TMC) PPE 1.213 lbs P/year The calculated PPE of 2.213 lbs P/year is more than the PPB of 0.995 lbs P/year by 1.218lbP/year; and the project does not meet its phosphorus budget.

A compensation fee is available to off-set the 1.218 lb P/year difference because treatment is buffer only, and the treatment level is more than 60% (Post-PPE/Pre-PPE).

The PPE has been reduced by 61.55% (1 - (1.213/3.155)). The fee is prorated at 1.55% less than the fee for 60% or $25000 – 1.55($12,500/15) or $23,708 per pound.

The compensation fee for Sunnydays Home Project is $5,168 ($23,708x0.218).

• 22 - Alternative performance standards may be used for certain smaller, residential projects. These generally include specific development restrictions and the use of Low Impact Development (LID) practices.

Chapter 6 -Performance Standards for Smaller Projects 6.1 - Single Family Residences and Small Subdivisions with No New Road There are some kinds of relatively low impact, residential development where the level of analysis applied in the previous sections may be inappropriate or unreasonable.

This section prescribes comparatively simple, alternative performance standards which may be applied to: (1) new single family residences or duplexes on existing lots which are not part of a subdivision that has already incorporated appropriate phosphorus controls; and (2) subdivisions of five or fewer lots that do not involve the construction of a new road or expansion of an existing road. New residential developments which fall into either of these categories may meet their phosphorus control obligations by incorporating the phosphorus control measures listed either under Basic Single Family Residential Lot Standards or Alternative Single Family Residential Lot Standards below; and by maintaining these measures over the long term.

Basic Single Family Residential (SFR) Lot Standards. The Smaller residential development following basic Single Family Residence Lot Standard is the projects can use alternative preferred way of addressing new development of individual performance standards to meet their residential lots or small residential subdivisions that do not phosphorus control obligations. include a new road. A project must meet all provisions of the These generally involve restrictions standard. The standards for appropriate buffer design and on disturbance, buffers and maintenance are presented below. impervious area or the incorporation of Low Impact Development (LID)

Alternative Single Family Residential Lot Standards. A techniques. property owner or developer may choose not to meet the Basic Single Family Residential Lot Standard due to site constraints or design preference. In situations where the Basic Standard is not met on a project, the project must meet the following Alternative Single Family Residential Lot Standards.

Meeting this standard may require the use of more than one LID practice on the site, due to existing site topography and the layout of the property. For example, half of the roof may drain to the front of a building while the other half drains to the back of the building, and the lawn and driveway/parking area drain off to one side of the property. Drainage in each of these directions must be captured and treated using an LID practice. The selection, size, and location of the LID practices used on a given site will depend on the size of the area draining to each practice and the impervious area versus lawn area. While this may not always be feasible, applicants are encouraged to maintain natural buffers to the extent possible as a primary LID technique, which can then be augmented by other practices on the site. Guidance on how to size each LID practice is found in section 6.2 below.

• 23 - Requirements for New Single Family Lot Development Basic SFR Lot Standard Alternative SFR Lot Standards Disturbance on an individual lot must be less than Low Impact Development (LID) practices are used 15,000 square feet (including building, driveway, and sized to treat 0.5 inches of runoff from all walkways, lawn area, construction access, impervious surfaces on the site, and 0.2 inches o grading). And, no more than 7,500 square feet of runoff from all disturbed pervious areas of the site impervious cover is located on the property. (lawn).* A minimum natural vegetated buffer must be The LID practices installed on the site are maintained downgradient of all developed area on maintained in perpetuity. If necessary, LID the lot. This buffer shall be 35 feet deep if naturally practices may be replaced with new LID practices forested or 50 feet deep if maintained as a natural as long as the overall site treatment standard meadow.* above is met.

A minimum of 25 percent of the lot area must be maintained as undisturbed natural area.* * If the lot or a portion of the lot is located within a watershed of a Lake Most at Risk from New Development, an Urban Impaired Stream, or other impaired or sensitive waterbodies as designated by the municipality for the purposes of this standard, a minimum of:

• 50 feet if naturally forested buffer, or 75 feet if maintained as meadow must be maintained downgradient of all developed area on the lot, • A minimum of 40% of the lot area must be maintained as undisturbed natural area.

If the existing land has been disturbed by prior activities, a natural vegetated buffer and/or undisturbed natural area may be proposed through restoration and revegetation. * If the lot or a portion of the lot is located within watersheds of Lakes Most at Risk from New Development or other impaired or sensitive waterbodies as designated by the municipality for the purposes of this standard, the project must treat one inch of runoff from impervious surfaces and 0.4 inch from disturbed pervious surfaces. 6.2 – Low Impact Development Practices Low Impact Development (LID) practices can be used to capture and treat runoff from residential rooftops, non-rooftop impervious areas such as paved driveways, patios and walkways, and maintained lawn areas. While there are a number of practices considered to be LID practices, a lengthy discussion of these is not practicable for this volume but can be found in Volume III of this manual. The most popular LID practices are the following:

• Buffers, • Underdrain soil filters (rain gardens and swales), • Infiltration practices (dry wells and infiltration trench), • Pervious pavements.

The design and maintenance standard for Buffer are presented below, and should be applied to projects meeting the Basic SFR Lot Standard. Design and maintenance standards for other LID practices (i.e. underdrain soil filters, dry wells and infiltration trenches, pervious pavements, rain barrels and cisterns, green roofs, stormwater planters, micro bio-inlets) are described in detail in the Maine LID Guidance Manual (September 2007), http://www.maine.gov/dep/land/watershed/materials/lid-guidance-manual.pdf, and these should be applied to projects meeting the Alternative SFR Lot Standards.

Vegetative Buffers Vegetative buffers are areas of dense forest or meadow vegetation located adjacent and downgradient of developed areas that provide storage and treatment for stormwater that enters them in diffuse overland flow. They should be designed, implemented and maintained in accordance with the following:

• Discharge of stormwater to the buffer: It is essential that the stormwater entering the buffer not be channelized prior to discharge into the buffer. Grading of developed areas upgradient of the buffer must be done in a way that maintains diffuse overland flow and avoids concentration of the runoff.

• 24 - • Topography: The topography of a buffer area must maintain well-distributed stormwater runoff and cannot allow stormwater runoff to concentrate as it flows across the buffer. Flow paths of runoff through a buffer must not converge, but must be essentially parallel or diverging.

• Vegetative cover: The vegetative cover of a buffer must be either forest or meadow. In most instances the sizing of a buffer varies depending on vegetative cover type.

• Forest buffer: A forest buffer must have a well distributed stand of trees with essentially complete canopy cover, and must be maintained as such. A forested buffer must also have an undisturbed layer of duff covering the mineral soil. Activities that may result in disturbance of the duff layer are prohibited in a buffer • Meadow buffer: A meadow buffer must have a dense cover of grasses, or a combination of grasses and shrubs or trees. A buffer must be maintained as a meadow with a generally tall stand of grass, not as a lawn. It must not be mown more than twice per calendar year. If a buffer is not located on natural soils, but is constructed on fill or reshaped slopes, a buffer surface must either be isolated from stormwater discharge until a dense sod is established, or must be protected by a three inch layer of erosion control mix or other wood waste material approved by the department before stormwater is directed to it, with vegetation established using an appropriate seed mix.

• Mixed meadow and forest buffer: If a buffer is part meadow and part forest, the required sizing of the buffer must be determined as a weighted average, based on the percent of the buffer in meadow and the percent in forest.

• Deed restrictions and covenants: Areas designated as vegetated buffers must be clearly identified on site plans and protected from disturbance by deed restrictions and covenants.

• 25 -

Appendix A - Phosphorus and Lake Water Quality The Relationship between Phosphorus and Lake Water Quality: Lakes are biological systems that are clearly affected by changes in water quality. They are most noticeably affected by an increase in nutrients, particularly phosphorus. Increases in phosphorus usually result in more noticeable changes to water quality than increases in other nutrients. Algae, which are microscopic organisms common in lakes, need phosphorus in order to grow. Consequently, when phosphorus is abundant in lake water, algal populations soar in number, causing a decline in water transparency. In some cases, algal blooms may occur causing the growth of billions of algae to color the lake water green and release strong odors as they decay.

Beyond the aesthetic impacts, algal blooms have serious impacts on a lake's biological community.

Through a complex chain of events, algal blooms lead to depletion of the lake water's oxygen supply, usually resulting in the eventual loss of trout and salmon (cold water) fisheries. In addition, large algal populations cause odor, taste, and treatment problems in lakes used for public water supplies.

The biological term for the process described above is eutrophication, which can manifest itself over time as a gradual increase in the lake nutrient concentrations under natural conditions. Lake eutrophication can be dramatically accelerated by human activities, causing the noticeable changes described above in a relatively short period of time. Many lakes in Maine have already experienced dramatic declines in water quality as a result of human disturbances.

How Phosphorus Gets into Lakes: Understanding how phosphorus gets into lake water requires an understanding of where lake water comes from. Precipitation and stormwater runoff are significant sources of water in rivers and lakes. Rain and melting snow flow downhill over the land surface into streams and lakes or seep into the ground becoming groundwater, which also ultimately discharges to streams and lakes.

The land area that contributes water to a particular lake is known as its watershed. Watershed boundaries can be identified by connecting points of highest elevation around a lake and its tributaries. All rain and snow falling within this area eventually flow by gravity in surface runoff, streams, and groundwater to the lake, which is the lowest point in the watershed.

The quality of water in a lake depends on the condition of the land in its watershed. Phosphorus is abundant in the environment, but in an undisturbed environment it is tightly bound up by soil and organic matter for eventual use by plants. Natural systems conserve and recycle nutrients, water, and other materials needed to sustain plant growth. Water is stored in depressions on the uneven forest floor and seeps into the ground to become groundwater, thereby preventing it from running over the land surface and exporting valuable nutrients from the system.

Land development changes the natural landscape in ways that alter the normally tight cycling of phosphorus. The removal of vegetation, smoothing of the land surface, compaction of soils, and creation of impervious surface combine to reduce the amount of precipitation stored and retained onsite, dramatically increasing the amount of water running off the land as surface runoff.

These changes to the land surface and the associated increase in surface runoff dramatically increase phosphorus export. Land disturbance upsets the environment's ability to retain phosphorus.

Stormwater flowing over the land surface picks up phosphorus and transports it in soluble form or attached to eroded soil particles. The phosphorus in stormwater comes from natural and human sources, including eroded soil, road dust, plants, lawn fertilizer, and detergents. The smooth surfaces, closely cropped lawns, and compacted soils common in developed areas do not retain phosphorus, and only speed its export by generating surface runoff. The end result is more phosphorus is stormwater, and thus more phosphorus in lakes.

• 26 - A study in Maine has documented the elevated levels of phosphorus exported from developed land (Dennis, 1985). In adjacent watersheds, one developed and one undisturbed, phosphorus export from the developed watershed was up to 10 times greater than the export from the forested watershed.

Because the built watershed was developed years ago, these figures represent the permanent increase in phosphorus export caused by alteration of the landscape. This permanent increase in the phosphorus supply of the lake creates an equally permanent and irreversible decline in water quality.

Though in most lakes the majority of phosphorus comes from the watershed, there is another source of phosphorus that can be very significant in some lakes. Over the centuries phosphorus rich organic sediments have accumulated on the bottom of our lakes. In most cases, the phosphorus in these sediments is trapped there by a blanket of iron hydroxide and or aluminum hydroxide, which makes the sediments a sink for, rather than a source of, phosphorus. However, in lakes with sufficient algal production to cause a severe loss of oxygen concentrations above the sediments, the iron hydroxide blanket dissolves and large amounts of phosphorus may be recycled into the lake water. The "surges" of phosphorus feed algal growth which further depletes dissolved oxygen, thus creating a vicious cycle of very rapid, internally driven eutrophication. This process, which can be initially triggered by relatively small increases in phosphorus input from the watershed, may drive a lake from apparently good, clear water quality to having intense algal blooms in a matter of years. It is particularly important to limit any increases in phosphorus input from the watershed to lakes with a high potential for sediment phosphorus recycling.

How Stormwater Phosphorus can be controlled: All land disturbance and development in a lake's watershed increases phosphorus export to a lake. Although some increase must be accepted as the inevitable and unavoidable effect of development, a variety of measures can substantially reduce phosphorus export to lakes and help to preserve good water quality.

The simplest way to reduce phosphorus export is to limit clearing of vegetation and minimize the area developed, especially road length. Beyond this, a variety of control measures are available. They generally focus on detaining and storing stormwater where it can be treated and released or infiltrated into the soil.

Buffer areas are naturally vegetated areas preserved downslope of developed areas. These buffers intercept and store surface runoff, allowing it to infiltrate rather than flow off-site as surface flow.

Infiltration systems are more sophisticated. Runoff is collected from rooftops, driveways and/or impervious parts of a lot and then directed to surface or underground storage, similar to a subsurface disposal area, from which wastewater infiltrates into the soil. Soils must be fairly deep, coarse, and permeable for infiltration systems to work.

Underdrained soil filters are similar to infiltration systems in that runoff is collected and directed to a storage depression, but the depression is vegetated with flood and drought tolerant species and is lined with a specific soil filter media which is underlain with a pipe system to discharge the filtered runoff.

Wet ponds are generally used to treat runoff from a large area. They receive and retain stormwater from large drainage areas, allowing sediment to settle out and dissolve phosphorus to be removed by biological activity.

Development can proceed in lake watersheds without generating more phosphorus than the lake can tolerate by limiting the extent of development and incorporating one or more of these phosphorus controls. Once a lake has accepted more phosphorus than it can tolerate, there will be a noticeable decline in water quality.

• 27 -

Appendix B - DEP’s Method for Defining Watershed per Acre Phosphorus Allocations The Department defines per acre phosphorus allocations (P) for lake watersheds and these are presented in Appendix C. The list in Appendix C is not complete, so if a per acre allocation for a town's portion of a lake watershed is needed and it is not listed in Appendix C, request the Division of Watershed Management to provide a per acre allocation for the desired watershed. The Department will continually update Appendix C, both by adding new lakes to the list and by revising allocations for lakes already on the list as new information becomes available. This Appendix describes the process the Department uses to define watershed per acre phosphorus allocations.

Step 1. Defining the Acceptable Increase in Lake Phosphorus Concentration (C)

The first step is to determine how much the lake's phosphorus concentration could be increased without risking a perceivable increase in its algal production or a decline in its healthy, natural fish community.

This value, the acceptable increase in lake phosphorus concentration (C), is a function of two variables:

Water Quality Category of the lake and the Level of Protection appropriate for the lake. The Department has assigned Water Quality Categories to each lake for which sufficient water quality data is available based on the information in the following table. If insufficient data is available, the lake is assigned a default water quality category of Moderate Sensitive.

Lake Water Quality Categories Category Conditions Outstanding Exceptional clarity; very low phosphorus and chlorophyll concentrations; low risk of internal recycling from sediments Good Average to better than average clarity, phosphorus and chlorophyll; low risk of internal recycling from bottom sediments Moderate Sensitive Average clarity, phosphorus and chlorophyll; high potential for internal recycling from the bottom sediments Poor (Restorable)

Poor clarity; high phosphorus and chlorophyll concentrations; supports blue green algal blooms; good prospects for restoration Poor (Natural)

Poor clarity; high phosphorus and chlorophyll concentrations; supports blue green algal blooms; poor prospects for restoration because lake is naturally very productive - 28 - Step 2. Determine the Allowable Increase in Annual Phosphorus Load The next step is to determine how much the annual phosphorus load to the lake could be increased without risking an increase in lake phosphorus concentration greater than the acceptable increase (C) defined in Step 1.

This is accomplished by multiplying "C" by a lake specific coefficient (F) that estimates the amount of increase in annual phosphorus load to the lake that will result in a 1.0 ppb lake phosphorus concentration. Where a lake has upstream lakes draining to it, "F" represents the direct watershed's (that portion of the total watershed that does not first pass through an upstream lake) share of this load.

Where a lake's direct watershed is located in more than one town, "F" reflects the given town's portion of the load. "F" is derived using a steady state solution of Vollenweider's 1976 phosphorus loading model and is expressed in lbs/ppb/year.

Allowable increase in annual phosphorus load = F x C or FC Step 3. Determine the Per Acres Phosphorus Budget (P)

The next and final step is to determine the per acre phosphorus budget (P, in lbsP/acre/year) by allocating the allowable increase in annual phosphorus load (FC) over the portion of the direct watershed This is accomplished by projecting how much of the direct watershed area is likely to be developed (D, in acres) and dividing FC by this acreage.

P = FC / D

"D" is estimated by:

• Determining the area available for development within the town's share of the direct watershed by subtracting undevelopable acreage (i.e. wetlands, steep slopes, state parks) and already developed land from direct watersheds area.

• Projecting how much of the area available for development will be developed over time based on: o The general growth rate in the town or region o The quality, density and distribution of the road network within the town's share of the direct watershed o Other lake specific, locally identified information - 29 -

Appendix C - Per Acre Phosphorus Allocations for Selected Maine Lakes The attached spreadsheet presents per acre phosphorus allocations (P) for all the lake/town combinations that have been calculated to this point. This Appendix will be modified on a regular basis as additional lake/town combinations are added and allocations are amended as new information becomes available. If you do not find the lake watershed/town combination you are looking for in the appendix, contact Jeff Dennis at the DEP Division of Environmental Assessment (207-287-7847 or jeff.dennis@maine.gov) to request an allocation.

• 30 -

Appendix D - Worksheets The Excel spreadsheet provides four worksheets to assist in the calculations required to determine:

• Worksheet 1, Project Phosphorus Budget (PPB)

• Worksheet 2, Pre-treatment and Post-treatment Phosphorus Export Calculations • Worksheet 3, Mitigation Credits • Worksheet 4, Project Phosphorus Export Summary The spreadsheets have the calculations built into them and can be used either as active excel spreadsheets or may be printed out as worksheets for use by hand.

• 31 -

Appendix E - Alternative Method for Small Commercial-type Developments Located within Designated Growth Areas It can be difficult for densely developed projects on small parcels to meet their phosphorus budgets.

Because of the density of high phosphorus producing surfaces like parking lots and lawns, the stormwater draining these projects carries relatively large amounts of phosphorus. The small parcel size, however, means that the phosphorus budget for the parcel will also be small. As a result, highly intensive phosphorus control measures, which are often fairly costly, may be required for the project to meet its In these cases it may cost less to develop outside the designated growth area where land is more readily available for larger parcel sizes (and hence larger project phosphorus budgets) and for less intensive, and less expensive, phosphorus control measures like natural wooded buffers. If a municipality is concerned that the phosphorus budget will counter local planning efforts by being a disincentive for locating development within designated growth areas, they may request that the department allow commercial developers within their designated growth areas to use an alternative means of defining the project phosphorus budget. This alternative is described below.

To prevent sprawl and encourage building within designated growth areas, a municipality may request that projects with no more than 1.0 acre of impervious surfaces (building, parking, driveways, both paved and gravel) located on a small parcel with less than 5 acres within an area specifically designated for commercial growth in the municipality's DEP approved comprehensive plan be allowed to calculate the site's PPB as follows:

Alternative PPB Calculation for a Small Commercial-type Development (as defined by having less than 1 acre of impervious area and on a parcel that is less than 5 acres and located within a designated growth area)

The alternative PPB shall be the lesser of the following:

• Option A = PPB = PPB as calculated (using Worksheet 1) multiplied by 5, or • Option B = PPB = Project's proposed impervious area multiplied by 0.5 lb per acre Example: PPB for Small Commercial Development Problem: 'Parking for Rent' is proposing a one acre impervious parking lot on a 1.5 acre lot within the identified growth zone of a watershed with a phosphorus allocation of 0.03 lb/acre/year. The proposed treatment is through a buffer. Calculate the Project Phosphorus Budget.

Solution: The standard PPB would be 1.5 acre X 0.03 lb/acre/year = 0.045 lb P /year.

However, since the project is a small commercial-type development with no more than 1 acre of impervious area and on a parcel that is less than 5 acres and is located in a municipality's designated growth area, the alternative method for calculating the PPB may be used upon request by the municipality. The alternative PPB calculation is the lesser of:

• Option A. Standard PPB (as calculated on Worksheet 1) X 5 = 0.045 lb P /year X 5 = 0.225 lb P /year • Option B. Project's Proposed Impervious Area X 0.5 lb P /acre / year = 1 acre X 0.5 = 0.5 lb P /year Thus, the PPB is 0.225 lb P /year as in Option A.

• 32 -

Chapter 10

Code Me. R. 01-672 Ch. 10 Introduction {#sec-01-672-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 10}

Chapter 2 The Watershed Phosphorus Budget 2.1 Watershed Per-Acre Phosphorus Allocation 2.2 Project Phosphorus Budget (PPB)

Chapter 3 Meeting the Project’s Phosphorus Budget 3.1 Estimating Stormwater Phosphorus Export from the Project 3.2 Redevelopment or Expansion of Existing Uses 3.3 Options for Reducing Phosphorus Export 3.4 Estimating Project Phosphorus Export after Treatment (Post-PPE)... 3.5 Evaluating Project Overall Phosphorus Export

Chapter 4 Treatment Factors for Phosphorus BMPs 4.1 Rules of Thumb for BMP Design and Selection 4.2 Common BMPs and their Standard Sizing 4.3 Determining BMP Phosphorus Treatment Factors 4.4 Minimum Treatment Factors 4.5 Multiple BMPs Placed in Series

Chapter 5 Credits for Mitigation and Compensation Fees 5.1 Types of Mitigation 5.2 Estimating Credits for Mitigation 5.3 On-site vs. Off-site Mitigation 5.4 Compensation Fees

Chapter 6 Performance Standards for Smaller Projects 6.1 Residential Lots and Small Subdivisions with No New Road 6.2 LID Practices

Appendix A Phosphorus and Lake Water Quality

Appendix B DEP’s Method for Defining Watershed Per Acre Phosphorus Allocations

Appendix C Per Acre Phosphorus Allocations for Selected Maine Lakes

Appendix D Worksheets

Appendix E Alternative Method for Small Commercial-type Developments Located Within Designated Growth Areas Excess Phosphorus Levels in a Lake Can Cause Dense Blooms of Blue-Green Algae which Cause:

• Murky green water • Odors • Depleted oxygen levels in the deep, cold water which can lead to fish kills

Chapter 1 Introduction Phosphorus is a nutrient that controls the level of algae production in lakes. Algae are microscopic organisms that grow suspended in the open water of the lake or in concentrated clumps around the shallow margins of the lakeshore. The amount of algae in the lake water affects the clarity of the water, as well as the amount of well oxygenated, cold water available to cold water fish species (trout and salmon) in the summer months. Low phosphorus concentrations yield clear lakes with plenty of deep, well oxygenated cold water. High phosphorus concentrations yield cloudy lakes and oxygen may be severely depleted or eliminated from the deep, cold water in the summer months. Very high concentrations cause dense blooms of blue-green algae, which turns the water a murky green and accumulate as an odorous scum along the shoreline (for more information about lakes and phosphorus see Appendix A).

Phosphorus, a common nutrient typically associated with soil particles and organic matter, mostly reaches the lake in stormwater runoff from the lake's watershed, the land area draining to the lake. Since the portion of stormwater phosphorus that support algae growth tends to be associated with small, lightweight soil particles, it is easily carried by stormwater and can be delivered to the lake from anywhere in the watershed.

The amount of phosphorus reaching the lake depends on what the stormwater runs over on its way to the lake. For example, forested areas do not readily release phosphorus to stormwater due to duff and canopy coverage whereas developed areas, such as residential, commercial or industrial areas, contain high levels of phosphorus, which are readily released to stormwater runoff, yielding higher lake concentrations. Generally speaking, the more developed a lake's watershed is, the higher its phosphorus concentration will be (for more information about phosphorus sources and transport see Appendix A).

This volume addresses long-term phosphorus loadings to lakes by setting standards to limit phosphorus contributions from new developments, and outlines guidelines to meet these standards.

It does not address the short term, often catastrophic, increase in stormwater phosphorus that can result from unmitigated soil erosion during the construction process (see Maine DEP Erosion and Sediment Control BMPs for information about addressing erosion from construction sites).

High phosphorus levels in lakes The standards in this volume focus on limiting, not preventing, cause dense algae blooms, which phosphorus contributions from new developments to lakes and can accumulate along the shoreline they are not likely to be applied to all new phosphorus sources in as shown above. a lake's watershed. As such, the implementation of stormwater management alone may not be sufficient to prevent a noticeable decline in lake water quality. To effectively maintain lake water quality, the elimination of existing significant sources of phosphorus would be necessary.

Chapter 2 of this volume presents the basic phosphorus standard for new development. Chapters 3 through 6 present a procedure for new developments to meet the standard that can be used by developers and reviewing agencies (i.e. planning board). The Appendices provide detailed supporting information.

• 1 -

Chapter 2 -The Watershed Phosphorus Budget Lakes are individuals, each one differing from the others with varying size, shape and depth. Specific lake characteristics will affect the way a lake will respond to additions of phosphorus.

The watersheds draining to lakes also vary as they can be large or small relative to lake size and can contribute relatively large or small volumes of stormwater and groundwater to the lake. The watershed can be entirely upland or it may contain a number of upstream lakes and wetlands. It may contain steep slopes and hilly terrain, or be relatively flat. Soils may range from loose sands or gravels to tight clays or shallow tills. Watersheds can range from completely forested to highly agricultural or heavily developed, and may be located in areas ranging from little to rapid growth. These factors, along with the characteristics of the lake itself, determine the potential for increased phosphorus, and hence algae, in the lake over time. This

chapter describes how to estimate the amount of additional stormwater phosphorus load to the lake, called phosphorus export that will be generated as a result of the project. It applies to commercial development projects and to subdivisions involving new road construction or expansion, or having more than five lots. 2.1 - Watershed Per-Acre Phosphorus Allocation The Department of Environmental Protection (DEP) has considered all of the factors described above in developing phosphorus budgets for the watershed of each lake. Each budget is based on how much additional phosphorus loading the lake could accept without risking a perceivable change in the lake's water quality. It then distributes this additional phosphorus load amongst anticipated new development sources in the lake's watershed on a per acre basis. The per acre phosphorus allocation (referred to as "P") defines how much phosphorus each acre of land in a lake's watershed is allowed to discharge in stormwater runoff when developed.

If a lake's watershed is located within more than one town, the value of P may vary slightly for each town, depending on its anticipated rate of growth. The process used to define watershed phosphorus budgets is presented in Appendix B.

For large subdivisions and commercial developments Lakes can only accept so much phosphorus before a significant decline in water quality occurs.

The Maine Department of Environmental Protection has developed phosphorus allocations for several Maine lakes to minimize phosphorus loadings and their impacts to lake water quality.

A lake's watershed boundary is dictated by local topography, generally following ridgelines or high points as shown by the shading above. Precipitation that falls within the watershed and is not ‘evapo-transpired’ reaches the lake as groundwater or stormwater runoff. The watershed and lake characteristics dictate the potential for increased phosphorus and algae in the lake over time.

(Chapter 3), P defines the average amount by which a development may increase the annual stormwater phosphorus exported to the lake from each acre of the parcel being developed.

For small projects, such as single family residences and additions to existing development (Chapter 6), the budget simply defines the type and size of phosphorus runoff controls, such as wooded buffers, which should be applied. Phosphorus allocation values range from about 0.02 lb/acre/year for very sensitive lakes in high growth areas to 0.15 lb/acre/year for less sensitive lakes in very low growth areas.

• 2 - P = Per Acre Phosphorus Allocation (lb/acre/year) = the watershed specific amount of stormwater phosphorus each acre of land within a parcel that is being developed is allowed to export annually. This is calculated by the DEP for selected Maine lakes as presented in

Appendix C.

If a P for a lake/town combination is not listed or if you have information that suggests the P for a lake should be higher or lower than that presented in Appendix C, contact DEP's Division of Watershed Management. 2.2 - Project Phosphorus Budget (PPB)

A project's phosphorus budget (PPB) is the maximum amount of algal available phosphorus, which in a typical year, may be exported from the new development. Algal available phosphorus refers to that portion of phosphorus the stormwater runoff transports which can support algae growth in the lake.

Typically about half of the total amount of phosphorus becomes available for algal growth.

PPB = Project's Phosphorus Budget = maximum amount of algal available phosphorus, which in a typical year, may be exported from the new development’s parcel.

To calculate the PPB, multiply the acreage of developable land in the project parcel by the peracre phosphorus budget for the lake.

The developable land area includes all land within the parcel's boundaries except for NWI (National Wetlands Inventory) mapped wetlands over an acre in size and areas of sustained slope greater than 25% that are over one acre in size.

All areas need to be in acres to the second decimal place.

Use Worksheet 1 in Appendix D for calculating project phosphorus budgets.

Special Considerations: Alternative method for small commercial-type development located within designated growth areas. It can be difficult for densely developed projects on small parcels to meet their phosphorus budgets.

Because of the density of high phosphorus producing surfaces like parking lots and lawns, the stormwater draining these projects carries relatively large amounts of phosphorus. The small parcel size, however, means that the phosphorus budget for the parcel will also be small. As a result, highly intensive phosphorus control measures, which are often fairly costly, may be required for the project to meet its In these cases it may cost less to develop outside the designated growth area where land is more readily available for larger parcel sizes (and hence larger project phosphorus budgets) and for less intensive, and less expensive, phosphorus control measures like natural wooded buffers. If a municipality is concerned that the phosphorus budget will counter local planning efforts by being a disincentive for locating development within designated growth areas, they may request that the department allow commercial developers within their designated growth areas to use an alternative means of defining the project phosphorus budget. This alternative is described in Appendix E.

• 3 - Example 1: PPB Calculation for Subdivision Development Problem: 'Homesweet Home Subdivision' is proposing a 12-lot subdivision on 40 acres. There are four acres of NWI wetlands and 1 acre of steep slopes. Calculate the PPB.

Solution: Use Worksheet 1 to calculate the PPB.

WORKSHEET 1 - PPB CALCULATIONS

Project Name: Homesweet Home Subdivision Standard Calculations Watershed per acre phosphorus allocation (Appendix C):

P 0.057 lbs/acre/year Total acreage of development parcel TA 40.00 acres Existing impervious area (Pre 1980) EIAB 0.00 acres Existing impervious area (post 1980) EIAA 0.00 acres NWI wetland acreage: 4.00 acres Steep slope acreage: SA 1.00 acres Project acreage: A 35.00 acres Project Phosphorus Budget:

PPB 1.995 lbs P/year Based on these calculations, the PPB is 1.995 lbs P/year.

Project phosphorus budgets for large projects located within relatively small watersheds.

If a particularly large project is proposed in a relatively small watershed, there is a chance that the project's phosphorus budget may, by itself, use up most of, or even exceed, the watershed's total phosphorus budget, leaving little or no room for additional development within the watershed. In order to avoid this problem, an alternative method for calculating the project phosphorus budget for such projects is provided in Worksheet 1 under Small Watershed Adjustment. For each lake, DEP has identified the parcel size that would trigger use of this alternative method, called the small watershed threshold. If a project's parcel size exceeds the small watershed threshold (SWT) acreage given for each lake in the list of per acre phosphorus budgets in Appendix C, the PPB should be calculated using the Small Watershed Adjustment calculations in Worksheet 1.

• 4 -

Chapter 3 -Meeting the Project’s Phosphorus Budget To determine if a project meets or exceeds its PPB, the project's phosphorus export (PPE) needs to be estimated. This section outlines the procedure for estimating the pre-treatment PPE (Pre-PPE), that is, the phosphorus export from the project before passing through a stormwater management practice designed to remove phosphorus (i.e. buffers, wet ponds). Estimating post treatment phosphorus export will be discussed in the next section.

A site’s phosphorus export must be calculated and compared to the Project Phosphorus Budget (PPB) to determine the extent of phosphorus reductions needed and the best method for achieving these reductions.

PPE = Project Phosphorus Export = amount of phosphorus that will reach the lake from a new development.

Pre-treatment PPE = Raw Phosphorus that the new development will create.

Post-treatment PPE = Phosphorus that will be discharged after treatment by all stormwater management treatment practices.

For all project development and subdivisions projects where the land use and impact has been determined and lot development will be restricted, the pre-treatment export is estimated by:

1. Dividing the project into various land use types (i.e. parking, roads, roofs, lawns by soil type), 2. Determining the area within each land use in acres and to the second decimal place, 3. Multiplying that area by the appropriate phosphorus export factor from Table 3.1 or Table 3.2 as is appropriate, and 4. Summing the resulting phosphorus exports to get the Pre- PPE.

Use the first four columns in Worksheet 2 in Appendix D to calculate the Pre-PPE.

The amount of phosphorus exported from a project site will depend on the land use and soil type, with greatest exports from impervious surfaces as the one shown here.

Table 3.1 gives pre-treatment phosphorus export for new commercial/industrial development and for roads in residential subdivision projects. Table 3.2 should be used for lots in residential subdivisions unless the dimensions and locations of buildings, driveways and lawns have been pre-determined, specifically restricted, and all construction and landscaping on the lot will be done by the developer, in which case the High Export Option from Table 3.1 may be used.

Table 3.2 gives pre-treatment phosphorus export for single family residential lots. In most cases, the specific area of the development on a lot (houses, garages, driveways, lawns) within the subdivision is usually not known. Table 3.2 must be used to determine the export from each lot unless the developer:

• Has pre-determined the area of each land use on each lot • Will be constructing the buildings and driveways and landscaping the lots, and • Will be restricting any further expansion of these land uses. A deed restriction will be required for each lot that incorporates an area restriction.

• 5 - The Low Export Option factors may be selected for commercial/industrial development and roads if all of the following are incorporated in the project:

• A deed restriction prohibiting the use of fertilizers containing phosphorus except when establishing new turf or vegetation on bare soil will be established for all lots. It is recommended that the use of fertilizer containing phosphorus always be limited.

• All roads, driveways and parking areas are paved.

• All ditches and drainage ways are designed, constructed and maintained as stable vegetated swales in accordance with the specifications in Volume III, Chapter 9, or as riprapped swales where required by steep slopes. The algal available phosphorus export for ditches and swales is based on soil type and is the same as the export from a lawn.

If all of these elements are not clearly and permanently incorporated in the project design, use the High Export Option factors of Table 3.1.

Table 3.1 Algal Available Phosphorus Export (pre-treatment) for Commercial Development and Subdivisions Low Export Option High Export Option Land Use Hydrologic Soil Group P Fertilizers restricted, roads and drives paved and constructed with stable swales (lb/acre/yr)

No restrictions on fertilizer use, road surface or ditch design and construction (lb/acre/yr)

Landscaped Areas, Lawns & Ditches A 0.1 0.2 B 0.2 0.4 C 0.3 0.6 D 0.4 0.8 Roads/Driveways N/A 1.25 1.75 Parking N/A 1.25 1.25 Roofs/Other N/A 0.5 0.5 Riprap/crushed rock N/A 0.3 0.6 - 6 - Table 3.2 Algal Available Phosphorus Export from Single Family Residential Lots (pre-treatment)

Hydrologic Soil Group With Area Restrictions Without Area Restrictions Cleared Area < 12,000 sq ft Driveway/Park < 1,750 sq ft (lb/lot/year)

No Restriction on cleared area or driveway/parking area (lb/lot/year) w/ 75% w/o 75% w/ 75% w/o 75% drive/park A 0.09 0.14 0.12 0.18 B 0.12 0.17 0.17 0.24 C 0.15 0.20 0.22 0.29 D 1.08 0.23 0.27 0.34 Note: Driveways and parking are considered to be draining directly to a buffer if the flow path to the buffer is 50 feet or less and if the runoff reaches the buffer in well distributed overland flow.

Note: phosphorus export values in this table assume a driveway of 150 feet in length, or less. If driveways will likely exceed 150 feet, the excess driveway length should be considered a road and its export calculated using Worksheet 2 and Table 3.1.

Example 2: Pre-treatment PPE Calculation for Commercial Development Problem: 'Good Intention Business Mall' is proposing a business mall on 6 acres. The development will consist of 3.5 acres of paved parking; a 0.5 acre paved access road, 1.5 acres of buildings and 0.5 acre of lawn. A deed restriction is proposed, prohibiting the use of fertilizers containing phosphorus. Soils on the site are classified as Hydrologic Soil Group C. Calculate the pre-treatment PPE for the proposed project.

Solution: Use Table 3.1 and Worksheet 2 to calculate the pre-treatment Algal Average Phosphorus Export.

Pre-PPE Calculations Good Intention Business Mall Development Type:

Commercial Land Surface Type of Lot #(s) with description Acres or # of lots from Table 3.1 Algal Av. P Export Parking (pavement) 3.50 1.25 4.375 Access Road (low export) 0.50 1.25 0.625 Buildings 1.50 0.50 0.750 Lawn 0.50 0.30 0.150 5.900 Based on these calculations, the pre-treatment PPE is 5.9 lbs P/year.

• 7 - Example 3: Pre-PPE Calculation for Subdivision Development Problem: The 'Homesweet Home Subdivision' in Example 1 involves the development of 12 lots and 0.5 acres of road. Four lots will be constructed on HSG B soils with no restrictions on cleared area or driveway/ parking area. Eight of the lots will be constructed on HSG C soils and will have restrictions to minimize site clearing to <12,000 square feet each and to minimize driveway/parking areas to <1,750 square feet. Six of the restricted lots will not direct 75% of the driveway and parking area runoff to a buffer. Two of the restricted lots will direct the stormwater runoff from 75% or more of the driveways and parking areas to a buffer. Driveways from two of the lots will exceed 150 feet in length, with an anticipated 0.056 acres of driveway over the 150 length. The proposed road will be paved.

Calculate the pre-treatment PPE for the proposed subdivision.

Solution: Use Tables 3.1 and 3.2 and Worksheet 2 to calculate the pre-treatment Algal Average Phosphorus Export.

Pre-PPE Calculations Homesweet Home Development Type:

Residential Land Surface Type of Lot #(s) with description Acres or # of lots from Table 3.1 Algal Av. P Export Lots 1-4 (HSG B) no restriction, w/o 75% to buffer 4 0.24 0.96 Lots 5-10 (HSG C) <12,000 sqft clearing, w/o 75% to buffer 6 0.20 1.2 Lots 11 & 12 (HSG C) <12,000 sqft clearing, w/ 75% to buffer 2 0.15 0.30 Lots 2 & 3 driveway access > 150 feet 0.056 1.25 0.07 Subdivision Road (low export) 0.50 1.25 0.625 3.155 Since two of the driveways exceeded 150 feet in length, the excess driveway length was considered a road and its export calculated as such.

Based on these calculations, the Pre-treatment PPE is 3.155 lbs P/year.

• 8 - 3.1 - Redevelopment or Expansion of Existing Uses Phosphorus export need not be estimated for any land uses that were in existence prior to 1997 (prior to 1980 for projects that require a Site Location of Development Act (SLODA) Permit from the DEP). For any proposed project that will be built within a parcel having existing development (built before 1997 or 1980 for SLODA projects) that will be enlarged, upgraded or expanded, the phosphorus export should only be estimated for the net increase. This would apply to the redevelopment or expansion of any existing buildings, parking, roads and lawns. Any existing development or land disturbance that was created after 1997 (1980 for SLODA Projects) must be included as a new phosphorus export. This includes logging roads, new access roads, and all other projects created from an undisturbed condition that did not require a phosphorus design and permit at the time of construction.

For example, if a proposed subdivision is served by an existing 2000 foot gravel road, which was built before 1997, and will be upgraded and expanded from a width of 14 feet to a width, with shoulders, of 24 feet, the phosphorus export should only be estimated for the net increase in road area, or 10 feet x 2000 feet = 20,000 square feet. 3.2 - Reduction of Phosphorus Export Most projects will generate more phosphorus than the project's phosphorus budget (PPB) will allow. In order to meet the budget, the excess phosphorus export must be reduced. Comparison of the pretreatment PPE with the PPB will determine how much export will need to be reduced. This section describes options for reducing phosphorus export and how to estimate phosphorus export after treatment.

There are two basic options for reducing long term phosphorus export.

Option 1. Redesign to Reduce Phosphorus Export: The first option is to redesign the project so that initial phosphorus export is minimized. This can be accomplished by:

• Limiting the size or intensity of the project (i.e. reducing the number of lots, the length of roads, the size of a parking area), • Locating the developed portion of the project on the best soils and shallowest slopes, and • Incorporating such measures as clearing restrictions and limitations on the use of phosphorus fertilizers.

These reductions in phosphorus export will be reflected in the calculation of pre-treatment PPE described in the previous section.

Option 2. Implement Best Management Practices (BMPs): The second option for reducing a project's stormwater phosphorus export is to incorporate stormwater best management practices (BMPs) to remove phosphorus from the stormwater before it leaves the site. Some examples of BMPs are vegetated buffer areas, wet ponds, soil filters and infiltration beds. Volume III presents detailed design standards for a number of commonly used BMPs.

All BMPs are not created equal. Some BMPs do a better job of removing phosphorus from stormwater than others. Also, within a given type of BMP, differing designs or locations may result in different levels of effectiveness is removing phosphorus. For example, a broad, wooded buffer on permeable soils with a shallow slope will retain much more phosphorus than a narrow, field buffer on tight soils and steeper slopes. For stormwater treatment ponds, such as wetponds, the size of the pond relative to its contributing watershed, its depth, and its shape determine its effectiveness.

In this Volume, a BMP's effectiveness in treating stormwater runoff is described in terms of a "treatment factor". The Treatment Factor (TF) indicates the fraction of stormwater phosphorus that will pass through the BMP and not be retained. For example, if a wooded buffer was projected to retain 60% and discharges 40% of the inflow phosphorus, it would have a treatment factor of 0.4 and a removal efficiency of 0.6. A simple way of estimating treatment factors for a variety of BMPs based on an adjustment of the standard sizing specifications for BMPs described in Volume III of this manual is presented in Chapter 4 of this volume.

• 9 - When planning the project, the project designer should look for opportunities to locate the most effective BMPs (those with the highest removal efficiency) to collect runoff from the portions of the project which produce the most phosphorus export (i.e. roads, parking areas, driveways, house lots). If the project site is large enough, the preferred BMP is a natural wooded buffer area located immediately downhill of the stormwater source area. Buffers are preferred because they are natural and they require little, if any, maintenance (just don't cut the trees or disturb the ground cover). The critical element in siting buffers is to insure that the stormwater runoff enters the buffer in overland, non-channelized flow that will not concentrate into a channelized flow within the buffer. By comparison, other BMPs require site specific design and careful construction as well as regular inspection and maintenance.

RE = Removal efficiency = The fraction of stormwater phosphorus that will be removed by the BMP. The higher the removal efficiency, the more effective it will be at retaining phosphorus from reaching the resource.

TF= Treatment factor = (1.0 - RE) = The fraction of the stormwater phosphorus that will pass through a BMP and not be retained. The lower the treatment factor, the more effective the BMP.

When phosphorus from a project draining to a BMP is multiplied by that BMP's Treatment factor (1.0 - RE), the resulting product is the amount of phosphorus that, after treatment, will still be exported to the lake. 3.3 - Estimating Project Phosphorus Export after Treatment (Post-PPE)

In order to determine if the BMPs incorporated into the project are adequate to meet the PPB (Project Phosphorus Budget), the pre-treatment PPE must be revised to reflect the treatment capabilities of those BMPs. This is accomplished by multiplying the phosphorus export from each source area (i.e. a parking lot, a house lot, a segment of road) by the treatment factor (1.0 - RE) of the BMP to which it drains. See Section 4.1 BMP Rules of Thumb, if the individual source areas (or subcatchments) drain cumulatively to more than one BMP. The export values for all source areas, both treated and untreated, are then added together to get the total phosphorus export for the project using Worksheet 2.

For large projects or projects where the natural topography divides the site drainage into a number of sub-drainage areas, this process may not be as straight forward. For instance, often the entire length of a road will not drain to the same BMP. The local topography will result in one segment of road being treated by one BMP, other segments by other BMPs, and still other segments receiving no treatment at all. In the case of a crowned road, the uphill side of the road might drain to a road ditch that flows to a wet pond, while sheet runoff from the downhill side of the road may drain to a wooded buffer, which for part of the road length is 75 feet wide, meadow and on shallow slopes and for the remaining length is only 50 feet wide, wooded on steep slopes. Since all three BMPs, the wetpond and the two buffers, have different treatment factors, it is necessary to break the road surface area into three discreet subcatchments based on the BMP(s) to which each road segment drains to calculate treated phosphorus export from the road.

This is true not only for roads but for all other types of development as well.

• 10 - Summarize the project's phosphorus export and treatment as follows:

1. Show, on a topographic site plan, all the BMPs that will be incorporated into the project.

2. Delineate all subcatchments for which each BMP is providing treatment.

3. Identify all portions of the developed area (i.e. buildings, road segments, parking, lawns, house lots) which are being treated by a given BMP or combination of BMPs on Worksheet 2.

4. List on the worksheet each subcatchment and export area with the pre-treatment phosphorus export factor from Table 3.1 or Table 3.2 and the treatment factor(s) for the BMP(s) to which the area drains. If the runoff from a subcatchment receives no treatment, enter 1.0 in the treatment factor column.

5. BMP treatment factors and removal efficiencies can be calculated from Chapter 4 of this volume and Volume III. Enter these values on the worksheet.

6. Multiply each export area with its export factor and treatment factor to obtain the post-treatment phosphorus export value. For areas receiving no treatment, use a treatment factor of 1.0.

7. See “Section 4.1. BMP Rules of Thumb”, if the source area drains to more than one BMP.

8. Sum the export from all treated and untreated areas to obtain the total post- treatment phosphorus export (Post-PPE) from the project. 3.4 - Evaluating Project Overall Phosphorus Export For an acceptable site development, the Post- PPE needs to be smaller than the PPB for the parcel. The calculations can be summarized in Worksheet 4. If the resulting project phosphorus export (Post-PPE) is less than or equal to the project phosphorus budget (PPB) from Worksheet 1 than the project meets its budget. If not, further reductions in stormwater phosphorus are required. Credits for mitigation of existing sources may be another option for reducing the net project phosphorus export (Post-PPE) or paying a compensation fee may be an option (See Chapter 5, Credits for Mitigation and Compensation Fee for guidance).

Using Worksheet 4, summarize the Net Project Phosphorus Export as follows:

1. Bring in the Project Phosphorus Budget (PPB) from Worksheet 1 2. Bring in any Mitigation Credits from Worksheet 3 3. Bring in the total Pre-Treatment Phosphorus Export (Pre-PPE) as calculated on 4. Bring in the total Post-Treatment Phosphorus Export (Post-PPE) as calculated on 5. If the Post PPE is less than or equal to the site's PPB, the project meets its 6. If the Post-PPE is larger than the site's PPB but the Post-PPE is less than or equal to 0.4 times the Pre-PPE, then paying a compensation fee may be an option in certain lake watersheds. That list is available in Appendix F.

2. If the Post-PPE is larger than the site's PPB and the Post-PPE is more than 0.4 times the Pre-PPE, then more phosphorus treatment needs to be provided or less development must occur.

• 11 - Example 4: Post-PPE Calculation for Subdivision Development Problem: The 'Homesweet Home Subdivision' project described in Example 1 and 3 is proposing to treat a portion of the stormwater runoff from the subdivision through the use of buffers. Lots 1-4 will not receive any treatment. Lots 5 through 12, the excess driveway lengths from Lots 2 and 3, and the access road is super-elevated and will be directed to a downgradient buffer sized in accordance with

Chapter 5 of Volume III of this manual. Calculate the post-treatment PPE for the proposed subdivision.

Solution: The pre-treatment PPE was calculated in Example 3. A forested buffer treating stormwater runoff that meets the standard sizing as provided in Chapter 5 of Volume III will achieve a Removal Efficiency of 0.6. Thus, the corresponding Treatment Factor is 0.4, which should be entered into Worksheet 2 as shown below. Note that 1.0 has been entered into the treatment factor column for lots 1 through 4 for which no BMPS are providing stormwater treatment.

Pre-PPE and Post-PPE Calculations Homesweet Home Subdivision Development Type: Residential Sheet # Land Surface Type of Lot #(s) with description Acres or # of lots from Table 3.1 Table 3.2 Algal Av.

P Export Treatment Factor for BMP(s) from

Chapter 6 Posttreatment Algal Av.

P Export Description of BMPs Lots 1-4 (HSG B) no No restriction, 4.00 0.24 0.96 1.0 0.96 treatment w/o 75% to provided Lots 5-10 (HSG C) <12,000 sqft clearing, 6.00 0.20 1,2 0.4 0.48 75 ft forest w/o 75% to Lots 11 & 12 (HSG C) <12,000 sqft clearing, 2.00 0.15 0.30 0.4 0.012 75 ft forest w/ 75% to Lots 2 & 3 driveway access > 150 feet 0.056 1.25 0.07 0.4 0.028 55 ft roadside forest buffer Access Road (low export) 0.50 1.25 0.625 0.4 0.25 3.155 Post-PPE 1.838 Based on these calculations, the Post-treatment PPE is 1.838 lbs P/year.

• 12 - Example 5: Project Phosphorus Export Summary for Subdivision Development Problem: Summarize the Project Phosphorus Export for the 'Homesweet Home Subdivision' project described in Example 1, 3 and 4. Determine whether the project as proposed meets its phosphorus budget.

Solution: Use Worksheet 4 to summarize the Project Phosphorus Export as shown below.

Worksheet 4 Project Phosphorus Export Summary Summarizing the project’s algal available phosphorus export (PPE)

Project name: Homesweet Home Subdivision Project Phosphorus Budget PPB 1.995 lbs P/year Mitigation Credit - Source Elimination Credit SEC 0.00 lbs P/year Source Treatment Credit STC 0.00 lbs P/year Total Phosphorus Mitigation Credit (SWC+STC) TMC 0.00 lbs P/year Total Pre-treatment Phosphorus Export Worksheet 2 Pre-PPE 3.155 lbs P/year Total Post-treatment Phosphorus Export Worksheet 2 Post-PPE 1.838 lbs P/year Project Phosphorus Export (Post-PPE - TMC) PPE 1.838 lbs P/year Since the calculated PPE of 1.838 lbs P/year is less than the PPB of 1.995 lbs P/year, the project meets its phosphorus budget and no further treatment or reduction actions are necessary.

• 13 - IMPORTANT:

Best Management Practices (BMPs) must be designed to meet the required phosphorus reductions based on the Project Phosphorus Budget (PPB). The lowest maintenance BMP that meets the PPB should be selected.

Chapter 4 -Treatment Factors for Phosphorus BMPs This chapter presents the treatment factors that the Department recommends using for the design of a variety of phosphorus control BMPs. 4.1 - Rules of Thumb for BMP Selection Consider these rules before selecting a BMP:

1. Given a choice, select the lowest maintenance BMP that will provide the required phosphorus removal.

For example, natural wooded buffers require much less long term inspection and maintenance than most other BMPs, so, if space and topography allow, buffers are the preferred BMP.

2. The buffer and source area (lawn, parking lot, etc.) should be laid out for runoff to pass in nonchannelized sheet flow from the source area and be evenly distributed across the face of the buffer. If this design is not possible, runoff may first be concentrated and then redistributed into the buffer using a level spreader or ditch turnout, but care must be taken not to hydrologically overload the buffer and to maintain the level spreader (see design standards for level lip spreaders in Volume III, Chapter 9). 4.2 - Common BMPs and their Standard Sizing Volume III of this manual, BMP Technical Design Manual, presents the standard designs for the most commonly used BMPs. These standard BMP designs are sized to provide retention of approximately 60% of the annual stormwater phosphorus export, and thus would have a treatment factor Natural wooded buffers are preferred of 0.40. The standard sizing of these BMPs is as follows: over other BMPs due to their low • Wetponds: Standard sizing for wet ponds requires a maintenance. storage volume below the permanent pool elevation of at least 2.0 inch of runoff times the subcatchment's impervious area plus 0.8 inch of runoff times the subcatchment's non-impervious developed area. The pond must have a mean depth of at least three feet, and a length to width ratio of 2:1 or greater. See Chapter 4 of Volume III.

• Underdrained vegetated soil filter or other approved filter: Standard sizing for filters requires storage of a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's non-impervious developed area. Filter examples are underdrained vegetated soil filters having a single outlet with a diameter no greater than eight inches, or proprietary filter systems approved by the department. See Chapter 7 of Volume III.

• Infiltration Systems: Standard sizing for infiltration systems requires storage of a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's non-impervious developed area. Pre-treatment of stormwater must occur prior to discharge to the infiltration area. See Chapter 6 of Volume III.

• Vegetated Buffers: Standard sizing of flow path lengths for buffers depends on the type of buffer, the soil type and slope of the buffer, and the nature and extent of land use in the contributing watershed for phosphorus export reduction. Standard sizing for a given buffer type in a given landscape and development setting can be determined using the tables found in Chapter 5, of Volume III.

• 14 - 4.3 - Determining BMP Phosphorus Treatment Factors In designing the stormwater management system, the treatment factor of the selected BMPs for the project can be adjusted based on their sizing. A BMP's treatment factor may be reduced or enhanced by modifying either the volume of stormwater runoff it will store and treat or the length of flow path through a buffer. The two formulas presented below provide a way of (1) adjusting the standard sizing of BMPs described in Volume III and in Section 4.2 of this volume to provide a desired treatment factor, or (2) determining the treatment factor of a given size BMP.

Wetponds, underdrained soil filters, infiltration systems may be sized to provide various degrees of treatment by adjusting the storage and treatment volume. In the case of buffers, the flow path length may be adjusted (Volume III, Chapter 5). There is, however, a point at which further increase in sizing of a BMP is not likely to significantly improve the BMP's ability to retain phosphorus. This limit is expressed as a minimum treatment factor for each type of BMP. Treatment factors may not be adjusted below this minimum. Minimum treatment factors are discussed later in this chapter and are presented in Table 4.1.

(1) If you know the treatment factor that is needed and can adjust your BMP design to meet it, use the following equation to determine either the volume of runoff that must be stored and treated or the necessary buffer flow path length to provide a required treatment factor:

= 0.4*(BMP

/TF)

Where:

TF = Desired treatment factor (1-Removal Efficiency of the BMP) = Standard sizing for the BMP, as described in Section 4.2 = Required sizing to achieve the desired treatment factor BMP sizing is based on either volume of runoff stored and treated or buffer flow path length.

Example 6: Alternative BMP Sizing Problem: 5.0 pounds per year of phosphorus is created from the runoff of a four acre parking lot.

The owner wishes to design a wetpond to achieve a desired maximum phosphorus export from the parking lot of 1.8 pounds/year to meet the project’s phosphorus budget for that area. What size pond will be needed to achieve this export?

Solution: The desired treatment factor is calculated as:

TF = Desired Export/Existing Export = 1.8/5.0 = 0.36 or Using the Volume III sizing criteria, 60% removal efficiency can be achieved with a wetpond, or a 0.4 TF. This requires a minimum permanent pool volume of 2.0 inches times the impervious area (parking lot). Since this project requires a 36% TF (64% removal efficiency), the permanent pool volume must be larger by an equally proportional amount. Thus, the wetpond can be sized as follows:

= 0.4*(BMP

/TF) = 0.4*(2.0/0.36) = 2.22 inch of runoff for the impervious area The permanent pool of the pond must be sized for 2.22 inches of runoff over the impervious area.

If the pond is discharging to a stream before reaching the lake, then the channel protection volume needs to be provided per Volume III.

• 15 - (2) If, on the other hand, you know the size of a given BMP, and need to determine its treatment factor, use the following formula:

TF = 0.4 BMP

/ BMP

Where:

TF = Treatment Factor (1-Removal Efficiency of the BMP) of the BMP = Standard sizing for the BMP as described in Section 4.2 = Actual sizing of the given BMP BMP sizing is based on either volume of runoff stored and treated or buffer flow path length.

Example 7: Alternative Treatment Factor and Minimum Treatment Factor Problem: The available downgradient meadow buffer for a one acre parking lot has 150 feet of sheet flow on a 6% slope and on HSG C soil (sandy loam). What would be the allowable treatment factor for this buffer?

Solution: According to the buffer table, “Buffer Flow Path Length Downgradient of Residential, Largely Pervious or Small Impervious Areas” (Chapter 5 in Volume III, the required forested buffer length on sandy loam C soils to adequately treat stormwater runoff is 100 feet. Thus, the treatment factor for the available buffer on this project is:

TF = 0.4 BMP

/BMP = 0.4 (100/150) = 0.27

However, according to Table 4.1, the minimum treatment factor that may be used for a forested buffer on C sandy loam soil is 0.3. Therefore, the treatment factor is limited to 0.3. 4.4 - Minimum Treatment Factors There is a limit to the amount of phosphorus removal a BMP can accomplish, no matter how large one makes it. The physical, chemical, and biological processes that a BMP relies on to remove pollutants have limitations and making a BMP larger generally does not change the limits on the effectiveness of these processes. It only means that the BMP will treat a larger fraction of the runoff generated by infrequent storms. Hence, upper limits have been placed for BMP sizing. Table 4.1 presents the minimum treatment factors that are allowed for selected BMPs. BMPs may be enlarged from their standard sizing criteria as outlined in Volume III to reduce their treatment factors to a point, but treatment factors may not be reduced below the minimums in Table 4.1. 4.5 - Multiple BMPs Placed in Series If multiple BMPs are being used in series, make sure that the last BMP in the series has the ability to remove the types of pollutants which are likely to reach it. For example, treatment credit should not be taken for a filter located downstream of an efficient forested buffer. The filter will not add significant additional treatment because the buffer will most likely have already removed all the fractions of stormwater phosphorus that the filter could.

If multiple BMPs are being used appropriately in series, the net treatment factor for the series of BMPs is the product of the lowest (most efficient) treatment factor of the individual BMPs in the series and the square root of the treatment factor(s) of the less effective BMP(s). For example, if a small wetpond with a treatment factor of 0.6 drained to an engineered infiltration area with a treatment factor of 0.4, the net treatment factor for the two BMPs would be 0.4 x (0.6) 1/2 = 0.31.

• 16 - Table 4.1 Minimum Treatment Factors for Selected BMPs BMPs Treatment Factor (1-RE)

Wetponds Single Pond 0.3 Two ponds in series (per Volume III, Chapter 4) 0.25 Three ponds in series (per Volume III, Chapter 4) 0.2 Underdrained Soil Filters and Other Approved Filters On sand, loamy sand or sandy loam 0.15 All other filters (including filters with an impermeable liner) 0.25 Infiltration All infiltration BMPs 0.1 Vegetated Buffers * Hydrologic Soil Group (and Texture)

Forest Meadow A or B 0.15 0.2 C (sandy loam or loamy sand) 0.2 0.3 C (silt loam, clay loam or silty clay loam) 0.3 0.4 D (non-wetland)

0.4 N/A

The maximum allowed flow path length in a buffer is 150 feet unless the runoff is redistributed by a midcourse stone bermed level lip spreader.

RE= Removal Efficiency N/A = not applicable Example 8: Maximum Treatment Problem: Using the minimum treatment factors in Table 4.1, calculate the maximum amount of runoff that can be treated using an underdrained filter that has less than 2 feet of separation between the bottom of the system and the restrictive layer and that is treating runoff from an impervious area.

Solution: For this situation, the minimum treatment factor from Table 4.1 is 0.25. Standard BMP sizing calls for treatment of 1.0 inch of runoff over the impervious surface. The maximum runoff that can be treated in such a filter is calculated as follows:

BMPTF = 0.4*(BMPST/TF) = 0.4*(1.0/0.25) = 1.6 inch of runoff The filter bed can only be expanded by area and not depth.

• 17 -

Chapter 5 - Credits for Mitigation and Compensation Fees Phosphorus reduction The objective of this project planning process is to limit increases in can also be achieved phosphorus loading to the lake resulting from development. The through mitigation methods discussed thus far have focused on limiting the scope of the measures that focus on development or reducing its phosphorus export by incorporating eliminating or reducing BMPs. Phosphorus load to the lake can also be limited by reducing phosphorus loads from export from long standing, existing sources of phosphorus, a trade off existing sources. usually referred to as mitigation. 5.1 - Types of Mitigation Mitigation can take a number of forms. It can involve the elimination of an historical source or a reduction of the source, usually by treatment with BMPs.

Phosphorus loads can also be limited by reducing export from existing sources of phosphorus on a site, a trade-off usually referred to as mitigation. Mitigation credits can be achieved through two means:

• Elimination of existing phosphorus sources (e.g., elimination of an old gravel road so it can revert back to a forested condition); or • Reduction of existing phosphorus sources through treatment (e.g., diverting stormwater flows from an existing road to a treatment device for phosphorus removal).

However, the following must also be true:

• To be considered an existing source, it must be in existence prior to 1980.

Elimination:

A wood lot being developed as a subdivision can provide a good example of elimination.

An old, gravel road passes through the wood lot. It will not, however, be used by the developer, who plans to eliminate the old road and construct a new road in a different location to access the new house lots. The old road has been exporting phosphorus to the lake for the last 50 years.

Elimination of the road and return to a forested condition will result in a reduction of phosphorus loading to the lake. This reduction in historical phosphorus export can be used to balance, or mitigate, some of the project's new phosphorus export. In this chapter we will discuss various ways of mitigating new phosphorus export by reducing or eliminating historical phosphorus sources, and how credit for this mitigation can be applied to a project's phosphorus budget.

Reduction by Treatment: Suppose the developer actually wants to use the old road in his subdivision scheme. In order to reduce phosphorus export from other parts of his development he is constructing a wet pond BMP down gradient of the development. The old road, which formerly drained directly to the lake, now drains first to the wet pond, which has a treatment factor of 0.40. This means that only 40% of the old road's phosphorus export is now reaching the lake, with the remainder retained in the wet pond. Phosphorus export from the road has now been reduced by 60%. This reduction in phosphorus, called a credit, can now be subtracted from the phosphorus export associated with newly developed portions of the project.

• 18 - Another variation on this example illustrates an even more common situation. Suppose the old gravel road is not wide enough to meet current town standards for subdivision roads and it must be widened from 12 feet to 24 feet. This expansion of road width means that half of the 24 foot road must be considered new in terms of phosphorus export. Its export, as modified by the wet pond's treatment factor, would be included in the list of phosphorus exports in Worksheet 2. Stormwater from the half of the road which can be considered old, however, is now being treated and the resulting reduction in phosphorus export is a credit that can be subtracted from the project's total phosphorus export.

Problems with Estimating Credit for Mitigation: But how does one estimate the amount of phosphorus export that is being reduced or eliminated? Phosphorus export from old, preexisting sources can be estimated in the same way as new sources, using the export factors in Table 3.1. However, in doing so two important issues must be considered. • Comparability of existing and proposed phosphorus export sources: Let us return to the road example. Suppose the old gravel road has seen only very light use as a woods road over the last 50 years. It has started to revert with vegetation encroaching on the sides and in the middle between the tire tracks. It is unlikely that it currently exports nearly as much phosphorus per square foot as will the new subdivision road, which will receive comparably heavy use. So treatment or elimination of this export will not provide equivalent mitigation for the new road which replaces it. To avoid this problem, this evaluation process automatically cuts the estimated phosphorus export from preexisting sources in half unless it is clearly demonstrated that the old source is equivalent in both structure and use to the new sources being mitigated. A multiplier of 0.5 is included in Worksheet 3 for this purpose. • Historic drainage patterns of the phosphorus export: If the runoff from the historic road immediately drained into a road ditch and continued, untreated, to the lake there is no problem with taking credit for elimination or treatment of the old road. But often the runoff from old roads sheets into the woods or fields adjacent to the road where much of its phosphorus export is retained in a natural buffer, and never reaches the lake. In this case credit should not be taken for treatment of the road's stormwater runoff because it was already receiving treatment, unless the new BMP has a much better treatment factor than the historic BMP. In that case, credit may be taken for treatment, but only for the difference between the old and new phosphorus export. If the road is being eliminated, credit should only be taken for an amount of export which has been reduced by the treatment factor of the historic buffer.

Mitigation Dos and Don’ts Don't take credit for mitigation of relatively recent phosphorus sources. Credit should not be allowed on sources, which were not in existence prior to 1980.

Do halve the phosphorus export from mitigation sources unless it is clearly demonstrated that the old source is equivalent in both structure and use to the new sources being mitigated.

Don't take mitigation credit for the treatment of sources which have been historically treated by adjacent buffers or treatment ponds.

Do adjust the credit for any source elimination to reflect historical treatment by buffers or ponds.

Do insure - through property owner agreements, deed covenants and restrictions, conservation easements, endowments and/or long term agreements with maintenance contractors - that eliminated sources will be allowed to revert and remain in a forested condition and that BMPs will be properly maintained.

• 19 - 5.2 Estimating Credits for Mitigation Worksheet 3 may be used to calculate mitigation credits. The upper portion of the worksheet is used to calculate credit when a pre-existing source is being eliminated. The lower portion is used when a pre-existing, historically untreated source is being treated by new BMPs. Credits are determined as follows:

1. List the size of the source area (in acres and to the second decimal place) and phosphorus export coefficient from Table 3.1 for each pre-existing mitigation source in the appropriate spaces.

2. If the source is being eliminated, enter the estimated treatment factor for historical BMPs that provided treatment of the source or enter 1.0 if the source drains directly to the lake.

3. If the source is being treated, enter the treatment factor for the new BMP which will be treating each mitigation source in the worksheet. Also enter the estimated treatment factor for any natural buffers or other BMPs that historically provided treatment of the source or enter 1.0 if the source drained directly to the lake.

4. For source elimination and treatment multiply the source area with the phosphorus export factor and by the modifier 0.5 (unless it has been clearly demonstrated that the old source is equivalent in both structure and use to the new sources being mitigated) to calculate the creditable pretreatment historical phosphorus export from each source area. The modifier can be selected as 1.0 only if it is clearly demonstrated that the old source is equivalent in both structure and use to the new source being mitigated. Then the pre-treatment historical phosphorus export is multiplied with any treatment factors for historical BMPs to obtain the historical phosphorus export.

5. For each source that is being eliminated, the mitigation credit value is equivalent to the historical phosphorus export value (from Step 3). For sources being treated by new BMP(s), subtract the treatment factor for the new BMP from 1.0 and multiply this times the source's historical phosphorus export (from Step 3) to get the mitigation credit value for each source.

6. Sum the phosphorus export credit values for all mitigation sources to obtain the total credit value in Worksheet 3. 5.3 On-site vs. Off-site Mitigation Another important mitigation consideration is whether the mitigation source and, in the case of treatment, the BMP, are located on the parcel (on-site) or elsewhere in the lake's watershed (off-site). If the treatment source and the treatment BMP are located ”on-site”, the developer can insure - through property owner agreements, deed covenants and restrictions, conservation easements, endowments and/or long term agreements with maintenance contractors - that eliminated sources will be allowed to revert and remain in a forested condition and that BMPs will be properly maintained. Essentially these mitigation measures are treated no differently than the buffers and other BMPs incorporated in the project to address new sources of phosphorus export.

If the mitigation measures are being implemented elsewhere in the watershed, it is a much greater challenge, for both the developer and any regulating body which is requiring the mitigation, to insure that the measures are maintained over the long term. In the case of elimination or reduction of off-site mitigation sources by change of land use (i.e. conversion of road to forest), these areas can be reasonably protected by deed restrictions and conservation easements. However, insuring long term maintenance of offsite BMPs is much more problematic. Because of these difficulties, it is recommended that treatment of on-site mitigation sources with “off-site” BMPs be allowed only if the property on which the off-site mitigation is taking place and the project parcel are in common ownership, and that owner is a permanent entity, such as a town or a school district, that is not likely to transfer ownership of either - 20 parcel. Treatment of off-site mitigation sources is only allowed as described in section 3.C.2 of the

Chapter 501 Stormwater Management Compensation Fees and Mitigation Credit Rules. 5.4 Compensation Fees The Maine Stormwater Management Law (38 MRSA § 420-D) and its accompanying regulations (DEP

Chapter 500 and 501) address some of the problems associated with off-site mitigation discussed above by allowing an alternative known as the Compensation Fee Program. The law recognizes the difficulties a state agency would have in tracking and insuring the maintenance of off-site BMPs used for mitigation on a project. The regulations therefore allow mitigation credit only for the elimination or reduction (by land use change) of off-site sources of phosphorus (Chapter 501, Section 3.C.1) and the limited off-site treatment options described in Chapter 501, Section C.3.2.As an alternative to project based off-site treatment mitigation, the Compensation Fee Program allows the department to let the developer offset a portion of the phosphorus reduction required for the project to meet its phosphorus budget by paying a compensation fee to an approved regional organization that performs watershed management activities.

The authorized local entity accumulates compensation fee funds in accounts for each individual lake watershed, and uses these funds to provide long term solutions to priority chronic phosphorus sources within the watershed.

The Compensation Fee option is only available on some lakes. Lakes for which the option is not available include many small, relatively undeveloped lake watersheds that happen to be in a region of high growth. In these cases there are few if any opportunities to address existing problems in the watershed. It may also include watersheds where a large amount of restoration work has already been performed and any problems remaining to be addressed are more expensive than what the compensation rate can cover. Lastly, it includes areas where there are no local watershed management agencies (i.e. soil and water conservation districts, watershed districts, etc.) interested in developing and implementing mitigation projects. The regional organizations which the Department has approved for management of compensation funds and implementation of compensation projects have each developed a list of lakes for which they will accept compensation fees. Developers should not assume that the compensation fee is an option until they have checked with the Department to be sure it is available in the lake watershed in which the proposed development is located.

The Compensation Fee option is only available if the project incorporates onsite treatment and mitigation measures that reduce the pre-treatment phosphorus export by at least 60%. To express this in terms of the worksheets used to calculate project phosphorus export, the sum of post-treatment export expressed on Worksheet 2 must be less than or equal to 0.4 times the sum of pre-treatment export expressed on Worksheet 2 in order for a project to offset any additional phosphorus reductions through payment of a compensation fee.

In addition to the above limitations, the Compensation Fee option is not available for residential subdivision projects unless the wooded or meadow buffers are the only BMPs used to provide the reduction in pre-treatment phosphorus export.

Compensation Fee Calculations:

Projects in lake watersheds regulated by the state under the Stormwater Management Law may have the opportunity to use compensation fees to help meet their project's phosphorus budget as required by that law. These projects may, however, also come under local

regulation, which may or may not recognize compensation fee payment as an alternative to on-site reduction of phosphorus export. If it is available for the lake in question, the Compensation Fee option allows the developer to off-set the difference between the projects phosphorus export and the project’s phosphorus budget by paying a compensation fee based on the amount, in pounds of phosphorus, of that difference.

The current compensation rate (August 2015) is $25,000 per pound for a project that provides on-site reduction of pre-treatment phosphorus export by 60%. The fee becomes progressively less as on-site - 21 reduction of pre-treatment export is reduced, as shown in Table 5.1 below. This means that if a project's phosphorus budget was 0.6 lb P/yr and, after application of reasonable BMPs, the project export could only be reduced 60% to 1.0 lb P/yr, the remaining 0.4 lb reduction required to meet the project's budget could be offset by a compensation fee payment of $10,000 (0.4 lb x $25,000 /lb). Exemptions to the compensation fee application are stated in Chapter 501(3)(C)(3).

Table 5.1 Compensation Fee per Pound of Phosphorus Export Percentage Of Project Phosphorus Export Additional Phosphorus Compensation Fee ($/pound)-fees are prorated 60% $25,000 75% $12,500 100% $0 Note:

a. 25,000 per pound fee is reduced by $500 per percentage point of project’s phosphorus export between 60 and 75%.

b. $12,500 per pound fee is reduced by $834 per percentage point of project’s phosphorus export over 75%.

Example 9: Project Phosphorus Export Summary for Subdivision Development Problem: The Project Phosphorus Export for a subdivision project called ‘Sunnydays’ is similar to the ‘Homesweet Home Subdivision’, but it can only meet its post-treatment phosphorus export for some of the lots. Determine whether the project as proposed meets its phosphorus budget and what will the compensation fee be.

Solution: Use Worksheet 4 to summarize the Project Phosphorus Export as shown below.

Worksheet 4 Project Phosphorus Export Summary Summarizing the project’s algal available phosphorus export (PPE)

Project name: Sunnydays Subdivision Project Phosphorus Budget – Worksheet 1 PPB 0.995 lbs P/year Total Pre-treatment Phosphorus Export Worksheet 2 Pre-PPE 3.155 lbs P/year Total Post-treatment Phosphorus Export – Worksheet 2 Post-PPE 1.213 lbs P/year Total Phosphorus Mitigation Credit - Worksheet 3 TMC 0.0 lbs P/year Project Phosphorus Export (Post-PPE - TMC) PPE 1.213 lbs P/year The calculated PPE of 2.213 lbs P/year is more than the PPB of 0.995 lbs P/year by 1.218lbP/year; and the project does not meet its phosphorus budget.

A compensation fee is available to off-set the 1.218 lb P/year difference because treatment is buffer only, and the treatment level is more than 60% (Post-PPE/Pre-PPE).

The PPE has been reduced by 61.55% (1 - (1.213/3.155)). The fee is prorated at 1.55% less than the fee for 60% or $25000 – 1.55($12,500/15) or $23,708 per pound.

The compensation fee for Sunnydays Home Project is $5,168 ($23,708x0.218).

• 22 - Alternative performance standards may be used for certain smaller, residential projects. These generally include specific development restrictions and the use of Low Impact Development (LID) practices.

Chapter 6 -Performance Standards for Smaller Projects 6.1 - Single Family Residences and Small Subdivisions with No New Road There are some kinds of relatively low impact, residential development where the level of analysis applied in the previous sections may be inappropriate or unreasonable.

This section prescribes comparatively simple, alternative performance standards which may be applied to: (1) new single family residences or duplexes on existing lots which are not part of a subdivision that has already incorporated appropriate phosphorus controls; and (2) subdivisions of five or fewer lots that do not involve the construction of a new road or expansion of an existing road. New residential developments which fall into either of these categories may meet their phosphorus control obligations by incorporating the phosphorus control measures listed either under Basic Single Family Residential Lot Standards or Alternative Single Family Residential Lot Standards below; and by maintaining these measures over the long term.

Basic Single Family Residential (SFR) Lot Standards. The Smaller residential development following basic Single Family Residence Lot Standard is the projects can use alternative preferred way of addressing new development of individual performance standards to meet their residential lots or small residential subdivisions that do not phosphorus control obligations. include a new road. A project must meet all provisions of the These generally involve restrictions standard. The standards for appropriate buffer design and on disturbance, buffers and maintenance are presented below. impervious area or the incorporation of Low Impact Development (LID)

Alternative Single Family Residential Lot Standards. A techniques. property owner or developer may choose not to meet the Basic Single Family Residential Lot Standard due to site constraints or design preference. In situations where the Basic Standard is not met on a project, the project must meet the following Alternative Single Family Residential Lot Standards.

Meeting this standard may require the use of more than one LID practice on the site, due to existing site topography and the layout of the property. For example, half of the roof may drain to the front of a building while the other half drains to the back of the building, and the lawn and driveway/parking area drain off to one side of the property. Drainage in each of these directions must be captured and treated using an LID practice. The selection, size, and location of the LID practices used on a given site will depend on the size of the area draining to each practice and the impervious area versus lawn area. While this may not always be feasible, applicants are encouraged to maintain natural buffers to the extent possible as a primary LID technique, which can then be augmented by other practices on the site. Guidance on how to size each LID practice is found in section 6.2 below.

• 23 - Requirements for New Single Family Lot Development Basic SFR Lot Standard Alternative SFR Lot Standards Disturbance on an individual lot must be less than Low Impact Development (LID) practices are used 15,000 square feet (including building, driveway, and sized to treat 0.5 inches of runoff from all walkways, lawn area, construction access, impervious surfaces on the site, and 0.2 inches o grading). And, no more than 7,500 square feet of runoff from all disturbed pervious areas of the site impervious cover is located on the property. (lawn).* A minimum natural vegetated buffer must be The LID practices installed on the site are maintained downgradient of all developed area on maintained in perpetuity. If necessary, LID the lot. This buffer shall be 35 feet deep if naturally practices may be replaced with new LID practices forested or 50 feet deep if maintained as a natural as long as the overall site treatment standard meadow.* above is met.

A minimum of 25 percent of the lot area must be maintained as undisturbed natural area.* * If the lot or a portion of the lot is located within a watershed of a Lake Most at Risk from New Development, an Urban Impaired Stream, or other impaired or sensitive waterbodies as designated by the municipality for the purposes of this standard, a minimum of:

• 50 feet if naturally forested buffer, or 75 feet if maintained as meadow must be maintained downgradient of all developed area on the lot, • A minimum of 40% of the lot area must be maintained as undisturbed natural area.

If the existing land has been disturbed by prior activities, a natural vegetated buffer and/or undisturbed natural area may be proposed through restoration and revegetation. * If the lot or a portion of the lot is located within watersheds of Lakes Most at Risk from New Development or other impaired or sensitive waterbodies as designated by the municipality for the purposes of this standard, the project must treat one inch of runoff from impervious surfaces and 0.4 inch from disturbed pervious surfaces. 6.2 – Low Impact Development Practices Low Impact Development (LID) practices can be used to capture and treat runoff from residential rooftops, non-rooftop impervious areas such as paved driveways, patios and walkways, and maintained lawn areas. While there are a number of practices considered to be LID practices, a lengthy discussion of these is not practicable for this volume but can be found in Volume III of this manual. The most popular LID practices are the following:

• Buffers, • Underdrain soil filters (rain gardens and swales), • Infiltration practices (dry wells and infiltration trench), • Pervious pavements.

The design and maintenance standard for Buffer are presented below, and should be applied to projects meeting the Basic SFR Lot Standard. Design and maintenance standards for other LID practices (i.e. underdrain soil filters, dry wells and infiltration trenches, pervious pavements, rain barrels and cisterns, green roofs, stormwater planters, micro bio-inlets) are described in detail in the Maine LID Guidance Manual (September 2007), http://www.maine.gov/dep/land/watershed/materials/lid-guidance-manual.pdf, and these should be applied to projects meeting the Alternative SFR Lot Standards.

Vegetative Buffers Vegetative buffers are areas of dense forest or meadow vegetation located adjacent and downgradient of developed areas that provide storage and treatment for stormwater that enters them in diffuse overland flow. They should be designed, implemented and maintained in accordance with the following:

• Discharge of stormwater to the buffer: It is essential that the stormwater entering the buffer not be channelized prior to discharge into the buffer. Grading of developed areas upgradient of the buffer must be done in a way that maintains diffuse overland flow and avoids concentration of the runoff.

• 24 - • Topography: The topography of a buffer area must maintain well-distributed stormwater runoff and cannot allow stormwater runoff to concentrate as it flows across the buffer. Flow paths of runoff through a buffer must not converge, but must be essentially parallel or diverging.

• Vegetative cover: The vegetative cover of a buffer must be either forest or meadow. In most instances the sizing of a buffer varies depending on vegetative cover type.

• Forest buffer: A forest buffer must have a well distributed stand of trees with essentially complete canopy cover, and must be maintained as such. A forested buffer must also have an undisturbed layer of duff covering the mineral soil. Activities that may result in disturbance of the duff layer are prohibited in a buffer • Meadow buffer: A meadow buffer must have a dense cover of grasses, or a combination of grasses and shrubs or trees. A buffer must be maintained as a meadow with a generally tall stand of grass, not as a lawn. It must not be mown more than twice per calendar year. If a buffer is not located on natural soils, but is constructed on fill or reshaped slopes, a buffer surface must either be isolated from stormwater discharge until a dense sod is established, or must be protected by a three inch layer of erosion control mix or other wood waste material approved by the department before stormwater is directed to it, with vegetation established using an appropriate seed mix.

• Mixed meadow and forest buffer: If a buffer is part meadow and part forest, the required sizing of the buffer must be determined as a weighted average, based on the percent of the buffer in meadow and the percent in forest.

• Deed restrictions and covenants: Areas designated as vegetated buffers must be clearly identified on site plans and protected from disturbance by deed restrictions and covenants.

• 25 -

Appendix A - Phosphorus and Lake Water Quality The Relationship between Phosphorus and Lake Water Quality: Lakes are biological systems that are clearly affected by changes in water quality. They are most noticeably affected by an increase in nutrients, particularly phosphorus. Increases in phosphorus usually result in more noticeable changes to water quality than increases in other nutrients. Algae, which are microscopic organisms common in lakes, need phosphorus in order to grow. Consequently, when phosphorus is abundant in lake water, algal populations soar in number, causing a decline in water transparency. In some cases, algal blooms may occur causing the growth of billions of algae to color the lake water green and release strong odors as they decay.

Beyond the aesthetic impacts, algal blooms have serious impacts on a lake's biological community.

Through a complex chain of events, algal blooms lead to depletion of the lake water's oxygen supply, usually resulting in the eventual loss of trout and salmon (cold water) fisheries. In addition, large algal populations cause odor, taste, and treatment problems in lakes used for public water supplies.

The biological term for the process described above is eutrophication, which can manifest itself over time as a gradual increase in the lake nutrient concentrations under natural conditions. Lake eutrophication can be dramatically accelerated by human activities, causing the noticeable changes described above in a relatively short period of time. Many lakes in Maine have already experienced dramatic declines in water quality as a result of human disturbances.

How Phosphorus Gets into Lakes: Understanding how phosphorus gets into lake water requires an understanding of where lake water comes from. Precipitation and stormwater runoff are significant sources of water in rivers and lakes. Rain and melting snow flow downhill over the land surface into streams and lakes or seep into the ground becoming groundwater, which also ultimately discharges to streams and lakes.

The land area that contributes water to a particular lake is known as its watershed. Watershed boundaries can be identified by connecting points of highest elevation around a lake and its tributaries. All rain and snow falling within this area eventually flow by gravity in surface runoff, streams, and groundwater to the lake, which is the lowest point in the watershed.

The quality of water in a lake depends on the condition of the land in its watershed. Phosphorus is abundant in the environment, but in an undisturbed environment it is tightly bound up by soil and organic matter for eventual use by plants. Natural systems conserve and recycle nutrients, water, and other materials needed to sustain plant growth. Water is stored in depressions on the uneven forest floor and seeps into the ground to become groundwater, thereby preventing it from running over the land surface and exporting valuable nutrients from the system.

Land development changes the natural landscape in ways that alter the normally tight cycling of phosphorus. The removal of vegetation, smoothing of the land surface, compaction of soils, and creation of impervious surface combine to reduce the amount of precipitation stored and retained onsite, dramatically increasing the amount of water running off the land as surface runoff.

These changes to the land surface and the associated increase in surface runoff dramatically increase phosphorus export. Land disturbance upsets the environment's ability to retain phosphorus.

Stormwater flowing over the land surface picks up phosphorus and transports it in soluble form or attached to eroded soil particles. The phosphorus in stormwater comes from natural and human sources, including eroded soil, road dust, plants, lawn fertilizer, and detergents. The smooth surfaces, closely cropped lawns, and compacted soils common in developed areas do not retain phosphorus, and only speed its export by generating surface runoff. The end result is more phosphorus is stormwater, and thus more phosphorus in lakes.

• 26 - A study in Maine has documented the elevated levels of phosphorus exported from developed land (Dennis, 1985). In adjacent watersheds, one developed and one undisturbed, phosphorus export from the developed watershed was up to 10 times greater than the export from the forested watershed.

Because the built watershed was developed years ago, these figures represent the permanent increase in phosphorus export caused by alteration of the landscape. This permanent increase in the phosphorus supply of the lake creates an equally permanent and irreversible decline in water quality.

Though in most lakes the majority of phosphorus comes from the watershed, there is another source of phosphorus that can be very significant in some lakes. Over the centuries phosphorus rich organic sediments have accumulated on the bottom of our lakes. In most cases, the phosphorus in these sediments is trapped there by a blanket of iron hydroxide and or aluminum hydroxide, which makes the sediments a sink for, rather than a source of, phosphorus. However, in lakes with sufficient algal production to cause a severe loss of oxygen concentrations above the sediments, the iron hydroxide blanket dissolves and large amounts of phosphorus may be recycled into the lake water. The "surges" of phosphorus feed algal growth which further depletes dissolved oxygen, thus creating a vicious cycle of very rapid, internally driven eutrophication. This process, which can be initially triggered by relatively small increases in phosphorus input from the watershed, may drive a lake from apparently good, clear water quality to having intense algal blooms in a matter of years. It is particularly important to limit any increases in phosphorus input from the watershed to lakes with a high potential for sediment phosphorus recycling.

How Stormwater Phosphorus can be controlled: All land disturbance and development in a lake's watershed increases phosphorus export to a lake. Although some increase must be accepted as the inevitable and unavoidable effect of development, a variety of measures can substantially reduce phosphorus export to lakes and help to preserve good water quality.

The simplest way to reduce phosphorus export is to limit clearing of vegetation and minimize the area developed, especially road length. Beyond this, a variety of control measures are available. They generally focus on detaining and storing stormwater where it can be treated and released or infiltrated into the soil.

Buffer areas are naturally vegetated areas preserved downslope of developed areas. These buffers intercept and store surface runoff, allowing it to infiltrate rather than flow off-site as surface flow.

Infiltration systems are more sophisticated. Runoff is collected from rooftops, driveways and/or impervious parts of a lot and then directed to surface or underground storage, similar to a subsurface disposal area, from which wastewater infiltrates into the soil. Soils must be fairly deep, coarse, and permeable for infiltration systems to work.

Underdrained soil filters are similar to infiltration systems in that runoff is collected and directed to a storage depression, but the depression is vegetated with flood and drought tolerant species and is lined with a specific soil filter media which is underlain with a pipe system to discharge the filtered runoff.

Wet ponds are generally used to treat runoff from a large area. They receive and retain stormwater from large drainage areas, allowing sediment to settle out and dissolve phosphorus to be removed by biological activity.

Development can proceed in lake watersheds without generating more phosphorus than the lake can tolerate by limiting the extent of development and incorporating one or more of these phosphorus controls. Once a lake has accepted more phosphorus than it can tolerate, there will be a noticeable decline in water quality.

• 27 -

Appendix B - DEP’s Method for Defining Watershed per Acre Phosphorus Allocations The Department defines per acre phosphorus allocations (P) for lake watersheds and these are presented in Appendix C. The list in Appendix C is not complete, so if a per acre allocation for a town's portion of a lake watershed is needed and it is not listed in Appendix C, request the Division of Watershed Management to provide a per acre allocation for the desired watershed. The Department will continually update Appendix C, both by adding new lakes to the list and by revising allocations for lakes already on the list as new information becomes available. This Appendix describes the process the Department uses to define watershed per acre phosphorus allocations.

Step 1. Defining the Acceptable Increase in Lake Phosphorus Concentration (C)

The first step is to determine how much the lake's phosphorus concentration could be increased without risking a perceivable increase in its algal production or a decline in its healthy, natural fish community.

This value, the acceptable increase in lake phosphorus concentration (C), is a function of two variables:

Water Quality Category of the lake and the Level of Protection appropriate for the lake. The Department has assigned Water Quality Categories to each lake for which sufficient water quality data is available based on the information in the following table. If insufficient data is available, the lake is assigned a default water quality category of Moderate Sensitive.

Lake Water Quality Categories Category Conditions Outstanding Exceptional clarity; very low phosphorus and chlorophyll concentrations; low risk of internal recycling from sediments Good Average to better than average clarity, phosphorus and chlorophyll; low risk of internal recycling from bottom sediments Moderate Sensitive Average clarity, phosphorus and chlorophyll; high potential for internal recycling from the bottom sediments Poor (Restorable)

Poor clarity; high phosphorus and chlorophyll concentrations; supports blue green algal blooms; good prospects for restoration Poor (Natural)

Poor clarity; high phosphorus and chlorophyll concentrations; supports blue green algal blooms; poor prospects for restoration because lake is naturally very productive - 28 - Step 2. Determine the Allowable Increase in Annual Phosphorus Load The next step is to determine how much the annual phosphorus load to the lake could be increased without risking an increase in lake phosphorus concentration greater than the acceptable increase (C) defined in Step 1.

This is accomplished by multiplying "C" by a lake specific coefficient (F) that estimates the amount of increase in annual phosphorus load to the lake that will result in a 1.0 ppb lake phosphorus concentration. Where a lake has upstream lakes draining to it, "F" represents the direct watershed's (that portion of the total watershed that does not first pass through an upstream lake) share of this load.

Where a lake's direct watershed is located in more than one town, "F" reflects the given town's portion of the load. "F" is derived using a steady state solution of Vollenweider's 1976 phosphorus loading model and is expressed in lbs/ppb/year.

Allowable increase in annual phosphorus load = F x C or FC Step 3. Determine the Per Acres Phosphorus Budget (P)

The next and final step is to determine the per acre phosphorus budget (P, in lbsP/acre/year) by allocating the allowable increase in annual phosphorus load (FC) over the portion of the direct watershed This is accomplished by projecting how much of the direct watershed area is likely to be developed (D, in acres) and dividing FC by this acreage.

P = FC / D

"D" is estimated by:

• Determining the area available for development within the town's share of the direct watershed by subtracting undevelopable acreage (i.e. wetlands, steep slopes, state parks) and already developed land from direct watersheds area.

• Projecting how much of the area available for development will be developed over time based on: o The general growth rate in the town or region o The quality, density and distribution of the road network within the town's share of the direct watershed o Other lake specific, locally identified information - 29 -

Appendix C - Per Acre Phosphorus Allocations for Selected Maine Lakes The attached spreadsheet presents per acre phosphorus allocations (P) for all the lake/town combinations that have been calculated to this point. This Appendix will be modified on a regular basis as additional lake/town combinations are added and allocations are amended as new information becomes available. If you do not find the lake watershed/town combination you are looking for in the appendix, contact Jeff Dennis at the DEP Division of Environmental Assessment (207-287-7847 or jeff.dennis@maine.gov) to request an allocation.

• 30 -

Appendix D - Worksheets The Excel spreadsheet provides four worksheets to assist in the calculations required to determine:

• Worksheet 1, Project Phosphorus Budget (PPB)

• Worksheet 2, Pre-treatment and Post-treatment Phosphorus Export Calculations • Worksheet 3, Mitigation Credits • Worksheet 4, Project Phosphorus Export Summary The spreadsheets have the calculations built into them and can be used either as active excel spreadsheets or may be printed out as worksheets for use by hand.

• 31 -

Appendix E - Alternative Method for Small Commercial-type Developments Located within Designated Growth Areas It can be difficult for densely developed projects on small parcels to meet their phosphorus budgets.

Because of the density of high phosphorus producing surfaces like parking lots and lawns, the stormwater draining these projects carries relatively large amounts of phosphorus. The small parcel size, however, means that the phosphorus budget for the parcel will also be small. As a result, highly intensive phosphorus control measures, which are often fairly costly, may be required for the project to meet its In these cases it may cost less to develop outside the designated growth area where land is more readily available for larger parcel sizes (and hence larger project phosphorus budgets) and for less intensive, and less expensive, phosphorus control measures like natural wooded buffers. If a municipality is concerned that the phosphorus budget will counter local planning efforts by being a disincentive for locating development within designated growth areas, they may request that the department allow commercial developers within their designated growth areas to use an alternative means of defining the project phosphorus budget. This alternative is described below.

To prevent sprawl and encourage building within designated growth areas, a municipality may request that projects with no more than 1.0 acre of impervious surfaces (building, parking, driveways, both paved and gravel) located on a small parcel with less than 5 acres within an area specifically designated for commercial growth in the municipality's DEP approved comprehensive plan be allowed to calculate the site's PPB as follows:

Alternative PPB Calculation for a Small Commercial-type Development (as defined by having less than 1 acre of impervious area and on a parcel that is less than 5 acres and located within a designated growth area)

The alternative PPB shall be the lesser of the following:

• Option A = PPB = PPB as calculated (using Worksheet 1) multiplied by 5, or • Option B = PPB = Project's proposed impervious area multiplied by 0.5 lb per acre Example: PPB for Small Commercial Development Problem: 'Parking for Rent' is proposing a one acre impervious parking lot on a 1.5 acre lot within the identified growth zone of a watershed with a phosphorus allocation of 0.03 lb/acre/year. The proposed treatment is through a buffer. Calculate the Project Phosphorus Budget.

Solution: The standard PPB would be 1.5 acre X 0.03 lb/acre/year = 0.045 lb P /year.

However, since the project is a small commercial-type development with no more than 1 acre of impervious area and on a parcel that is less than 5 acres and is located in a municipality's designated growth area, the alternative method for calculating the PPB may be used upon request by the municipality. The alternative PPB calculation is the lesser of:

• Option A. Standard PPB (as calculated on Worksheet 1) X 5 = 0.045 lb P /year X 5 = 0.225 lb P /year • Option B. Project's Proposed Impervious Area X 0.5 lb P /acre / year = 1 acre X 0.5 = 0.5 lb P /year Thus, the PPB is 0.225 lb P /year as in Option A.

• 32 -

Code Me. R. 01-672 Ch. 10 Introduction {#sec-01-672-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 10}

Chapter 2 Stormwater Hydrology

Chapter 3 Detention Basins for Flooding Control

Chapter 4 Wetponds

Chapter 5 Vegetated Buffers

Chapter 6 Infiltration BMPs

Chapter 7 Filtration BMPs 7.1 Grassed Underdrained Soil Filters 7.2 Bioretention Filters 7.3 Subsurface Sand Filters 7.4 Gravel Wetlands 7.5 Roof Dripline Filters 7.6 Vegetated Roofs 7.7 Manmade Pervious Surfaces

Chapter 8 Conveyance and Distribution Systems

Chapter 9 Separator BMPs

Chapter 10 LID Practices and Techniques

Chapter 11 Operation and Maintenance

Appendix A Runoff Estimation and Hydrologic Models

Appendix B Approval Letters for Proprietary Systems ACKNOWLEDGMENTS This manual was produced by the Maine Department of Environmental Protection (DEP). This May 2016 edition supersedes these manuals:  Stormwater Management for Maine: Best Management Practices, November 1995, and  Stormwater Management for Maine, January 2006 Funds to research, write, and produce the manual were provided by the Maine DEP and the Federal Environmental Protection Agency (EPA) through the Clean Water Act, Section 319.

DISCLAIMER:

This manual is intended to be a guidance document for the design and implementation of sound technical stormwater management systems and to assist developers and the regulated community in complying with existing state laws and regulations. The information outlined in this guidance manual supplement the requirements stated in the Maine Department of Environmental Protection Stormwater Management Rules, Chapter 500 and cannot overrule regulatory requirements.

The Department reserves the right and discretion to vary from this guidance and approve, on a case-by-case basis, other systems or designs that are warranted by site conditions or are based on new techniques or procedures if the proposed system or design meets the requirements of Chapter 500 for pollutant removal, cooling, channel protection or flood control.

The material presented in this document has been compiled based on a review of selected literature, and is for general information only. This information should not be used without first securing competent advice with respect to its suitability for any general or specific application.

No reference made in this document to any specific method, product, process, or service constitutes or implies an endorsement, recommendation, or warranty thereof by the DEP or the contributing authors of this document. No representation or warranty of any kind, whether express or implied, concerning the accuracy, completeness, suitability, or utility of any information, apparatus, product, or process have been expressed in this document, and therefore the DEP assumes no liability. Anyone utilizing this information assumes all liability arising from such use, including but not limited to infringement of any copyright or patent.

Chapter 1 - Introduction Maine’s stormwater Best Management Practices (BMPs) are focused on meeting four major water quality objectives:  Effective pollutant removal: BMPs must effectively remove the fine particles that carry much of the nutrient and heavy metal load, as well as dissolved pollutants, and hydrocarbons.  Cooling: BMPs discharging within a river, stream, or brook watershed must effectively cool down (22°C or cooler) stormwater runoff before its discharge to protect aquatic life. This may also be accomplished through measures that avoid heating the stormwater.  Channel protection: BMPs discharging within a river, stream, or brook watershed must slowly release the discharge to avoid the destabilization and resulting sedimentation of receiving stream channels. This can also be accomplished through site planning and operation that minimizes the volume and rate of discharge of stormwater by minimizing impervious area, maximizing infiltration and evapotranspiration, and maximizing time of concentration of storm flows.  Flood control: Traditional flood control detention for large, infrequent storms will be necessary for some large sites to avoid the flooding of downstream infrastructure.

DEP recommends four types of BMPs that will provide effective pollutant removal, cooling and channel protection; and, some may also provide flood control benefits without the need for a pond structure. The BMPs covered in this manual are outlined below.

BMPs to Meet Water Quality Objectives: These four BMPs are recommended to meet the BMP standards for discharges to river, stream and brook watersheds and can also be used to meet phosphorus standards for lakes. Water quality BMPs are discussed in the following chapters of this Volume III:  Chapter 4: Wet Ponds  Chapter 5: Buffers  Chapter 6: Infiltration BMPs  Chapter 7: Filtration BMPs NOTE:

The traditional stormwater management systems that have been applied to developments in the past are either inadequate or may actually be causing problems in the resources to which they drain. Maine’s stormwater management program is now built around ensuring that stormwater management systems for new developments should always provide pollutant removal. More information on this philosophy can be found in Volume I of this manual.

DISCLAIMER:

This manual is intended to be a guidance document for the design and implementation of sound technical stormwater management systems and to assist developers and the regulated community in complying with existing state laws and regulations. The information outlined in this guidance manual supplement the requirements stated in the Maine Department of Environmental Protection Stormwater Management Rules, Chapter 500 and cannot overrule regulatory requirements.

The Department reserves the right and discretion to vary from this guidance and approve, on a case-by-case basis, other systems or designs that are warranted by site conditions or are based on new techniques or procedures if the proposed system or design meets the requirements of Chapter 500 for pollutant removal, cooling or channel protection.

BMPs to Control Flooding: These BMPs can be used to control peak flows from a development.

Peak control BMPs are discussed in Chapter 3, Detention Basins for Flooding Control.

Conveyance and Distribution BMPs: These BMPs (vegetated swales, flow splitters, level spreaders, or others) can be used to convey and control flows entering one of the four water quality BMPs. Conveyance and distribution BMPs are discussed in Chapter 8, Conveyance and Distribution Systems.

Separator BMPs: Separator BMPs (water quality inlets, oil/grit and oil/water separators or proprietary systems) are primarily used as pretreatment devices to remove sediment, oil and grease from runoff before it is discharged into one of the four water quality BMPs. Separator BMPs are discussed in Chapter 9, Separator BMPs.

Low Impact Development (LID) BMPs: LID can be used to minimize the impacts of development and minimize the need for structural BMPs. It is important to limit the size of an area draining to a LID BMP and to treat runoff at its source. LID BMPs are discussed in Chapter 10, LID Practices and Techniques.

Operation and Maintenance: Operation and maintenance is crucial to the performance of any BMP. This needs to be incorporated into the design of any water quality BMP to be most effective.

Operation and maintenance criteria are discussed in Chapter 11, Operation and Maintenance.

The following table summarizes the applicability of each BMP. Alternative stormwater management systems to the four proposed by DEP may be used if they will provide equivalent pollutant removal, cooling and channel protection. DEP also strongly encourages the incorporation of low impact development site planning concepts within any development.

BEST MANAGEMENT PRACTI

CE SELECTION MATRIX

BMP Type Best Management Practice Drainage Area (acres)

Soil Hydrologic Group Depth to High Water Table or Bedrock Applicability Design Restrictions and Setbacks (feet) 0-5 5-10 >10 <3 ft >3ft Flooding WQ Pretreatment Conveyance Distribution Drinking Water Wells Property Lines Natural Resources Building Setbacks Slopes (>3:1)

Detention Basin Detention Basin 100 25 75 20 50 Wet Pond Wetpond 300 25 75 20 50 Buffers Buffer with Level Spreader Downhill of Road Ditch Turnout Adjacent to Large Impervious Area Adjacent to Residential Infiltration Drywell 300 25 75 10 Infiltration Trench 300 25 75 20 Infiltration Basin 300 25 75 20 Filtration Vegetated Soil Filter 100 25 75 20 25 Bioretention Cell 100 25 75 20 25 Subsurface Sand Filter 100 25 75 20 Conveyance and Distribution Vegetated Swales Flow Splitter Level Spreader Separator BMPs Water Quality Inlet Oil/Grit or Oil/Water Separator Proprietary Systems LID LID

Chapter 2 – Stormwater Hydrology This Chapter deals with selected topics related to hydrologic modeling practice in Maine. A detailed discussion of hydrologic principles is not included here. Users of this manual should have a working knowledge of applied hydrology, including familiarity with the Rational Method, SCS TR-20 and SCS TR-55 methodology.

Persons without a background in hydrology should refer to the suggested engineering hydrology texts listed in the bibliography. Persons without a working knowledge of the hydrologic principles of stormwater runoff should not be preparing or reviewing the engineering designs for the measures discussed in this document.

This manual is not an exhaustive and detailed design manual for stormwater hydrology information. Information is provided herein to provide a qualified designer with consistent and current data and information to incorporate into a design or analysis.

To assist designers, as well as to provide a standardized database for runoff estimating, selected hydrologic data is provided in this Chapter and in Appendix A. This material includes rainfall intensity duration data and curves, runoff coefficients for the Rational Method, and other data pertinent to Maine and useful in employing the methodologies discussed. 2.1 Controlling Peak Discharges & Runoff Volumes The effects of urbanization increase the volume and rate of runoff from the watershed, which in turn create higher stream flows during rain events. The stream channel experiences higher flows more frequently and for longer durations. High velocity flows erode and widen the channel; and sediments are deposited in slower downstream reaches. The frequency of these channel disturbances limits the quality of the habitat in the stream channel, especially for organisms with longer life cycles. This may occur even when peak flow rates are controlled because of the increased runoff volume after development.

Base flow in streams is also affected by changes in hydrology from urbanization. A large part of base flow is supplied by shallow infiltration. As shallow infiltration is reduced by increased impervious cover, the volume of water available for base flow in streams is reduced. These changes in hydrology, combined with increased pollutant loadings, can have a dramatic effect on the aquatic ecosystem in urban streams.  Refer to Volume I, Chapter 2 for information on DEP’s stormwater management objectives, including: o Effective pollutant removal o Cooling o Channel Protection o Flood Control  Stormwater management facilities must be designed to treat the first 1 inch of runoff from impervious surfaces and 0.4 inch from landscaped areas.  When designing these structures to meet the Flooding standard, they must be sized to control the peak flow discharges from the 2, 10 and 25-year 24-hour storms.

With regard to urbanization's effects on runoff volumes and peak flows, one goal of stormwater management is to manipulate post development flows to minimize their impacts on downstream (and upstream) capacity and stability. One of the ways to accomplish this objective is to use hydraulic structures to control discharges to approximate original conditions.

To most effectively approximate the original conditions, both the peak discharge rate of runoff as well as the total runoff volume needs to be controlled.

Peak rates can be controlled by detention. As shown in Figures 2-1 and 2-2, to effectively control peak rates to pre-development levels, detention structures should be designed with multistage discharge structures (such as multiple orifice/weir combinations, or single V-notch weirs) to "bracket" the range of design flows of concern (e.g., 2year, 10-year, and 25-year frequency events).

Duplicating pre-development runoff volume often requires application of infiltration practices.

This option is frequently limited or prohibited by site soils constraints and local water quality issues. Thus, where volume reduction is not an option, it is important to incorporate extended detention of the more frequent, potentially channel shaping storms into BMPs to minimize exposure of the stream channel to erosive flows. Schueler (1987, Appendix B of that publication) presents a preliminary methodology for estimating excess storage required to mimic predevelopment bankfull flooding frequency.

Other tools available for managing stormwater include using low impact development measures, grading and channelization practices to lengthen travel times in drainage systems, grading to flatten slopes to increase time of concentration, and downstream modifications to provide for capacity and stability to carry increased flows.

Figure 2 – Controlled and Uncontrolled Peak Discharges Figure 1 – Detention Basin for Flood Control 2.2 Factors Affecting Runoff The following material comments on selected factors that affect runoff. It is intended to establish some conventions in the terminology used in this document, and to highlight particular design issues relative to the factors discussed.

Watershed/Drainage Area: The term watershed is used qualitatively to identify the geographic area of land draining to a stream or other waterbody at a given location. The term catchment is also used. To describe a watershed, one needs to know its area, slopes, drainage characteristics of soils, surface cover, shape, and hydrography. The term drainage area is used to refer to the planimetric dimensions of the watershed. That is, it is a quantitative term and refers to the measured area of the watershed (e.g., the drainage area of XYZ stream is 381 acres).

Care should be taken when delineating watershed boundaries to show and account for all areas outside the project area that are a part of each watershed.

Rainfall: To fully describe a precipitation event, four parameters must be used. They are the amount of rain, the storm duration, the rainfall distribution, and the return frequency. For example, a fully described storm would be: 4.5 inches of rain, of 24 hour duration, having a type III distribution and a return frequency of 10 years.

Rainfall Amounts: Rainfall is typically recorded in total rainfall received in a 24 hour period.

Applicable data for Maine is reported for each county in Maine can be found in Appendix H of DEP’s Chapter 500 Stormwater Management Rules. Rainfall amounts for shorter time frames and for more accurate location are recorded by intensity (depth per unit time) and this data is presented may be found on the National Oceanic and Atmospheric Administration National Weather Service, Hydrometeorological Design Studies Center website: http://hdsc.nws.noaa.gov/hdsc/pfds/pfds_map_cont.html?bkmrk=me  Storm Duration: The storm duration is the length of time from the beginning of rainfall to the point when there is no more additional accumulation of precipitation. Storm durations can be quantified in terms of minutes, hours and days, but usually no greater than five days. The duration of a storm is necessary for estimating the rate of runoff discharge. Rainfall Distribution: Rainfall intensity is a depth of rainfall per unit of time, usually expressed in inches per hour. Storms will contain many intensities, grouped either randomly (as in a real storm), or in a set sequence (as in a synthetic storm). Rainfall intensity varies with time during a given storm for different geographical regions and for different locations specific to a region.

Four synthetic 24-hour rainfall time distribution curves for the United States of which two (Type II and Type III storm distributions) are applicable within Maine. Type II is found in the Maine interior and mountains and Type III is a coastal storm with higher intensity and density.

Rainfall can be localized during a given event; however, for the design of most stormwater management facilities, common practice assumes that rainfall is uniformly distributed over the entire contributing watershed. This assumption does not necessarily apply to large, complex watersheds, for which SCS TR-20 or an equivalent model allowing this flexibility should be used.  Return Period/Frequency: The return period (sometimes referred to as frequency) of a hydrologic event is the expected (or average) value of the recurrence interval (time between occurrences) of an event equal to or greater than a given magnitude. For example, in Portland, Maine, the return period between storm events with rainfall equal to or greater than 4.6 inches (24-hour storm duration) is 10 years. Alternatively stated, 4.6 inches is the 10-year frequency, 24-hour duration for Portland. The probability of a hydrologic event occurring in a given year is the inverse of the return period. Thus, the 10-year frequency storm has a 0.10 probability of being equaled or exceeded in any given year, and the 100-year frequency storm has a 0.01 probability of being equaled or exceeded in any given year.

IMPORTANT NOTE:

A table, 24-Hour Duration Rainfalls for Various Return Periods, for each county in Maine can be found in Appendix H of DEP’s Chapter 500 Stormwater Management Rules. The data is extracted from the National Oceanic and Atmospheric Administration National Weather Service, Hydrometeorological Design Studies Center website: http://hdsc.nws.noaa.gov/hdsc/pfds/pfds_map_cont.html?bkmrk=me .

More accurate design rain depth and return frequency for an exact location can be obtained from that website.

Figure 2.3 – Maine Rainfall Distribution Map Note that different types of hydrologic events can have different return periods (or frequencies). For example, the 100-year frequency storm is a rainfall event. The 100year flood is a peak stage or runoff event. A common assumption of hydrologic estimating methods is that the flood event corresponds with the rainfall event of the same frequency.

This is not always true; for instance, a relatively minor storm accompanied by a spring snow melt can result in a relatively major flood event. A flood event may also result from a coastal surge cause by high winds, independent of rainfall.

Severity of a hydrologic event varies inversely with its return period; that is, severe storms occur less frequently than moderate storm events. The choice of a storm frequency for designing a hydraulic structure can be based on analyzing the risk of damages from storms of greater severity compared to the costs of initial construction.

The following is recommended for conventional practice in Maine:  Storm drains are designed for the 10-year frequency storm. Culverts under roadways and other major drainage structures have been designed for the 25-year storm and may require a design for a larger storm in consideration of increase in urban development and anticipated larger storm events. The Department of Transportation (MaineDOT) requires design for the 50 or 100-year storm.  Detention structures are designed to control the 2-year, 10-year, and 25-year frequency discharges. (Ideally, detention structures would control all frequency storms, including "expected" storm events like the 3-month or 6-month storm.)  Detention structures designed to provide channel protection detention must have principal spillways capable of providing extended detention of 12 hours for runoff from a 2-hour storm of a 1-year frequency.  Areas that will be inundated during the 25-year frequency storm must be identified and, presumably, suitable for temporary inundation. Structures (residential buildings, public roads, water treatment facilities, etc.) must not be located in areas subject to inundation during a 100-year storm.  Emergency spillways from detention structures must be designed to independently convey the routed runoff from at least the 25-year, 24-hour storm while maintaining at least one foot of freeboard between the peak storage elevation and the top of the embankment crest. This, in addition to the principal spillway, should provide an adequate margin of safety for conveyance of a 100-year event. A routed 100-year storm is acceptable for other hydrologic methods such as TR-20.  Designers should note that local ordinances or MEMA/FEMA standards may require sizing of pipes and structures for larger return periods (i.e., less frequent storms).

Rainfall Intensity - Duration – Frequency Relationships: In designing stormwater management facilities, the designer usually selects one or more "design storms". The most common approach is to use a design storm that relates the rainfall intensity, duration, and frequency (return period). Intensity-duration-frequency (IDF) curves are developed to describe this relationship, based on frequency analyses of rainfall event data at specific locations (some sources publish the data in the form of depth duration frequency maps, e.g., NOAA 35 and TP Table 2-1 Rainfall Distribution Comparison for Maine (DA = Drainage Area)

Numbers refer to percent of total 24 hour precipitation Duration Uniform Type I > 3 sq.mi Type II < 3 sq.mi Type III < 3 sq.mi 6 Min. 0.4 % 6.0 % 11.2 % 8.4 % 15 Min. 1.0 % 21.0 % 38.0 % 310 % 1 Hour 4.2 % 28.0 % 43.0 % 40.0 % 2 Hour 8.3 % 37.0 % 54.0 % 50.0 % 3 Hour 12.5 % 43.0 % 58.0 % 57.0 % 6 Hour 25.0 % 57.0 % 70.0 % 71.0 % 12 Hour 50.0 % 75.0 % 84.0 % 86.0 % 24 Hour 100.0 % 100.0 % 100.0 % 100.0 % Source: SCS &NWS, NEH-4 and TR-20 40). Rainfall IDF data for Maine has been assembled from a number of sources. This data is included in Appendix A. The designer is referred to the hydrology literature for a more detailed discussion of the derivation of these IDF relationships. The Maine Department of Transportation Highway Design Guide, January 2015 has IDF curves for selected locations in Maine.

Soils: Soil characteristics affect the volume and rate of storm runoff. Some hydrologic estimating methods specifically account for soil types (SCS NEH-4, SCS TR-55); others may not (e.g., some references for the runoff coefficient used in the Rational Method do not relate the coefficient to soil type). The choice of a hydrologic model for a specific application may be governed by the extent to which the model accounts for soil conditions. An extensive description of soil characteristics and relationship to hydrology is not offered here. If a hydrologic model does include a parameter for soil conditions, the following should be considered:  Hydrologic Soil Group: The hydrologic soil group (HSG) reflects the infiltration rate of the soil, the permeability of any restrictive layer(s), and the moisture-holding capacity of the soil profile to a depth of 60 inches. The infiltration rate of the soil affects runoff. Generally, the higher the rate of infiltration, the lower the quantity of stormwater runoff. Fine textured soils such as clay produce a greater rate of runoff than coarse grained soils such as sand. The hydrologic soil groups are: o HSG A (Low runoff potential) Soils having a low runoff potential and high infiltration rates even when thoroughly wetted and consisting chiefly of deep, well to excessively drained sands or gravels and having a high rate of water transmission (greater than 0.30 in./hr.). o HSG B Soils having moderate infiltration rates when thoroughly wetted and consisting chiefly of moderately deep to deep, moderately well to well drained soils with moderately fine to moderately coarse textures. These soils have a moderate rate of water transmission (0.15-0.30 in./hr.). o HSG C Soils having slow infiltration rates when thoroughly wetted and consisting chiefly of soils with a layer that impedes downward movement of water, or soils with moderately fine to fine textures. These soils have a slow rate of water transmission (0.05-0.15 in/hr.) o HSG D (High runoff potential) Soils having very slow infiltration rates when thoroughly wetted and consisting chiefly of clay soils with a high swelling potential, soils with a permanent high water table, soils with a claypan or clay layer at or near the surface, and shallow soils over nearly impervious material. These soils have a very slow rate of water transmission (less than 0.05 in/hr.) Source: NEH-4  Antecedent Moisture Conditions (AMC): The SCS models include soils runoff curve numbers based on average antecedent moisture conditions (AMC-II). In some cases, the analysis of dry (AMC-I) or wet (AMC-III) soil conditions prior to the design storm may be warranted. For design purposes, the curve numbers for AMC-II which are built into the models should always be used unless there are specific design criteria specifying otherwise. For analysis purposes where data from TR-20 or other runoff models is being calibrated with actual storm data, an adjustment of the curve number (CN) based on differing moisture conditions (AMC) may be warranted. Any adjustment in CN due to AMC changes must be made with caution and only with proper professional judgment.

Tables are provided in

Appendix A relative to adjustment based on AMC, and the designer should refer to SCS NEH- 4 for guidance on how to apply AMC adjustments.

Table 2-2 gives seasonal Table 2-2 Total 5 Day Antecedent Rainfall AMC Dormant Season Growing season I Less than 0.5 inch Less than 1.4 inch II 0.5-1.1 inch 1.4.-2.1 inches III Over 1.1 inch Over 2.1 inches Source: Browne, 1990, SCS TP-149 Condition I: Soils are dry but not to wilting point; satisfactory cultivation has taken place.

Condition II: Average Conditions (Base Values in TR-55 and TR-20).

Condition III: Heavy rainfall, or light rainfall and low temperatures, have occurred within the last 5 days; saturated soil. rainfall limits for antecedent moisture conditions and the definition of each antecedent moisture condition is as follows (SCS NEH-4):  Changes in Site Soils: When a site is extensively reworked, the hydrologic group associated with the original surficial soils may not apply to the newly graded surface. The designer may need to adjust curve numbers to account for new soils conditions, as well as new cover conditions, to obtain realistic estimates of runoff for this scenario.  Seasonal High Water Table (HWT): The depth to the groundwater may be determined by the redox features that are present in the soil horizon (organic streaking, concretions, and color differentiations such as mottling are caused by the alternation of saturated and unsaturated soil conditions). During saturation, iron and manganese become reduced and exhibit subdued shades of grays, greens or blues. When the soil is unsaturated, the oxygen combines with iron and manganese to develop brighter soil colors such as yellows and reddish browns. Soils that experience seasonally fluctuating water tables usually exhibit alternating streaks, spots or blotches of bright-oxidized colors mixed with reduced dull or subdued colors. The longer a soil is saturated, the greater is the percentage of color that will be subdued.

Surface Cover: The type of surface or ground cover and its condition also affect runoff volume, as they influence the infiltration rate of the soil. For example:  Fallow land yields more runoff than forests or grassland for the same soil type.  The duff layer from leaf litter and decomposing organic matter maintains the soil's infiltration potential into the subsurface while bare soil may become sealed by the impact of falling rain.

Also, vegetation and foliage retain some of the falling rain and increase the amount evaporated into the atmosphere. Foliage also transpires moisture into the atmosphere and creates a moisture deficiency in the soil which must be replaced by rainfall prior to the occurrence of runoff.  An irregular topography (pits and mounds) will also slow and lengthen the path of flowing water, decreasing its velocity and reducing the peak rate of runoff. A duff layer will also maintain the micro-topography of the forest floor.  Covering areas with impervious surfaces, such as parking areas, reduces infiltration and surface storage, thereby increasing the size of runoff volumes and peak discharges.

Modeling Soil and Cover Types: In SCS models (TR-20 and TR-55), curve numbers (CNs) represent a mathematical representation of the combination of soil type and surface cover.

For the Rational Method, there are a number of sources offering tables of runoff coefficients ("C"), and the designer has a fair degree of discretion in choosing a value for return periods of 2-10 years. Higher values should be used for longer return periods when infiltration and other losses have a smaller effect on runoff. However, alternative methods of determining "C" may be appropriate in some instances (e.g., using methods which yield "C" values corresponding to SCS Curve Numbers).

Time of Concentration and Travel Time: The Time of Concentration (Tc) is the time required for water to travel from the hydraulically most remote part of the watershed to the point of analysis at the lower end of the watershed. This longest time may or may not be the longest physical distance. Travel Time (Tt) is the time it takes water to travel from one location in the watershed to another. A Tc is determined by summing the Tts along the flow path from the most remote point (time-wise) of a watershed. A Travel Time may be the time water flows from one point to another as sheet flow, shallow concentrated flow, or open channel or conduit flow. A Tc will generally contain a sheet flow component, probably have a shallow concentrated flow component, and may have an open channel or conduit flow component. These components are described as follows:  Sheet flow: Sheet flow (less than 0.1 foot deep) is flow over a plane surface, which usually occurs in the headwaters of watersheds. With sheet flow, the friction value (Manning's "n") is an effective roughness coefficient that includes the effect of raindrop impacts; drag over the plane surface; obstacles such as litter, crop ridges, and rocks; and erosion and transportation of sediment (SCS, 1986). Reference is made to SCS Technical Note N4 (SCS, 1986) for limitations as to length of sheet flow. In Maine, the length of sheet flow is seldom greater than 150 feet. A distance of up to a maximum of 300 feet may be possible in a well maintained, slightly sloped paved parking area or a slightly sloped grassed lawn. An on-site inspection (preferably during a runoff event) is the only way to validate the length of sheet flow.  Shallow Concentrated Flow: After a maximum of 300 feet, sheet flow usually becomes shallow concentrated flow. In practice, sheet flow probably becomes shallow concentrated flow after a much shorter distance. The point at which shallow concentrated flow occurs should be justified on the basis of a site inspection (for existing conditions), or design grades (for proposed conditions).  Open Channel or Non-pressure Conduit Flow: Open channel flow may be assumed where channels are visible on aerial photographs or where blue lines (indicating streams) appear on USGS quadrangle sheets. However, the beginning point of the channels is often much higher in the watershed and its location should be verified by an actual site inspection or by survey data. Manning's equation or water surface profile information can be used to estimate average flow velocity. Average flow velocity is usually determined for bank-full elevation.

Conduit flow Tts are used only if the discharge is fully contained in the conduit under nonpressure flow. Pipes flowing under pressure cannot be modeled as conduit flow. 2.3 Factors Affecting Runoff The selection and design of stormwater management practices requires estimates of flow volumes, peak discharges, and detention storage requirements. For some projects, not only must the outlet of a particular watershed be examined but also the downstream effects of changes at the site must be evaluated. A number of methods are available to model hydrologic parameters and are discussed in Appendix A. A number of public domain and proprietary computer programs are now available, which incorporate one or more of these methodologies.

Water Quality Volume: The water quality volume is that initial volume (depth) of runoff that is considered to carry the bulk of pollutants deposited since the last runoff event. This is generally defined as a given depth of runoff distributed over the watershed.

Studies have indicated that the first one-inch of runoff carries 90% of the pollution load from a storm. Other research has shown that smaller precipitation events between 0.5 and 1.5 inches of rainfall (approximately the runoff resulting from a 1-year, 24-hour storm event) are responsible for about 75% of the runoff pollutant discharges; larger rainfall amounts (i.e., a 10-year storm event) are associated with drainage design and are responsible for only small portions of annual pollutant discharges (Pitt, 1994). This latter research concludes that treating the initial amount of runoff is effective not because of the first flush, but because the first 0.5 inch of runoff from all storms accounts for almost all of the total annual runoff from most land uses.

It is important to note that the above is only valid for areas with existing impervious area.

Developing sites with exposed soils have a high potential for erosion when under construction during larger storms.

Runoff Volume and Peak Rate: Many different methods of computing peak rates and volumes of runoff for storm events have been developed. A description of several methods is provided in Appendix A. This information is for general use only and is not intended to be a standard of the DEP. The designer should consult the primary references for these methods as well as the applicable reviewing authority prior to final selection and application to a particular project. Anyone utilizing this information assumes all liability arising from such use, including but not limited to infringement of any copyright or patent.

Frequency vs. Discharge Analysis: The before and after runoff analysis is normally depicted graphically with hydrographs. But a plot on log probability paper helps in ease of comprehension and error checking. The difference in the peak discharges between the two hydrographs is the increase in flooding. This type of plot shows the reason and need for controlling a "family" of storms to mimic predevelopment conditions.

Flood control is simply the addition of sufficient storage behind a detention pond that lowers the upper line to the lower line. At least one small storm frequency (usually the 2-yr.) and one large storm frequency (usually the 25-yr.) is sufficient to approximate the range of runoff values, although an intermediate storm (such as the 10- yr.) provides a more complete hydrologic model.

The frequency discharge analysis for the before (pre) and after (post) conditions should be depicted for project areas of vital interest: at the lower project boundary and at restricted downstream areas of potential flood damage.

Flood Routing/Storage Estimating: Flow routing is a procedure for determining the time and magnitude of flow at a downstream point on a watercourse from known or assumed hydrographs at one or more points upstream (Chow, 1988). If the flow is a flood, the procedure is known as flood routing. A number of methods have been developed for routing hydrographs through hydrologic systems. See Appendix A.

Flood routing is used in some of the runoff estimation methods (SCS TR-20, HEC-1) to obtain peak flows at different points along a water course. Flood routing is also of importance in modeling the effects of ponded areas on the outflow from a watershed, and for the sizing of detention facilities.

SCS TR-55 includes a graphic methodology to determine detention storage requirements using the output of the Graphical and Tabular runoff estimation procedures. This method is based on the investigation of average storage and routing effects of many structures using the Storage Indicator Method of reservoir routing. This method is approximate, and should not be used to perform final design if an error in storage of 25 percent (oversized storage) cannot be tolerated (USDA/SCS, 1986). A routing method should be used to properly size outlet structures designed for multiple storms.

A number of commercially available computer software packages have been developed which incorporate the SCS-TR-20 or HEC-1 procedures, or other routing methods. The Modified Rational Method, while not a true routing procedure, can be used for preliminary design of detention storage for watersheds up to 20 or 30 acres. 2.4 Hydrologic Data for Maine

Appendix A presents hydrologic data applicable to Maine. The information is drawn from a number of sources (as cited) and is presented for the convenience of the designer. The designer assumes any responsibility for selection and application of this data for specific projects.

Chapter 3 - Detention Basins for Flooding Control Peak flow control generally involves the use of a detention structure to temporarily store excess runoff and gradually release it over a period of time to the receiving watercourse. Typically, a detention facility is designed to control outflow at a rate no greater than the pre-development peak discharge rate.

Generally, detention facilities will not significantly reduce the total volume of runoff, but will redistribute the rate of runoff over a period of time by providing temporary "live" storage of a certain amount of stormwater. The purpose is to reduce downstream flooding and erosion problems. The most common detention structure is the dry detention basin, although wet ponds can also be used for peak flow control.

This chapter focuses on detention basins, since their primary function is peak control, with little water quality benefit. Wet ponds are discussed in Chapter 4 for use as both water quality and peak flow control.

A dry detention basin is normally designed for quantity control or peak flow control and pollutant removal is only a minimal benefit.

Although detention basins are effective at controlling peak discharge rates leaving a site, they may do little to limit increases in flow rates further downstream and, in some cases, may actually increase the peak flows at some points.

This Chapter discusses the design of detention basins for quantity control and extended detention for stream channel protection. Other BMPs presented in this manual (i.e., wet ponds, buffers, infiltration and underdrained soil filters) must be used for water quality improvements.

Basin Siting: A detention basin is an impoundment designed to temporarily store runoff and release it at a controlled rate and should be dry 2-3 days following a rain event.  Subsurface Investigation: Subsurface explorations (test pits or borings) should be made within the basin area to identify depths to seasonal high groundwater and bedrock. Explorations should extend  Separation from Seasonal High Watertable: The bottom of the constructed basin, including any underdrain soil filters should be one (1) foot above the seasonal high groundwater table to avoid standing water in the basin.  Separation from Bedrock: The bedrock surface may be no closer than 1 foot from the bottom of the basin, unless an impermeable liner (not clay) or other design elements are employed.  Permeable Soils: A detention basin should not be located in hydrologic soil groups A and B (sand and gravel), unless an impermeable liner (not clay) or other measures are provided in the design to prevent infiltration.  Basins on Slopes:

When basins are created by cutting and filling a slope, the seasonal groundwater table on the slope above the basin may be exposed and may cause the destabilization of the embankment from groundwater seepage without riprap or the installation of a subsurface interceptor drainage system.

Basin Plan: One acre-foot of storage in a detention basin is recommended for each four acre of drainage area. The design of a detention basin is shown on Figure 8.1.  Access: A maintenance access should be at least 10 feet wide with a maximum slope of 15% and a maximum cross slope of 3%. This access should never cross the emergency spillway, unless the spillway has been designed for that purpose. An easement may be required.

Detention basins may only be used for water quantity control. They must be combined with other water quality BMPs to receive credit for water quality improvements.

Figure 3.1- Detention Basin Design  Sediment Pretreatment:

A pre-treatment device such as grassed swale, underdrained swale, filter strip, and sediment trap should be provided to minimize the discharge of sediment to the basin.

Pretreatment structures should be sized to hold an annual sediment loading or be routinely cleaned.  Basin Slopes: Basin side slopes should be no steeper than 2:1. Flatter slopes provide easier access for maintenance (mowing). At a minimum, one side slope (interior or exterior) should be 3:1, such that the combined interior and exterior embankments total 5:1 (2:1 + 3:1).  Basin Shape:

Provide a long and narrow basin shape, with a minimum length to 2:1 width ratio (3:1 is best). Runoff should travel the longest distance through the basin before being discharged with the inlet and outlet as far apart as possible. The path of flow can be increased with an irregularly shaped basin or by using baffles. The basin should be shallow and narrow at the inlet, and deep and wide at the outlet.

Inlet Design: Prevention of scour at the inlet will reduce maintenance problems and prevent damage to basin floor vegetation. Provide energy dissipation at the inlet in accordance with practices outlined in the Maine Erosion and Sediment Control Practices Manual.  Inlet Protection: The inlet should be protected with riprap or other energy dissipater, such as a baffle below the inflow structure to remove sediment. A forebay should be designed with a minimum length to width ratio of 2:1.  Scour: Energy dissipation should be provided at the inlet and outlet to prevent scour and reduce the velocity of stormwater. The velocity of flow through the inlet sediment control structure and basin should not exceed 2.5 feet per second.

Embankments: Embankments should be designed by a professional engineer registered in the State of Maine and must be designed to meet engineering standards for foundation preparation, fill compaction, seepage control, and embankment stability. Basic standards for small basins can be found in the Maine Erosion and Sediment Control Practices Manual. The design must include an investigation of the subsurface conditions at the proposed embankment location to evaluate the depth to bedrock and groundwater, settlement potential, and the need for seepage controls. The department may require a geotechnical report for any embankment over 10 feet in effective height or posing a hazard to downstream property or life.  Key: Embankments must be keyed into undisturbed subsurface soils.  Safety Bench: A safety bench should be designed into all embankments greater than 10 feet high.  Crest width: The minimum crest width for any embankment must be as shown on Table 8.1  Crest elevation: The minimum elevation of the top of the settled embankment must be at least one foot above the peak water surface in the basin with the emergency spillway flowing at design depth for a discharge routed through the emergency spillway only.  Fill Material: Fill must be free of frozen soil, rocks over six inches, and sod, brush, stumps, tree roots, wood, or other perishable materials. Embankment fills less than 10 feet in fill height must be compacted using compaction methods that would guarantee a fill density of 90% of the maximum density as determined by standard proctor (ASTM-698). All embankment fills more than 10 feet in fill height must be compacted to 90% of the maximum density and must have their density verified by field density testing.

Outlet Protection: Outflow from the basin must be directed to a stable channel or area. A channel may need to be riprapped to prevent erosion. The discharge onto a buffer needs to be spread through a level spreader that will distribute the runoff as a sheet flow.

Principal Spillways:

The principal spillway should control the runoff from a 24-hour storm for the 2year, 10-year, and 25-year frequencies such that these peak flows never exceed the peak flows prior to undertaking the project.  Trash Racks: All basin outlets must have a trash rack to control clogging by debris and to provide safety to the public. The surface area of each rack must be at least four times the outlet opening it is protecting. The spacing between rack bars must be no more than six inches or one-half the dimension of the smallest outlet opening behind it, whichever is less. Trash racks should be inclined to be self-cleaning.  Seepage Controls: All pipes that extend through an embankment should have anti-seep collars or filter diaphragms to control the migration of soil materials and, to prevent embankment failure from "piping" within the backfill along the conduit. All smooth outlet pipes greater than eight inches and all corrugated outlet pipes greater than 12 inches must have seepage controls.  Anti-floatation: All outlets employing a riser structure must be designed to prevent the riser floating.

Emergency Spillways: Emergency spillways should independently convey the runoff from the 25year, 24-hour storm while maintaining at least one foot of freeboard between the peak storage elevation and the top of the embankment crest; and should safely convey the 100-year storm without overtopping the embankment. Overflow must discharge to a stable channel or stable area.

Table 3.1 – Embankment Crest Width HEIGHT OF EMBANKMENT (feet)

CREST WIDTH

(feet)

Less than 10 6 10-15 8 15-20 10 More than 20 12  Location: Emergency spillways should be located on undisturbed, non-fill soil. If the spillway must be located on fill soils, it should be horizontally offset at least 20 feet from the principal outlet; and be ripraped or reinforced with turf lining, or a non-flexible lining.  Exit channel: The grade of the spillway's exit channel should not exceed 20% unless a non-flexible lining (concrete or asphalt) is provided. Vegetation, reinforced turf, riprap, and modular blocks are considered flexible linings. Large woody species growing in the emergency spillway will interfere with its function and must be removed.  Flow depth: The design flow depth in the exit channel may not exceed one-half the d stone size for channels lined with riprap and three inches for channels with vegetation. The channel should remain stable through the full range of design flows.

Naturalized Basins: Conventional detention basins should be naturalized wherever feasible and achieve the maximum benefit by incorporating the following:  Soil Amendment:

If the basin soil needs amendment to support vegetation, the added material needs to be at least 6 inches thick with the bottom 3 inches rototilled into the native soils. Wood waste compost and other highly organic material work best.  Low Flow Channel: Construct the basin with a natural low flow channel to remove pollutants and prevent erosion.  Landscaping: Incorporate a naturally landscaped area at the ground surface. The ground surface around the basin should be large enough to be in scale with the overall landscaped area. Soften views from residential areas by grouping trees or shrubs to avoid a spotty effect. A minimum of six inches of topsoil with at least 6% organic content should be provided if the soil requires amendment.  Mulch: Mulch all shrub beds located within the pool area with a non-floating type mulch over a weed barrier material.  Maintenance Access: Blend access area in with the surrounding landscape to the extent feasible.  Vegetation: Plant all areas of the basin, including basin floors, side slopes, berms, impoundment structures, or other earth structures, with grasses such as naturalized meadow plantings or lawn grass specifically suited for stormwater basins. Six inches of loam, composted wood waste or fine erosion control mix should be added to amend dry mineral soils. Avoid the unintended introduction of invasive species (such as purple loosestrife or common reed - Phragmites australis). It is recommended that a qualified wetland biologist be consulted when planning the revegetation of a basin.

Construction:

Construction can be started no later than September 1 or before June. If side slopes and banks cannot be revegetated and stabilized by the end of the growing season, basin construction should be delayed to the following growing season. Basin construction should not be delayed beyond 2 weeks excluding for major weather. Seeding must occur by September 15 or other stabilization measures must be implemented before winter. Do not discharge stormwater to the basin until the basin is fully stabilized or provide a sediment barrier at the outlet.  Soil compaction: Prevent soil compaction on the floor of the basin during construction.  Sediment Disposal: Construction sediments should be disposed such that water draining from the material could not flow directly to a water resource.

Subsurface Detention Basin Criteria: In addition to the general design and construction criteria, the following criteria apply to subsurface detention basins.  Pretreatment: All subsurface systems should include pretreatment for the removal of sediments.  Observation Wells: An observation port for monitoring sediment levels and determining when rehabilitation is necessary should be installed to the bottom of the system. The observation well should be a 4-inch diameter, perforated PVC pipe fitted with a removable yet securable well cap, foot plate, and rebar anchor. Set the observation well prior to backfilling with stone fill.  Access Ports:

Access to the subsurface system must be provided to allow for the removal of accumulated sediments.

Maintenance: Basins should be inspected annually for erosion, destabilization of side slopes, embankment settling and other signs of structural failure, and loss of storage volume due to sediment accumulation. Corrective action should be taken immediately upon identification of problems.  Maintenance Agreement: A legal entity should be established or inspecting and maintaining any detention basin. The legal agreement should list specific maintenance responsibilities (including timetables) and provide for the funding to cover long-term inspection and maintenance.  Inlet & Outlet Inspections:

The inlet and outlet of the basin should be checked periodically to ensure that flow structures are not blocked by debris. Inspections should be conducted monthly during wet weather conditions (March to November). Flow structures should be easily accessible for inspection and the removal of debris blockage during storm conditions.  Embankment Maintenance: Embankments should be maintained to preserve their integrity as impoundment structures, including: mowing, control of woody vegetation, rodent, and outlet maintenance and repair. Basins should be mowed no more than twice a year during the growing season to maintain maximum grass heights less than 12 inches. All accumulated trash and debris should be removed.  Sediment Removal: Sediment should be removed from the pretreatment structure at least annually and from the basin when necessary.

IMPORTANT - Vegetation Seed mixtures should be selected for the soil type, moisture content, the amount of sun exposure, and the level of use found at the site. Examples are as follows:  Lots of sun and mostly dry: Creeping red or tall fescue, perennial rye grass and clover  Shady areas: Creeping red fescue, Kentucky bluegrass, Canada bluegrass  Wetlands: Creeping red fescue, Reed canary grass, Timothy  Steep slopes: Crown vetch, clove  Naturalized basins: Contact your Soil and Water Conservation District for specific mixtures. The mixture should include some annual rye for quicker green-up. Apply at the approximate rate of 0.5 -1 lbs per 1,000 SF (30-50 lbs per acre). o Grasses: Big Blue Stem, Switchgrass and wildflower mixes. In wet areas, plant Sweet Flag, Yellow Iris and Soft Rush for color and texture o Shrubs: Red Chokeberry (Aronia arbutifolia), Silky Dogwood (Cornus ammomum), Arrowwood (Viburnun Dentatum), Cranberrybush (Viburnum trilobum). If shrubs are used, they must be adapted to wet or moist soils conditions o Trees: Red Maple (Acer rubrum), River Birch (Betula nigra), Sweetgum (Liquidambar styraciflua), various Willows. Trees may not be planted below the pool area of the basin.

Avoid the introduction of invasive species.

NOTE:

An annual sediment load shall be calculated using a predicted sand application rate of 500 lbs/acre for sanding of roadways, parking areas and access drives within the subcatchment area, a sand density of 90 lbs per cubic foot and assuming a minimum frequency of ten storms per year.

Chapter 4 – Wet Ponds Wet Ponds have a permanent pool of water and have the capacity to temporarily store stormwater runoff and release it at a controlled rate; provide flood control; and provide water quality treatment. Properly sized and maintained, wet ponds can achieve high rates of removal for a number of urban pollutants, including sediment and the pollutants associated with sediment, such as trace metals, hydrocarbons, biological oxygen demand (BOD) , nutrients, and pesticides. They also provide some treatment of dissolved nutrients, through biological processes within the pond. The addition of an underdrained gravel trench in the bench area around the permanent pool allows for the slow, release of stormwater without risk of blockage and avoids thermal impacts. The underdrained gravel trench outlet is required when discharging to a stream, river or brook.

Permanent Pool Volume: When designing a pond to meet General Standards of the DEP’s

Chapter 500 Stormwater Management Rules, the permanent pool must be sized in accordance with criteria provided below. When designing a pond to meet the Phosphorus Standard, the permanent pool volume must be adjusted using the equations found in Chapter 4 of Volume II. The permanent pool must have a storage volume below the permanent pool elevation at least equal to 2.0 inches times the subcatchment's impervious area plus 0.8 inch times the subcatchment's non-impervious developed area.

If the total permanent pool volume is evenly distributed between two wet ponds in series, the total permanent pool volume may be reduced by 20%. If the permanent pool volume is evenly distributed between three ponds in series, the reduction may be 40%.

Channel Protection Volume: Wet ponds must detain, above the permanent pool, a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the landscaped developed area to be released over a 24 to 48 hour period. The outflow must be discharged through an underdrained gravel trench outlet if the basin is discharging to a stream, brook or river. When designing for flood control, the pond needs to control the peak flows from the 2, 10 and 25-year storms.

Cooling: When designed to meet the cooling standard, the underdrain trench outlet must be sized to provide effective cooling of the stormwater runoff to 60 degrees Fahrenheit. The underdrained outlet design should provide adequate cooling of stormwater runoff before discharging it.

Location in Wetlands: Wet ponds may not be located in wetlands without the appropriate permits from DEP and the Army Corps of Engineers. The DEP and Army Corps of Engineers should be contacted early in the design phase if any wet pond is proposed in a wetland.

Wildlife Habitat: If the pond will be used as new or enhanced wildlife habitat, a larger contributing watershed (>20 acres) may need to be considered so that flow is sufficient to maintain pool volume. Wet ponds for wildlife habitat located in watersheds less than 20 acres should have a reliable water source and a clay liner.

Basin Siting: The site for a wet pond should be suitable to prevent seepage, environmental impact or posing a hazard to downstream property or life.  Depth to Groundwater: The elevation of the pond outlet should be at least 1 foot above the highest elevation of the seasonal high groundwater table in the area to be flooded by the pond. A wet pond An underdrained gravel trench outlet is required for all discharges within the watershed of a stream, brook or river. The channel protection volume should be discharged solely through the underdrained gravel trench. A standard outlet structure may be provided if the discharge is to a lake, major river or tidal water. with its pool surface at the elevation of the groundwater table can be acceptable if the discharge outlet is an acceptable receiving channel and is stable under a constant discharge.  Depth to Bedrock: A minimum separation of 1 feet is recommended from the bottom of the basin to the top of bedrock, or an impermeable barrier (clay layer or synthetic liner) should be provided. Wet ponds on fractured bedrock may seep into fractures and may discharge pollutants directly to the groundwater.  Stream Channels: Wet ponds should not be located in stream channels because of the impact to aquatic life.  Slopes: Interception of the seasonal groundwater table should be minimized to prevent creating a seasonal spring when placing a pond on a slope. Controlling seepage flow into a pond may be accomplished by the proper installation of a subsurface interceptor drainage system or by stabilizing the slope with riprap.  Access: A maintenance access way should be at least 10 feet wide with a maximum slope of 15% and a maximum cross slope of 3%. This access should never cross the emergency spillway, unless the spillway has been designed for that purpose. An easement may be required.

Soils: Ponds in highly permeable soils may result in seepage, such that the permanent pool may be lost during a dry period from seepage. However, fine soil particles will eventually clog the bottom of the pool and stop runoff infiltration. There are two design options for ponds constructed in Hydrologic Soil Group A or B soils.  Pond Lining: The bottom of the pond can be lined with a synthetic membrane or a compacted fine soil layer to prevent water loss.  Natural Clogging: Infiltration occurs until clogging of the bottom with sediment and organic material and creates a wet pond. In this case, standards for separation from bedrock and seasonal high water table provided in Chapter 6 –Infiltration BMPs should be used in designing the pond.  Clay Soils: The discharge of clay soil particles is a concern for phosphorus control in sensitive lake watersheds. If construction in clay soils is unavoidable, use erosion control matting on the sides and bottom of the pond, or line the pond with gravel (or a filter fabric) to contain the clay.

Pond Shape: Plug flow is accomplished when water entering the pond does not mix with the water in the pond but pushes it out. The following measures must be incorporated into the design to promote plug flow:  Flow Path: The inlet and outlet should be as far apart as possible. Runoff should have to travel the longest distance possible through the pond before being discharged.  Inlet and Outlet Locations: Provide one distinct area of inlet flow and one distinct area of outlet flow in the pond. The shallow and narrow end of the pond should be located near the inlet and the deeper and wider end near the outlet.  Basin Shape: Provide a long and narrow basin shape, with a minimum 2:1 length to width ratio (3:1 is best). Runoff should travel the longest distance through the basin with the inlet and outlet as far apart as possible. The path of flow can be increased with an irregularly shaped basin or by using baffles.

The basin should be shallow and narrow at the inlet, and deep and wide at the outlet.  Number of Ponds: Provide two or more ponds in a series for the most effective treatment. The first pond experiences some mixing as incoming runoff meets still water, but water is pushed into subsequent ponds at a steady rate that minimizes mixing and promotes plug flow. Multiple ponds also restrict wind-generated mixing of the total volume of the ponds. Simple overflow outlets should be installed between ponds to ensure that water is released from the top of the pool. This upper layer of water contains less sediment than lower layer.  Permanent Pool Depth: Wet ponds should have a mean depth of 3 feet or more to prevent turbulent re-suspension of sediments. The mean depth should be no more than 10 feet, and the maximum depth no greater than 15 feet to avoid thermal stratification and the release of phosphorus. Mean depth is defined as the pond volume (measured at one foot below permanent pool elevation) divided by the surface area at that elevation.

Inlet Design: Prevention of scour at the inlet will reduce maintenance problems and prevent damage to basin floor vegetation. Provide energy dissipation at the inlet in accordance with practices outlined in the Maine Erosion and Sediment Control Best Management Practices manual.  Inlet Protection: The inlet should be protected with riprap or other energy dissipater, such as a baffle below the inflow structure, to remove sediment. A forebay should be designed with a minimum length to width ratio of 2:1.  Scour: Energy dissipation should be provided at the inlet and outlet to prevent scour and reduce the velocity of stormwater. The velocity of flow through the inlet sediment control structure and basin should not exceed 2.5 feet per second.  Sediment Pretreatment: A pretreatment device such as a forebay, grassed swale, filter strip, and sediment trap should be provided to minimize the discharge of sediment to the wetpond. The pretreatment structure should be sized to hold an annual sediment volume as follow:

Emergency Spillways: Emergency spillways should independently convey the runoff from the 25year, 24-hour storm while maintaining at least one foot of freeboard between the peak storage elevation and the top of the embankment crest; and should safely convey the 100-year storm without overtopping the embankment. Overflow must discharge to a stable channel or stable area.  Location: Emergency spillways should be located on undisturbed, non-fill soil. If the spillway must be located on fill soils, it should be horizontally offset at least 20 feet from the principal outlet; and be riprapped or reinforced with turf lining, or a non-flexible lining.  Exit channel: The grade of the spillway's exit channel should not exceed 20% unless a non-flexible lining (concrete or asphalt) is provided. Vegetation, reinforced turf, riprap, and modular blocks are considered flexible linings. Large woody species growing in the emergency spillway will interfere with its function and must be removed.  Flow depth: The design flow depth in the exit channel may not exceed one-half the D stone size for channels lined with riprap and three inches for channels with vegetation. The channel should remain stable through the full range of design flows.

Embankments: Embankments must be designed by a professional engineer registered in the State of Maine and must be designed to meet engineering standards for foundation preparation, fill compaction, seepage control, and embankment stability. Basic standards for small basins can be found in the Maine Erosion and Sediment Control Best Management Practices manual. The design must include an investigation of the subsurface conditions at the proposed embankment location to evaluate the depth to bedrock and groundwater, settlement potential, and the need for seepage controls. The DEP may require a geotechnical report for any embankment over 10 feet in effective height or posing a hazard to downstream property or life.  Key: Embankments must be keyed into undisturbed subsurface soils.  Safety Bench: A safety bench should be designed into all embankments greater than 10 feet high.  Crest width: The minimum crest width for any embankment must be as shown in Table 4.1.  Crest elevation: The minimum elevation of the top of the settled embankment must be at least one foot above the peak water surface in the basin with the emergency spillway flowing at design depth for a discharge routed through the emergency spillway only.

Table 4-1 - Crest Width HEIGHT OF EMBANKMENT (feet)

CREST

WIDTH (feet)

Less than 10 6 10-15 8 15-20 10 More than 20 12 Assuming an average of 10 storm events per year, the volume of a sediment trap should be calculated as follow:  Fill Material: Fill must be free of frozen soil, rocks over six inches, and sod, brush, stumps, tree roots, wood, or other perishable materials. Embankment fills less than 10 feet in fill height must be compacted using compaction methods that would guarantee a fill density of 90% of the maximum density as determined by standard proctor (ASTM-D698).

All embankment fills more than 10 feet in fill height must be compacted to 90% of the maximum density and must have their density verified by field density testing.  Slopes: The embankment's slopes should not be steeper than 2:1. Flatter slopes provide easier access for maintenance (mowing). At a minimum, one side slope, interior or exterior, should be 3:1, such that the combined interior and exterior embankments total 5:1 (2:1 + 3:1).

Riprap should be installed around the edge of the pond if the embankment is steeper than 2:1.  Safety: For safety reasons and to promote the growth of rooted aquatic plants, a gradually sloped bench of 10:1 slope around a pond perimeter is recommended. This bench should extend into the pool at least 10 feet (for 5 feet for very small ponds). The bench reduces the risk of accidental falls, and makes it easier to climb out. The underdrained gravel filter bench can also serve as the safety bench. If it is not possible for a shallow bench to extend around the pond, thorny bushes can be planted to discourage access.

Outlet: The channel protection volume must be discharged solely through an underdrained gravel trench outlet having a single outlet with a diameter no greater than eight inches for all discharges to a river, stream or brook. Additional storage for flood control may be discharged through traditional pond outlets, flood control outlets, at an elevation above the permanent pool and channel protection volume storage.  Pond Outlet: All pond discharges must outlet to a stable natural channel or an area capable of  Overflow: If the pond is used for a project which does not need to provide peak flow control, the overflow from the pond may either be discharged uncontrolled through a broad crest weir or a standard outlet. If the pond needs to retain peak flows for flood control, then a standard outlet for peak control needs to be provided. Discharge from the pond needs to be directed to a stable channel or an area capable to withstand concentrated flows.

Underdrained Gravel Trench: The underdrain trench provides the slow release of the channel protection volume over a 24-48 hour period and cooling of the discharge.  Bench Elevation: The bench should be set at the permanent pool elevation such that the channel protection volume will be stored between the bench surface elevation and the elevation of any flood control or emergency spillway outlets.  Pond Bench and Gravel Trench: The pond bench must have a minimum width of 8 feet. The gravel trench is excavated into the pond bench. This trench should be at least 2 feet from the interior pondside edge of the bench and should be located furthest from the inflow to the pond.  Trench Sizing: The trench should have a length of 3 feet for every 1000 cubic feet of channel protection volume.  Trench Dimensions: The gravel trench should be 4 feet wide and at least 3 feet deep. Gravel should cover the pipe underdrain by at least 2 feet and be 6 inches below the pipe.  Geotextile Fabric: A geotextile fabric with suitable characteristics should be placed between the gravel and adjacent soil. The fabric will prevent the surrounding soil from clogging the outlet. Use a fabric that is compatible with the surrounding soil. Overlap seams should be a minimum of 12 inches.

Table 4.2 MEDOT Specifications for Underdrains (MEDOT # 703.22)

Underdrain Type B Underdrain Type C 10 0-5  Underdrain Pipe: The underdrain piping should be 6 inch diameter with slotted, rigid schedule 40 PVC or SDR35 pipe.  Gravel Bed: The gravel bedding should be clean, welldrained gravel. Recommended specification is the gravel meeting Maine DOT specification 703.22 Type B Underdrain Backfill as shown on Table 4.2 with at least 10% passing the # 50 sieve.  Orifice: If the gravel does not provide 24 to 48 hours of maximum detention or the gravel (Maine DOT specification 703.22 Type B) does not have at least 10% passing the # 50 sieve or if the sieve analysis is unavailable, an orifice should be provided to control the release of flows. The orifice should be sized and modeled as a function of the required channel protection volume release rate. Table 4.3 shows examples of possible pond orifices for channel protection volumes; however the engineer is responsible for developing a design that meets the performance criteria based on the site specific characteristics and the required drainage time.  Outlet clogging: The pond outlet or orifice should be designed to prevent clogging and to allow access to the underdrain outlet for inspection and maintenance. This may be accomplished by having the underdrain discharge to a concrete sump outlet structure with the orifice built into this structure.  Alternative Outlets: A 4-inch gate valve on the structure may be used in lieu of a standard orifice. This would allow for adjustment for site specific conditions. The engineer is responsible for designing an outlet structure that meets the release and cooling criteria previously presented.  Pond Drain: If elevations allow, a manually controlled drain should be provided to dewater the pond over a 24 hour period without harming downstream water courses. This will facilitate the removal of accumulated sediment. The drain should be locked to prevent accidental draining of the pond.

Flood Control Outlets: If necessary, flood control outlets should be designed to control runoff from the 24-hour storms of the 2-year, 10-year, and 25-year frequencies such that the peak flows of stormwater from the project site do not exceed the peak flows of stormwater prior to undertaking the project. The elevation of the peak flow control structure must be above the elevation of the channel protection volume.  Discharge from Pond Surface: The flood control outlet should be a simple overflow to discharge clarified water from near the surface of the pool.  Piping Materials: Piping should be constructed of materials with a service life corresponding to the anticipated design life of the pond and its embankment. Reinforced concrete pipe is often recommended in a freshwater environment.  Trash Racks: All outlets should have a trash rack to control clogging by debris and provide safety to the public. The surface area of each rack should be at least four times the outlet it is protecting. The spacing between rack bars can be no more than six inches or one-half the dimension of the smallest outlet opening behind it, whichever is less. Trash racks should be inclined to be self-cleaning.  Seepage Controls: All pipes that extend through an embankment should have anti-seep collars or filter diaphragms to control the migration of soil materials and to prevent potential embankment failure from "piping" within the backfill along the conduit. All smooth outlet pipes greater than eight inches and all corrugated outlet pipes greater than 12 inches must have seepage controls to prevent migration of soil along the outside of the pipe.  Anti-floatation: All riser structures must be designed to prevent the riser from floating.  Outlet Protection: Outflow from the pond should be directed to a stable discharge point. A channel may need to be riprapped to prevent erosion. Riprap should be designed in accordance with the Maine Erosion and Sediment Control Best Management Practices manual.

Table 4.3 Pond Outlet Orifice Sizing for Pond Outflows CPV (cu ft)

Orifice Dia. (in)

CPV (cu ft)

Orifice Dia. (in) 8000- 3/8” 24000- 26500 3/8” 9500- 11000 ½” 26500- 29000 ½” 11000- 13000 5/8” 29000- 32000 5/8” 13000- 15000 ¾” 32000- 35000 ¾” 15000- 17000 7/8” 35000- 38000 7/8” 17000- 19000 2” 38000- 41500 3” 19000- 21500 1/8” 41500- 45000 1/8” 21500- 24000 ¼” 45000- 48500 ¼”

Figure 4.1 – Wet Pond Design Construction: Construction of wet ponds should be started no later than September 1 or before June.

If side slopes and banks cannot be revegetated or stabilized before winter, basin construction should be delayed to the following growing season. Seeding must occur by September 15 or other stabilization measures must be implemented before winter. Do not discharge stormwater to the basin until the basin is fully stabilized, or provide a sediment barrier at the outlet.  Sediment Disposal: The disposal of construction sediments should be located such that water draining from the material could not flow directly to a water resource. For sensitive lake watersheds, DEP requires two sites to be reserved for on-site disposal of sediment excavated from the wet pond(s).

Vegetation: Appropriate species should be carefully selected for different sections of the pond.

Appropriate plants should be chosen to stabilize the sides and bottom of the pond, as well as the safety bench. Prior to filling the ponds, side slopes and banks must be stabilized with grass or conservation mix seeding to prevent erosion. Creation of a marsh environment at the pond inlet will help to trap sediment.

If the inlet has a sump, aquatic plants can be planted upstream of the sump to help retain sediments in the sump. Fertilizer should not be used in or around the pond except when necessary to establish new vegetation. Allowing for natural invasion along the safety bench or planting native species may encourage healthier growth than planting species not already found on site. Six inches of loam, composted wood waste or fine erosion control mix should be added to amend dry mineral soils. It is recommended that a qualified professional be consulted when planning the revegetation of a basin. See

Chapter 3:0, Detention Basins for Flood Control, for more information on plant selection.

Maintenance: The wet pond should be inspected after every major storm to ensure proper functioning. Thereafter, the basin should be inspected at least once every six months. Inspections should include verification that the pond is slowly emptying through the gravel filter for a short time (12-24 hours) after a storm. It is important to design flow structures that can be easily inspected for debris blockage.  Maintenance Agreement: A legal agreement should list specific maintenance responsibilities, establish the responsible party, and provide for the funding to cover long-term inspection and maintenance.  Inlets and Outlets: The inlet and outlet of the pond should be checked periodically to ensure that flow structures are not blocked by debris. All ditches or pipes connecting ponds in series should be checked for debris that may obstruct flow.  Gravel Trench: The gravel trench should be clear of clogging material (e.g., decaying leaves) so that discharge through the trench is not impeded. The top several inches of the gravel in the outlet trench should be replaced with fresh material when water ponds above the permanent pool for more than 72 hours. The sediments removed from the wet pond should be disposed of in accordance with application regulations.  Embankments: Wet ponds should be inspected annually for erosion, side slopes destabilization, embankment settling or other signs of structural failure. Corrective actions should be taken immediately upon identification of a problem.

Chapter 5 – Vegetated Buffers Buffer strips are natural, undisturbed strips of natural vegetation or planted strips of close-growing vegetation adjacent to and downslope of developed areas. As stormwater runoff travels over the buffer area, vegetation and the organic duff layer slow the runoff, trapping particulate pollutants and allowing time for infiltration. Buffers are also effective for phosphorus removal when designed in accordance with this manual. The effectiveness of buffers for pollutant removal depends on the:  flow path length  slope of the buffer,  level spreader berm length (if needed),,  organic duff layer thickness and structure,  mineral soil structure, including the consistency, bulk density and depth to restrictive layer or seasonal groundwater table,  size of the drainage area and,  type and density of vegetation (resistance to overland flow).

The flow distribution of water to a buffer is critical to its effectiveness. Water should not be allowed to concentrate from uneven runoff distribution, or the buffer will be short-circuited.

However, the irregular surface micro-topography of an undisturbed buffer will provide small areas within which runoff can pool, infiltrate and reduce the runoff.

Buffers are used to treat runoff from relatively small amounts of impervious area, as typically found in residential developments and small commercial and industrial sites. This type of BMP requires minimal maintenance and provides an aesthetically pleasing area. This chapter is set up to present general design, construction and maintenance criteria applicable to all buffers, followed by specific design criteria for four different BMP buffers, each of which is appropriate for specific situations.

Size Suitability: Buffers should be directly adjacent to and downhill of the area being treated and the runoff must enter the buffer as sheet flow.  Drainage Area:

The required size and type of buffer used is dependent on the size and land use of the area draining to it. Generally speaking, the smaller the area draining to a buffer, the more effective it will be.  Location:

Buffers are located downslope of developed areas and along waterways. They should be located directly adjacent to areas for which they are providing treatment. Use of buffers may be limited by location of septic areas, building sites, roads, and driveways. Site planning should provide for the location of buffers as part of the overall development scheme, with consideration of the design criteria listed below. In lake watersheds requiring phosphorus controls, preliminary planning will need to determine the allowable phosphorus export from the site.  Maximum Slope:

The buffer's slope must be less than 15% to be included in the calculation of buffer flow path length. Areas with slopes greater than 15% are too steep to be effective as a treatment buffer but should be left undisturbed. The buffer must have a relatively uniform slope so that stormwater does not concentrate in channels. A buffer slope in excess of 15% may be used if it has been evaluated using a site specific hydrologic buffer design model approved by the DEP, and measures have been included to ensure that runoff remains well-distributed as it passes through the buffer.  Topography:

The topography of a buffer area must be such that stormwater runoff will not concentrate as it flows across a buffer, but will remain well distributed. Flow paths of runoff through a buffer must not converge, but must be essentially parallel or diverging. This should be confirmed in the field for each area designated as a buffer.  Soil Type: The hydrologic soil group within the buffer may be established from medium intensity maps as adopted by the Natural Resources Conservation Service of the U.S.

Department of Agriculture. The hydrologic soil types have been identified in Table 5-1 for soils in Maine. However, the on-site soils for a buffer should always be field evaluated with hand auger borings by a professional soil scientist to confirm the soil type and texture when the accuracy of the survey map for the location of the buffer is a concer  Soil Restrictions: A buffer meeting this standard is not allowed on Hydrologic Soil Group D soils except that a forested buffer is allowed if the D soils in a buffer are not wetland soils. On a case-by-case basis, hydrologic D soils that are wetlands may be allowed if the buffer is forested; the organic duff is of high quality (granular structure) at least 4” thick; and, on a slope of at least 3 percent. Also on a case-by-case basis, Hydrologic D soils buffers that are not presently forested or not having a suitable organic duff layer may be allowed provided that they are on a slope of at least 3 percent; will be improved by the creation of an artificial duff layer; will increase the depth of organic duff; and/or, will improve the quality of the mineral soils (lower bulk density, create good soil structure, increase depth to restrictive layer or seasonal groundwater table, create pit and mound topography, and/or densely vegetate the area). Note: a DEP permit may be required for hydrologic D soils that are part of a wetland.  Soil quality: The most effective buffers have thick organic duff layers (if forested) and soils with good permeability due to good granular soil structure, low bulk density, and a depth to any restrictive layer of at least 12 inches.  Separation from Streams:

The length of a buffer can only be counted up to a perennial stream channel or other drainage ways. Only continuous flow path lengths may be counted for treatment.

Buffer Design: Adapt the development layout to maximize the flow path length within a buffer.  Field Evaluation: The surface and subsurface condition of a proposed buffer should be determined in the field prior to being incorporated into a design. The surface evaluation is to assure that runoff flowing through the buffer will stay as sheet flow for its entire length. Pit and mound topography is advantageous in that the pits trap and hold runoff water allowing more time for it to infiltrate into the soil, provided that the pits do not connect allowing for concentrated flow. A subsurface evaluation should be conducted by a soil scientist to determine the condition of soils throughout the buffer. Soil characteristics that should be evaluated include organic duff thickness and structure, soil texture, structure, consistency and depth to any restrictive layer and/or groundwater table. On a case-by-case basis, high quality buffers (both soils and vegetation), may be allowed a reduced flow path length.  Distribution of Runoff over the Buffer:

To be treated, runoff must enter the buffer as sheet flow and cannot be allowed to channelize. Buffers will not treat shallow concentrated or channelized flow. In most cases wooded and non-wooded natural buffers take advantage of the natural micro topography, (the small depressions and mounds of natural ground) to store runoff and allow for maximum infiltration.  Pretreatment for Buffers: To prevent a heavy sediment loading from damaging the buffer during construction, sites that will have areas of bare soil for a long time cannot utilize this BMP without first pre-treating the runoff with a sediment control BMP.  Re-stabilization of Buffers: If a buffer has been used to trap sediment during construction, the sediment must be removed and the original topography, ground cover and vegetation reestablished. Otherwise, sediment accumulations may cause runoff to concentrate in certain locations. It is advisable to protect buffer strips with wood waste sedimentation barriers during the construction process.  Buffer Dimensions:

Buffer flow path length depends to some extent on the proposed layout, and may be limited by the location of roads, driveways, building sites, and septic system locations. Overall site design and individual lot configurations can be manipulated to maximize buffer flow path length while minimizing interference with developed areas. The longer the buffer flow path length, the more effective the buffer is. Only continuous flow path length may be counted. A second buffer separated from the first by a developed area may not be included. The level spreader length will vary depending on the soil type and vegetative cover of the buffer. Buffer sizing is addressed under each of the four buffer BMPs discussed in this manual. Use the buffer sizing tables in this chapter to size buffers to meet BMP standards. When used to meet phosphorus allocations in lake watersheds, adjust the sizing to the buffers in accordance with Volume II of this BMP manual.  Buffer Sizing: Sizing depends only on the soil type, slope and vegetative cover type of a buffer. For each type of buffer, tables indicate the required buffer flow path length based on these factors. Buffers must be located downhill of the entire developed area for which it is providing stormwater treatment, such that all runoff from the entire developed area has a flow path through the buffer at least as long as the required length of flow path.  Soil Variability: If more than one soil type is found in a buffer, the required sizing of the buffer must be determined as a weighted average, based on the percentage of the buffer in each soil type. Alternative sizing may be allowed if it is determined by a site-specific hydrologic buffer design model approved by the DEP.  Buffer Modification: On a case-by-case basis, the minimum buffer depth width or length of level spreader required for specific soil types may be reduced if the quality of the buffer soil (organic duff thickness and structure, soil structure, bulk density, and depth to restrictive layer or seasonal groundwater table) and vegetation is very high. Also, on a case-by-case basis, reduced buffer depth width or reduced level spreader length for specific soil types may be allowed on buffers of low or average quality that are proposed to be improved to a very high quality status (create an artificial duff layer, lower bulk density of upper soil horizons, create good soil structure, increase depth to restrictive layer or seasonal groundwater table, create pit and mound topography, densely vegetate the area).  Deed Restrictions and Covenants: Areas designated as buffers must be identified on site plans and protected from disturbance by deed restrictions and covenants.

Vegetative cover: The vegetative cover type of a buffer must be either forest or meadow. In most instances the sizing of a buffer varies depending on vegetative cover type.  Forest Buffer: A forest buffer must have a well distributed stand of trees with essentially complete canopy cover, and must be maintained as such. A forested buffer must also have an undisturbed layer of duff covering the mineral soil. Activities that may result in disturbance of the duff layer are prohibited in a buffer.  Meadow Buffer: A meadow buffer must have a dense cover of grasses, or a combination of grasses and shrubs or trees. A buffer must be maintained as a meadow with a generally tall stand of grass, not as a lawn. It must not be mown more than twice per calendar year. If a buffer is not located on natural soils, but is constructed on fill or reshaped slopes, a buffer surface must either be isolated from stormwater discharge until a dense sod is established, or must be protected by a three inch layer of erosion control mix or other wood waste material approved by the DEP before stormwater is directed to it. Vegetation must be established using an appropriate seed mix.  Mixed Meadow and Forest Buffer: If a buffer is part meadow and part forest, the required sizing of a buffer must be determined as a weighted average, based on the percentage of meadow and the percentage of forest.

Maintenance: Buffers should be inspected annually for evidence of erosion or concentrated flows through or around the buffer. All eroded areas should be repaired, seeded and mulched.  Mowing: Meadow buffers may be mown no more than twice per year. They may not be maintained as a lawn.  Access and Use: Buffers should not be traversed by all-terrain vehicles or other vehicles.

Activities within buffers should be conducted so as not to damage vegetation, disturb any organic duff layer, or expose soil.  Model Maintenance Plan: The following techniques should be followed to maintain the integrity of buffers from initial planning through post-construction: o Planning Stage:  Require buffer limits on all clearing/grading and erosion control plans.  Record all buffer boundaries on official maps and site plans.  Clearly establish acceptable and unacceptable uses for the buffer, and include these uses in deed restrictions and conservation easements.  Establish clear vegetation targets and management rules for the buffer.  Provide incentives for owners to protect buffers through perpetual conservation easements rather than deed restrictions. o Construction Stage:  Pre-construction stakeout of buffers to define the Limit of Disturbance (LOD).  Set LOD based on drip-line of the forested buffer.  Familiarize contractors with LOD and buffer limit.  Mark the LOD with barriers or signs to exclude construction equipment. o Post-Development Stage:  Mark buffer boundaries with permanent signs (or fences) describing use.  Educate property owners/homeowner associations on the purpose, limits and allowable uses of the buffer.  Conduct periodic "buffer walks" to inspect the condition of the buffer network.  Replant unused meadow buffers with trees and shrubs, if possible.

Table 5‐1 ‐ Hydrologic Soil Groups for Maine Soils This table provides information on the hydrologic soil series recognized in Maine and is current as of January 1, 2016. It is understood that these ratings may, and some probably will, change over time and with better data. The USDA - NRCS (Natural Resources Conservation Service) should be contacted for more accurate information. http://websoilsurvey.sc.egov.usda.gov/App/HomePage.htm HSG A HSG A/D HSG B HSG B/D HSG C HSG C/D HSG D Adams Au Gres Agawam Atherton Becket Boothbay # Abram Colton Bucksport Allagash Belgrade Chesuncook * Buxton # Aurelie Croghan Chocorua Bangor Charles Conant Chesuncook ** Bemis Danforth Kinsman Berkshire Cornish Dixfield * Dixfield ** Benson Deerfield Markey Caribou Elmwood + Elliottsville Dixmont Biddeford Eldridge Moosabec Charlton Fredon Howland * Easton Brayton Enchanted Naskeag Fryeburg Halsey Linneus Howland ** Burnham Hermon Naumburg Hadley Limerick Mapleton Lamoine Cabot Hinckley Rifle Hartland Lovewell + Marlow Leicester Canaan Mahoosuc Scarboro Nicholville ^ Medomak Melrose Perham ** Canandaigua Masardis Searsport Machias ^ Ninigret + Paxton Pushaw Colonel Merrimac Sebago Madawaska ^ Podunk + Penquis Ragmuff ** Creasey Skowhegan Togus Monadnock Raynham Perham * Peru ** Daigle Stetson Vassalboro Ondawa Red Hook Peru * Skerry * Gouldsboro Sunday Walpole Salmon Roundabout Plaisted Surplus ** Hogback Udipsamments Waskish Sheepscot ^ Rumney Ragmuff * Washburn Hollis Windsor Saco Rawsonville Woodbridge Knob Lock Scio + Sisk Lyman Sutton + Skerry ** Monarda Swanton Suffield Monson Whately Surplus * Peacham Winooski + Tunbridge Pillsbury Wonsqueak Winnecook Ricker Ridgebury Soils (with *) are HSG C or C/D depending on depth to Cd (C horizon with a dense unconsolidated material) and depth to water table - (with **) most commonly HSG C/D Saddleback Scantic Saugatuck Soils (with +) are HSG B or B/D if aquic-redox is within 60cm Schoodic Swanville Soils ( with ^) are HSG B if water table is below 60cm and Ksat of lower horizon greater than 10 Telos Thorndike Soils (with #) are HSG C - or C/D if aquic-redox is within 60cm Westbury Whitman 5.1- Buffer Adjacent to Residential, Largely Pervious or Small Impervious Areas This buffer type is used for small developments where runoff enters the buffer as sheet flow without the aid of a level spreader. It may only be used when it is located immediately downhill of the developed area and runoff enters as sheet flow. This design is not appropriate for treating large impervious areas because, even if pavement is graded evenly, it is likely that some concentration of runoff will occur as the stormwater travels across large areas of pavement. Only runoff from the following areas may be treated using this type of buffer:  A developed area with less than 10% imperviousness where the flow path over the portion of the developed area for which treatment is being used does not exceed 150 feet; or  An impervious area of less than one acre, where the flow path across the impervious area does not exceed 100 feet.

Figure 5.1 - Buffer Adjacent to a Small Impervious Area In addition to the general design and construction criteria provided in this

Chapter 5, the design and construction of a buffer adjacent to residential, largely pervious or small impervious areas must follow the criteria presented Table 5.2:

Table 5-3 indicates the buffer flow path length for single family residential lots and can only be used for a residential lot that is a minimum of one acre or only when a portion of the lot and house is draining to the buffer. The buffer must be located immediately downhill of the developed area without any road pavement.

Table 5.2 Buffer Flow Path Length Downgradient of Residential, Largely Pervious or Small Impervious Areas (feet)

Hydrologic Soil Group A 45 75 54 90 B 60 85 72 102 Loamy Sand or Sandy Loam 75 100 90 120 Silty Loam, Clay Loam or Silty Clay Loam 100 150 120 180 150 N/A 180 N/A Table 5.3 Buffer Flow Path Length Downgradient of a Single Family Residential Lot (feet) 0-15% Slope A 35 50 B 45 60 Loamy Sand or Sandy Loam 50 70 Silty Loam, Clay Loam or Silty Clay 70 100 100 N/A 5.2 - Buffer with a Stone Bermed Level Lip Spreader In this type of buffer, runoff is directed behind the stone berm, which is constructed along the contour at the upper margin of a buffer area. The runoff then spreads out behind the berm so that it seeps through the entire length of the berm and is evenly distributed across the top of a buffer as sheet flow. Figure 5-2 shows a typical buffer with stone bermed level lip spreader. This type of buffer must be used when treating stormwater runoff from any of the following:  An impervious area greater than one acre;  Impervious areas where the flow path across the impervious area exceeds 150 feet; or  Developed areas, including lawns and impervious surfaces, where runoff is concentrated, intentionally or unintentionally, so that it does not run off in welldistributed sheet flow when it enters the upper end of a buffer, except that road ditch runoff may be treated using a ditch turn out buffer.

In addition to the general design and construction criteria provided in the beginning of this Chapter, the following criteria must also be applied in the design and construction of a buffer with a stone bermed level lip spreader.

Distribution of runoff to a Level Lip Spreader: A turnout should extend into the side ditch or cut slope in a manner that it intercepts the ditch runoff that carries it into the buffer area.

The buffer end of the turnout must be level and equipped with a stone bermed level lip spreader.  Stone Berm Specifications: The berm must be well-graded and contain some small stone and gravel so that flow through the berm will be restricted enough to cause it to spread out behind the berm. The stone berm must be at least 1.5 feet high and 2.0 feet across the top with 2:1 side slopes constructed along the contour and closed at the ends. Unless otherwise approved by the DEP, the design must include a shallow, 6-inch deep trapezoidal trough with a minimum bottom width of three feet, and with a level downhill edge excavated along the contour on the uphill edge of the stone berm.

Figure 5.2 – Buffer with a Stone Berm Level Spreader  Stone Size: The stone must be coarse enough that it will not clog with sediment. Stone for stone bermed level lip spreaders must consist of sound durable rock that will not disintegrate by exposure to water or weather. Fieldstone, rough quarried stone, blasted ledge rock or tailings may be used.

The rock must be well graded with a median size of approximately 3 inches and a maximum size of 6 inches per Table 5.4.  Buffer Length: The size of a buffer area below a stone bermed level lip spreader varies with the size and imperviousness of the developed area, and the type of soil, the slope, and the vegetative cover type of the buffer. Table 5.5 indicates the required berm length per acre of impervious area and lawn draining to a buffer.

Table 5.4 Berm Stone Size Sieve % by Weight Passing 12 in. 100% 6 in. 84-100% 3 in. 68-83% 1 in. 42-55% No. 4 8-12% Table 5.5 Berm and Flow Path Length per Acre of Impervious area Hydrologic Soil Group Length of Flow Path in (feet)

Berm Length (feet)

Impervious Area Lawn Impervious Area Per Acre of Lawn FB MBFBMBFBMBFB MB 75 75 125 25 35 90 150 30 42 100 65 75 20 25 78 90 24 30 150 50 60 15 20 60 72 18 24 75 100 150 30 45 120 180 36 54 100 80 100 25 30 96 120 30 36 150 65 75 20 25 78 90 24 30 Loamy Sand or Sandy 75 125 150 35 45 150 180 42 54 100 100 125 30 35 120 150 36 42 150 75 100 25 30 90 120 30 36 Silty Loam, Clay Loam or Silty Clay 100 150 200 45 60 180 240 54 72 150 100 150 30 45 120 180 36 54 Non- Wetland 150 150 200 45 60 180 240 54 72 FB = Forest Buffer MB = Meadow Buffer NOTE: These tables were developed using a 1.25 inch, 24 hour storm of type III distribution, giving a maximum unit flow rate of less than 0.009 cfs per foot. 5.3 - Buffer Adjacent to the Downhill Side of a Road A buffer adjacent to the downhill side of a road may only be used when the runoff from the road surface and shoulder sheets immediately into the buffer, and the road is parallel to the contour of the slope. In no instance may runoff from other areas be directed to these buffers. Figure 5.3 shows a typical buffer adjacent to the downhill side of a road. In addition to the general design and construction criteria provided in the beginning of this

Chapter, the following criteria must also be applied in the design and construction of buffers adjacent to the downhill side of a road.  Soil Type: The buffer design and sizing does not vary with soil type or slope, except that these buffers cannot be used when slopes exceed 20% or on wetland soils.  Inclusion of In-slope:

The in-slope of the road (the vegetated area between the pavement edge and the buffer edge) may be included as part of a meadow buffer only if it is designed and constructed to allow infiltration which includes, but is not limited to, the in-slope fill material being a sandy loam or coarser soil texture; having slopes no steeper than 4:1; and maintaining the buffer area as a meadow buffer.  Sizing:

Sizing depends only on the vegetative cover type and the number of travel lanes draining to the buffer. Table 5.6 indicates the required buffer flow path length based on the number of travel lanes and whether the buffer is forested or meadow.

Table 5.6 Buffer Flow Path Length Downgradient of Road (feet)

Meadow Buffer One Travel Lane 35 50 Two Travel Lanes 55 80 Figure 5.3 – Buffer Downhill of a Road 5.4 - Ditch Turnout Buffer A ditch turnout buffer is used to divert runoff from a roadside ditch into a buffer. It consists of a combination of check dams and bermed level lip spreaders that divert concentrated ditch flows into a buffer as sheet flow. Runoff backs up behind the check dam and is directed over a stone berm that spreads flows out so that it is evenly distributed across the top of a buffer as sheet flow. Figure 5-4 shows a typical ditch turn-out buffer. In addition to the general design and construction criteria provided in the beginning of this Chapter, the following criteria must also be applied in the design and construction of a ditch turnout buffer.

Drainage Area: No areas other than the road surface, road shoulder and road ditch may be directed into the buffer. No more than 400 feet of road and ditch may be treated in any ditch turnout buffer, and no more than 250 feet may be treated if more than one travel lane is draining to the ditch. If two travel lanes drain to the ditch, as in the case of a superelevated road, the length of flow path indicated for 400 feet of road must be used, but no more than 250 feet of ditch may drain to each turnout.  Distribution of Runoff Over the Buffer: The turnout should extend into the side ditch or cut slope in a manner that it intercepts the ditch runoff and carries it into the buffer area. The buffer end of the turnout must be level and equipped with a stone bermed level lip spreader.  Stone Berm Specifications:

The stone berm to which the ditch turn-out delivers the runoff must be at least 20 feet in length and must be constructed along the contour. It must be at least one- foot high and two feet across the top with 2:1 side slopes.  Stone Size: The stone must be coarse enough that it will not clog with sediment. Stone for stone bermed level lip spreaders must consist of sound durable rock that will not disintegrate by exposure to water or weather. Fieldstone, rough quarried stone, blasted ledge rock or tailings may be used. The rock must be well graded with a median size of approximately 3 inches and a maximum size of 6 inches. See Table 5.4 above.  Buffer Length: The required size of a buffer area below the turnout's stone bermed level lip spreader varies with the type of soil, the slope, the vegetative cover and the length of road ditch. See Table 5.7 below.

Figure 5.4 – Ditch Turnout Buffer Table 5.7 Buffer Flow Path Length per Length of Road or Ditch (feet)

Hydrologic Soil Group Length of Road or Ditch (feet) 200 50 70 60 84 300 50 85 60 102 400 60 100 72 120 200 50 70 60 84 300 50 85 60 102 400 60 100 72 120 Loamy Sand or Sandy 200 60 100 72 120 300 75 120 90 144 400 100 N/A 120 N/A Silty Loam, Clay Loam or Silty Clay 200 75 120 90 144 300 100 N/A 120 N/A 200 100 150 120 180

Chapter 6 - Infiltration BMPs Infiltration measures control stormwater quantity and quality by retaining runoff on-site and discharging it into the ground through absorption, straining, microbial decomposition and trapping of particulate matter.

Infiltration systems should not be used if the intercepted runoff is anticipated to contain pollutants that can affect groundwater quality, such as hydrocarbons, nitrate, and chloride.

When the subsoils are appropriate, an infiltration basin can be suitable for treating and controlling the runoff from very small to very large drainage areas. However, some commercial or industrial sites may have contaminants that may not be treatable by soil filtration and should be avoided. Figure 6-1 shows a typical infiltration basin.

Sizing: Infiltration systems must be designed to retain a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's landscaped developed area and infiltrate this volume into the ground. The infiltration system must drain completely within 24 to 48 hours following the runoff event. Complete drainage is necessary to maintain aerobic conditions in the underlying soil to favor bacteria that aid in pollutant attenuation and to allow the system to recover its storage capacity before the next storm event.

Site Suitability: The following are some recommendations on the suitability of a site:  Soil Permeability: The permeability of the soil at the depth of the base of the proposed infiltration system should be no less than 0.50 inches per hour and no greater than 2.41 inches per hour.

Permeability should be consistent across the proposed infiltration area and should be determined by in-place well or permeameter testing, or by analyses of soil gradation.  Industrial Sites : Infiltration measures should not be used in manufacturing and industrial areas because of the high potential for soluble and toxic pollutants and petroleum products.  Site Slopes:

Infiltration should not be located on slopes greater than 20%.  Fill Soils: Do not install infiltration systems in a newly filled area or a site designated as "made land" without a geotechnical evaluation of the subgrade stability and permeability rates.  Construction Sites: Construction site runoff should not be directed to infiltration areas because of the high concentration of suspended solids, which will clog infiltration surfaces.

Siting: The proper location of an infiltration basin is the most important aspect for its effectiveness:  Subsurface Investigation: Subsurface explorations (test pits or borings) should be made within the basin area to identify depths to seasonal high groundwater and bedrock. Explorations should extend  Separation from Seasonal High Water Table: The bottom of the infiltration system, including any stone layer or other material below the depth of any manufactured components of the system, must be at least three (3) feet above the seasonal high water table.  Separation from Bedrock: Infiltration systems serving one (1) acre or more of impervious area should be located in areas with more than five feet of saturated overburden above the bedrock surface, as measured during the seasonal low water table. This restriction does not apply to runoff from areas of non-asphalt roofing on structures in which no manufacturing or processing occurs, other than for home-based industries. Separation from bedrock and depth to the water table may be demonstrated This chapter describes three common Infiltration BMPs: infiltration basins, dry wells, and infiltration trenches. In addition to these infiltration techniques, there are several Low Impact Design (LID) techniques that rely on infiltration in small systems dispersed throughout a site, rather than an endof-pipe technique such as the infiltration basin. by means of test pits, borings, or similar invasive explorations, or by non-invasive geophysical methods such as seismic surveys.  Impact on Depth to Groundwater: Infiltration of stormwater may not increase the elevation of the seasonal high water table beneath a surface-irrigation site, land-disposal area for septage or other waste, or other waste or wastewater management facility, without approval by the DEP and, if applicable, the Department of Health Human Services.  Impact on Groundwater Flow: Stormwater infiltration may not affect the direction of groundwater flows so as to impair any groundwater monitoring programs or cause the migration of existing contaminated groundwater that would result in unreasonable adverse impact on the quality of surface water, groundwater, or drinking water supplies.  Mounding and Seepage: Infiltration of stormwater may not cause effects that will adversely affect the stability of slopes in the vicinity of the activity. When requested for a large system or where groundwater is at risk from contamination or impact from high infiltration rates, a qualified professional will need to assess the potential for seepage and reduction in slope stability, and submit a report of findings, including logs of test borings or other subsurface explorations, modeling, or other means of analysis as determined to be necessary and applicable.

Conveyance of Overflow: Infiltration systems should include measures to convey overflow to a stable discharge location.

Access: Access to any infiltration area should be controlled during and after construction to prevent compaction of the soil. Limit access to the site to only that equipment needed to construct the infiltration system. Avoid placement of heavy objects or traffic on stone areas or chamber areas not H-20 rated.  Dry Weather Effluent: Dry weather storm drain effluent should not be directed to infiltration areas due to probable high concentrations of heavy metals, pesticides, pathogens, and other pollutants.  Site Construction: Infiltration practices may not be used as sediment control devices during site construction. Plans must clearly indicate how sediment will be prevented from entering the infiltration device during construction.  Snowmelt:

Snowmelt runoff from areas subject to or adjacent to road traffic or parking should not be directed to infiltration areas because of the high concentrations of salts.

Setbacks:  From Water Supplies: Unless approved by the DEP and the Department of Health and Human Services' Drinking Water Program, locate the infiltration system at least 300 feet from any private water supply well, outside the delineated contributing area of a public water supply well, and as far downgradient of any water supply well as practical.  From Wastewater Disposal Systems:

An infiltration system is considered a major watercourse for the purposes of the Maine Subsurface Wastewater Disposal Rules, 10-144 CMR 241; and additional setback distances may be required by the local plumbing inspector or the Department of Health and Human Services' Subsurface Wastewater Team. Allowance for lesser setbacks for onsite disposal systems or other disposal systems owned or controlled by the developer may be requested from the DEP, the Department of Health and Human Services, and the local plumbing inspector. Infiltration systems must be located as far downgradient of any component of a subsurface wastewater disposal system as practical.  From Water Supply Lines: 10 feet from any water supply pipe.  From Steep Slopes: 50 feet from downhill slopes greater than 3:1.  From Flood Plains: 10 feet from a 10 year floodplain.  From Property Lines: At least 25 feet from any property line.

Pretreatment: Pretreatment devices such as grassed swales, underdrained swales, filter strips, and sediment traps should be provided to minimize the discharge of sediment to an infiltration system.  Sizing: Pretreatment structures should be sized to hold an annual sediment loading of a sand application rate of 500 lbs/acre for sanding of roadways, parking areas, and access drives within the subcatchment area, a sand density of 90 lbs per cubic foot and a minimum frequency of ten storms per year.  Petroleum Pretreatment: Infiltration systems receiving runoff from asphalt or concrete paved areas should include sump skimmers, sorbent booms, or similar devices to remove petroleum products from runoff.

Design and Construction:

The following are some design and construction recommendations for infiltration systems:  Soil Amendment: If amending soils to meet permeability, the added soils must be at least six inches thick, with the bottom three inches tilled into the native soil.  Emergency Drainage: A means to dewater the infiltration system in the event of failure should be provided. This will allow for easier repair of the system.  Geotextile Lining: A geotextile fabric may be placed between any stone layer and adjacent soil as the fabric will prevent the surrounding soil from migrating into the system. Use an appropriate geotextile fabric that is compatible with the surrounding soil or it will clog. The filter fabric should be free of tears, punctures, and other damage. Overlap seams a minimum of 12 inches.  Stone Fill: Stone fill should be clean, washed, 1½ to 3-inch aggregate. A porosity value of 0.4 should be used in the design of stone reservoirs for infiltration practices.  Fill Placement: Limit fill compaction to the work necessary to uniformly spread the fill within the structure. Do not drive rollers or other equipment over the fill to compact it.  Landscaping: The drip-line of any existing or newly planted trees should not extend over the infiltration system. New trees should be planted away from the infiltration system to account for future crown and root growth. Any tree seedlings in the vicinity of an infiltration system should be removed to prevent roots from intruding into the system  Insulation: Unlike wastewater disposal systems, which are less likely to freeze due to the effluent temperature and to biological activity, a stormwater infiltration system may freeze if located above the depth of frost penetration. Shallow subsurface systems should be insulated.  Site Construction: Infiltration practices may not be used as sediment control devices during site construction as sediment will clog the device.

Erosion Control: Construct an infiltration system after the upgradient drainage area is stabilized with vegetation and erosion controls are installed to prevent sedimentation. An infiltration basin receiving flow from an unstabilized site will reduce its working life, and may clog prior to the completion of the development. The contractor should use sod to vegetate a filter strip or a sediment barrier should be installed between the basin and filter strip until fully vegetated. The contractor should install a pretreatment drop-inlet sediment filter around the pretreatment inlet and keep in place until the drainage area is fully stabilized with pavement and vegetation.

Groundwater Monitoring: Groundwater quality monitoring of infiltration systems is important if the runoff is from areas of heavy turf-chemical use (golf courses, certain athletic fields), and large connected impervious areas (parking lots and runways). Groundwater quality monitoring will generally not be required for systems infiltrating water from low use lawn areas and other vegetated areas, residential developments, playing fields, and roofs of residential and commercial structures  Observation and Monitoring Wells: Observation wells to determine the system's performance and access points to allow for the removal of accumulated sediment should be included in the design of infiltration systems. Monitoring wells should extend into the groundwater to enable sample extraction if necessary to track groundwater quality. Dry wells and infiltration basins should have staff gauges, marked rods, or similar instrumentation to measure the accumulation of sediment and determine how quickly the system drains after a storm. The maintenance plan must indicate the expected rate of drainage of the infiltration system and provide for the removal of sediment from the infiltration system.  Groundwater Testing:

Groundwater samples taken from monitoring wells should be analyzed quarterly for indicator parameters such as pH, specific conductance, dissolved oxygen, metals and chloride. Zinc has been found to be a stable heavy metal and appears anywhere from two to ten years after operation of large systems. Sampling for extractable petroleum hydrocarbons (EPH), BTEX and MTBE, should be performed if draining large impervious areas of urbanized areas.  Subsurface systems: Subsurface infiltration systems should have an observation well unless the system uses an accessible manhole-type structure. The observation well should be a 4-inch diameter, perforated PVC pipe fitted with a removable yet securable well cap, foot plate, and rebar anchor. Set the observation well prior to backfilling.

Maintenance: Preventive maintenance is vital for the long-term effectiveness of an infiltration system.

Since infiltration is less conspicuous than most BMPs, it is easy to overlook during maintenance inspections. The following criteria apply to all infiltration systems.  Fertilization:

Fertilization of the area over the infiltration bed should be avoided unless absolutely necessary to establish vegetation.  Snow Storage: Snow removed from any on-site or off-site areas may not be stored over an infiltration area, with the exception of storage on permeable pavement.  Monitoring and Inspections:

Inspect the infiltration system several times in the first year of operation and at least annually thereafter. Conduct the inspections after large storms to check for surface ponding at the inlet that may indicate clogging. Water levels in the observation well should be recorded over several days after the storm to ensure that the system drains within 24 to 48 hours after filling. The basin will need to be rehabilitated if it fails to drain before the next rain event or 72 hours.  Pollution-Control Devices: Pollution-control devices such as oil-water separators, skimmers, and booms should be inspected regularly to determine if they need to be cleaned or replaced.  Sediment Removal and Maintenance of System Performance:

Sediment must be removed from the system at least annually to prevent deterioration of system performance. The pre-treatment inlets should be checked and cleaned out when accumulated sediment occupies more than 10% of the available capacity. This can be done manually or by a vacuum pump. Inlet and outlet pipes should be checked for clogging. Accumulated grease and oil from separator devices should be removed frequently and disposed of in accordance with applicable state and local regulations. The system must be rehabilitated or replaced if its performance is degraded to the point that applicable stormwater standards are not met.  Pretreatment Buffer Strips:

If a grass buffer strip is used in conjunction with the infiltration BMP it should have vigorous and dense vegetation. Bare spots or eroded areas should be repaired and/or re-seeded or re-sodded. Watering and/or fertilization should be provided during the first few months after the strip is established, and may be needed in times of drought. Grass filter strips should be mowed regularly to prevent the uncontrolled growth of weeds, but filter strip performance will be impaired if the grass is cut too short. 6.1 - Infiltration Basin An infiltration basin is a water impoundment that is up to 12 feet deep, constructed over permeable soil to infiltrate runoff into the ground. The basin drains dry between storm events and, and should not release any stormwater as surface flow except for flows from larger storms through an emergency spillway. See

Chapter 3.0, Detention Basins for Flood Control for more guidance.

Design and Construction: In addition to the general design and construction criteria discussed above, the following criteria must also be considered for infiltration basins:  Off-line Sitting: A basin designed for water quality treatment is located off-line from the stormwater system using a flow splitter to prevent the "first flush" runoff from being diluted and pushed out the emergency spillway by the remaining runoff. Refer to Chapter 8, for a typical flow-splitter design.

Site Slopes: The surface grade at the basin site should be 5% or less.  Setbacks: Locate the basin at least 20 feet from any foundation upslope from the basin and at least 100 feet from any downslope foundation. Site the basin at least 75 feet away from any freshwater or coastal wetland, stream, river, or lake.

Heavily Used Areas: Sites that will receive heavy use (such as playing fields) should not be considered for infiltration basins due to the limited infiltration capacity of compacted surface soils.

Figure 6-1 - Typical Infiltration Basin  Storage Volume: The required volume of runoff to be stored in an infiltration basin consists of the volume to be treated by infiltration, plus additional capacity that may be necessary to control the peak discharge from storms exceeding the infiltration design rate. The basin storage volume should be intentionally oversized to account for the eventual total loss of infiltration capability. Only the volume in a pond above an outlet structure can be utilized on a long-term basis for the detention of the runoff from extreme storm events.  Storage Depths: The maximum depth for a required recovery time can be found using the following equation: dmax = F *Tp Where: dmax = maximum storage depth (inches)

F = final permeability rate of the basin area (inches per hour)

Tp = maximum allowable ponding time (hours). = The final permeability rate is determined from field percolation tests. .  Emergency Outlet:

The infiltration basin should have an emergency spillway to convey overflow during extreme storm events. The spillway may be either a stone-lined or vegetated channel or a riser outlet. As a minimum, the spillway should convey a flow equal to the 25-year, 24-hour peak inflow into a drainage way while maintaining one foot of embankment freeboard above the water elevation in the basin. Spillways should be constructed on original ground (not embankment fill) and should have a stable discharge outlet.  Side Slopes: The side slopes should be no steeper than 3H:1V, and be well-vegetated with species that can tolerate inundation and flooding for up to one week.  Basin Floor:

Design the basin floor to be flat (0% slope) for a uniform ponding depth to ensure that the full infiltrative area of the basin will be used for each storm. However maintaining microtopography (small mounds and depressions) on the basin's floor may help delay clogging by concentrating sedimentation in the depressions. The floor should be prepared with one of the following linings. o Coarse Sand or Pea Gravel: The sand or gravel should be at least 6 inches thick. The filter layer can be replaced or cleaned when it becomes clogged. o Grass Turf: If grass is used on the basin floor, it should consist of species that can survive inundation for up to one week and still provide a dense, vigorous turf layer. Root growth continually opens up new drainage paths within the soil, and will helps delay clogging of the basin floor. o Coarse Organic Material (erosion control mix or composted mulch): These materials should be tilled into the soil. The basin floor should then be soaked or inundated for a brief period and allowed to dry. This induces the rapid decay of organic material, increasing the soil's permeability and its ability to remove soluble pollutants from the runoff.

Maintenance: Infiltration basins can have long life spans if they are properly maintained.  Basin Inspections:

Inspections of infiltration basins should be conducted on a semi-annual basis and following major storms. Timely maintenance is critical, as poor maintenance practices can result in loss of infiltration capacity.  Drainage Area:

Inspect the basin's drainage area semi-annually for eroding soil and other sediment sources and repair eroding areas immediately or control sediment sources (such as stockpiles of winter sand, by removing them from the basin's drainage area or surrounding them with sediment control BMPs).  Mowing: A basin with a turf lining should have its side-slopes and floor mowed no more than twice a year to prevent woody growth. Mowing operations may be difficult since the basin floor may remain wet for extended periods. If a low-maintenance vegetation is used, basin mowing can be performed in the normally dry months. Clippings should be removed to minimize the amount of organic material accumulating in the basin.  Pedestrian Access: Limit access to turf lined basins to passive recreational activities. Do not use the basin for a playing field, as heavy foot traffic can compact the soil surface. 6.2 - Dry Well A dry well is a small, stone-filled pit or structure surrounded by stone, typically 3 to 12 feet deep, that stores and infiltrates runoff from a very limited contributing area. Runoff enters the dry well by an inflow pipe, inlet grate, or by surface infiltration, and infiltrates through the bottom and sides of the pit. When a dry well is properly sited and designed, most runoff pollutants will become bound to the soil under the well while the water percolates to the groundwater table.

Dry wells can also be used in combination with catch basins on roadways to promote infiltration of smaller storms, while providing conveyance of larger storms. These can be designed with deep sumps to capture sediments, while still providing for infiltrating through the walls above the sump. See Chapter 7.5 Filtration BMP, Roof Dripline Filter for another use of a drywell.

Design and Construction: In addition to the general design and construction criteria discussed above, the following criteria must also be considered for dry wells.  Overflow Measures: Design and build a dry well to include measures for controlling overflow. In a roof-drain application, a surcharge pipe can outlet to a splash block or directly onto the lawn. In a leaching catch basin, pipes can be connected to allow the discharge of larger storms as they would with standard catch basins.  Setbacks: Locate dry wells at least 10 feet from the building foundation and at least 100 feet from buildings downslope from the device; and site the dry well at least 25 feet away from any freshwater or coastal wetland, stream, river, lake.  Inlet Connection: The runoff diverted to a dry well can enter through below-ground pipes to avoid intercepting any sediment from surface runoff. Pipes should enter as close as practicable to the top of the dry well and through a clamped watertight boot, or be securely mortared in place.

Maintenance: Dry wells can have life span of up to 10 to 15 years, depending on how often the gutters are cleaned, the type of roofing material, and the choice of filter fabric used to line the well.  Gutter Cleaning: Remove any leaves, seeds, and other debris from the roof's gutters every spring and every fall. A coarse screen or grate should be installed at the head of each downspout leading to the dry well. Replace the screen or grate if it is broken.  Rehabilitation: Relieve clogging by excavating away the turf and soil over the well; removing the existing stone and perforated pipe; and rebuilding the dry well. Dig out the soil at the bottom of the dry well and replace it with a six-inch layer of clean sand. The original stone can be reused if washed. To minimize the eventual cost of rehabilitation, the dry well should be located in a lawn area as close as possible to the ground surface.

Figure 6.2 – Gutter Infiltration Well Figure 6.3 – Dry Well 6.3 - Infiltration Trench An infiltration trench is a stone-filled excavation where runoff is collected so that it can infiltrate into the ground. There are two types of infiltration trenches: surface trenches and subsurface trenches. A surface trench is open and exposes the trench's top layer of stone and runoff enters as overland flow. Turf or pavement will cover a subsurface trench into which runoff is distributed by a perforated pipe. Storage pipes or manhole structures may be included to increase the storage capacity while minimizing the footprint of the infiltration system.

Design and Construction: In addition to the general design and construction criteria discussed above, the following criteria must also be considered for infiltration trenches.  Site Slopes: The surface grade at the trench site should be 20% or less for an subsurface trench and 5% or less for a surface trench.  Trench Grade: The grade of the bottom of the trench should be as close to 0% as possible.

Always install the trench parallel to elevation contours.  Setbacks: Locate a trench at least 20 feet from a building foundation and at least 100 feet from buildings downslope from the device. Site the dry well at least 75 feet away from any freshwater or coastal wetland, stream, river, or lake.

Maintenance: It is probable that a trench can have a life span of up to 10 to 15 years, depending on the maintenance of the pretreatment BMPs, and the amount of fines in the sediment load. Proper design and long-term maintenance will extend the life of an infiltration trench.  Surface Trench: o Inlet Maintenance: Remove any fallen leaves and other debris from the trench's surface inlet at least every fall after leaf drop and every spring after snow melt. If left in place, the trash and leaves will clog the trench inlet. o Rehabilitation: Clogging in a surface trench is most likely to occur within the top layer of stone. Relieve this surface clogging by carefully removing the layer of stone and replacing with clean stones.

The old stone may be re-used if washed to remove any fine sediment.

Figure 6.4 - Photo of Infiltration Trench Figure 6.5 – Infiltration Trench Subsurface Trench: o Inlet Maintenance: Annually check the pretreatment inlets to subsurface trench and clean out any sediment, trash, oil, and grease when these materials fill more than 10% of the inlet structure's capacity. o Rehabilitation: Clogging of a subsurface trench is likely to occur at the bottom of the trench and it will require excavation and reconstruction to restore its proper function. Scarify the soil at the bottom of the trench with a tiller or excavate the clogged soil and replace it with a six-inch layer of sand. The old stone may be re-used if washed to remove any fine sediment.

Figure 6.6 – Subsurface Infiltration Trench

Chapter 7 - Filtration BMPs Filtration BMPs, particularly vegetated soil filter media BMPs, have been shown to be very effective at removing a wide range of pollutants from stormwater runoff. Filters provide stormwater quality treatment and channel protection with a slow release that prevents downgradient channel erosion while cooling the discharge. These filters can remove a wide range of pollutants, including suspended sediment, phosphorus, nitrogen, metals, hydrocarbons and some dissolved pollutants. Soil filters can be designed and constructed using common materials; however, some manufacturers have developed proprietary filter media and structures that may also be used with DEP approval.

This chapter discusses the design and construction of various types of filtration BMPs.

Chapter 7.1 - Grassed Underdrained Soil Filters Vegetated underdrained soil filters capture and retain runoff and pass it through a soil filter media. The media consists of a silty sand and organic matter mixture to remove a wide range of pollutants, including suspended solids, phosphorus, nitrogen, metals, hydrocarbons, and some dissolved pollutants. Once through the soil media, the runoff is collected in a perforated underdrain pipe system and discharged downstream. The filter structure provides for the slow release of smaller storm events, minimizing stream channel erosion, and cooling of the discharge. Vegetated soil filters are usually located in close proximity to the origin of the stormwater runoff and should be scattered throughout a residential area or along the downhill edge of smaller parking areas.

Basin Siting: The following criteria apply to all underdrained soil filters:  Drainage Area: The size of the underdrained soil filter and storage capacity over the filter is based on the size and land use within the area draining to the structure. Upgradient areas should be directed around the filter basin if they are not to be treated by the filter.  Subsurface Investigation: Subsurface explorations (test pits or borings) should be made within the basin area to identify depths to seasonal high groundwater and bedrock. Explorations should extend Separation from Seasonal High Water table and Bedrock: The bottom of the underdrained soil filter should be a minimum of 18 inches above the seasonal high groundwater table or bedrock, unless an impermeable liner (not clay) or other design elements are employed.  Permeable Soils:

Vegetated soil filters can be designed to infiltrate water into the groundwater below.

In hydrologic soil groups A and B, an underdrained filter basin should be designed as an infiltration basin provided that the design and siting criteria for infiltration can be met. Otherwise, an impermeable liner (not clay) may be required.

Basin Plan: When used to meet the Chapter 500 Phosphorus Standard, the sizing of the underdrain filter structures needs to be adjusted in accordance with Volume II of this BMP manual.  Treatment Volume: An underdrained soil filter must detain and filter a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's landscaped developed area. Other upgradient areas should be directed away from the filter basin if they are not being treated by the filter.  Filter Area and Thickness: The surface area of the filter must be no less than the sum of 5% of the impervious area and 2% of the landscaped area draining to the filter. The soil filter media must be at least 18 inches thick.  Basin Size: The filter area should not exceed 3000 square feet or have more than 2.5 acres of subwatershed draining to the structure. Larger basins are difficult to construct and maintain  Drain Time: A filter basin must drain dry in no less than 24 and no more than 48 hours.  Impoundment Depth: The peak water quality storage depth may not exceed 18 inches over a grass filter. Storage over the treatment volume may be provided to control peak flows from the 2, 10 and 25 year storms and meet the flooding standards.  Sediment Pretreatment: A pretreatment device such as a forebay, grassed swale, filter strip, and sediment trap should be provided to minimize the discharge of sediment to the filter basin. The pretreatment structure should be sized to hold an annual sediment volume as follow:

Assuming an average of 10 storm events per year, the volume of a sediment trap should be calculated as follow:

Figure 7.1.1 – Grassed Underdrained Soil Filter  Sediment Forebay: A rock forebay is recommended to reduce flow velocity into the basin. All sediment should be removed after construction and the upgradient tributary area is fully stabilized.  Access: Where needed, a maintenance access should be provided and maintained that is at least 10 feet wide with a maximum slope of 15% and a maximum cross slope of 3%.

This access should never cross the emergency spillway, unless the spillway has been designed for that purpose. An easement for long-term access may be needed.  Vegetation: The soil filter surface should be planted with a grass species that is tolerant of frequent inundation and well drained soils. Upon seeding, the soil filter should be mulched with hay or an erosion control mixture. A conservation type seed mixture is appropriate (or a 48 lbs/acre mixture containing 20 lbs/acre of Creeping red fescue and Tall fescue each plus 8 lbs/acre of Birdsfoot trefoil).

Filter Outlet: The channel protection volume must be discharged solely through a network of underdrain pipe having a single outlet with a diameter that is no greater than eight inches.  Downgradient Discharge Area: Each underdrain system must discharge to an area capable of  Underdrain Pipe: A proper layout of the pipe underdrain system is necessary to effectively drain the entire filter area. The pipes within the basin must be placed no further apart than 15 feet and should have a positive slope. The underdrain should be 4" to 6" diameter perforated, rigid schedule 40 PVC or SDR 35 pipe. Structure joints should be sealed and watertight.  Outlet Discharge: Outflow of the filter basin underdrain can be controlled by a constrictive orifice or a valve (2” plastic ball valve, type 346, with a ball valve handle extension, type 615, with a three-piece valve box installed over the valve). Upon completion of the installation of the soil filter media and the establishment of 90% of grass cover over the filter media, the contractor should flood the vegetated basin to the design elevation with clean water and adjust the outflow to obtain the 24 to 48 hour Underdrain Layer: The perforated piping in the underdrain layer should be bedded in 12 inches of material, with at least 4 inches of material beneath the pipe and 4 inches above. Two options for the underdrain layer are provided below, but Option 1 is preferred by the DEP:  Drainage Layer - OPTION 1: The underdrain material consists of well-graded, clean, coarse gravel meeting the Maine DOT specification 703.22 Underdrain Backfill for Type B Underdrain (see Table 7.1.1). This design is acceptable for areas where the depth to seasonal high groundwater is close to the bottom of the drainage layer.  Drainage Layer with Transition Layer - OPTION 2: The underdrain material consists of 12 inches of crushed stone meeting the Maine DOT specification 703.22 Underdrain Backfill for Type C Underdrain (see Table 7.1.1). As a transition zone, a 6 inch layer of well graded, clean, coarse gravel meeting the Maine DOT specification 703.22 Underdrain Backfill for Type B Underdrain (Table 7.1.1) is needed above the bedding.

Soil Filter Bed: The soil filter over the gravel underdrain pipe bedding must be at least 18 inches deep and must extend across the entire filter area. This soil mixture should be a uniform mix, free of stones, stumps, roots, or other similar objects larger than two inches. No materials or substances that may be harmful to plant growth can be mixed within the filter. Except for agricultural sources, most organic sources may be acceptable for the organic component of the media. The soil filter may be omitted if the permeability of the in-situ soils is greater than the permeability of the soil filter and mounding will not be an issue. However, the basin will need to meet the requirements for infiltration per Chapter 6. Two options are available for the soil filter portion of the basin:

Table 7.1.1 - Maine DOT Specifications for Underdrain Backfill (MEDOT #703.22) 1” 95-100 No. 4 50-100 No. 20 15-80 No. 50 0-15 No. 200 0-5.0 No. 4 0-25 No. 10 0-5  Optional Hay Layer: A layer of hay can be placed to separate the drainage layer from the filter layer above to prevent subsidence or plugging of the sand/gravel/stone layer and/or pipe.  Soil Filter Media - OPTION 1: Soil filter media consists of a silty sand soil or soil mixture combined with a mature, moderately fine shredded bark or wood fiber mulch 20% to 25% by volume (no less than 10% by dry weight). The resulting mixture should have 8% to 12% passing the No. 200 sieve and a clay content of less than 2%. The proportions of the mixture can be adjusted so it will contain sufficient fines and organic matter. o As an example, the soil filter media may contain the following (by volume):  50% of sand (Maine DOT specification #703.01 is close but it contains insufficient fine material for the filter media)  20% of sandy loam to fine sandy loam (Table 7.1.2).  30 % of mature composted woody fibers and fine shredded bark, superhumus or equivalent (adjusted for mineral soil content).  Layered System with Topsoil - OPTION 2 : Option 2 provides for a layered system that takes advantage of the characteristics of natural soils. A filter media mixed from different sources may lack nutrients, may be unable to retain moisture (because of its coarseness), and may be devoid of microorganisms (such as fungus, bacteria and nematodes) which are found in a natural soil and which benefit the germination and establishment of vegetation. Natural soils contain these important organisms and provide superior filtration. The different layers from the bottom up are: o Filter Layer: A 12-inch layer of loamy coarse sand which is loosely installed and meets the grain size specification of Table 7.1.3. o Topsoil: The surface of the basin should be covered with 6 inches of non-clayey, loamy topsoil such as USDA loamy sand topsoil with 5 to 8% humified organic content.

Topsoil from the development site may be appropriate but should be tested for organic content and clay content (hydrometer test). The soil must be screened, loose, friable, and shall be free from admixtures of subsoil, refuse, stones (greater than 2 inches in diameter), clumps, root and other undesirable foreign matter. The topsoil should be gently mixed within the filter layer to provide continuity for deep root penetration. The teeth of a backhoe, a hand rake, a shovel or rototilling 2-3 inches may be used to create a loosened transition.  Clay Content: The media mixture should have very little or no clay content as tested via hydrometer test. Soils with more than 2% clay content could cause failure of the system.  Filter Permeability: The filter must be permeable enough to insure drainage within 24 to 48 hours, yet have sufficient fines to insure the filtration of fine particles and the removal of dissolved pollutants. The design may either rely on the soil permeability, if known, to provide the slow release of the water treatment volume, or may insure this rate by installing a constrictive orifice or valve on the underdrain outlet. In determining the permeability of the media, the amount of fines of the mixture and the level of compaction should be considered.  Gradation testing: Gradation tests, including hydrometer testing for clay content, and permeability testing of the soil filter material, should be performed by a qualified soil testing laboratory and submitted to the DEP for review before placement.  Seeding and Mulching: The filter bed should be seeded with a drought tolerant grass mix and mulched. Watering is recommended to establish a healthy vegetation base.

Geotextile Fabric: A geotextile fabric may be placed between the sides of the filter layer and adjacent soil to prevent the surrounding soil from migrating into and clogging the filter or clogging the outlet.

Seams should be overlapped a minimum of 12 inches. Do not wrap fabric over the pipe bedding as it may clog and prevent flows out of the filter. The geotextile fabric should be Mirafi 170N or equivalent.

Table 7.1.3 - Loamy Coarse Sand Specifications No. 10 85-100 No. 20 70-100 No. 60 15-40 No. 200 8-15 200 (clay size) <2.0 Table 7.1.2 - Sandy Loam to Fine Sandy Loam Specifications No. 4 75-95 No. 10 60-90 No. 40 35-85 No. 200 20-70 200 (clay size) < 2.0 Impermeable Liner: An impermeable liner may be required if the basin is located over highly permeable soils or with less than 18 inches of separation between the bottom of the underdrain and the top of bedrock or the high seasonal water table, if the basin drains an impervious area that is greater than one acre or greater than 2 acres of developed area, and the impervious area is considered a hot spot (public road, fuel handling facility, high use parking and drive-through lanes, industrial facility, vehicle maintenance facility, etc.). The liner must seamlessly extend up the sides of the basin and be anchored into the subgrade.

Construction: Erosion and sedimentation from unstable construction areas is the most common reason for filter failure. The soil filter media should not be installed until the area that drains to it has been permanently stabilized or unless the runoff is diverted around the filter  Construction Components: Underdrained filters consist of (from bottom up): o A geotextile fabric to separate the filter basin from the natural soils. An impermeable membrane may be required if groundwater impact or contamination is a concern, or if it may influence the effectiveness of the basin. o A 12-inch base of coarse clean stone or coarse gravel in which a 4-inch to 6- inch perforated underdrain pipe system is bedded. o A gravel transition layer, if necessary. o An 18-inch layer of uncompacted soil filter media. o A surface cover of grass and mulch.  Basin Excavation: The basin area may be excavated for underdrain installation and can be used as a sediment trap during construction. After excavation of the basin, the outlet structure and piping system may be installed if protected with a sediment barrier.  Sacrificial Mulch cover: If the basin will be used as a sediment trap, the sides of the embankments must be stabilized and maintained to prevent erosion. The basin will need to be restored for its planned purpose after construction. Before final stabilization of the drainage area to the basin, a 2inch to 3-inch layer of sandy loam (with less than 2% clay content) may be spread on the surface of the soil filter media as a sacrificial protection layer. The sacrificial layer will need to be removed at the end of construction, and the soil filter media will need to be seeded and mulched.  Compaction of Soil Filter: Filter soil media and underdrain bedding material should be applied to reach a bulk density of between 90% and 92% standard proctor. The soil filter media should be installed in at least two lifts of 9 inches to prevent pockets of loose media.  Remedial Loam Cover: If vegetation is not established within the first year, the basin may be rototilled, reseeded and protected with a well-anchored erosion control blanket. Or, a 2-inch to 3-inch layer of fine sandy loam may be applied before seeding and mulching.  Construction Oversight:

Inspection of the filter basin must be provided for each phase of construction by the design engineer with required reporting to the DEP. All material intended for the filter basin must be approved by the design engineer after tests by a certified laboratory show that the material conforms to all DEP specifications. At a minimum, inspections will occur: o After the preliminary construction of the filter grades and once the underdrain pipes are installed (not backfilled); o After the drainage layer is constructed and prior to the installation of the soil filter media; o After the soil filter media has been installed, seeded and mulched; and o After one year, to inspect vegetation and make corrections.

Testing and Submittals: The source of each component of the soil filter media needs to be identified prior to construction. All results of field and laboratory testing must be submitted to the DEP for approval.  Media Source: Samples of each type of material should be blended for the mixed filter media and underdrain bedding material. Samples must be a composite of three different locations (grabs) from the stockpile or pit face. Sample size requirements will be determined by the testing laboratory.  Sieve Analysis: A sieve analysis conforming to ASTM C136 should be performed on each type of the sample material.  Permeability Testing: Testing the permeability of the soil filter media mixture is recommended with the mixture at a measured bulk dry density of 90-92% based on ASTM D698.

Maintenance: The basin should be inspected semi-annually and following major storm events. Debris and sediment buildup should be removed from the forebay and basin as needed. Any bare area or erosion rills should be repaired with new filter media, seeded and mulched.  Maintenance Agreement: A legal entity should be established with responsibility for inspecting and maintaining any underdrained filter. The legal agreement establishing the entity should list specific maintenance responsibilities (including timetables) and provide for the funding to cover long-term  Drainage: The filter should within 24 to 48 hours following a one-inch storm or greater. If the system drains too fast, an orifice may need to be added on the underdrain outlet or may need to be modified if already present.  Sediment Removal: Sediment and plant debris should be removed from the pretreatment structure at least annually.  Mowing: If mowing is desired, only hand-held string trimmers or push-mowers are allowed on the filter (no tractor) and the grass bed should be mowed no more than 2 times per growing season to maintain grass heights of no less than 6 inches.  Fertilization: Fertilization of the underdrained filter area should be avoided unless absolutely necessary to establish vegetation.  Harvesting and Weeding: Harvesting and pruning of excessive growth should be done occasionally.

Weeding to control unwanted or invasive plants may also be necessary.  Grass cover: Maintaining a healthy cover of grass will minimize clogging with fine sediments. If ponding exceeds 48 hours, the top of the filter bed should be rototilled to reestablish the soil’s filtration capacity.  Soil Filter Replacement: The top several inches of the filter can be replaced with fresh material if water is ponding for more than 72 hours, or the basin can be rototilled, seeded and mulched. Once the filter is mature, adding new material (a 1-inch to 2-inch cover of mature compost) can compensate for subsidence.

Chapter 7.2 - Bioretention Filters A bioretention cell is a type of underdrained soil filter that collects, filters, and treats moderate amounts of stormwater runoff using conditioned planting soil beds, gravel underdrained beds, and vegetation within shallow depressions. The filter basin captures and retains runoff and passes it through a soil filter media that contains a mixture of silty sand and organic matter to remove a wide range of pollutants, including suspended solids, phosphorus, nitrogen, metals, hydrocarbons, and some dissolved pollutants. Once through the soil media, the runoff is collected in a perforated underdrain pipe system and discharged downstream. Bioretention basins are usually located in close proximity to the origin of the stormwater runoff and should be scattered throughout a residential area or along the downhill edge of smaller parking areas with a maximum drainage area of 0.75 to 1.0 acre to each individual filter.

The major difference between an underdrained grassed soil filter and a bioretention cell is the vegetation.

A typical grassed underdrained soil filter may be planted with grass, whereas a bioretention cell is planted with a variety of shrubs and perennials whose roots assist with the passing of water and uptake of pollutants.

Basin Siting: The following criteria apply to all bioretention filters:  Drainage Area: Size of the underdrained soil filter and storage capacity over the filter is based on the land use composition of the area draining into the structure. Upgradient areas not intended to be treated should be directed around the filter basin.  Subsurface Investigation: Subsurface explorations (test pits or borings) should be made within the basin area to identify depths to seasonal high groundwater and bedrock. Explorations should extend Separation from Seasonal High Watertable: The bottom of the underdrained soil filter should be at a minimum one (1) foot above the seasonal high groundwater table, unless an impermeable liner (not clay) or other design elements are employed.  Separation from Bedrock: The bedrock surface may be no closer than 1 foot from the bottom of the basin, unless an impermeable liner (not clay) or other design elements are employed.  Permeable Soils:

Vegetated soil filters can be designed to infiltrate water into the groundwater below.

In soil group A and B, an underdrained filter basin should be designed as an infiltration basin provided that the design and siting criteria for infiltration can be met. Otherwise, an impermeable liner (not clay) may be required if the basin does not have 3 feet of undisturbed overburden soil over the seasonal high water table. The bioretention basin will not need a liner and will not need to be designed as an infiltration system if it receives stormwater from a developed area that: o Contains less than one acre of imperious area. o Consists only of roof. o Is a single family residential subdivision, or o Is not a facility that has a high turnover parking, that stocks hazardous products or that provides industrial or vehicle services and maintenance.

Basin Plan: When used to meet Chapter 500 Phosphorus Standard, underdrain filter structures need to be sized in accordance with Volume II of this BMP manual.  Treatment Volume: An underdrained soil filter must detain and filter a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's landscaped developed area. Other upgradient areas should be directed away from the filter basin.  Storage: Storage within the bioretention cell is provided with a 6-inch pooling depth and 6 inches of storage within the filter (1/3 of the volume of 18 inches of filter media).  Filter Area: The surface area of the filter must be no less than 7% from the impervious area and 3% from the landscaped area draining to the filter.  Basin Size: The size of a bioretention bed should not exceed 2000 sq. ft. in basin bottom area or have more than one acre of subwatershed draining to the structure. Larger sizes are difficult to construct and maintain.

Figure 7.2.1 – Bioretention Filter Cell  Drain Time: A filter basin must drain dry within 24 and 48 hours.  Impoundment Depth: The peak water quality storage depth should not exceed 6 inches over a bioretention basin filter. Due to the deeper root zones of the plants and increased evapotranspiration potential, one third of the soil filter volume (6 inches) may be included as storage volume when designing bioretention cells. Plants that can sustain frequent draught and inundation should be selected. Storage over the treatment volume to control peak flows for the flooding standards cannot be provided because of potential damage to the vegetation; and an independent structure must be provided. The overflow outlet can be no more than 6 inches above the filter surface.  Pretreatment: Pretreatment devices such as a grassed swale, grass or meadow filter strip and sediment trap should be provided to minimize the discharge of sediment to the bioretention filter basin. Pretreatment structures should be sized to hold an annual sediment load calculated using a sand application rate of 50 cubic feet per acre per year for sanding of the pavement surface within the basin’s subcatchment area.  Access: Where needed, a maintenance access should be provided and maintained that is at least 10 feet wide with a maximum slope of 15% and a maximum cross slope of 3%. This access should never cross the emergency spillway, unless the spillway has been designed for that purpose. An easement for long-term access may be needed.  Rock Forebay: A rock forebay is recommended to reduce flow velocity into the basin. All sediment should be removed after construction and the upgradient tributary area is fully stabilized.  Plant Species: The soil filter surface should be planted with plants that are tolerant of well drained soils and frequent inundation. Native plants should be chosen for their tolerance to urban runoff, moisture fluctuation, pollutant loading, light amount, temperature and ph. Based upon the expected full grown size of the plant, the plants’ spacing should be no more than 18 inches to 3 feet on center.

A landscape designer or architect should be involved to select the appropriate plants for site conditions. Beware of invasives. Full plant cover should be achieved within the first year from construction.  Mulch: Upon planting, the soil filter should be mulched with 2-3 inches of cover. Acceptable mulch is a well-aged, uniform in color, and free of foreign material including plant root material.

Outlet: The channel protection volume must be discharged solely through a network of underdrain pipe having a single outlet with a diameter that is no greater than eight inches. A manually adjustable valve may be installed to control the outflow rate from the underdrain pipe to obtain the required 24 to 48 hour  Discharge Elevation: The overflow from the basin must be placed no more than 6 inches above the filter media to prevent over-inundation of the plantings.  Downgradient Discharge Area: Each underdrain system must discharge to an area capable of  Underdrain Pipe: A proper layout of the pipe underdrain system is necessary to effectively drain the entire filter area. The pipes should be placed no further apart than 15 feet and should have a positive gradient. The underdrain piping should be 4" to 6" slotted, rigid schedule 40 PVC or SDR35. Structure joints should be sealed and watertight.  Outlet Discharge: Outflow of the filter basin underdrain can be controlled by a constrictive orifice or a valve (2” plastic ball valve, type 346, with a ball valve handle extension, type 615, with a three-piece valve box installed over the valve). Upon completion of the installation of the soil filter media and the establishment of 90% of grass cover over the filter media, the contractor should flood the vegetated basin to the design elevation with clean water and adjust the outflow to obtain a 24 to 48 hours Pipe Bedding: The perforated underdrain pipe(s) must be bedded in 12 inches of underdrain material with at least 4 inches of material beneath the pipe and 4 inches above. Two options for pipe bedding are provided below (Option 1 is preferred):  OPTION 1 - Drainage Layer: The underdrain material consists of well graded, clean, coarse gravel meeting the MEDOT specification 703.22 Underdrain Type B for Underdrain Backfill (See Table 7.2.1). The material must contain less than 5% fines passing the #200 sieve. No transition zone is necessary since the drainage pipe is bedded in less pervious gravel and this design is acceptable for areas where the head or depth to seasonal high groundwater is close to the bottom of the drainage layer.  OPTION 2 – Drainage Layer with Transition Layer: The underdrain material consists of 12 inches of crushed stone meeting the MEDOT specification 703.22 Underdrain Type C for Underdrain Backfill Material (Table 7.2.1). As a transition zone, a 6 inch layer of well graded, clean, coarse gravel meeting the MEDOT specification 703.22 Underdrain Type B for Underdrain Backfill (Table 7.2.1) is needed above the bedding. The amount of fines passing the #200 sieve in the gravel should be preferably less than 5%.

Soil Filter Bed: The soil filter over the gravel underdrain pipe bedding must be at least 18 inches deep and must extend across the entire filter area. This soil mixture should be a uniform mix, free of stones, stumps, roots, or other similar objects larger than two inches. No materials or substances that may be harmful to plant growth can be mixed within the filter. Most organic sources other than agricultural may be acceptable for the organic component of the media. Two options are provided for the treatment portion of the basin.  OPTION 1- Soil Filter Media: Soil media consists of a silty sand soil or soil mixture combined with 20% to 25% by volume (no less than 10% by dry weight) of a moderately fine shredded bark or wood fiber mulch. The resulting mixture should have more than 8% passing the 200 sieve and a clay content of less than 2%. As an example, the mixture may contain the following (by volume): o 50% of sand (MEDOT #703.01 is close but contains insufficient fine for the media) o 20% of sandy loam to fine sandy loam (Table 7.1.2). o 30 % of composted woody fibers and fine shredded bark, superhumus or equivalent (adjusted for mineral soil content)

Table 7.2.1 - Maine DOT  OPTION 2 – Layered System with Topsoil: A filter media mixed from different sources may lack nutrients, may be unable to retain moisture (because of its coarseness), and may be devoid of microorganisms (such as fungus, bacteria and nematodes) which are found in a natural soil and which benefit the germination and establishment of vegetation. Natural soils contain these important organisms and provide superior filtration. Option 2 provides for a layered system that takes advantage of the characteristics of natural soils. The different layers from the bottom up are: o Optional Hay Layer: A layer of hay can be placed to separate the drainage layer from the filter layer above to prevent subsidence or plugging of the sand/gravel/stone layer and/or pipe. o Filter Layer: A 12 inches layer of loamy coarse sand which is loosely installed and meets the grain size specifications as provided. See Table 7.2.3. o Topsoil: The surface of the basin should be covered with 6 inches of non-clayey, loamy topsoil such as USDA loamy sand topsoil with 5-8% humified organic matter and meeting the specifications as provided. Topsoil from the development site may be appropriate but should be tested for organic content and clay content (hydrometer test).

The soil must be screened, loose, friable, and shall be free from admixtures of subsoil, refuse, stones (greater than 2 inches in diameter), clogs, root and other undesirable foreign matter. The topsoil should be gently mixed within the filter layer to provide continuity for deep root penetration. The teeth of a backhoe, a hand rake, a shovel or rototilling 2-3 inches may be used to create a loosened transition.  Clay Content: The media mixture should have very little or no clay content as tested via hydrometer test. Soils with more than 2 % clay content could cause failure of the system.  Filter Permeability: The filter must be permeable enough to insure drainage within 24-48 hours, yet have sufficient fines to insure the filtration of fine particles and the removal of dissolved pollutants.

The design may either rely on the soil permeability, if known, to provide the slow release of the water treatment volume over a minimum of 24 hours, or may insure this rate by installing a constrictive orifice or valve on the underdrain outlet. In determining the permeability of the media, the amount of fines of the mixture and the level of compaction should be considered.  Gradation testing: Gradation tests, including hydrometer testing for clay content, and permeability testing of the soil filter material, should be performed by a qualified soil testing laboratory and submitted to the project engineer for review before placement.

Geotextile Fabric: A geotextile fabric may be placed between the sides of the filter layer and adjacent soil to prevent the surrounding soil from migrating into and clogging the filter or clogging the outlet.

Overlap seams should be a minimum of 12 inches. Do not wrap fabric over the pipe bedding as it may clog and prevent flows out of the filter. The geotextile fabric should be Mirafi 170N or equivalent.

Construction: All material intended for the filter basin must be approved by the design engineer after tests by a certified laboratory show that the material conform to the DEP specifications. The soil filter media should not be installed until the drainage area has been permanently stabilized or the runoff is diverted around the filter until stabilization is completed. Erosion and sedimentation from unstable subcatchments is the most common reason for filter failure.  Construction Components: Bioretention filters consist of (from bottom up): o A geotextile fabric to separate the filter basin from the natural soils. An impermeable membrane may be required if groundwater contamination is a concern or it may influence the effectiveness of the basin. A 12-inch base of coarse clean stone or coarse gravel in which a 4 to 6 inch perforated underdrain pipe system is bedded. o A gravel transition layer, if necessary.

Table 7.2.2 - Sandy Loam to Fine Sandy Loam Specifications 4 75-95 10 60-90 40 35-85 200 20-70 200 (clay size) < 2.0 Table 7.2.3 - Loamy Coarse Sand Specifications 10 85-100 20 70-100 60 15-40 200 8-15 200 (clay size) <2.0 o 18-inch layers of soil filter media. o A selection of plants and 2-3 inches of wood mulch.  Basin Excavation: The basin area excavated for underdrain installation can be used as a sediment trap during construction. After excavation of the basin, the outlet structure and piping system may be installed if protected with a sediment barrier. If the basin is to be used as a sediment trap, the sides of the embankments must be stabilized and maintained to prevent erosion.  Compaction of Soil Filter: Filter soil media and underdrain bedding material should be compacted to between 90 and 92% standard proctor. The filter should be installed in at least 2 lifts of 9 inches to prevent pockets of loose media.  Remedial Loam Cover: If vegetation is not established within the first year, a 2-3 inch layer of sandy loam topsoil (with less than 2% clay) may be installed on the surface of the filter. It will need to be removed at the end of construction, seeded and mulched.  Construction Oversight:

Inspection of the filter basin must be provided for each phase of construction by the design engineer with required reporting to the DEP. At a minimum, inspections will occur after: o The preliminary construction of the filter grades and once the underdrain pipes are installed (not backfilled), o The drainage layer is constructed and prior to the installation of the filter media, o The filter media has been installed, seeded and mulched, o The first year of operation, to inspect vegetation and make corrections. o All material intended for the filter basin must be approved by the design engineer after tests by a certified laboratory show that they are passing all DEP specifications.

Testing and Submittals: The contractor needs to identify the location of the source of each component of the filter media. All results of field and laboratory testing must be submitted to the project engineer for confirmation.  Media Source: Samples of each type of material should be blended for the mixed filter media and underdrain bedding material. Samples must be a composite of three different locations (grabs) from the stockpile or pit face. Sample size required will be determined by the testing laboratory.  Sieve Analysis: A sieve analysis conforming to ASTM C136 (Standard test method for sieve analysis of fine and coarse aggregates; 1996a) should be performed on each type of the sample material. The resulting soil filter media mixture must have 8% to 12% by weight passing the #200 sieve, a clay content of less than 2% (determined hydrometer grain size analysis) and have 10% dry weight of organic matter.  Permeability Testing: Permeability of the soil filter media mixture should be tested and should be conforming to ASTM D2434 with the mixture compacted to 90-92% of maximum dry density based on ASTM D698.

Maintenance: The bioretention basin should be inspected semi-annually and following major storm events. Debris and sediment buildup should be removed from the forebay and basin as needed. Any bare area or erosion rills should be repaired with new filter media, seeded and mulched.  Maintenance Agreement: A legal entity should be established with responsibility for inspecting and maintaining any filter basin. The legal agreement establishing the entity should list specific maintenance responsibilities (including timetables) and provide for the funding to cover long-term  Drainage: The filter should be draining within 48 hours following a one-inch storm or greater. If the system drains too fast, an orifice may need to be added on the underdrain outlet or may need to be modified if already present.  Sediment Removal: Sediment and plant debris should be removed from the pretreatment structure at least annually.  Remedial Cover: The organic mulch should be removed and replaced with a 2-3 inch layer of fresh mulch annually or as needed.  Soil Filter Replacement: The mulch shall be replaced with fresh material on a yearly basis.  Fertilization: Fertilization of the filter area should be avoided unless absolutely necessary to establish vegetation.  Harvesting and Weeding: Harvesting and pruning of excessive growth should be done occasionally.

Weeding to control unwanted or invasive plants may also be necessary.  Planting: Maintaining a healthy vegetative cover will minimize clogging with fine sediments. If ponding exceeds 48 hours, the top of the filter bed should be rototilled to reestablish the soil’s filtration capacity.  Soil Filter Replacement: The top several inches of the filter can be replaced with fresh material if water is ponding for more than 72 hours.

Chapter 7.3 - Subsurface Sand Filters A chamber system and surrounding aggregate over a subsurface sand filter is designed to store, and discharge the stormwater at an attenuated rate to reduce the thermal impacts downstream of the system.

The stormwater rises in the chambers and is filtered vertically out of the open bottom through the filter and to the storage and treatment area of adjacent chambers, sand filter and underdrain.

Subsurface soil filters with a detention/retention chamber system require much more care in their design, construction and maintenance than a vegetated filter basin as it does not provide a source of organic matter for filtration, long-term permeability and evapotranspiration. Thus, a pretreatment structure must be provided to ensure the long-term effectiveness of a subsurface sand filter. As an example, a fabric wrapped row of chambers will provide the necessary pre-treatment as it can provide an initial settlement and filtration of contaminants if it is accessible for cleaning. As an alternative, a pre-treatment manufactured flow-through box may be provided if approved by the Department of Environmental Protection. Approval and all design specifics concerning a proprietary pretreatment structure for its siting, sizing, construction or maintenance is provided in a letter to the manufacturer. The letters are provided in

Appendix B.

Structure Siting: The following criteria apply to all underdrained subsurface sand filters:  Drainage Area: The size of the subsurface underdrained sand filter and chamber system is based on its storage capacity and the drainage area contributing to the structure.  Subsurface Investigation: Subsurface explorations (test pits or borings) should be made within the filter area to identify depths to seasonal high groundwater and bedrock. Explorations should extend to below the proposed filter bottom elevation.  Separation from Seasonal High Watertable: The bottom of the underdrained sand filter should be at a minimum one (1) foot above the seasonal high groundwater table, unless an impermeable liner or other design elements are employed.

Separation from Bedrock: The bedrock surface may be no closer than 1 foot from the bottom of the underdrained sand filter, unless an impermeable liner or other design elements are employed.  Permeable Soils: Underdrained subsurface sand filters can be designed to infiltrate in hydrologic soil groups A and B (sand and gravel) provided that the design and siting criteria for infiltration can be met. Otherwise, an impermeable liner (not clay) or other design elements may be necessary. The structure will not need a liner and will not need to be designed as an infiltration system if its drainage area of the project: o Contains less than one acre of imperious area, o Consists only of roof, o Is a single family residential subdivision, o Is not a facility that has high turnover parking, stocks hazardous products, or provides vehicle services and maintenance, o Is not an industrial facility.

However, a minimum one (1) foot separation distance should be maintained from the bottom of the sand filter to seasonal high groundwater or bedrock.

Structure Design: The following criteria apply to all underdrained subsurface sand filters:  Phosphorus: When used to meet the phosphorus allocation in lake watersheds, the sizing of the underdrain filter structures needs to be adjusted in accordance with Volume II of this BMP manual.  Treatment Volume: An underdrained sand filter must detain and filter a runoff volume equal to 1.0 inch times the subcatchment's impervious area plus 0.4 inch times the subcatchment's landscaped developed area. Other upgradient areas should be directed away from the filter system.  Impoundment Depth: The temporary ponding depth within the chamber system for the water quality volume should not exceed 18 inches. Additional storage with more depth may be provided to detain runoff for flooding control.  Filter Area: The surface area of the filter must be no less than the sum of 5% of the impervious area and 2% of the landscaped area draining to the system.  Drain Time: A filter basin should drain dry in no less than 24 and no more than 48 hours  Construction Components: An underdrained chamber system is installed in an excavated area that is at least 5 feet deep; and is layered as follow: o A geotextile fabric between the natural subbase soils and constructed media. It may be omitted over clean soils (little or no fines) or if the seasonal high groundwater table is 3 or more feet below the bottom of the drainage layer. o A 12-14 inches of coarse clean stone with a piping system of 4 to 6-inch perforated pipes, o A layer of well compacted sand filter media at least 18 inches thick, and o Any transition layer necessary to separate the different layers (geotextiles may clog).  Hydrocarbon Pretreatment:

A sump skimmers, sorbent boom, or other similar device should be provided in catchbasins draining to the subsurface chamber system to minimize the discharge of hydrocarbons when the draining area is a likely source of hydrocarbons (i.e. parking lots, roads, etc.).

Drainage Layer Components:  Underdrain Pipe: The pipe underdrain must be properly laid out to drain the entire filter area. At least one line of underdrain pipe should be provided for every eight feet of the filter area's width.

The underdrain piping should be 4" to 6" slotted, rigid schedule 40 PVC or SDR35. An orifice may be needed to control the release of the water quality volume over 24 to 48 hours.  Pipe Bedding and Transition Zone: The underdrain pipe(s) should be bedded in a minimum of 12 inches of underdrain aggregate with at least 4 inches of material beneath the pipe and 4 inches above. The underdrain bedding material should consist of a clean gravel meeting the MEDOT specification 703.22 Underdrain Type C for Underdrain Backfill Material. Crushed stone bedding material may be used; however it will need 6-inch transition layer of well graded, clean, coarse gravel meeting the MEDOT specification 703.22 Underdrain Type B for Underdrain Backfill Material. Fines passing the #200 sieve in the gravel should be no more than 5% (preferably 2%). The gradation for these materials is shown on Table 7.3.1.  Inspection Ports:

Inspection ports to the underdrain gravel layer should be provided with at least one port per 500 square feet of subsurface filter area. The system should be inspected after every major storm in the first few months to ensure proper function and annually thereafter.

Sand Filter:  Sand Filter Bed: The sand filter should be at least 18 inches thick over the gravel underdrain bedding and should extend across the bottom of the entire filter area. This material should be uniform, free of stones, stumps, roots, or other objects larger than two inches. The preferred material should meet the specifications of MEDOT # 703.01 aggregate as shown on Table 7.3.2. However, more fines would be preferable (between 8% and 10% fines passing the #200 sieve).  Compaction: The material should be compacted and tested to insure adequate permeability at the desired level of compaction (92 to 95% Proctor). The material should drain within 24 and 48 hours after compaction.  Clay Content: The filter material should have very little or no clay content as tested by hydrometer.

Soils with more than 2 % clay content could cause failure of the system.

Table 7.3.1 - Maine DOT Table 7.3.2 - Maine DOT Specifications for Aggregate (MEDOT #703.01) 3/8” 100 #4 95-100 #8 80-100 #16 50-85 #30 25-60 #60 10-30 #100 2-10 #200 0-5 (8-10% is preferred)  Filter Permeability: The filter must be permeable enough to insure drainage within 48 hours maximum, yet be able to filter fine particles and retain dissolved pollutants. The filter’s permeability can be used to provide the slow release of the water treatment volume, or the discharge rate may be controlled with a constrictive orifice or valve on the underdrain outlet. In determining the permeability of the media, the amount of fines of the mixture and the level of compaction should be considered.  Aggregate Backfill around Flexible Chambers: Clean, crushed, angular stone with a nominal size distribution of ¾ to 2 inches, or as suggested by the manufacturer, should support the chambers.

Figure 7.3.1 – Subsurface Sand Filter with Detention Plan View Figure 7.3.2 – Cross-Section of a Subsurface Sand Filter with Chambers Pre-Treatment: Because accessing a subsurface filter for maintenance is difficult, protecting the longterm effectiveness of the sand layer is essential, a pre-treatment system that is maintainable must be provided. At this time, only proprietary systems that have been tested and show to have an effective sediment removal rate, long-term effectiveness and access for maintenance are acceptable and preapproved by the Department. A 5-year maintenance contract for regular seasonal inspection of the system and for the cleaning the device will be required. All proprietary pre-treatment systems must be approved by the Department. The design and sizing of currently approved systems are specified in letters that are found in Appendix B of this manual.  Pre-Treatment Flow-Through Structure: Flow-through pre-treatment systems that process or filter 90% of the annual runoff volume from its drainage area without overflowing may be approved. See Figure 7.3.3 representing a subsurface sand filter with a flow-through pre-treatment structure, Figure 7.3.4 for its cross-section.  Pre-Treatment Chamber Structure: A row of chambers wrapped in filter fabric may be provided as pre-treatment. A list of approved pre-treatment chambers is provided in Appendix B. See the graphic representation of a subsurface sand filter with a flow-through pre-treatment structure. In the instance that a pre-treatment chamber row is considered, the following must be provided: o Access/Diversion Structure: An adequately sized structure placed directly in front of the chamber treatment row is required for inspection and maintenance. This structure should be a minimum of 48 inch wide to allow access to the chambers, and have a weir or elevation overflow manifold.

The actual size of the structure may vary based on the weir design, pipe sizes, pipe angles and flow rate over the weir. A second structure and manhole must be provided at the opposite end of the row for maintenance. Additional access structures should be provided when the length of the treatment row exceeds 50 feet. o Capacity: The pre-treatment row must have the flow capacity of the peak flow from a one-year 24-hour storm event without overflowing. o Overflow: An overflow before the treatment row should be directed towards additional storage chambers, to a suitable discharge location; but not to the system with the sand filter and underdrain. The elevation of the weir/manifold is typically set between the elevations of the midpoint of the chamber and the top of the chamber. o Geotextile Filter Fabric Composition: Two layers of a woven geotextile fabric meeting AASHTO M288 specifications or equivalent should be placed between the stone and the pre-treatment chambers for stormwater filtration, a durable surface for maintenance operations (to prevent scour of the underlying stone during high pressure jetting). A layer of either woven or non-woven geotextile is required over the side of perforated chambers to filter flows through the sidewalls. o Multiple Pre-treatment Rows: A treatment row is required for each inlet point if more than one enters the detention system. If the number of chambers required exceeds the available length of treatment, a second row of chambers can be placed adjacent to the first row. However, separate access structures are required for each row.

Figure 7.3.3 - Layout of a Subsurface System with a Pretreatment Row Figure 7.3.4 – Cross-section of a Chamber Pretreatment Row Outlet: The channel protection volume must be discharged through a network of underdrain pipe placed below the sand filter or through a proprietary filter system approved by the Department. The outlet of the underdrain pipe system should have a single outlet with a diameter that is no greater than eight inches  Outlet: The channel protection volume is typically discharged through an outlet control structure with a weir plate controlling the release rate from the chamber system via a series of orifices or weir crests. The outlet plate is designed to obtain the required 24 to 48 hour release time.  Regulated Outlet Discharge: Outflow of the filter basin underdrain can be controlled by a constrictive orifice or a valve (2” plastic ball valve, type 346, with a ball valve handle extension, type 615, with a three-piece valve box installed over the valve). Upon completion of the installation of the subsurface chamber system, the contractor should flood the vegetated basin to the design elevation with clean water and adjust the outflow to obtain a 24 hour to 48 hour release time.  Connection Pipes: All connection pipes should be 12” in diameter or greater. A chambered pretreatment row system and the chambers over the sand filter and underdrain should not be connected with a pipe.  Flooding Control Outlet: Flood volumes are typically discharged through an outlet control structure with a weir plate controlling the release rate from the chamber system via a series of orifices or weir crests to manage the peak flow rates.  Downgradient Discharge Area: Each underdrain system must discharge to an area capable of Construction: The sand filter media should not be installed until the area that drains to it has been permanently stabilized or the runoff is diverted around the filter until stabilization is completed. Erosion and sedimentation from unstable subcatchments is the most common reason for filter failure.  Manufacturers Specifications: The chamber system must be installed in accordance with the manufacturer’s written instructions for installation. Inspection during and after construction and until the site is stabilized must be performed by the manufacturer’s representative.  Site Preparation: Requirement for subgrade soil bearing capacity should meet or exceed the chamber manufacturer’s allowable subgrade soil bearing capacity.  Basin Excavation: The basin area can be used as a sediment trap during construction before the installation of the subsurface system but the outlet structure and piping system must be protected from sedimentation with a sediment barrier. If the basin is to be used as a sediment trap, the sides of the embankments must be stabilized and maintained to prevent erosion. During the installation of the chamber system and sand filter, the excavation should be free of standing water.  Site Stabilization: The site must be completely stabilized before water is discharged to the subsurface sand filter. Sediments from an unstabilized site affect the design flow rates of the measure and require cleaning prior to system use.  Compaction of Soil Filter: Filter sand media and underdrain bedding material should be compacted to between 90 and 92% standard proctor. The filter should be installed in at least 2 lifts of 9 inches to prevent pockets of loose media.  Construction Sequence: Any runoff from an unstable contributing drainage area should be diverted around the work area until stabilization is completed.

Maintenance: A legal agreement between the owner and an approved maintenance operator should identity the responsible inspector, all inspection and maintenance tasks, and all financial obligations.  Maintenance Agreement: A legal contract with a 5 year time period should establish maintenance responsibilities and the cost to cover long-term inspection and maintenance needs.  Pre-treatment Device: Cleaning of the pretreatment device should be performed as identified by the entity holding the maintenance contractual agreement. A routine but specific inspection schedule needs to be identified for every site based on site variables such as anticipated pollutant load, percent imperviousness, land use (i.e. road, industrial, commercial, residential), etc.  Drainage: The filter should be draining within 48 hours following a one-inch storm or greater. If the system drains too fast, an orifice may need to be added on the underdrain outlet or may need to be modified if already present.  Sediment Removal: The pretreatment structure must be cleaned when necessary.

Chapter 7.4 - Gravel Wetlands The subsurface gravel wetland is designed as a system with two horizontal flow-through treatment cells and a forebay in series and where stormwater passes through a saturated gravel substrate that acts as a natural microbial habitat capable of denitrification (i.e., conversion of nitrate to nitrogen gas). From a process perspective, the forebay is maintained as a dry basin and provides pre-treatment under aerobic conditions, the basins of the wetland cells provide sedimentation and some quality treatment from the wetland plants. Anaerobic treatment is effectively provided by the saturated drainage layer of the cells. A multiple-staged outlet controls the channel protection volume as well as the volume from larger storms.

The soil in the cells should remain continuously saturated 4 inches below the ground surface to promote water quality treatment conditions and to support wetland vegetation.

Basin Siting: The following criteria apply to all gravel wetlands:  Wetland alterations: Any alteration to existing natural wetlands is subject to regulation by the Maine DEP and the U.S. Army Corps of Engineers and appropriate permits will be required.  Natural Soils: The created gravel wetland must remain wet at all time; and either the structure is located within undisturbed tight soils such as soils Type D or C, below the groundwater table, or the basin structure is lined with an impermeable membrane.  Relationship to Groundwater: The elevation of the created wetland outlet may be at the elevation of the seasonal high groundwater table.  Drainage Area: The size of the underdrained soil filter and storage capacity over the filter is based on the size and land use within the area draining to the structure. Upgradient areas not intended to be treated should be directed around the filter basin.

Basin Sizing: When used to meet the phosphorus allocation in lake watersheds, the sizing of the gravel wetland structure needs to be adjusted in accordance with Volume II of this BMP manual.  Water Quality Volume: The created wetland must contain the full water quality volume from one inch of runoff over the impervious area within the subarea and 0.4 inch over the vegetated or landscaped area. The target detention time for the treatment volume should be between 24 to 48 hours.  Wetland Treatment cells: The two wetland cells must be capable of holding 45% of the water quality volume each and may provide flood storage if necessary.  Forebay: The forebay and any swale or discharge pipe to the system should be capable of holding 10% of the water quality volume.  Surface area: The total surface area of the bottom of the cells needs to add up to 5% of the impervious area plus 2% of the vegetated area draining to the structure.  Treatment Depth: The ponding depth of the treatment volume within the system should not exceed 18 inches over the vegetation.  Storage for quantity control: A gravel wetland may also provide flooding control; but at maximum flood level elevation, ponding should be no deeper than three feet as large changes in water level are not conducive to the growth of wetland plants.

Basin Plan: The following criteria apply to all gravel wetlands. A plan view of a gravel wetland is shown on Figure 7.4.1 and a cross section is shown on Figure 7.4.2.  Side slopes: All side slopes to the forebay and the treatment cells should be 3:1 or flatter for maintenance access.  Geotextile Fabric: A geotextile fabric should be placed between the gravel layer and adjacent soil.

The fabric will prevent the surrounding soil from migrating into the trench and clogging the outlet. Use an appropriate mesh size that is compatible with the surrounding soil. Overlap seams should be a minimum of 12 inches.  Impermeable Membrane: A low permeability liner or soil may be necessary to contain the system and prevent infiltration or loss of moisture, preserve horizontal flow within the treatment layer and sustain the wetland plants. If geotechnical testing confirms the need for a liner, an impermeable liner such as Fi g ure 7.4.1– Gravel Wetland Plan View Fi g ure 7.4.2 – Gravel Wetland Cross-Section  a 30 ml HDPE liner or equal will be necessary. If the undisturbed native soils where the gravel wetland will be located have a low hydraulic conductivity (such as a soil type D) or the water table is near the top of the basin, a liner will not be necessary.  Wetland Soil: The wetland soil should have a thickness of 8 inches minimum and should have a low hydraulic conductivity (0.1-0.01 ft/day). This soil can be manufactured, using compost, sand and fine soils, into a blend with more than 15% organic matter. It should contain more than 15% silt (passing the #200 sieve); but with a clay size portion that is less than 2%.  Intermediate Layer: An intermediate layer (6 inches thick) of aggregate filter (pea gravel) is needed to prevent the wetland soil from migrating into the crushed-stone (gravel) saturated drainage layer. Do not use a geotextile fabric as it will restrict root growth.  Saturated Drainage Layer: Below the wetland soil and intermediate layer is a crushed stone (or very coarse gravel) drainage layer with a 24-inch minimum thickness. Angular ¾” crushed stone, is recommended as large angular particles are needed to maintain the permeability of the system. The pipe underdrains should have at least 2 feet of gravel cover and six inches below the pipe.  Underdrains: Horizontal underdrains and risers distribute the inflow through the gravel layer within each of the cells; and at the downstream, an outflow underdrain recollects the water to distribute it to the next cell or for discharge.  Treatment length: The flow path between the inflow and the outflow subdrains within each cell’s saturated drainage layer should be 15 feet at a minimum.

Outlets: The channel protection volume must be discharged solely through the underdrained gravel outlet having a weir or a single elbowed pipe outlet placed at the elevation of the wetland basin to force a near-surface groundwater condition (with as an invert 4 inches below the wetland ground surface). The outlet needs to be sized to provide the slow discharge (24-48 hours) of the water quality volume.  Risers: In both wetland cells, vertical perforated or slotted risers deliver the outflow to the horizontal and perpendicular sub-drains imbedded in the gravel drainage layer. The perforated/slotted riser should extend 18-24 inches above the surface of the wetland soil. A riser should be provided for every 10 feet of linear inflow sub-drain.  Underdrain Pipe: The underdrain piping should be 6 inch diameter with slotted, rigid Schedule 40 PVC or SDR35 pipe.  Overflow Spillway: An armored spillway should be provided between the cells for larger storms to flow through without causing erosion. The spillway should be 18 inches above the wetland surface.  Emergency Spillways: Emergency spillways should be designed to independently convey the routed runoff from larger storms ( 2, 10 and 25-year, 24-hour storms) while maintaining at least one foot of freeboard; and to safely convey the 100-year storm without overtopping the embankment. Overflow must discharge to a stable channel or vegetated area. The emergency spillways should be located on undisturbed, non-fill soil wherever possible. If the spillway must be located on fill soils, then it must be horizontally offset at least 20 feet from the principal outlet and appropriately stabilized.  Cleaning Ports: A clean-out port should be provided for each of the horizontal underdrain pipe structure in both basins.

Vegetation: Appropriate wetland species should be carefully selected to stabilize the sides and bottom of the basins. The creation of a marsh environment at the pond inlet will help to trap sediment. Fertilizer should not be used unless necessary to establish new vegetation. Allowing for the natural invasion of native species may encourage healthier growth than planting species not already found on site.  Wetland Plants: Wetland plants function in two important ways: the stems and leaves provide a large surface area for the attachment of microbial populations; and the plants transport oxygen to the root zone. The by-products produced by the aerobic microbes are then easily utilized by the anaerobic microbes in the saturated layer. Leaves and stalks provide a canopy of shade, which limit sunlight penetration and alga growth (the algae can deter the oxygen transfer and creates a toxic environment for the plants). The most appropriate wetland plants are the following: o Reeds (Juncus effusus) are the “worker plants” in a gravel wetland. Their roots go down quickly and deeply. They spread across the media and they are pest resistant and winter hardy. o Cattails (Typha latifolia) are the plants most often associated with wetlands. They work well and have a positive impact on treatment. The larger, native varieties, however, can be dominant and take over a small filter if not removed in later years. o Bulrush (Scirpus) can produce dense stands of vegetation. It can survive unfavorable conditions like prolonged flooding, or drought as buried seeds. o Phragmites (reed) is very invasive and is not recommended.

Construction:

The subarea draining to a created wetland must be completely stable before runoff is directed to the basin to prevent sedimentation of the drainage layer; or all runoff should be re-directed until construction is finalized. The vegetation within the structure is equally important and must be well established before it can accept any runoff. Construction should be started no later than September 1 or earlier than June 1; and if vegetation cannot be established by the end of the growing season, construction should be delayed to the following year. Seeding or stabilization must occur by September 15 in preparation for the winter season.  Oversight: A gravel wetland should only be constructed under the supervision from the design engineer.

Maintenance: Operation and maintenance requirements similar to those for underdrained filter basins should be expected. The plant biomass should be harvested annually, and accumulated sediment removed at intervals of 5-10 years. These activities may disrupt the wetlands system and may require some vegetation re-establishment. The riser pipes may clog and will require annual clean-out (it should be done in the winter time when one can walk on the wetland).  First Year Post-Construction: Inspection frequency should occur after every major storm in the first year following construction. o Inspect that the system drains within 24-48 hours. o The plants may need watering if necessary during the first growing season. Revegetate if the vegetation is poorly establishing. o Identify areas of erosion and make timely repairs. o Check all inlets, outlets and subdrains for proper functioning. Risers may need to be cleaned.  Post-Construction: Inspection frequency should occur at least every 6 months and after every major storm. Activities are expected to include: o Check the basin for a dense root mat establishment of wetland vegetation. o Check and clean the risers if there is evidence of standing water, discolored water or accumulated sediments in the cells. o Check and clean the forebay for sediments, trash and debris. When sediments have accumulated to a depth of 12 inches, standing water is persistent or wetland vegetation become established, the forebay will need to be excavated and reformed. o Verify that the cells drain within 24-48 hours. Sediment will need to be removed when an accumulation of 4 inches is evident over the wetland surface. o Check and clean all outlets and overflow spillway if blocked or there is evidence of structural damage or erosion. o Remove decaying vegetation, litter and debris. o Check for foreign species. Particular care must be used to avoid the unintended introduction of invasive species such as purple loosestrife (Lythrum salicaria) and common reed (Phragmites australis). It is recommended that a qualified wetland biologist be consulted when these are found in the area of the gravel wetland.

Chapter 7.5 - Roof Dripline Filters The runoff from a peaked roof without gutters may be detained at the drip line, be filtered through the foundation backfill and be discharged via a foundation underdrain pipe or equivalent. The roof dripline filtration BMP needs to be designed with the following criteria:

BMP Components: The roof dripline filtration BMP consists of the following layers in ascending depth order: a reservoir layer of crushed stone, a drainage layer of sand, a filter layer of mineral soil with 4 to 7% fines, and an underdrain layer with perforated underdrain pipe to gravity outlet. The BMP extends the length of the building or area of roof to be treated.

Figure 7.5.1 – Roof Dripline Cross-Section Capacity for large storm: To meet the Chapter 500 Flooding Standards requirements, the reservoir needs to provide a minimum storage capacity for the direct entry of the rain precipitation from a 24hour, 25-year storm (5 + inches) or an overflow may be needed or provided for.

Treatment Storage: The reservoir layer at the drip line must consist of crushed stone with a porosity of 40%. Its width and depth (4” min to 12” max) is sized based on the runoff volume from the roof.

For example, a 30 foot wide roof panel will need a 6.3 foot wide by 1 foot deep reservoir to store the first 1-inch of runoff for treatment.

Drip line edge: The drip line trench should extend the length of the building or area of roof.

Treatment Storage: The reservoir bed at the drip line should be sized based on the runoff volume from the roof (For example, a 30 foot wide roof panel will need a 4 foot wide by 1.5 foot deep rock storage bed.

Reservoir Layer: The reservoir layer should consist of clean washed stone meeting the requirements of MaineDOT Standard Specification 703.22 Type C Underdrain Stone. The depth of the reservoir course shall be based on the desired storage volume.

Drainage Layer: The drainage layer should consist of a free draining sand meeting the requirements of MaineDOT Standard Specification 703.22 Type B Underdrain Backfill as necessary to provide frost protection for the foundation. Crushed stone may not be substituted.

Filter Layer: The backfill for the foundation may be used as the filter media as long as the material is a mineral soil with between 4 and 7% fines (passing #200 sieve) and is at least 4 inches thick.

Underdrain Layer: An underdrain layer consisting of a 4” diameter slotted underdrain pipe bedded in 8 to 12 inches of underdrain backfill material (MaineDOT Specification 703.22 Type B Underdrain Sand or Type C Underdrain Stone wrapped in filter fabric).

Frost Protection: Frost depth is measured from the bottom of the porous stone of the reservoir layer.

Basement Waterproofing: To prevent the penetration of water into a basement, the basement wall should be waterproofed.

Filter Sizing: A minimum storage capacity within a porous reservoir layer is needed to allow for the treatment of one inch or more of runoff and should have a minimum storage capacity for the direct entry of the rain precipitation from a 24-hour, 25-year storm (5 + inches) or an overflow needs to be provided.

Detention Time: Stored volume needs to fully drain within 24 to 48 hours. An orifice may be needed to regulate the outflow.

Additional Storage: The reservoir layer may be increased and the drainage layer may be used to store runoff after the first 1-inch of runoff assuming a porosity of 20% for Underdrain Sand. For example, a 3 foot thick drainage layer that is 6.3 feet wide at the top and 3 feet wide at the bottom can store 1.1 inches of runoff from a 30 foot wide roof panel.

Overflow: An overflow should be provided for runoff above the combined capacity of the reservoir and drainage layers.

Maintenance: A dripline filter bed needs to be maintained like any other filter basin. The maintenance activities for filtration BMPs listed in Chapter 7.2 of the BMP manual apply equally to this type of structure. Any debris must be removed from the reservoir course. The Maintenance plan needs to address that these structures are part of the stormwater management plan for the project, cannot be paved over or altered in anyway. No gutter may be installed on the roof line.

Chapter 7.6 - Vegetated Roofs Rooftop vegetation provides three primary benefits: attenuation of stormwater runoff and peak flows, reductions in the heat island effects with significant improvements in building insulation, and a substantial increase in the life expectancy of the base roof material. As an added benefit, vegetated (or green) roofs absorb smaller storm events by minimizing peak and volume of stormwater runoff. The runoff from a flat roof may be detained and treated within a layer of filter media and vegetation and will meet the required treatment under the General Standards of

Chapter 500.

There are two primary types of green roofs: extensive and intensive. The term "extensive" represents the practice of covering the entire roof area with a vegetative mat.

These systems are lightweight with only a few inches of growth media; and the vegetation is limited to various species of sedums or other similar arid plants. Due to the shallow media, the roofs have little organic substrate to retain potential pollutant loads.

The term "intensive" represents additions to the roof for access and use of the rooftop as open space for the building inhabitants. Intensive roof landscaping runs the gamut from small city parks to commercial use such as sidewalk cafes, etc. This type of green roof typically requires more growth media and significant additional weight loading to the roof structure; but it provides for more nutrient uptake and greater flow attenuation.

One point of consideration is that thin media green roofs provide little treatment. The initial flow from rainwater typically contains elevated levels of organic constituents such as nitrogen and phosphorus; and residual stormwater detention tanks with a pump back system can be used to recirculate rainwater for watering the media during dry periods, providing for additional uptake of first flush pollutants and summertime evaporative cooling. The inclusion of a containment structure significantly improves stormwater water quality and enhances the overall effectiveness of the green roof technology.

In summary, typical green roofs include the planting media, a protective geotextile liner, and a root barrier membrane that consists of an impermeable membrane. A structural engineer should be consulted to ensure the building can support the added weight from the planting media and vegetation.

Roof Design:  Roof Slope: A minimum slope of 2% is considered normal for extensive and simple intensive greening. In extensive greening, controlled drainage will meet the basic needs of the vegetation. Roofs with less than 2% slope will require special measures. Extensive greening on roofs with less than 2% slope requires a drainage course to avoid water logging in the vegetation support course.  Roof Structural Strength:

The building and roof will need to be designed for the additional bearing load equivalent to 3 inches of water.  Design Loads: The design load of the building is the critical factor in deciding what type of greening to use and how to cultivate the vegetation. All the courses must be considered, at maximum water capacity and including the surface load generated by the vegetation, as a component in the surface load. Spot loadings generated by large scale bushes, trees and structural components, such as pergolas, water storages and peripheral items, will need to be calculated separately.  Joints and Borders: Joints and borders include joints with facades and other vertical structural components, joints where the roof is penetrated, and borders at roof edges. Damp-proof lining/root-penetration barriers should be brought up to 15 cm high for a roof slope of up to 5° and 10 cm high for a roof slope of over 5°. As a rule, a strip made up of slabs or gravel should separate the vegetation area from the structural border with a minimum height of 10 cm high for a roof slope of up to 5° and 5 cm high for a roof slope of over 5°.  Wind Loads: Wind can generate positive and negative pressure forces, or friction on the green roof. The strength of these forces is a direct function of wind strength and direction and of the shape and height of the building in question.  Protection Against Slipping and Shearing:

Where a roof slopes at an angle in excess of 2:1, structural anti-shear protection will normally be needed without creating tension at the point of contact with the damp-proof lining and the root-penetration barrier.  Lip Edge: A lip will need to be provided at the edge of the roof to control drainage and to prevent the filter media from sliding off the roof.  Impermeable Roof Cover : The roof will need to be protected with an impervious cover  Root Penetration: Both intensive and extensive green-roof sites must have lasting protection such as protective sheeting or full surface treatment/liquid coating against root penetration.

Damp-proof linings and root-penetration barriers on roofs can be protected against mechanical damage by protective non-woven fabrics, boards, sheeting or drainage course.  Underdrain Mat:

The drainage layer will consist of a mat that is covered with a filter fabric.

This product is available through vendors of manmade erosion control measures.

Figure 7.6.1 – Vegetated Roof Cross-Section Growing Medium: The vegetation support course should accommodate a dense root stock and have all the physical, chemical, and biological properties needed for plant growth. Available materials include:  Soil mixtures - improved top and underlying soil  Aggregate mixtures - mineral aggregate mixtures with high or low organic content or with an open-pore granular structure with no organic content  Substrate boards -boards made from modified foam materials or mineral fibers  Vegetation matting - matting with mineral/organic aggregate mixtures. The organic content of the vegetation support course should be as shown on Table 7.6.1.

Table 7.6.1 – Growing Medium Type of Greening Substrate Density Organic Content Intensive Greening < 0.8 > 0.8 < 12% by mass < 6% by mass Extensive Greening Multiple-Course Construction < 0.8 > 0.8 <8% by mass < 6% by mass Single-Course Construction N/A < 4% by mass The Landscaping and Landscape Development Research Society E.V. - FLL  Treatment Filter: The filter media will meet the specifications of the media for underdrained soil filters with equivalent organic material and with a porosity of 30%. The filter bed must be a minimum of 3 inch thick with between 4 and 7% fines (passing #200 sieve).

Vegetation: A perennial plant or grass that is draught resistant and flood resistant will need to be selected for vegetation cover. The most appropriate plants are the one that need low maintenance and are prolific. The best plants will have a thick shallow root mat Acceptable options may be found in the sedum family and are shown on Table 7.6.2.  Additional Watering: Green-roof sites are designed to depend chiefly on precipitation for their water supply. Additional watering may be provided through the use of a spray or dip type hose, hose and sprinkler, an overhead irrigation system, or automated water systems controlled by a timer.  Plant Compatibility: Materials must not contain any components which are harmful to plant life and which are capable, over a given period, of finding their way out into the environment.

Drainage: Drainage must be available through the layered superstructure and off the surface.

Excess water may be drained within the vegetation area, outside the vegetation area, or through separate drainage facilities for areas which have undergone greening and those which have no vegetation. Regardless of the size of the roof surface, roofs with drainage facilities located within the vegetation area must have at least one run-off facility and at least one emergency overflow.  Drainage System: The drainage system should collect the overflow from the drainage course, and surface water from the vegetation support course. Materials include roof outlets, guttering, downpipes, and emergency overflows.  Overflow: An overflow measure must be provided for the runoff from larger storms.  Filter Course: The filter course should prevent fine soil and substrate components from washing out of the vegetation support course into the drainage course. Nonwoven geotextile fabrics are typically used as filter courses.  Drainage Course: The drainage course should contain sufficient voids to uptake any excess water. Course materials and dimensions will depend on construction requirements and objectives for the vegetation. The drainage course may be constructed of: o Aggregate-type materials - gravel and fine chippings, lava and pumic, or expanded clay and slate o Recycling aggregate-type materials – brick hardcore, slag, or foamed glass o Drainage matting - textured nonwoven matting, studded plastic matting, fibre-type woven matting, or flock-type foam matting o Drainage boards - boards made from foam pellets, studded rubber boards, shaped rigid plastic boards, shaped plastic foam boards o Drainage and substrate boards – boards made from modified foam Table 7.6.2 – Roof Top Vegetation Type Objectives Course Depth (cm)

Form of Vegetation % Water Retention Annual Average Extensive Vegetation 2-4 >4-6 >6-10 >10-15 >15-20 Moss-sedum greening Sedum-moss greening Sedum-moss-herbaceous plants Sedum-herbaceous-grass plants Grass-herbaceous plants Intensive Vegetation 15-25 >25-50 >50 Lawn, shrubs, coppices Lawn, shrubs, coppices Lawn, shrubs, coppices, trees >90 Reference: The Landscaping and Landscape Development Research Society E.V. - FLL  Water Retention: The annual water retention on green roof sites should be a function of the course depth is provided in the table below.

Water Storage: Water may be stored in the vegetation support and drainage courses:  Storage in the vegetation support course through the use of substances which retain water for vegetation substrates or prefabricated substrate boards  Storage in the vegetation support course and in the drainage course, through the use either of open-pore type aggregate materials in graded granular sizes or of prefabricated draining substrate boards  Storage in the vegetation support course and in the drainage course, by allowing a water supply to build up in the aggregate over the entire area or by using pre-formed drainage boards with partial retention characteristics  An underdrain layer is needed to drain the filtrated water. Stored volume needs to fully drain within 24-48 hours. To meet the General Standards requirements (treatment of 1 inch of runoff), a minimum storage capacity within the filter layer is needed to allow the treatment of one inch or greater of runoff.

MAINTENANCE CRITERIA

A green roof needs to be maintained like any other soil filter structure. The maintenance activities for filtration BMPs listed in Chapter 7 of the BMP manual apply equally to this type of structure.

Replacement of the vegetation will be required if it is found to be unhealthy, dying and with soil showing though.  Vegetation Upkeep: The more complicated and intensive the green roof, the more maintenance associated with caring for the vegetation, whereas an extensive roof planted in sedums can represent little or no maintenance other than a periodic feeding during the first year of operation.

Chapter 7.7 - Manmade Pervious Surfaces Porous pavement consists of the use of a permeable surface, base, and subbase materials which allow penetration of runoff through the surface and into the underlying soils. Pavement alternatives vary in load bearing capacities but are generally appropriate for low traffic areas such as sidewalks, parking lots, overflow parking and residential roads. It is important to choose a material appropriate for the desired use (light, moderate or heavy use). Maintenance is essential for long term use and effectiveness. The efficiency of pavement alternative systems will depend on whether the pavement is designed to store and infiltrate most runoff, or only limited volumes of runoff (e.g., "first-flush") with the remainder discharged to a storm drainage system or overland flow. The effectiveness of pavement alternatives will also depend on the long term serviceability.

This manual describes three different permeable pavement alternatives (porous asphalt or concrete, block pavers, and plastic grid pavers) Examples of these porous pavement alternatives are shown below. Refer to Chapter 9.0 for further information on the performance and design of level spreaders.

Types of Porous Pavement: A typical permeable pavement alternative consists of a top porous asphalt, block pavers or plastic grid paver course, a filter course, a reservoir course, a geotextile filter fabric and existing soil or subbase material. Some materials will be more resilient to intended use and site conditions; and the selection of a type of paver alternative must be carefully considered. A brief description of three types of porous pavements is provided below and a comparison provided in Table 7.7.1.  Porous Asphalt: Porous asphalt is very similar to conventional asphalt except that it is mixed without particles smaller than coarse sand (less than 600 μm or No. 30 sieve). Without these smaller size particles, water is able to pass through the surface and into a crushed stone storage area which allows the water to slowly infiltrate into the ground. The lack of fine particles in the material limits the load capacity of the asphalt compared to conventional asphalt thus it should not be used for areas of high traffic.  Block Pavers: Block pavers consist of a set of interlocking, normally concrete pavers that connect in a way to leave open or void spaces between them to allow water to infiltrate into the underlying gravel reservoir. Typical installation consists of a soil subgrade, a gravel subbase, a layer of sand, and the grid pavers. The infiltration capacity is based on the thickness of the gravel subbase and the material in the void space. Void spaces can be filled with gravel or soil and grass.  Plastic Grid Pavers: Plastic grid pavers are often constructed from recycled material. They generally come in a honeycomb pattern and the voids are filled with either gravel or soil and grass depending on use. The grid pavers give added stability to and allow minimal compacting of soils in voids. They are flexible and can be used in areas with uneven terrain.  Artificial ball fields (turf athletic fields): These are also considered pervious surfaces that require similar design considerations. The synthetic nature of the turf may be a concern for the infiltration of chemicals into the subsurface; however, no restriction will be applied until more data is available on this subject.

Siting Plans:  Soils: Pavement alternatives are not suitable when on soils with field-verified permeability rates less than 0.50 inches per hour or with clay content that is greater than 30%. Soil borings must be taken two to four feet below the level of the base of the pavement system or the bottom filter course, whichever is deeper, to identify any restrictive layers. Frostsusceptible soils or on wet or unstable subgrade of fill soils prone to slope failure are not good candidates. Sites without suitable natural soils for infiltration may be used for pavement  alternatives, but will require provision of subsurface drainage and a discharge outlet from the system for the treated percolate.  Traffic Volumes: Pavement alternatives are limited to areas with light to moderate traffic.

They are not recommended for most roadways, and cannot withstand heavy vehicles.  Off-site Runoff: Any off-site runoff directed to the system has to be pretreated to prevent the clogging of the pavement structure and underlying soils.  Grading: The site should slope with less than 5% and preferably closer to 1%.  Sediment loading: Pavement should not be used in areas expected to receive high levels of sediments as they are highly susceptible to clogging.  Reservoir Course: The reservoir course should consist of clean washed 1½ to 3-inch aggregate. The depth of the reservoir course should be based on the desired storage volume and frost penetration.  Porous Asphalt Course: The top porous asphalt course should be 2-4 inches thick, depending on load and traffic application. A typical porous asphalt mix is provided in Table 7.7.2. The porous asphalt mix and thickness should be designed based on site specific conditions such as the use of the paved area, the required load bearing capacity, climate, etc.  Asphalt Mix:

Porous asphalt is weaker than conventional asphalt pavement; however with the proper admixture design and installation, its durability has shown to be effective for both commercial and roadway applications. The following mixtures are available: o Low/Moderate Durability: PG 64-28 with 5 pounds of fibers per ton of asphalt mix. This mix is recommended for smaller projects with lower use or loading potential.

Table 7.7.2 - Comparison of Porous Pavement Porous Asphalt Block Pavers Plastic Grid Pavers Application and Use Parking Areas Parking Areas Parking Areas Walkways/ Bike Paths Walkways/ Bike Paths Walkways/ Bike Paths Light Traffic Roadways Light Traffic Roadways Design Strength 259,200-345,600 lbs/ft slightly less than porous concrete Per manufacturer Per manufacturer ~24,000-820,000 lbs/ft Life Span 15-20 yrs Per manufacturer Per manufacturer Subbase Geotextile fabric topped with 18-36” of crushed stone and 1”chocker course Geotextile topped with 6” or more of gravel (omitted in residential areas) and 1” sand bedding Varies based on manufacturers - Some grids are filled with either gravel or grass.

Maintenance Periodic vacuumsweeping Refill voids/replace damaged blocks Refill voids/replace damaged sections Fill potholes with patching mix unless >10% of surface Seed low grass Seed and mow grassed sections Drill 0.5” holes to address spot clogging Remove and replace Remove and replace No winter salt/sanding No winter salt/sandingNo winter salt/sanding Table 7.7.2 - Typical Porous Asphalt Gradation Sieve Size % Passing 1/2” 100 3/8” 95 #4 35 #8 15 #16 10 #30 2 o Moderate Durability: Prep-blended PG 64-28 SBS/SBR with 5 pounds of fibers per tons of asphalt mix. This mix is for large projects (>1 acre) where high durability pavement is required. o High Durability: Pre-Blended PG 76-22 modified with SBS/SBR and 5 pounds of fiber per ton of asphalt mix. This mix is recommended for large sites with high wheel load (H-20) and traffic counts.  Geotextile Fabric:

A geotextile fabric may prevent surrounding soils from migrating into the system and reducing its storage capacity. Choose a compatible fabric that is free of tears, punctures, and other damage. Overlap seams a minimum of 12 inches.  Filter Course: A filter course should be provided between the top porous asphalt or paver course and the reservoir course. This provides a level surface to construct the top porous asphalt or paver course. The filter course should meet the following requirements:  Cold Climates: Winter maintenance procedures may be problematic (e.g., scraping by plows, clogging by sand, clogging by or inability to treat de-icing chemicals). Snow removal and deicing activities should be done carefully to avoid disturbance to the pavement structure and stripping of any vegetation. The plow blade should be raised 1" above the surface or outfitted with a flexible rubber bottom piece.

Figure 7.7.1 – Types of Pervious Pavement Design for Infiltration: All specifications from Chapter 6, Infiltration apply:  At a minimum, one foot separation is needed below the road subbase and above the groundwater table. The depth of the water table elevation needs to be considered in designing the road for sufficient frost protection depth.  A filter layer providing pretreatment before infiltration to groundwater can be part of the subbase and base. It should be 8 inches minimum, mostly granular; but with 4 to 7% fines (passing #200 sieve), and should extend across the bottom of the entire filter area. This material should be uniform, free of stones, stumps, roots, or other objects larger than two inches. The preferred material should meet the specifications of a MEDOT aggregate (MEDOT # 703.01) as shown on Table 7.7.3. However, more fines would be preferable (between 8% and 10% fines passing the #200 sieve).  A reservoir course within the filter layer or subbase and base is needed to allow the direct entry of one inch or more of water.  The road design may provide the storage capacity for the direct entry of rain precipitation from a 24-hour, 25-year storm (5+ inches) event.  Infiltration rate should be confirmed with a double ring infiltrometer test to determine the soil’s permeability. The test needs to be on native subgrade even if there is fill above it, and not on the fill itself. Recommended infiltration should be less than 2.41 inches per hour but great enough that one inch of stored precipitation infiltrates in 24 hours (i.e. >0.04 inches per hour).  The stored volume needs to fully infiltrate within 24-48 hours.  Provide appropriate drainage and discharge of flows from larger storms where is needed.

Design for Storage and Filtration: All specifications from Chapter 7, Filtration apply; and a minimum storage capacity for one inch of precipitation within the filter layer or subbase and base is needed.  To meet the Chapter 500 Flooding Standards requirements, the road design needs to provide a minimum storage capacity for the direct entry of the rain precipitation from a 24-hour, 25year storm (5 + inches).  The filter bed may be part of the road base and subbase horizon. The filter must be a mineral soil with between 4 to 7% fines (passing # 200 sieve) and must be a minimum of 4 inches thick.  The underdrained layer, 12-inch thick of underdrain gravel meeting the MDOT Specification 703.22, Type C as shown on Table 7.7.4, should provide sufficient coverage for the underdrain piping.  An underdrain pipe network is needed to drain adequately the underdrain layer. Pipes should be placed perpendicular to the slope and should be spaced no further than 20 feet apart. An orifice may be needed to control the outflow.  Stored volume needs to fully drain within 24-48 hours.  Provide appropriate drainage and discharge of flows from larger storms where is needed.

Table 7.7.3 - Maine DOT Specifications for Aggregate (MEDOT #703.01) 3/8” 100 #4 95-100 #8 80-100 #16 50-85 #30 25-60 #60 10-30 #100 2-10 #200 0-5 (8-10% is preferred)

Table 7.7.4 - Maine DOT Figure 7.7.2 – Pervious Pavement Cross-Section 7.7.1 - Run-on Modular Pervious Pavement In addition to the design guidelines from above, an area of modular pervious pavement structure may be used to provide the treatment of impervious pavement where the area of pervious pavement is no less than 20% of the impervious area that drains to it. However, the thickness of the filter sand layer must be equivalently increased, and must meet the following design criteria:  The thickness of the sand filter layer should be increased exponentially from 4 inches for a full (100%) pervious pavement section with no run-on from other areas to 18 inches for a pervious section and treatment system that is no less than 20% of the impervious area draining into it.  The flow path over the impervious area should not exceed 50 feet before reaching the pervious pavement section for treatment.  Subsurface storage and a drainage structure must be provided to control the channel protection volume for a 24-48 hour discharge unless the system is designed for infiltration.

Long-term inspection and maintenance by a DEP approved stormwater maintenance inspector will be regularly provided under a five-year binding inspection and maintenance contract that is renewed before contract expiration.  The replacement of the modular pervious system will be provided when more than 40% of the pervious system shows signs of clogging. 7.7.2. - Run-on Asphalt Pervious Pavement An area of asphalt pervious pavement may be used to provide the treatment of regular asphalt pavement that is impervious may be used with the following criteria:  The area of pervious pavement is equal in length of the impervious area that drains to it, but the flow path over the impervious area should not exceed 50 feet before reaching the pervious pavement section for treatment.  The minimum thickness of the filter sand layer is 12 inches.  Subsurface storage and a drainage structure must be provided to control the channel protection volume for a 24-48 hour discharge unless the system is designed for infiltration.

And, the system is sized to meet the requirements for flooding control if required.  Long-term inspection and maintenance by a DEP approved stormwater maintenance inspector will be regularly provided under a five-year binding inspection and maintenance contract that is renewed before contract expiration.  The pervious pavement will be replaced when more than 40% of the pervious system shows signs of clogging.

Figure 7.7.3 – Run-On Pervious Pavement Maintenance:

Pervious surfaces and pavement, whether asphalt, concrete or paving stones, have the potential to become impervious if not properly maintained. The following need to be planned for and be met:  Frequent inspections are performed during the first few months following construction. Then, the system is inspected routinely on an annual basis. Inspections should be made after significant storm events to check for surface ponding that could indicate failure due to clogging. Non-routine maintenance may require reconstruction of the surface treatment, and possibly the filter and reservoir layers, to relieve major clogging.  Prevent sedimentation due to the erosion of areas upgradient the pervious pavement structures.  Prevent vehicles with muddy wheels from accessing onto areas intended for pervious pavement.  Sweep, vacuum and/or pressure wash pavement twice annually at a minimum.  Limit salt use for deicing, and do not use sand.  Remove leaves and organic debris in the fall.  Measures should be taken to ensure that an area designed to be porous does not receive a future overlay of conventional non-porous paving.

Chapter 8– Conveyance and Distribution Systems Many of the water quality BMPs discussed in this manual rely on conveyance and distribution systems to adequately get the water to the BMP. Swales are excellent alternatives to conventional curb and gutter design for roadways and are generally less expensive to install, where road gradients and availability of land within or adjacent to the right-of-way allow.

IMPORTANT: Conveyance and distribution systems are used to divide flow into two or more parts; they do not provide any water quality treatment or quantity control and should be designed by someone familiar with hydraulics. This chapter discusses some of the more common conveyance and distribution systems including:

• Vegetated Swale • Flow Splitter • Level Spreader • Permeable Road Base 8.1 - VEGETATED SWALE Vegetated swales are broad shallow earthen channels where the combination of low velocities and vegetative cover promotes some settlement of particulates and some degree of treatment by infiltration. Check dams create small infiltration pools along the length of the swale, which are used to retard and temporarily impound runoff to induce infiltration and promote filtering and settling of nutrients and other pollutants.

Site Suitability: The proper siting of a swale can enhance the pollutant removal efficiency.

Vegetated swales are most applicable in residential or institutional areas where the percentage of impervious cover is relatively small. Roadside swales become less feasible as the number of driveways requiring culverts for swale crossings increases.  Slopes:

Areas with steep slopes may limit the use of swales. In such areas, swales should parallel the contour, in effect becoming diversions. If the slopes are too steep, the construction of low velocity swale cross sections may involve excessive disturbance of existing grades to provide stable back slopes.  Flow Volume/Velocity:

Vegetated swales are most effective when the flow depth is shallow and the velocities are low.  Using Natural Swales: Existing channels should only be used when they conform to the same design requirements of new systems. Existing ditches should be checked to ensure that they have adequate capacity and that their channels are stable. Gullied, natural channels should be avoided where they are impractical to stabilize.  Separation from Seasonal High Water Table & Bedrock: The recommended depth to seasonal high groundwater or bedrock for a swale is a minimum of 3 feet.

Design and Construction: Swales should not be kept wet for long duration for effective removal of stormwater pollutants. Good management practices include the reduction of the peak rate of runoff and the volume of water. Effective erosion control practices will limit the pollutant loading to the waterway.  Soils:

Soils should be suitable or amended to establish a vigorous stand of vegetation. If dense vegetation cannot be maintained in the swale, its effectiveness will be severely reduced. Sites on A or B hydrologic group soils will be more effective for infiltration, although swales on other soils will still provide some treatment through sedimentation.  Equipment Access and Crossings: If the swale or waterway must be crossed or maintained with large equipment, the width should be increased and flatter cross-section incorporated into the design. Large mowing equipment may require a significant increase in width over that needed for hydraulic capacity and freeboard. Easements of sufficient width to allow access by equipment (typically 15 feet minimum) must be provided on either side of the swale.  Flow Velocity:

The channel should be designed for low velocity flow. A velocity of 1 fps is the maximum design storm flow velocity recommended when vegetated swales are being designed as a BMP. Higher velocities might be permissible for channel stability, but could result in resuspension of settled particulates. The maximum allowable Q10 (10-yr frequency 24-h duration storm) velocity should be less than 3 fps.  Flow Depth: Flow depths in the swales should be minimized to increase the amount of vegetative filtering and settling. A maximum design flow depth of 1 foot is suggested. This will generally result in wide, shallow channel designs.  Minimum Channel Dimensions:

The minimum width of the flat bottom of a trapezoidal channel shall be at least 3 times the channel depth. Non-trapezoidal channels should have similar depth to width relationships. Channel sideslopes shall not exceed 3 (horizontal):1 (vertical) for seeded or sodded slopes, or 2:1 for riprap slopes, although the channels may be parabolic or trapezoidal (Maryland, 1984). A V-shaped swale is not recommended.  Pipe Separation: Provide a minimum of 2 feet of soil between the bottom of the swale and the top of an underdrain pipe.  Vegetation: Vegetation for swale linings should be selected based on soils and hydrologic conditions at the site. Recommended grasses include Ky-31 tall fescue, reed canary grass, redtop, rough stalked blue grass, and mixtures thereof.  Check Dam Design: Check dams will decrease flow velocity and increase infiltration and can be very useful on steep slopes or on slopes with loose soils. The details of check dams within a vegetate swale are shown on Figure 9.1. o Channel Bottom: The area just downstream of the check dam should be protected from scour with rock riprap or protective channel lining. The check dam may have a solid level surface integrated into it for added durability. o Check Dam Construction: Check dam heights are generally 6 to 12 inches, depending on channel slope and desired storage capacity. Check dams should be constructed of unerodable rock or rock-lined material and should be notched or ported to allow the flows in excess of their infiltrative capacity to be bypassed.  Construction Considerations: Construct and stabilize the waterway in advance of any other channels or structure that will discharge into it. Divert all flow from the waterway during the establishment of vegetation.

Maintenance : The area should be inspected for failures following heavy rainfall and repaired as necessary for newly formed channels or gullies. Bare spots should be reseeded or resodded.

Trash, leaves and/or accumulated sediments should be removed. Woody or other undesirable vegetation should be controlled. Check dam integrity should be checked.  Aeration:

The buffer strip may require periodic mechanical aeration (by rototilling or other) to restore infiltration capacity. This aeration must be done during a time when the area can be reseeded and mulched prior to any significant rainfall.  Mowing:

Grass should not be trimmed extremely short, as this will reduce the filtering effect of the swale (MPCA, 1989). The cut vegetation should be removed to prevent the decaying organic litter from adding pollutants to the discharge from the swale. Mowed height of the grass should be 2-4 inches taller than the maximum flow depth of the design water quality storm. A minimum mow height of 6 inches is generally recommended (Galli, 1993).  Erosion: It is important to install erosion and sediment control measures to stabilize this area as soon as possible and retain any organic matter in the bottom of the trench.  Fertilization: Routine fertilization and/or pesticide use is strongly discouraged. If complete reseeding is necessary, half the original recommended rate of fertilizer should be applied with a full rate of seed.  Sediment Removal: Level of sediment deposition in the channel should be monitored regularly, and removed from grassed channels before permanent damage is done to the grassed vegetation, or if infiltration times are longer than 12 hours. Sediment should be removed from a channel when it reduces the capacity of the channel.

Figure 8.1 – Swale with Check Dams 8.2 - FLOW SPLITTER A flow splitter is engineered to divide flows into two or more directions using devices such as pipes, orifices, and weirs set at specific elevations. Generally, a flow splitter will have a small storage area with one inlet and two outlets set at different elevations. The lower outlet conveys low flows, such as the flow during a small storm or the flow at the beginning of a large storm. The higher outlet conveys high flows that occur later in a larger storm.  Water Quality Treatment - A flow splitter can separate the first flush volume which can contain most of the runoff pollutants; and provides it a longer treatment time in a treatment structure. Without a flow splitter, the first flush would be pushed out the outlet by the following runoff before the pollutants are removed.  Water Quantity Control - A flow splitter can split the runoff to alleviate downstream flooding or it can also be used to prevent a BMP, such as a wet pond, from overtopping and eroding from excessive flows during large storms. This can reduce the needed storage capacity.

Design and Construction: Flow splitter design, to be effective, must be done by someone familiar with hydraulics. A badly-designed splitter can severely impede the function of the rest of the drainage system. The specific requirements for each design have to be determined on a case-by-case basis. Only basic criteria are given below and some examples are provided on Figure 9.2.  Elevations: Precise setting of elevations and grades are crucial to its performance. The splitter should be set using accurate leveling techniques by a licensed surveyor. "Eyeing-in" a splitter is not acceptable.  Head Loss:

The flow splitter should be designed to minimize head loss by avoiding abrupt transitions in flows.  Flow Detectors:

Flow deflectors provide a gradual transition for flow and should be included in most designs  Outlets:

The splitter must outlet to stable areas. Flow splitters built within drainage ditches may need armoring to withstand turbulent flows. The area of the flow splitter should be wellprotected with riprap.  Access: Because flow splitters involve a transition from larger pipes and channels to smaller pipes and channels, blockage is a problem. Debris that flows freely into the splitter may block the splitter's outlets and access is a necessity.

Maintenance: A flow splitter should be checked regularly and after every large storm to remove debris within the splitter.

Figure 8.2 – Flow Splitter 8.3 - LEVEL SPREADERS A level spreader is a vegetated or mechanical structure used to disperse or "spread" concentrated flow thinly over a receiving area to reduce erosion and movement of sediment, and also to filter sediment, soluble pollutants, and sediment-attached pollutants. The receiving area is generally a buffer or swale which needs a uniform distribution of flow to prevent channelization.

The use of level spreaders with buffers should follow the design criteria in Chapter 5 of this manual.

Design and Construction: These standards are not applicable for level spreaders discharging runoff to buffers used to meet Chapter 500 General Standards. The drawing of a level spreader is shown on Figure 9.3.  Discharge to a Level Spreader: The peak stormwater flow rate to a level spreader due to runoff from a 10-year, 24-hour storm should be less than 0.25 cubic feet per second (0.25 cfs) per foot length of level spreader lip. The maximum drainage area to the spreader should not exceed 0.10 acre per foot length of level spreader lip.  Buffer: Each level spreader should have a vegetated receiving area with the capacity to pass the flow without erosion. The receiving area should be stable prior to the construction of the level spreader and its topography regular enough to prevent undue flow concentration before entering a stable watercourse. A receiving area that is unstable or lacking healthy vegetation, it should be re-established prior to construction of the level spreader and a discharge of water runoff. This will limit construction to the growing season.  Slope:

The slope of the receiving area below a level spreader should be less than 30%. If the slope is greater than 30%, the discharge will need to be brought by a conduit and velocity dissipator to an area that is suitable.  Receiving Area: Level spreaders shall blend smoothly into the downstream receiving area without any sharp drops or irregularities to avoid channelization, turbulence and hydraulic jumps. The receiving area below the level spreader should be protected from harm during construction. A temporary diversion may be necessary until a reconstructed receiving area has been stabilized.  Soil Capacity: The capacity of each level spreader should be based on the allowable velocity of the receiving soil. The flow area upstream of the level spreader shall be sufficient to ensure low approach velocities to the level "lip". The minimum flow area shall be equal to the flow area of the delivery channel.  Entrance Drainage Channel : The entrance channel to a level spreader is constructed across the slope and consists of stone and existing natural vegetation to disperse, filter and lower the runoff velocity into the level spreader. The entrance channel should blend smoothly into the downstream receiving area without any sharp drops or irregularities to avoid turbulence and hydraulic jumps. o Upstream Velocity: The flow area upstream of the level spreader should be controlled to ensure low approach velocities to the level "lip." The minimum flow area of level spreader must equal to the flow area of the delivery channel. o Shape: The entrance channel is typically trapezoidal, but may be parabolic as long as the soil bed design width is equivalent to the design bottom width for a trapezoidal

section and is no more than 2 feet deep. The channel should be constructed along the existing contour, be 15-20 feet long and at least 7 feet wide across the top. o Length of Spreader: The level spreader length should not be more than 25 feet unless the receiving area is appropriate to handle the additional flow. o Bottom Width: Bottom width for a trapezoidal cross section of the entrance channel should be a minimum of two feet. o Side Slopes: Side slopes of the entrance channel should be 2:1 or flatter to provide pretreatment of runoff entering the level spreader. o Longitudinal Slope: The longitudinal slope of the entrance channel should be 1% grade or less in order to avoid excessive velocity and deep ponding water at the downstream end. If topography dictates a steeper net channel slope, the swale can be broken into relatively flat sections by check dams placed at no closer than 50 feet intervals. o Depth and Capacity: The swale should be designed to safely convey the 2 year storm with design velocities less than 4.0 to 5.0 feet per second. The swale should have sufficient total depth to convey the 10-year storm with 6 inches of freeboard.  Berm: The berm of the level lip should consist of ¾-3” crushed rock that will allow flows to slowly seep through the berm, and be a minimum of 18 inch high and 3 feet wide. The berm should have a 6 to 12 inch deep header channel with a 3-foot bottom width to trap sediments and reduce lateral flow velocities behind the berm. The bottom and back of the spreader channel should be lined with erosion control matting.  Access: Level spreaders should be sited to provide easy access for removal of accumulated sediment and rehabilitation of the berm.  Installation: A level spreader must be installed correctly with 0% grade on the spreader base and lip to ensure a uniform distribution of flow; otherwise the structure may fail and become a source of erosion.

Maintenance: Long term maintenance of the level spreader is essential to ensure its effectiveness. Spreaders constructed of wood, asphalt, stone or concrete curbing also require  Inspections: At least once a year and following major storms, the level spreader pool should be inspected for sand accumulation and debris that may reduce its capacity.  Sediment Removal: Sediment build-up within the swale should be removed when it has accumulated to approximately 25% of design volume or channel capacity. Dispose of the sediments appropriately.  Debris: Remove debris such as leaf litter, branches and tree growth from the spreader.  Mowing: Vegetated spreaders may require mowing.  Snow Storage: Do not store snow within the area of the level spreader.  Level Spreader Replacement: The reconstruction of the level spreader may be necessary when sheet flow from the spreader channelize into the buffer.

Figure 8.3 – Level Spreader Design 9.4 - PERMEABLE ROAD BASE A rock sandwich is a specialized road base that consists of coarse rocks wrapped in fabric through which water can freely pass and be discharged downgradient of the road. It can convey surface water in wetlands, and cut and fill roads where the cut may intercept the groundwater table. It may be as narrow as a few feet in a perennial swale or over several hundred feet across a wetland. It is not intended for concentrated flows and unlike a culvert, a rock sandwich will not concentrate water to a single entry and exit point and will not channelize downgradient as the flow velocity is reduced through the rocks. It can be used in conjunction if the road cut is below seeping groundwater and the culvert provides flow relief for larger storm events. Groundwater has enough latent heat to prevent a rock sandwich from freezing. Note: a high seasonal groundwater table on a slope in granular soils is oxygenated so it is not considered a wetland.

As benefits, the rock sandwiches:  Reconnect intercepted natural hydrology.  Assist in the treatment of road runoff by a non-structural method avoiding the need for costly structural measures and their maintenance.  Strengthen soft soil road bases significantly.  Have a wide discharge area that does not concentrate flows and cause scour or erosion.  Prevent groundwater from wicking up into the road fill material thereby reducing frost actions and potholing.

General Design Criteria: The rock sandwich consists of 3” – 6” stone “sandwiched” between layers of permeable filter fabric through which water can freely pass from one side of the road to the other as sheet flow. Both ends of the stone sandwich are exposed so that water can enter and pass through it unimpeded. A rock sandwich should be used in areas of:  Non-concentrated flows: areas where concentrated flows from a pipe may be undesirable, impractical, or regulated.  Road impoundment: In areas where a road is acting as an impoundment or dam to the natural water flow by isolating subsurface water on one side of the road from the other.  Shallow bedrock depth: Areas where the depth of a pipe would not provide sufficient structural cover; could lower the natural water table of the area, and require long-term maintenance.  Wetland crossing: Low-lying areas near streams or wetlands where maintaining sheet flow would be difficult.  Road load bearing: A filter fabric and rock layer in the lower portion of a road provides bearing strength. The water collects in the voids provided by the larger rock and moves away by gravity rather than softening the subbase soils.

Specific Design Criteria: To minimize the alteration of wetlands, do not stump and grub wetland surfaces under the road footprint. Cut trees close the ground, leaving the stumps in place which will provide added structural support to the rock sandwich. This woody debris will not decompose as it will be anaerobic. The intact soil surface is less of a threat to move and plug up the rock sandwich material. In cut and fill roads, minimize ground disturbance and avoid excavating ditches. A drawing of a rock sandwich is shown on Figure 9.4.  Bottom geotextile: After the site has been prepared, place a permeable woven/non-woven filter fabric over the length of roadway with a rock sandwich. Filter fabric “joints” should overlap by at least 18”.  Material: The core material of a rock sandwich is a minimum of 12” thick layer of clean 3”-6” diameter stone on the fabric for the full width of the roadway.  Top geotextile: Place permeable, non-woven filter fabric on top of the entire length of rock layer. Do not cover the upgradient and downgradient sides of the rock layer with filter fabric or soil. Leave these areas exposed so that surface water from the upslope part of the wetland can pass unimpeded to the downslope part of the wetland.  Upgradient soil disturbance: If inadvertent soil disturbance has occurred on the upslope side of the rock sandwich, place stone on the disturbed soil so that it will not migrate to the ends of the rock sandwich and plug it up.  Road fill and road base: Place additional road fill as designed and the driving surface material over the top filter fabric according to specifications and procedures (minimum of 6” recommended after compaction).  Upgradient of cut slopes: Place 3”-6” thick layer of rock sandwich stone on cut face up to the height of seeps. This allows for seepage to reach the rock sandwich in the roadbed but holds the soil in place.  Downgradient of fill slopes: Do not cover the downslope edge of the rock sandwich stone with geotextile so that water can freely diffuse back into sheet flow and that the slope is protected.  Culverts in Rock Sandwich: If the crossing has a stream, a defined drainageway or larger concentrated flows are anticipated, a culvert should be installed according to appropriate design standards. The culvert should be installed where its invert is at least 3” above the elevation of the bottom of the rock sandwich to assure that the rock sandwich passes base flows and the culvert is only used for high runoff flows.

Maintenance: Check upslope face of stone layer to prevent clogging by eroded soil, road sand, debris and leaf litter. Clean regularly.

Figure 8.4 – Rock Sandwich Cross-Section

Chapter 9 - Separator BMPs A number of devices, structures and systems are available for providing varying levels of pretreatment of stormwater before it enters a BMP. These range from the relatively simple modified catch basin (catch basin with a sump and oil trap) to the sophisticated (and expensive) coalescing plate oil separator. The devices discussed in this Chapter include:

9.1 - WATER QUALITY INLET

The water quality inlet is a conventional stormwater drainage structure (catch basin) provided with a sump which will trap coarse sediment and non-floating debris, and a hood which prevents floating debris and floating hydrocarbons from exiting the catch basin. Existing catchbasins can be readily modified, in some instances, to retrofit an existing system to intercept coarse sediment and floating debris.

High flow events can result in turbulent flows within the basin and re-suspend accumulated sediments, so the contributing watershed should be kept small; but, size limits on commercially available hood castings will limit the allowable size of the outlet pipe and its drainage area. A standard catchbasin or water quality inlet is shown in Figure 10.1.

Sump: A water quality inlet should be provided with a four foot (minimum) sump to collect sediments.

Larger sumps should be provided for areas that receive heavy sanding or where a heavy sediment load is anticipated.

Hood: Hood dimensions are generally determined by the pipe size, and are commercially available through a number of vendors. They typically use a cover, an elbow or tee with the inlet of the fitting pointed toward the floor of the basin. However, the hood must be vented to allow the basin to drain, and to prevent floating material from being suck through the fitting and exiting the basin. A threaded cap should also be placed in-line with the pipe for cleaning access.

Maintenance: Sediment removal from the sump and any floating debris and products is imperative for the continuity of the effectiveness of the structure. The sump needs cleaning when sediments are visible at the bottom of the outlet pipe.

• Inspection: Water quality inlets should be inspected three to four times annually.

• Sediment Removal: Sediment should be removed when accumulation is within 6 inches of the bottom of the hood.

Figure 9.1 - Water Quality Inlet 9.2 - OIL/GRIT AND OIL/WATER SEPARATOR Oil/grit separators remove sediment and hydrocarbons and are used for areas with heavy traffic or high potential for petroleum spills (fueling stations or commercial loading areas, etc. They should be close to the source of pollutants and before they can be conveyed to storm sewers or BMPs such as infiltration trenches. Soluble pollutants will most likely pass through oil/grit separators.

A typical oil/grit or oil/water separator has two chambers as shown in Figure 10.2. Runoff enters the first chamber, which contains a permanent pool of water and where coarse sediment is trapped by settling.

The first chamber can also trap floating trash and debris, such as leaves. Then, runoff is drawn from the lower part of the pool with an inverted pipe elbow to trap floating oils and hydrocarbons to be discharge from to the second chamber which also contains a permanent pool of water for a second settling opportunity. Some hydrocarbons may become adsorbed to sediment particles which will settle out. There are several proprietary oil/grit and oil/water separator devices available for the treatment or pre-treatment of stormwater. For selection and design of proprietary oil/grit separator devices, refer to the product literature for these structures.

Pool Storage: For the structure to provide even moderate pollutant removal benefits, 400 cubic feet or more of permanent pool storage should be provided per acre of drainage area. Also, the pools should be at least 4 feet deep.

Maintenance:

The performance of oil/grit separators is very dependent on the regular and frequent removal of trapped sediments and floating products, and should be cleaned out at least twice a year.

Failure to clean them out can result in the re-suspension and loss of previously trapped material. The designer should consult the Maine DEP Bureau of Waste Management to determine proper disposal of the oil-contaminated water sediment and slurry prior to the installation of these devices at a site.

Figure 9.2 – Oil and Water Separator

Chapter 10- Low Impact Development Practices Low impact development (LID) is a process of developing land that mimic the natural hydrologic regime.

LID begins at the design phase of a new development, incorporating planning techniques that minimize site clearing and impervious surfaces to reduce impact and stormwater runoff generated from the site. By reducing the volume of water leaving a site, the pollutant loading is also reduced. Other techniques that will reduce the volume and peak flow rates of runoff from the development are then incorporated throughout the site. LID is an effective tool that reduces pollutant loading, thermal impacts, stream flows, and minimizes stream channel erosion. More information is available in Volume I of this manual on LID measures.

PLANNING FOR LID

Minimize Site Clearing: Development typically involves new impervious surfaces such as roads and buildings and landscaped areas for lawns. Avoid developing high-permeable soils by protecting areas that are less sensitive to disturbance and that will sustain groundwater recharge and reduce runoff. For example, developing a vegetated, tight clay soil area will have less impact on stormwater runoff than developing a forested area on sandy soils. Once the sensitive areas have been identified, the layout of the development should be aligned with the conservation of these areas.

Minimize Impervious Areas: The traffic distribution network (roadways, sidewalks, driveways, and parking areas) is generally the greatest source of site imperviousness and these should be the focus for reducing impervious area.

Maine DEP strongly encourages the use of LID measures. LID is not a rigid set of standards or a one size fits all approach and has many benefits:  Benefits to the Developer: The owner and developer will see reduced costs for land clearing and grading, infrastructure and stormwater management while seeing an increased aesthetic value in the development.  Benefits to the Municipality: The local government and community will benefit from reduced infrastructure maintenance costs and reduces property damage from flooding while having more open space, protected natural resources and better quality drinking water.  Benefits to the Environment: The hydrologic cycle is preserved; streams are less prone to erosion; and stream flows are maintained while benefiting fish and wildlife.

LID goals and objectives should be incorporated into the site planning process as early as possible. The following steps serve as a guideline to use in the planning stage:  Identify and preserve sensitive areas that will affect the hydrology of the site. Features that should be protected are highly permeable soils.  Minimize site disturbance and impervious areas with an alternative layout for the development.  Minimize the impervious surfaces directly connected to drainage conveyance systems to reduce the time of concentration.  Break the site into smaller drainage areas that can be handled through basic LID practices  Alternative Roadway Layout: Alternative road layouts can be used to reduce total pavement, while allowing for the same amount of development. Clustering will decrease imperviousness.  Narrow Road Sections: The width of pavement can be reduced by including the primary driving surface, a pervious base for the shoulders, and ditch drainage swale in place of curb and gutter.  Sidewalks: Sidewalks should be reduced to one side of the road or be eliminated.  On-Street Parking: Reduction to one side or elimination of on-street parking can potentially reduce overall site imperviousness by 25 to 30 percent.  Rooftops: The number and size of buildings dictates the impervious area associated with rooftops and vertical construction is preferred over horizontal construction.  Driveways: Minimizing paved driveway area can be accomplished through narrower driveways or length reduction. Shared driveways will also reduce imperviousness. In addition, pervious materials would minimize runoff.

Minimize Connected Impervious Areas: The impacts from impervious surfaces can be minimized by disconnecting these areas from piped drainage networks and by treating these at the sources.  Paved driveways and roads should be directed to stabilized, vegetated areas.  Flows from large paved surfaces should be broken up and for on-site treatment of smaller flows.

Breaking flows up allows the flows to be directed to vegetation as sheet flow.  LID techniques should be dispersed throughout the development, such as at individual house lots to obtain the most benefit. They can be incorporated into the landscaping of the property to provide a natural treatment system.

Maintain Time of Concentration: When development occurs, the time of concentration (Tc) is often shortened due from the impervious area, causing greater flows over a shorter period of time. LID practices can maintain the pre-development Tc by:  Minimizing land disturbance,  Detaining flows on site,  Increasing the flow length,  Increasing the surface roughness of the flow path,  Creating flatter slopes, or  Disconnecting impervious areas, which will decrease their travel rates.

Manage Stormwater at the Source: The impact from a development should be mitigated at the source by reestablishing a more natural hydrologic cycle that sustains a clean stream base flow.

Typically, the most economical and simplistic stormwater management strategy is achieved by controlling runoff at the source with a variety of small treatment structures that will result in the reduction of stormwater discharge and more flexibility in the site design.

Soil Considerations:  Minimize Compaction: Compaction reduces the natural infiltrating ability of soils; and disturbance from heavy equipment should be avoided. If possible, impervious surfaces and development disturbances should be directed towards the more impermeable soils of a site, leaving the pervious soils to continue infiltrating runoff.  Increase Organic Content of Soils: When constructing many of the LID vegetated techniques, a quality topsoil is necessary to optimize pollutant removal. The soil bed should consist of at least 20- 30% organic material and 30% planting or topsoil. This highly organic layer traps contaminants, absorbs more runoff and provides a medium for biological activity that helps break down pollutants.

Planting soil provides a healthy growing medium for vegetation by encouraging strong root growth. In addition, microbes found in healthy soils transform nutrients for plant growth. Compost or other organic amendments can be added at the site preparation level, typically by the truckload. It is also available for little or no cost from many community leaf compost programs. For rain gardens and bioretention areas, compost addition is also valuable in absorbing and retaining moisture for plant life, filtering pollutants and providing an active layer for microorganisms to reside and reproduce. A healthy microorganism population is key to the decomposition of many pollutants, whether in the home rain garden or in a parking lot.  Avoid Pesticides/Herbicides: Healthy soil is alive with microorganisms that decompose and inactivate pollutants, but these may be killed by excessive chemicals. Although the soil microorganisms are not typically the target of these chemicals, many of them may fall victim to the use of pesticides.

Additionally, insect species that prey on pests are also killed by pesticides. Since the predatory species tend to have slower reproduction than the pest species, a natural defense against insect pests may be lost.

LID TECHNIQUES

Many of the LID techniques rely on infiltration, retention, and evapotranspiration of stormwater to reduce runoff. When infiltration is not a possibility, the initial planning techniques described above should be the primary focus, followed by the use of small disconnected underdrained systems that rely on soil and vegetation to retain runoff. Examples of LID design standards and techniques are shown on Table 11.1 and Table 11.2.  Filters (Bioretention Cells and Rain gardens): Bioretention areas or rain gardens are built with a specific soil filter media (containing organic material and planted with vegetation that can handle wet and dry conditions) that will reduce the volume of runoff through absorption and evapotranspiration.

A slight depression allows the ponding of stormwater as it filtrates through the soil media and into the groundwater or to an underdrain for surface discharge. Refer to Chapter 7.2 and 7.3 of this manual for further information on the performance and design of bioretention practices.  Infiltration:

Infiltration reduces runoff and mimics the natural hydrologic cycle by redirecting water into the ground rather than to a piped system. It is best to use many smaller infiltration basins that fit into the natural landscape. The design information in Chapter 6.0 should be followed for any infiltration practice.  Buffers: Vegetated buffer use soils and vegetation to remove pollutants from stormwater. Buffers can be used as a stormwater BMP for small developments by minimizing the amount of runoff generated through infiltration and evapotranspiration. Filter strips are typically used as pretreatment devices for bioretention cells and other infiltration practices. Refer to Chapter 5.0 for information on the performance and design of vegetated buffers.  Collection Cisterns:

In a commercial setting, the collection of rain runoff can be put to use in the building to off-set the cost of their water supply. Cisterns can be located either above or below ground, and in out-of-the-way places that can easily be incorporated into a site design. Commercially available systems are typically constructed of high-density plastics and can include pumps and filtration devices. Rain barrels are inexpensive, effective, and easily maintainable when used in residential applications to capture roof runoff for later watering of lawns and gardens.  Vegetated Rooftops: Vegetated rooftops provide three primary benefits: attenuation of stormwater runoff and peak flows, reductions of the heat island effects with an increase in building insulation, and a longer life expectancy for the base roof material. The stormwater benefit is the smaller more common storm events are absorbed, minimizing peak runoff and the net volume of runoff typically produced by roofs. Refer to Chapter 7.6 for further information on the performance of rooftop greening.  Porous Pavement:

Porous pavement is a permeable surface (pervious asphalt, concrete or pavers), a granular base, and subbase materials which allow the penetration of runoff into the underlying soils.

The efficiency of pavement alternative systems depends on whether the pavement is designed to store and infiltrate most runoff, or only limited volumes of runoff (e.g., "first-flush") with the remainder discharged to a storm drainage system or overland flow. Maintenance is essential for long-term use and effectiveness. Pavement alternatives vary in load bearing capacities but are generally appropriate for low traffic areas such as sidewalks, parking lots, overflow parking and residential roads. It is important to choose a material appropriate for the desired use (light, moderate or heavy use). Refer to Chapter 7.7 for further information on the performance of porous pavement and other manmade pervious surfaces.  Other Techniques: As previously stated, LID is about creativity. Multiple practices can be implemented and adapted into various sites and situations. However, they are mostly dependent upon the layout of the development and the disconnection of its individual elements.

Table 10.1 – LID Measures and Techniques LID Measure Technique Design Protect natural drainage system  Maintain a minimum 25 foot buffer on all natural water resources including intermittent channels  Do not divert stormwater from its natural sub-watershed Design practices developed at the planning phase that will help mitigate environmental impacts.

Ideally, these are costeffective and environmentally friendly.

Minimize the decrease in time of concentration  Break up or disconnect the flow of runoff over impervious surfaces  Sheet flow over pavement that is less than 100 feet Minimize impervious area or the effect of impervious area  Go vertical with multi story buildings and parking garages  More than 25% of pavement area (overflow) in pervious pavement All pedestrian walkways are pavers or pervious pavement  Infiltrate as much roof runoff as standards allow Minimize soil compaction  Minimize the construction window  Rototilling all areas to be revegetated Minimize lawns and maximize landscaping that encourages runoff retention  Low maintenance Maine native plants  No invasive plants  No pesticides  Fertilizer application only during initial planting and repair of damaged areas Provide vegetated open-channel conveyance systems  No curb/gutters and no roof gutters  Level spreaders to buffers where possible  Underdrained swales Rain Collection Cisterns Rainwater is stored for later reuse for the building or landscape Buffers Design, size, install and maintain per the Maine recommended guidelines found in this manual.

Chapter 5 Infiltration (basins, trenches, dry wells, etc.)

Chapter 6 Underdrained grass filters Chapter 7.1 Underdrained filter bioretention Chapter 7.2 Roofline filtration Chapter 7.5 Roof Greening

Chapter 7.5 Pervious Pavement

Chapter 7.7 Table 10.2 - LID Minimum Design Standards Each standard should be addressed Residential Subdivisions Commercial, Industrial, or Institutional Developments Protect as much undisturbed land as possible to maintain predevelopment hydrology and allow rainfall infiltration  Clustered development with remaining land protected by deed restriction  Clustered development with protected land by deed restriction  Maximum 1000 ft road per 10 lots or with buffers only Protect natural drainage systems such as wetlands, watercourses, ponds and vernal pools to the maximum extent practicable  25 ft wooded buffer on all natural resources, including intermittent channels  Wetland impact no greater than 4300 sqft and is limited to crossings  No diversion of stormwater from its natural subwatershed Minimize land disturbance including clearing and drainage to the extent practicable  10000 sq.ft maximum development for house lots (house/driveway/lawn/septic)  25 feet max. disturbance around buildings and pavement (or be rototilled, revegetated and maintained as meadow grass)

Minimize the decrease in the time of concentration from preconstruction to post-construction to the extent practicable  Raingardens for pretreatment (18 inches of filter media, no underdrain, with 6 inch ponding and an overflow), or Buffers only for treatment  1 acre or less per stormwater management structure (buffer, filter, infiltration)  Maximize sheet flow  Rain collection for reuse in building Minimize soil compaction to the extent practicable  Rototilling all areas to be revegetated  A construction window that is no more than 25 feet around structures  Rototilling all compacted areas to be revegetated Utilize low-maintenance landscaping that encourages the retention and planting of native vegetation, and minimizes the use of lawns, fertilizers and pesticides  Maine native plants, no invasive  No pesticides/fertilizers/herbicides except during initial planting and repair of damaged areas  Mulch all landscape with wood waste Minimize impervious surfaces and break up or disconnect the flow of runoff over impervious surfaces to the extent practicable  Road width that is 18 feet or less  Multi-story buildings and, if feasible, parking garages  1 acre or less per stormwater structure (filter, infiltration)  Sheet flow over pavement that is less than 100 feet or intercepted by and underdrained vegetated depression island  Parking lots must have 25% of area (overflow) in pervious pavement or grass  All pedestrian walkways are pavers or pervious pavement Provide vegetated open-channel conveyance systems discharging into and through stable vegetated areas  No curb/gutters or roof gutters  Level spreaders to buffers  Underdrained swales No direct connection (piped discharge) to a resource Provide other source controls to prevent or minimize the use or exposure of pollutants at the site in order to prevent or minimize the release of those pollutants into stormwater runoff No salt use  No development with ‘dirty’ outdoor practices (fueling stations, car washing/maintenance, etc.)

Good housekeeping practices according to Multi-sector program No salt use

Chapter 11 - Operation and Maintenance The long-term operation and maintenance of a stormwater management structure is as critical to its performance as its design and construction. Proper operation and maintenance ensures that the BMP continues to remove pollutants effectively over the long-term, decreases the risk of re-suspending sediment; and therefore improves water quality. Without proper maintenance, BMPs are likely to fail and no longer provide the treatment of stormwater. Common maintenance issues that are encountered include:  A single family residential lot draining to buffer which is eliminated because the owners are unaware of the importance of their buffer;  Too infrequent maintenance;  Financial burden for the maintenance of a costly system is too great to the owner;  Lack of maintenance easement or mean for access and difficulty in cleaning without complete renovation;  Problems with owner knowledge of the system and its maintenance needs, and  Inability to back-charge owner if municipality must do the work.

Design Considerations: Cleaning and maintenance should be given serious consideration during the design process to set up realistic maintenance expectations (for example, a high maintenance system such as an underdrained subsurface sand filter should not be installed where routine inspection and maintenance will be inconsistent as in a residential development).  Pretreatment: Pretreatment devices should be provided for each BMP which may consist of a sediment forebay, filter strip, a swale, a catch basin, a subsurface pre-treatment structure, etc. They will all require more frequent maintenance than the stormwater treatment structure.  Sediment Removal Schedule: All pretreatment devices should be designed to accommodate a minimum of one year's worth of sediment. The estimated annual sediment accumulation must be provided as part of the design calculations.  Size for Anticipated Sediment Loading:

Sediment loadings from both pervious and impervious areas must be considered and units should be sized to hold a year's worth of sediment. o Pervious Areas: The Universal Soil Loss Equation (USLE) should be used to calculate sediment deposits that would occur from pervious areas adjacent to a BMP. o Roadways and Parking Areas: Sand deposits from winter storm applications should be accounted for when designing a pre-treatment system. Sanding rates and numbers of storms may need to be adjusted based on specific application rates in a community.  Make Maintenance Needs Apparent:

BMPs must be designed to alert the owner when it is failing and maintenance is required. Bypasses should not be used unless there is risk to public health or safety.  Design for Anticipated Pollutants:

Pretreatment devices must be designed to capture anticipated pollutants, such as oil and grease.

Pretreatment devices must be provided for all BMPs and should be sized to hold a minimum of oneyear worth of sediment. Designs need to consider reasonable, cost-effective maintenance frequencies, as well as provide access for ease of maintenance. To obtain an annual sediment volume, perform the following calculation assuming an average of 10 storm events per year:  Sediment Marker: A sediment marker should be provided to enable the inspectors to get an accurate and consistent depth of sediment under the current conditions.  Accessibility:

All devices must be designed and located to be easily accessible for inspection and for the appropriate equipment needed for maintenance. Formal access must be provided.  Easements: Permanent maintenance easements must be provided to the entity responsible for maintenance when that entity does not own the property.

Operation and Maintenance Plan: The proper operation and maintenance of a device must be laid out in an operation and maintenance plan that clearly identifies required inspection activities, the maintenance schedule and provides a method for determining when maintenance is necessary.

The operations and maintenance plan must also outline manpower and budget needs to perform maintenance. Specific maintenance needs for each type of BMP are provided in their respective sections.

A summary table of the inspection and maintenance needs of each BMP type is included in the following table.

INSPECTION AND MAINTENANCE PLAN

FOR STORMWATER MANAGEMENT STRUCTURES (BMPS)

INSPECTION

SCHEDULE

CORRECTIVE ACTIONS

VEGETATED

AREAS

Annually early spring and after heavy rains Inspect all slopes and embankments and replant areas of bare soil or with sparse growth Armor rill erosion areas with riprap or divert the runoff to a stable area Inspect and repair down-slope of all spreaders and turn-outs for erosion Mow vegetation as specified for the area DITCHES, SWALES AND OPEN STORMWATER CHANNELS Annually spring and late fall and after heavy rains Remove obstructions, sediments or debris from ditches, swales and other open channels Repair any erosion of the ditch lining Mow vegetated ditches Remove woody vegetation growing through riprap Repair any slumping side slopes Repair riprap where underlying filter fabric or gravel is showing or if stones have dislodge CULVERTS Spring and late fall and after heavy rains Remove accumulated sediments and debris at the inlet, outlet, or within the conduit Remove any obstruction to flow Repair any erosion damage at the culvert's inlet and outlet CATCH BASINS spring Remove sediments and debris from the bottom of the basin and inlet grates Remove floating debris and oils (using oil absorptive pads) from any trap ROADWAYS AND PARKING AREAS spring or as needed Clear and remove accumulated winter sand in parking lots and along roadways Sweep pavement to remove sediment Grade road shoulders and remove accumulated winter sand Grade gravel roads and gravel shoulders Clean out the sediment within water bars or open-top culverts Ensure that stormwater runoff is not impeded by false ditches of sediment in the shoulder RESOURCE TREATMENT BUFFERS spring Inspect buffers for evidence of erosion, concentrated flow, or encroachment by development Manage the buffer's vegetation with the requirements in any deed restrictions Repair any sign of erosion within a buffer Inspect and repair down-slope of all spreaders and turn-outs for erosion Install more level spreaders, or ditch turn-outs if needed for a better distribution of flow Clean out any accumulation of sediment within the spreader bays or turnout pools Mow non-wooded buffers no shorter than six inches and less than three times per year WETPONDS DETENTION BASINS Annually in fall and after heavy rains Inspect the embankments for settlement, slope erosion, piping, and slumping Mow the embankment to control woody vegetation Inspect the outlet structure for broken seals, obstructed orifices, and plugged trash racks Remove and dispose of sediments and debris within the control structure Repair any damage to trash racks or debris guards Replace any dislodged stone in riprap spillways Remove and dispose of accumulated sediments within the impoundment and forebay FILTRATION INFILTRATION BASINS spring and late fall Clean the basin of debris, sediment and hydrocarbons Provide for the removal and disposal of accumulated sediments within the basin Renew the basin media if it fails to drain within 72 hours after a one inch rainfall event Till, seed and mulch the basin if vegetation is sparse Repair riprap where underlying filter fabric or gravel is showing or where stones have dislodged PROPRIETARY DEVICES As specified by manufacturer Contract with a third-party for inspection and maintenance Follow the manufacturer's plan for cleaning of devices OTHER PRACTICES As specified for devices Contact the department for appropriate inspection and maintenance requirements for other drainage control and runoff treatment measures.

Appendix A-1: Runoff Peak Discharge Calculations Rational Method - ASCE, 1992 and Rossmiller, 1980 Applicability: The Rational Method establishes an empirical formula that is commonly used in urban areas for computing peak rates of runoff for designing drainage structures. It is useful in estimating runoff on relatively small areas such as roof tops and parking lots. Use of the rational equation should be limited to drainage areas less than 20 acres (Amer. Public Works Assn., 1974) with generally uniform cover type and grade. Required output = peak discharge only. Drainage area < 20 acres.

Description of Method: The Rational Method is used for determining peak discharges from small drainage areas. This method is traditionally used to size storm sewers, channels, and other stormwater structures which handle runoff from drainage areas less than 20 acres. The Rational Formula is expressed as Q = CiA where:

Q =Peak rate of runoff in cubic feet per second C =Runoff coefficient, an empirical coefficient representing a relationship between rainfall and runoff. i =Average intensity of rainfall in inches per hour for the time of concentration (Tc) for a selected frequency of occurrence or return period.

A =The watershed area in acres Tc =The rainfall intensity averaging time in minutes, usually referred to as the time of concentration, equal to the time required for water to flow from the hydraulically most distant point in the watershed to the point of design.

The general procedure for determining peak discharge with the Rational Formula is:

Step 1 Determine the drainage area.

Step 2 Determine the runoff coefficient, C, for the type of soil/cover in the drainage area. If land use and soil cover are homogeneous over the drainage area, a C value can be determined from the following tables. If there are multiple soil cover conditions, a weighted average must be performed.

Step 3 Determine the rainfall intensity averaging time, Tc, in minutes for the drainage area (time required for water to flow from the hydraulically most distant point of that tributary watershed which produces the greatest discharge to the point of design).

Step 4 Determine the Rainfall Intensity Factor, i, for the selected design storm. This is done by using the Rainfall Intensity - Frequency - Duration charts (http://precip.eas.cornell.edu/). These hydrologic charts should be used for the location to be evaluated as they are continuously updated with every new rain event and considered to be most accurate than any other source. Select the chart for the locality closest to the project site. Enter the "Duration" axis of the chart with the calculated time of concentration, Tc.

Move vertically until you intersect the curve of the appropriate design storm; then move horizontally to read the Rainfall Intensity Factor, i, in inches per hour.

Step 5 Determine the peak discharge (Q - in cubic feet per second) from equation above.

Assumptions: The peak rate of runoff at any point is a direct function of the tributary drainage area and the average rainfall intensity during the time of concentration to that point based on the following:  The return period of the peak discharge rate is the same as the return period of the average rainfall intensity or rainfall event. While watershed-related variations such as antecedent moisture conditions may cause this relationship to break down, this assumption is widely used in methodologies for estimating peak flows or hydrographs.  The rainfall is uniformly distributed over the watershed. Whether this assumption is true depends upon the size of the watershed and the rainfall event.  The rainfall intensity remains constant during the time period equal to Tc. Based on rainfall records, this assumption is true for short periods of time (a few minutes), but becomes less true as time increases. In turn, this assumption has led to a common misconception that the duration of the storm is equal to Tc. This is theoretically possible but it is much more common for the total storm duration to be considerably longer than Tc. Of equal importance is the concept that Tc (the rainfall intensity averaging time) can occur during any segment of the total storm duration; at the beginning, before, during or after the middle portion; or near the end. This concept has important implications for the runoff coefficient C and how well the Rational Formula mirrors the hydrologic cycle. If an intensity for a duration that is equal to or slightly greater than Tc occurs at the beginning of the storm, then the antecedent moisture conditions become important. If Tc occurs near the end of a long storm, then the ground may be saturated and depression storage already filled when Tc begins.  The relationship between rainfall and runoff is linear. If rainfall is doubled then runoff is doubled. This is not accurate because of all the variables which interact and determine runoff. In fact, one of the major misconceptions on the use of the formula is that each of the variables (C, i, A) is independent and estimated separately. In reality, there is some interdependency among variables; however, the aids used in estimating the variables do not recognize such a relationship.  The runoff coefficient, C, is constant for storms of any duration or frequency on the watershed. This is a major misconception of many who use the Rational Formula. C is a variable and during the design of a stormwater system, especially a storm sewer, it should take on several different values for the various segments even though the land use remains the same.

Limitations: The Rational Formula only produces one point on the runoff hydrograph, the peak discharge rate. Where a hydrograph is required, other methods must be used.  When basins become complex, and where sub-basins combine, the Rational Formula will tend to overestimate the actual flow. The overestimation will result in the oversizing of stormwater management systems. For this reason, the formula should not be used for larger developments as a

basis for establishing predevelopment flow rates, which are used to define the restrictions needed for peak rate control.  The artificially high estimates could result in release rates higher than existing conditions, resulting in adverse effects downstream.  The method assumes that the rainfall intensity is uniform over the entire watershed. This assumption is true only for small watersheds and time periods, thus limiting the use of the formula to small watersheds.  The results of using the formula are frequently not replicable from user to user. There are considerable variations in interpretation and methodology in the use of the formula. The simplistic approach of the formula permits, and in fact, requires a wide latitude of subjective judgment in its application.  Average rainfall intensities used in the method bear no time sequence relation to the actual rainfall pattern during a storm. The intensity-duration-frequency curves prepared by the Weather Bureau are not time sequence curves of precipitation. The maxima of the several durations as used in the method are not necessarily in their original sequential order; and the resulting tabulations of maxima ordered by size or duration may bear little resemblance to the original storm pattern. In many, if not most, cases, the intensities on the same frequency curve for various durations are not from the same storm.

RUNOFF COEFFICIENTS FOR THE RATIONAL FORMULA

Typical Composite Runoff Coefficients by Land Use Normal Range of Runoff Coefficients Area Description C‐value Surface Characteristic C‐value Business Lawns Downtown Areas 0.70‐0.95 Sandy Soil, Flat (2%) 0.05‐0.10 Neighborhood Areas 0.50‐0.70 Sandy Soil, Ave. (2‐7%) 0.10‐0.15 Sandy Soil, Steep (>7%) 0.15‐0.20 Residential Heavy Soil, Flat (2%) 0.13‐0.17 Single Family Areas 0.30‐0.50 Heavy Soil, Ave. (2‐7%) 0.18‐0.22 Multi‐Units (detached) 0.40‐0.60 Heavy Soil, Steep (>7%) 0.2500.35 Multi‐Units (attached) 0.60‐0.75 Suburban 0.25‐0.40 Agricultural Apartments 0.50‐0.70 Bare Packed Soil Smooth 0.30‐0.60 Industrial Rough 0.20‐0.50 Light Use 0.50‐0.80 Cultivated Rows Heavy Use 0.60‐0.90 Heavy Soil, no crop 0.30‐0.60 Railroad Yards 0.20‐0.35 Heavy Soil, with crop 0.20‐0.50 Unimproved Areas 0.10‐0.30 Sandy Soil, no crop 0.20‐0.40 Sandy Soil, with crop 0.10‐0.25 Park Pasture Park/Cemeteries 0.10‐0.25 Heavy Soil 0.15‐0.45 Playgrounds 0.20‐0.35 Sandy Soil 0.05‐0.25 Pavement Woodland 0.05‐0.25 Asphalt and Concrete 0.70‐0.95 Brick 0.70‐0.85 Roof 0.75‐0.95 The presented C‐values are typical for return periods of 2‐10‐year storms with the higher values for the larger design storms. Judgement must be used to select the appropriate C‐value within the range for the land use. Generally, larger areas with permeable soils, flat slopes, and dense vegetation should have the lower C‐value; and smaller areas with low permeability soils, steep slopes and sparse vegetation should be assigned higher a C‐value.

RUNOFF COEFFICIENTS FOR THE RATIONAL FORMULA

BY HYDROLOGIC SOIL GROUP AND SLOPE

Land Use A B C D 0‐2% 2‐6% 6+%0‐2%2‐6%6+%0‐2%2‐6%6+% 0‐2% 2‐6%6+% First row of each entry provides runoff coefficients for storm recurrence intervals of 25 years or less.

Second row provides runoff coefficients for storm recurrence intervals of 25 years or more.

Cultivated Land 0.08 0.13 0.16 0.11 0.15 0.21 0.14 0.19 0.26 0.18 0.23 0.31 0.14 0.18 0.22 0.16 0.21 0.28 0.20 0.25 0.34 0.24 0.29 0.41 Pasture 0.12 0.20 0.30 0.18 0.28 0.37 0.24 0.34 0.44 0.30 0.40 0.50 0.15 0.25 0.37 0.23 0.34 0.45 0.30 0.42 0.52 0.37 0.50 0.62 0.10 0.16 0.25 0.14 0.22 0.30 0.20 0.28 0.36 0.24 0.30 0.40 0.14 0.22 0.30 0.20 0.28 0.37 0.26 0.35 0.44 0.30 0.40 0.50 Forest 0.05 0.08 0.11 0.08 0.11 0.14 0.10 0.13 0.16 0.12 0.16 0.20 0.08 0.11 0.14 0.10 0.14 0.18 0.12 0.16 0.20 0.15 0.20 0.25 Residential Lot Size (1/8 acre) 0.25 0.28 0.31 0.27 0.30 0.35 0.30 0.33 0.38 0.33 0.36 0.42 0.33 0.37 0.40 0.35 0.39 0.44 0.38 0.42 0.49 0.41 0.45 0.54 Lot Size (1/4 acre) 0.22 0.26 0.29 0.24 0.29 0.33 0.27 0.31 0.36 0.30 0.34 0.40 0.30 0.34 0.37 0.33 0.37 0.42 0.36 0.40 0.47 0.38 0.42 0.52 Lot Size (1/3 acre) 0.19 0.23 0.26 0.22 0.26 0.30 0.25 0.29 0.34 0.28 0.32 0.39 0.28 0.32 0.35 0.30 0.35 0.39 0.33 0.38 0.45 0.36 0.40 0.50 Lot Size (1/2 acre) 0.16 0.20 0.24 0.19 0.23 0.28 0.22 0.27 0.32 0.26 0.30 0.37 0.25 0.29 0.32 0.28 0.32 0.36 0.31 0.35 0.42 0.34 0.38 0.48 Lot Size (1 acre) 0.14 0.19 0.22 0.17 0.21 0.26 0.20 0.25 0.31 0.24 0.29 0.35 0.22 0.26 0.29 0.24 0.28 0.34 0.28 0.32 0.40 0.31 0.35 0.46 Industrial 0.67 0.68 0.68 0.68 0.68 0.69 0.68 0.69 0.69 0.69 0.69 0.70 0.85 0.85 0.85 0.85 0.86 0.86 0.86 0.86 0.87 0.86 0.86 0.88 Commercial 0.71 0.71 0.71 0.71 0.72 0.72 0.72 0.72 0.72 0.72 0.72 0.72 0.88 0.88 0.89 0.89 0.89 0.89 0.89 0.89 0.90 0.89 0.89 0.90 Streets 0.70 0.71 0.71 0.71 0.72 0.74 0.72 0.73 0.76 0.73 0.75 0.78 0.76 0.77 0.80 0.80 0.82 0.84 0.84 0.85 0.80 0.89 0.91 0.95 Open Space 0.05 0.10 0.08 0.08 0.13 0.19 0.12 0.17 0.24 0.16 0.21 0.28 0.11 0.16 0.14 0.14 0.19 0.26 0.18 0.23 0.32 0.22 0.27 0.39 0.85 0.86 0.85 0.85 0.86 0.87 0.85 0.86 0.87 0.85 0.86 0.87 0.95 0.96 0.95 0.95 0.96 0.97 0.95 0.95 0.97 0.95 0.96 0.97

Appendix A-2: Runoff Peak and Volume Calculations SCS TR-55 Graphical Method - Soil Conservation Service, 1986 Applicability: Determines peak runoff, the runoff volume, and the time to peak for a single homogeneous sub-area or watershed only for drainage areas up to 2000 acres. This method is recommended for use in the design of erosion and sediment control measures. When more detail and accuracy is required or when an accurate simulation of natural conditions is required, one of the other appropriate methods should be used.

Description of Method: The Graphical Method was developed from hydrograph analyses using TR- 20. It provides a simplified approach to estimating peak runoff and total runoff volumes while accounting for slope, soils, and watershed shape. Refer to TR-55 for a detailed description of the use of the method.

Limitations: Refer to applicable chapters of TR-55 for specific limitations, including those pertaining to the derivation of Curve Number (CN) and Time of Concentration (Tc).  TR-55 is based on open and unconfined flow over land or in channels. For large events during which flow is divided between sewer and overland flow, more information about hydraulics is needed to determine Tc. After flow enters a closed system, the discharge can be assumed constant until another flow is encountered at a junction or another inlet.  The Graphical Peak Discharge method is derived from TR-20 (SCS 1983) output. The use of Tc permits it to be used for any size watershed within the scope of the curves or tables. The Graphical method is used only for hydrologically homogeneous watersheds because the procedure is limited to a single watershed subarea.  The Graphical method provides a determination of peak discharge only. If a hydrograph is needed or watershed subdivision is required, use the Tabular Hydrograph method. Use TR-20 if the watershed is very complex or a higher degree of accuracy is required.  The watershed must be hydrologically homogeneous, that is, describable by one CN. Land use, soils, and cover are distributed uniformly throughout the watershed.  The watershed may have only one main stream or, if more than one, the branches must have nearly equal Tc's.  The method cannot perform valley or reservoir routing.  The ponding factor can be applied only for ponds or swamps that are not in the Tc flow path.  Accuracy of peak discharge estimated by this method will be reduced if Ia/P values are used that are outside the range given in the TR-55 reference. The limiting Ia/P values are recommended for use.  This method should be used only if the weighted CN is greater than 40.  When this method is used to develop estimates of peak discharge for both present and developed conditions of a watershed, use the same procedure for estimating Tc.  Tc values with this method may range from 0.1 to 10 hours.

Appendix A-3: Other Methods and Models SCS TR-20 - Soil Conservation Service, 1983 Applicable for drainage areas up to 20 square miles, the TR-20 hydrologic model is used for watershed analysis where any of the following conditions are applicable.  Sub-areas are significantly different in size (5:1), land use (cover), or hydrologic soil groups.  An outflow hydrograph from a detention pond is needed.  A detention basin has multiple sub-areas in its drainage area, requiring an accurate peak discharge value and a composite runoff volume.  Multiple detention structures are used either in parallel or in series.  Conveyance channel storage is large.  Calibration of the model using actual rainfall amounts and distribution is needed.  Flow (splitting) diversions are required SCS TR-20 Hydrologic Model is a watershed computer model which uses the SCS Synthetic Unit Hydrograph to calculate runoff from any specified precipitation event. SCS TR-20 performs reservoir routing using the storage-indication method and channel routing using the Modified Att-Kin method. Time of concentration, travel time and antecedent moisture conditions are taken into account. The program provides hydrographs at any desired location allowing the evaluation of the effects of urbanization or other varied conditions within a watershed. The program allows for the analysis of nine different rainstorm distributions over a watershed and can utilize varied combinations of land treatment, floodwater retarding structures, diversions and channel configurations. Up to 200 reaches and 99 structures may be analyzed.

The model can be used in design or watershed simulation. It is normally calibrated to actual events for large projects.

This procedure should be used with caution for drainage areas less than 50 acres or individual drainage areas more than 20 square miles. It may be used on watersheds up to 391 square miles in area, assuming subdivision of the total watershed into relatively homogeneous sub-watersheds of less than 20 square miles each, and routing through all subareas to the study point.

SCS TR-55 Tabular Method - Soil Conservation Service, 1986 For drainage areas up to 2,000 acres, the Tabular Method approximates TR-20 which is a more detailed hydrograph procedure; TR-55 is in fact derived from a simplification of the TR-20 model. The Tabular Method can develop composite flood hydrographs at any point in a watershed by dividing the watershed into homogeneous subareas. In this manner, the method can estimate runoff from non-homogeneous watersheds. The method is especially applicable for estimating the effects of land use change in a portion of a watershed.

It can also be used to estimate the effects of proposed structures. Refer to TR-55 for a detailed description of the use of the method.

Refer to applicable chapters of TR-55 for specific limitations, including those pertaining to the derivation of Curve Number (CN) and Time of Concentration (Tc).  TR-55 is based on open and unconfined flow over land or in channels. For large events during which flow is divided between piped or channelized and overland flow, more information about hydraulics is needed to determine Tc. After flow enters a closed system, the discharge can be assumed constant until another flow is encountered at a junction or another inlet.  The Tabular Hydrograph method is derived from TR-20 output. The use of Tc permits it to be used for any size watershed within the scope of the curves or tables. The Tabular Method can be used for a heterogeneous watershed that is divided into a number of homogeneous sub-watersheds.

Hydrographs for the sub-watersheds can be routed and added.  The Tabular Method is used to determine peak flows and hydrographs within a watershed. However, its accuracy decreases as the complexity of the watershed increases. To compare present and developed conditions of a watershed, use the same procedure for estimating Tc for both conditions.  Use the TR-20 computer program instead of the Tabular Method if any of the following conditions applies: o Tt is greater than 3 hours. o Tc is greater than 2 hours. o Drainage areas of individual subareas differ by a factor of 5 or more. o The entire composite flood hydrograph or entire runoff volume is required for detailed flood routings. The hydrograph based on extrapolation is only an approximation of the entire hydrograph. o The time of peak discharge must be more accurate than that obtained through the Tabular Method. o CN is less than 30.  The composite flood hydrograph should be compared with actual stream gage data where possible.

The instantaneous peak flow value from the composite flood hydrograph can be compared with data from USGS curves of peak flow versus drainage area.

Corps of Engineers: HEC-1- Hydrologic Engineering Center, 1990 Same as TR-20, but in addition considers snowmelt behavior. It can be used in reverse to determine a unit hydrograph given watershed parameters and an actual rainfall and hydrograph event. HEC-1 requires the input of more complex data than TR-20, but provides greater flexibility in calibrating a rainfall runoff model with actual stream gauge records. The program develops discharge hydrographs for either historical or hypothetical events for one or more locations in a watershed that can be subdivided into many subwatersheds. Reservoirs and diversions can also be accommodated.

The program options include: calibration of unit hydrograph and loss-rate parameters, calibration of routing parameters, generation of hypothetical storm data, simulation of snow pack processes and snow melt runoff, dam safety applications, multi-plan/multi-flood analysis, flood damage analysis, and optimization of flood control system components. A disadvantage could exist in small rugged watersheds where actual runoff documentation is not available. In an area where all soils have been mapped by SCS, the SCS runoff curve number method may offer more accurate results.

USGS Regression Equations (for Maine) - USGS, 1975 The method gives peak discharges for unregulated watersheds in Maine for the 2, 5, 10, 25, 50, 100 and 500 year peak discharge flows for drainage areas from 200 acres and greater. It does not give runoff volumes or hydrographs. This method may be used for structures needing only a peak discharge for design. It can also be used to calibrate or "ground truth" the TR-20 model. The gage network of data analyzed did not include urban (developed) watersheds with a high percent of imperviousness. The USGS method requires the following data as inputs:  Drainage area (square miles)  Channel length (miles)  Mean sea level (MSL) elevation at 85% of length at the upper end and 10% of length at lower end.  Pond and lake area in watershed (sq. miles).  The watershed being studied must be unregulated (no dams, etc.), not heavily urbanized, and of a configuration common to watersheds in the database used.  Before and after comparisons are not possible. The method's records include changing land use patterns, and records do not exist for long enough to do separate analysis of past and present land use and peak values.

Soil Conservation Service NEH-4 - Soil Conservation Service, 1972.

National Engineering Handbook Section 4 provides watershed analysis using the SCS Unit Hydrograph Method. Runoff hydrographs are calculated for a preselected rainfall distribution or duration, either natural or synthetic. Either peak discharge or a composite runoff hydrograph can be developed for watersheds of any size. This reference, primarily intended for SCS engineers and technicians, also contains methods and examples for studying the hydrology of watersheds and solving hydrologic problems.

Source Loading and Management Model - (SLAMM)

This model is designed for calculating urban runoff water quality, and does not contain the assumptions that affect runoff predictions for small storm events. The model enables close examination of individual source areas and their resulting impact on overall pollutant load if they are controlled or removed from the total study area. SLAMM only calculates runoff volume for water quality studies and does not calculate peak flow rate or time of concentration as typically needed for flooding and drainage studies.

The model is based on the fact that the majority of rainfall is contained in small rains (less than one inch) where other models, such as TR-55, do not correlate well with actual precipitation and runoff data for these smaller storms. SLAMM predicts runoff volumes and runoff pollutant yield (or reduction) estimates for the watershed for variable land uses and stormwater controls.

Chapter 11 Administrative Regulations for Hydropower Projects

Code Me. R. 01-672 Ch. 11 Administrative Regulations for Hydropower Projects {#sec-01-672-ch.-11 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 11}

and

06-096 DEPARTMENT OF ENVIRONMENTAL PROTECTION

Chapter 450: ADMINISTRATIVE REGULATIONS FOR HYDROPOWER PROJECTS

SUMMARY: The Department of Environmental Protection and the Land Use Planning Commission have adopted joint regulations for the processing of applications for hydropower projects under the Maine Waterway Development and Conservation Act and Maine Rivers Policy. The purpose of these regulations is to provide guidance on the administration of the Act, including guidance on how the Department and Commission will interpret the provisions of the Act and the Maine Rivers Policy, and how they will approach the judgments they must make under the criteria set forth in the Act and the Policy.

1. Applicability

A. This chapter applies to construction or reconstruction of a hydropower project, or structural alteration of a hydropower project in ways that change water levels or flows, including tidal and wave energy projects.

B. Unless otherwise specified in this chapter, if the Department is the Administering Agency, the requirements of the Department’s Rules Concerning the Processing of Applications and Other Administrative Matters , 06-096 C.M.R. Chapter 2 (amended October 19, 2015), apply to applications for hydropower projects. In the event of inconsistencies between this chapter and Chapter 2, applications for hydropower projects will be processed under the procedures set forth in this chapter.

C. Unless otherwise specified in this chapter, if the Commission is the Administering Agency, the requirements of the Commission’s Rules of Practice , 01-672 C.M.R. Chapter 4, apply to applications for hydropower projects. In the event of inconsistencies between this chapter and Chapter 4, applications for hydropower projects will be processed under the procedures set forth in this chapter.

2. Administering Agency

A. Department of Environmental Protection. The Department of Environmental Protection shall administer the permit process for a hydropower project that:

(1) is located wholly or partly within an organized municipality not served by LUPC; or

(2) uses tidal or wave action as a source of electrical or mechanical power, regardless of the hydropower project's location.

B. Maine Land Use Planning Commission. The Maine Land Use Planning Commission shall administer the permit process for a hydropower project that is located wholly within the State's unorganized and deorganized areas as defined by 12 M.R.S. §682(1), and that does not use tidal or wave action as a source of electrical or mechanical power.

3. Definitions

The following terms, as used in these regulations, shall have the following meanings, unless the context indicates otherwise:

A. Act. “Act” means the Maine Waterway Development and Conservation Act , 38 M.R.S. §§ 630–637.

B. Administering Agency. "Administering Agency" means either the Department or the Commission as set forth in Section 2 of this Rule.

C. Commission. “Commission” means the Land Use Planning Commission of the Maine Department of Agriculture, Conservation, and Forestry.

D. Cumulative adverse impacts. “Cumulative adverse impacts” are harms to the environment that are additive in nature. Harms caused by a proposed project and harms caused by other existing development, facilities or uses must be considered together and evaluated to determine if a threshold of acceptability for total harm to the environment is exceeded. For example, when viewed in isolation, a project might be seen as having only a minor on-site impact on water quality, e.g., a slight reduction in dissolved oxygen or a slight reduction in a run of anadromous fish. However, even minor reductions in dissolved oxygen at the site might cause downstream areas affected by other existing projects or discharges to violate water quality standards. Likewise, a seemingly small reduction in the number of salmon (say 10 percent loss at the project in question) might, when combined with the effects of other existing projects, cause a run to fail because the number of fish needed to sustain a breeding population was not maintained.

E. Commissioner. “Commissioner” means the Commissioner of the Department of Environmental Protection.

F. Department. “Department” means the Department of Environmental Protection.

G. Director. “Director” means the Executive Director of the Land Use Planning Commission.

H. Hydropower project or project. “Hydropower project” or “project,” means any development that utilizes the flow or other movement of water, including tidal or wave action, as a source of electrical or mechanical power, or that regulates the flow of water for the purpose of generating electrical or mechanical power. A hydropower project includes all powerhouses, dams, water conduits, turbines or other in-stream power devices, generators, transmission lines, water impoundments, roads and other appurtenant works and structures that are part of the development.

I. Mitigation. “Mitigation” means any action taken or not taken in order to avoid, minimize, rectify, reduce, eliminate, or compensate for actual or potential adverse environmental impacts. Such actions include, but are not limited to:

(1) avoiding an impact altogether by not taking a certain action or part(s) of an action;

(2) minimizing an impact by limiting the magnitude or duration of an activity or by controlling the timing of an activity;

(3) rectifying an impact by repairing, rehabilitating, or restoring the affected environment;

(4) reducing or eliminating an impact over time through preservation and maintenance operations during the life of the project; and

(5) compensating for an impact by replacing affected resources or environments or providing substitute resources or environments.

J. Outstanding river segment. “Outstanding river segment” means a river or stream segment designated by the Legislature as meriting special protection and identified in 12 M.R.S. §403.

4. Permit Requirements

A. Prohibition. No one may initiate construction or reconstruction of a hydropower project, or structurally alter a hydropower project in a way that changes water levels or flows, without first obtaining a permit from the Administering Agency. Normal maintenance and repair of an existing and operating hydropower project is exempt from the requirement for a permit, provided that:

(1) the activity does not involve any dredging or filling below the normal high-water line of any great pond, coastal wetland, river, stream or brook; and

(2) the activity does not involve any dredging or filling on the land adjacent to any great pond, coastal wetland, river, stream or brook such that any dredged spoil, fill or structure may fall or be washed into those waters.

B. Activities Requiring a Permit. The following types of activities are subject to the requirement for a permit:

(1) the construction of a new hydropower project, including a new water storage dam, or a new hydroelectric generating facility of any kind, whether utilizing a dam, a natural water feature, natural current velocities, or tidal action;

(2) the reconstruction of a hydropower project;

(3) any dredging or filling below the normal high water line of a water body to facilitate maintenance and repair of an existing and operating hydropower project; and

(4) the structural alteration of a hydropower project in a way that changes water levels or flows above or below the dam, including, but not limited to:

(a) the addition or alteration of flashboards; and

(b) the installation of additional or enlarged turbines.

C. Activities Not Requiring a Permit. The following types of normal maintenance and repair activities at existing and operating hydropower projects are exempt from the requirement for a permit, provided that the activity does not diminish water quality below applicable standards:

(1) the resurfacing or repair of dams, canals, powerhouses, retaining walls, or other structures where no earthen cofferdam, dredging, filling, or permanent water level alteration is involved;

(2) the repair, removal or replacement of flashboards, stop logs, gates, or intake racks where no earthen cofferdam, dredging, filling, or permanent water level alteration is involved;

(3) removal of materials collected on trash racks;

(4) removal of woody debris and other accumulated materials where no significant disturbance of soils or pond bottom or river bottom materials is involved;

(5) installing or removing booms;

(6) placement and removal of non-earthen cofferdams temporarily installed immediately adjacent to an existing structure for the purpose of inspecting and/or repairing the structure;

(7) removal of sediment and debris from gated canals, tunnels and penstocks from which the water has been removed; and

(8) sealing of leaks in gates, stop logs and flashboards.

D. Special Protection for Outstanding River Segments

(1) No license or permit may be issued for a new dam on an outstanding river segment identified in 12 M.R.S. §403, or for the construction of any water diversion project which would constitute a hydropower project pursuant to 38 M.R.S. §632, and which would bypass all or part of the natural course of an outstanding river segment, unless:

(a) the Legislature specifically authorizes the Administering Agency to consider such a permit; and

(b) the Administering Agency finds that the project meets the criteria of 38 M.R.S. §636, as outlined in subsection 5 below.

(2) A license or permit may be issued for the additional development or redevelopment of an existing dam on an outstanding river segment only when:

(a) the Administering Agency finds that the project does not diminish the significant resource values of the outstanding river segment, which are identified by the 1982 Maine Rivers Study as provided in 12 M.R.S. §403; and

(b) the Administering Agency further finds that the project meets the criteria of 38 M.R.S. §636, as outlined in subsection 5 below.

In determining whether or not significant resource values identified by the Maine Rivers Study will be diminished, the Administering Agency shall not consider measures proposed to replace or substitute for losses.

For the purposes of this rule, an “existing dam on an outstanding river segment” shall mean a man-made barrier across any outstanding river segment identified in 12 M.R.S. §403, which impounds water, and which, as of September 23, 1983, had not been breached, deteriorated, or modified to the point where it no longer impounded water at or near its design level at normal flows.

For the purposes of this rule, “additional development or redevelopment of an existing dam on an outstanding river segment” shall mean any activities associated with the installation, reinstallation, or expansion of any hydroelectric or hydromechanical generating capacity at an existing dam on an outstanding river segment as defined above, that does not result in any increase in water levels above the dam or any dewatering of the outstanding river segment below the dam except during construction.

5. Standard of Review

The Administering Agency shall approve a project when it finds that the applicant has demonstrated that the following criteria have been met, as set forth in 38 M.R.S. §636.

A. Financial and technical capability. The applicant has the financial capability and technical ability to undertake the project. In the event that the applicant is unable to demonstrate financial capability, the Department or Commission may grant the permit contingent upon the applicant’s demonstration of financial capability prior to commencement of any permitted activities.

B. Safety. The applicant has made adequate provisions for protection of public safety.

C. Public benefits. The project will result in significant economic benefits to the public, including, but not limited to, creation of employment opportunities in Maine. The Administering Agency shall identify and measure economic benefits and costs using generally accepted methods and procedures, such as those published by the United States Water Resources Council. In accordance with these methods and procedures, economic benefits may include, but are not limited to: increases in the income or purchasing power of Maine citizens, energy security from reducing dependence upon fossil fuels, and creation of employment opportunities for workers of the State. Economic costs may include, but are not limited to: decreases in the income or purchasing power of Maine citizens, the value of other hydroelectric generating opportunities diminished or eliminated by a project, and the elimination of employment opportunities in Maine. To meet this criterion, the applicant must demonstrate that:

(1) the benefits claimed from the proposed project are real, in that the benefits would not result but for the project;

(2) the project’s economic benefits are greater than its economic costs, and that the resulting net benefit is significant when compared to the economic conditions likely to exist without the project; and

(3) in cases involving new dams which would result in substantial economic costs to the public, the benefits claimed from the project have been weighed against the economic conditions that would otherwise result from any alternative source(s) of energy generation or conservation that might reasonably be pursued in the event that the project is not built.

D. Traffic movement. The applicant has made adequate provision for traffic movement of all types including but not limited to land-based and water-based vehicles and pedestrians out of or into the project area.

E. Maine Land Use Planning Commission. Within the jurisdiction of the Commission, the project is an allowed use within the subdistricts in which it is proposed and the project complies with the Commission’s land use standards. This criterion does not apply to any project that uses tidal or wave action as a source of electrical or mechanical power.

F. Environmental mitigation. The applicant has made reasonable provisions to realize the environmental benefits of the project, if any, and to mitigate its adverse environmental impacts.

Mitigation is not necessarily limited to the replacement of affected resources or environments (i.e., in-kind or on-site mitigation), but may involve the provision of substitute resources or environments (i.e., out-of-kind or off-site mitigation). In-kind or on-site mitigation measures are preferred. Off-site or out-of-kind measures may be acceptable where the Administering Agency finds that in-kind or on-site measures are not feasible or are not desirable.

Whether an applicant’s provisions to realize environmental benefits or to mitigate adverse environmental impacts are reasonable depends in part upon the significance of the resource(s) affected.

G. Environmental and energy considerations. The advantages of the project are greater than the direct and cumulative adverse impacts over the life of the project based upon the considerations below.

The Administering Agency shall make a written finding of fact with respect to the nature and magnitude of the impact of the project on each of the considerations under this sub-section, and a written explanation of its use of these findings in reaching a decision. The Administering Agency shall consider:

(1) whether the project will result in significant benefit or harm to soil stability, coastal and inland wetlands, or the natural environment of any surface waters and their shorelands;

(2) whether the project will result in significant benefit or harm to fish and wildlife resources. In making its determination, the Administering Agency shall consider other existing uses of the watershed, and fisheries management plans adopted by the Department of Inland Fisheries and Wildlife and/or the Department of Marine Resources;

(3) whether the project will result in significant benefit or harm to historic and archaeological resources;

(4) whether the project will result in significant benefit or harm to the public rights of access to and use of the surface waters of the State for navigation, fishing, fowling, recreation and other lawful public uses;

(5) whether the project will result in significant flood control benefits or flood hazards; and

(6) whether the project will result in significant hydroelectric energy benefits, including the increase in generating capacity and annual energy output resulting from the project, and the amount of nonrenewable fuels it would replace.

H. Water Quality. There is reasonable assurance that the project will not violate applicable state water quality standards, including the provisions of 38 M.R.S. §464(4)(F). This finding is required for the proposed impoundment and for any affected classified water bodies downstream of the proposed impoundment. The Department shall reclassify the waters of the proposed impoundment to Class GPA if the Department finds:

(1) there is a reasonable likelihood that the proposed impoundment will thermally stratify;

(2) the proposed impoundment will exceed 30 acres in surface area;

(3) the proposed impoundment will not have any upstream direct discharges except cooling water; and

(4) the proposed impoundment will not violate 38 M.R.S. §464(4)(F).

I. Additional Information Requirements. The Administering Agency may require applicants for hydropower projects to submit additional information as deemed necessary to demonstrate that the criteria in Section 5 of this chapter have been met.

6. Process and Time Limits for Decisions

A. Administering Agency Action. Once an application has been accepted as complete for processing, the Administering Agency shall either:

(1) approve the proposed project upon such terms and conditions as are appropriate and reasonable to protect and preserve the environment and the public’s health, safety and general welfare, including the public interest in replacing fossil fuel-derived energy with hydroelectric energy;

(2) disapprove the proposed project, setting forth in writing the reasons for the disapproval; or

(3) schedule a hearing on the proposed project. Any hearing held under this subsection shall follow the notice requirements and procedures for an adjudicatory hearing under 5 M.R.S. §§ 9051–9064. After any hearing is held under this subsection, the Administering Agency shall make findings of fact and issue an order approving or disapproving the proposed project.

B. Water Quality Certification. The Administering Agency shall issue or deny water quality certification at the same time it approves or disapproves the proposed project.

7. Terms and Conditions of Approval

A. Authority. The Administering Agency may approve the proposed project upon such terms and conditions as are appropriate and reasonable to protect and preserve the environment and the public’s health, safety and general welfare, including the public interest in replacing fossil fuel-derived energy with hydroelectric energy. These terms and conditions may include, but are not limited to:

(1) establishment of a water level range for the body of water impounded by a hydropower project;

(2) establishment of instantaneous minimum flows for the body of water affected by a hydropower project; and

(3) provisions for the construction and maintenance of fish passage facilities.

In those cases where the proposed project involves maintenance, reconstruction or structural alteration at an existing hydropower project and where the proposed project will not alter historic water levels or flows after its completion, the Administering Agency may impose temporary terms and conditions of approval relating to paragraph A or paragraph B of this subsection but shall not impose permanent terms and conditions that alter historic water levels or flows.

B. Nature of Terms and Conditions. Such case-specific terms and conditions placed by the Administering Agency on its approval of a proposed project will specify particular means of satisfying minor or easily corrected problems, or both, relating to compliance with the Act and shall not substitute for or reduce the burden of proof of the applicant to demonstrate to the Administering Agency that each of the standards of the Act has been met.

C. Standard Conditions of Approval. Unless otherwise specifically stated in the approval, all Administering Agency, Commissioner, and Director approvals are subject to the following standard conditions:

(1) Limits of Approval. Project approval is limited to and includes the proposals and plans contained in the application and supporting documents submitted and affirmed to by the applicant. All variances from the plans and proposals contained in said documents are subject to the review and approval of the Administering Agency prior to implementation.

(2) Noncompliance. Should the project be found, at any time, not to be in compliance with any of the conditions of approval, or should the permittee construct or operate the project in any way other than as specified in the application or supporting documents, as modified by the conditions of approval, then the terms of approval will be considered to have been violated.

(3) Compliance with all Applicable Laws. The permittee shall secure and appropriately comply with all applicable federal, state and local licenses, permits, authorizations, conditions, agreements, and orders prior to or during construction and operation of the permitted project.

(4) Inspection and Compliance. Authorized representatives of the Administering Agency or the Attorney General must be granted access to the premises of the permittee at any reasonable time for the purpose of inspecting the construction or operation of the project and assuring compliance by the permittee with the conditions of approval.

(5) Initiation and Completion of Construction. If construction is not commenced within 3 years and completed within 7 years from the date of issuance of the Authorizing Agency’s permit, the approval will lapse, unless a request for an extension of these deadlines has been approved by the Administering Agency.

(6) Construction Schedule. Prior to the start of construction, the permittee shall submit a final construction schedule for the project to the Administering Agency.

(7) Approval Included in Contract Bids. A copy of the project’s approval must be included in or attached to contract bid specifications for the project.

(8) Approval Provided to Contractor. Work done by a contractor pursuant to the project’s approval may not begin before a copy of the approval has been provided to the contractor by the permittee.

(9) Notification of Project Operation. The permittee shall notify the Commissioner or Director of the commencement of commercial operation of the project within 10 days prior to such commencement.

(10) Assignment or Transfer of Approval. Written consent to transfer an approval must be applied for no later than two weeks after the assignment or transfer of ownership of property covered by an approval under these Rules. Pending Administering Agency determination on the application for a transfer or assignment of ownership of an existing approval, the person(s) to whom such property is assigned or transferred shall abide by all of the terms and conditions of that approval and is jointly and severally liable with the original permitee for any violation of the terms and conditions thereof. To obtain the Administering Agency’s approval of transfer, the proposed assignee or transferee must demonstrate the financial capability and technical ability to (1) comply with all terms and conditions of the approval and (2) satisfy all other applicable statutory criteria. As used in this paragraph, “transfer of ownership” means a change in the legal entity that owns a project that is the subject of a permit issued pursuant to this chapter. A sale or exchange of stock (or in the case of a limited liability corporation, of membership interests), or a merger, is not a transfer of ownership for the purposes of this rule provided the legal entity that owns the project remains the same.

8. Access to the Site

The filing of an application for approval of a hydropower project pursuant to 38 M.R.S. §633 constitutes the granting of permission by the applicant to allow Administering Agency members and their staff, and others authorized by the Administering Agency to access the site of the proposed project in order to facilitate review of such application.

9. Severability

The provisions of this chapter are severable. If a section, sentence, clause, or phrase of this chapter is adjudged by a court of competent jurisdiction to be invalid, such decision shall not affect the validity of the remaining portions of this chapter.

History

• STATUTORY AUTHORITY: 5 M.R.S. §§ 8001-11008, Maine Administrative Procedure Act
• STATUTORY AUTHORITY: 12 M.R.S. §§ 401-409, Maine’s Rivers, and §§ 681-689, Use Regulation
• STATUTORY AUTHORITY: 38 M.R.S. §§ 630-638, Permits for Hydropower Projects
• EFFECTIVE DATE: September 29, 1987 filing 87-3, 91 days after the June 30, 1987 adjournment of the First Regular Session of the 113th Maine Legislature, as provided by 38 M.R.S. §637
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CORRECTIONS: April 18, 1997
• NON-SUBSTANTIVE CORRECTIONS: September 2, 1997 - minor punctuation; converted to Microsoft Word
• CORRECTION: January 13, 2000 - removed Section 5(A)(8) as never formally adopted; restored 5(A)(7)(g) from original paper adoption.
• CORRECTION: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 04-061 to 01-672.)
• REPEALED AND REPLACED: November 2, 2017 - filing 2017-124, 91 days after the August 2, 2017 adjournment of the First Regular Session of the 128th Maine Legislature, as provided by 38 M.R.S. §637
• REPEALED AND REPLACED: WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 12 Land Use District Requirements - Metallic Mineral Exploration and Level C Mineral Exploration

Code Me. R. 01-672 Ch. 12 Land Use District Requirements for Metallic Mineral Mining and Level C Mineral Exploration Activities {#sec-01-672-ch.-12 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 12}

Section 1. Purpose

This rule establishes procedures and requirements for changes to land use subdistrict boundaries for metallic mineral mining activities and Level C mineral exploration activities in the Planned Development (D-PD) Subdistrict.

Section 2. Applicability

The provisions of this rule apply to redistricting requirements for changing a subdistrict to a D-PD Development Subdistrict for the purposes of metallic mineral mining activities and Level C mineral exploration activities within the jurisdiction of the Maine Land Use Planning Commission. Level A and B mineral exploration activities are allowed in appropriate subdistricts in accordance with the requirements and standards set forth in Chapter 10 of the Commission's Land Use Districts and Standards. For the purposes of this rule, the terms "metallic mineral mining activities" and "Level C mineral exploration activities" shall have the meaning given them in Section 10.02 of the Commission's Land Use Districts and Standards.

Section 3. Certain Mining Activities to be Conducted in the Planned Development (D-PD) Subdistrict

Metallic mineral mining activities and Level C mineral exploration activities shall be allowed only within the D-PD Development Subdistrict. The size of such Subdistrict shall be limited to an area necessary to reasonably conduct authorized mining and Level C mineral exploration activities, and to adequately buffer those activities from surrounding resources or uses, but in no event shall it be less than 50 contiguous acres.

Section 4. Requirements for Changes to a Subdistrict Boundary

Commission Approval Required. An applicant who seeks a metallic mineral mining or an advanced exploration permit from the Department of Environmental Protection under Title 38, chapter 3, subchapter 1, article 9 for a metallic mineral mining project located wholly or in part within the unorganized and deorganized areas of the State must petition and receive approval from the Commission for a change in the Subdistrict boundary to a D-PD Development Subdistrict. The Commission shall hold at least one public hearing on a petition for the D-PD Development Subdistrict designation in accordance with Chapter 5 of the Commission's Rules, Rules for the Conduct of Public Hearings.

Criteria for Approval of a Petition to Change a Subdistrict to a D-PD Development Subdistrict for Metallic Mineral Mining and Level C Mineral Exploration Activities

1. Pursuant to 12 M.R.S.A., Section 685-A(8-A) no change in a district boundary shall be approved by the Commission unless there is substantial evidence that:

The change would be consistent with the standards for D-PD Development Subdistrict boundaries in effect at the time; the Comprehensive Land Use Plan; and the purpose, intent and provisions of 12 M.R.S.A. Chapter 206-A; and

The change in districting will have no undue adverse impact on existing uses or resources or a new district designation is more appropriate for the protection and management of existing uses and resources within the affected area.

(2) When reviewing a petition to change a subdistrict to a D-PD Development Subdistrict for the purposes of metallic mineral mining or Level C mineral exploration activities and applying the statutory criteria for approval as set forth in B(1)(a) of this section, the Commission, in addition to determining consistency with the standards for the D-PD Development Subdistrict boundaries and the Comprehensive Land Use Plan, shall consider the following factors when determining consistency with the purpose, intent and provisions of 12 M.R.S.A. Chapter 206-A:

• 1. Positive and negative impacts upon the areas within and adjacent to the Commission's jurisdiction resulting from the change in use and development of the area. Such impacts may include, but are not limited to, impacts to regional economic viability, Maine’s natural resource-based economy, local residents and property owners, ecological and natural values, recreation, and public health, safety, and general welfare; 2. Positive and negative impacts upon the areas within and adjacent to the Commission’s jurisdiction resulting from the use and development of associated transportation routes and other infrastructure; and 3. Potential for future reclamation and beneficial use of the affected area, in accordance with the Commission's Comprehensive Land Use Plan, following closure of the site.

(3) When reviewing a petition to change a subdistrict to D-PD Development Subdistrict for the purposes of metallic mineral mining or Level C mineral exploration activities and applying the statutory criteria for approval as set forth in B(1)(b) of this section, the Commission shall consider the following potential impacts:

Potential short and long term socioeconomic impacts, both positive and negative, upon the immediate area and communities likely to be affected by the proposed activities and resulting from the construction, operation and closure of the proposed activity;

Potential impacts on services (such as fire and police protection, education and solid waste disposal) and utilities, proximity or availability of those services and utilities, and obligations or burdens for communities or State, county or local governments to provide those services;

Potential impacts on existing infrastructure and any needs for new infrastructure to support the proposed activities; and

Potential impacts to existing uses and natural resources including, but not limited to: forest resources; historic sites; wildlife and plant habitats; scenic resources; water resources; and recreation resources.

In considering these impacts and determining whether any adverse impact associated with the proposed rezoning is an undue adverse impact on existing uses or resources, the Commission shall consider the potential for a metallic mineral mining or Level C mineral exploration permittee to avoid, minimize, or mitigate to the extent permitted by law, a potentially adverse impact so that the resulting impact is not an undue adverse impact.

Submittal Requirements

• 1. In order to demonstrate to the satisfaction of the Commission that a petition meets the criteria set forth in subsection B above, a petition to change a Subdistrict to a D-PD Development Subdistrict for a proposed metallic mineral mining or Level C mineral exploration activity must, at a minimum, contain the following: 2. A narrative description of the nature and basis for the subdistrict change being requested; 3. A legal description and delineation of the property boundaries proposed for redistricting, including names, addresses and affiliations of current owners and any other entities having a legal interest in the property; 4. Names and addresses of property owners located within 1,000 feet of the subject property; 5. A preliminary plan for general location and timing of project elements; 6. A location map drawn to scale on the most recent version of the USGS topographic map and a Maine Land Use Planning Commission Land Use Guidance Map that indicates the area for which a D-PD Development Subdistrict designation is sought and the estimated boundaries of the ore body proposed to be explored or mined; 7. A map drawn to scale of at least 1 inch to 100 feet showing existing site conditions, including contours at 10 foot intervals or less, water courses, unique or unusual natural conditions, forest cover, wetlands, known or likely deer wintering areas, lakes, ponds, existing structures, road and transportation routes, property boundaries and names of adjoining property owners, scenic locations and other prominent topographical and natural resource features; 8. A soils map of low intensity that encompasses those portions of the property proposed for D-PD Development Subdistrict designation, including identification of soils used in the USDA Soil Series; 9. Surficial and bedrock geology maps at a scale of 1:24,000, or largest scale available, of the property proposed for D-PD Development Subdistrict designation; 10. A map and or description of the location of public, private and industrial water supplies as well as mapped aquifers located within a three mile radius of the mining area or exploration site; 11. A map and description of the location and extent of existing infrastructure to include roadways and transportation routes to be utilized, potential impacts on this existing infrastructure, as well as infrastructure to be constructed or improved; 12. A map identifying significant natural resources and sensitive natural areas located within a three-mile radius of the mining area or exploration site including protected water bodies, significant wildlife and plant areas, fragile mountain areas, historic sites, scenic resources, public lands, registered critical areas, and Commission subdistricts; 13. A map and description of existing uses, such as recreational uses, within a three-mile radius of the mining area or exploration site; 14. A description of general measures that may be undertaken to assure that mining in the specified location will not have undue adverse impacts on existing uses and resources and measures that a permittee may take to avoid, minimize or mitigate any adverse impacts; 15. A description of socioeconomic impacts, both positive and negative, of the proposed metallic mineral mining or level C mineral exploration activities upon the immediate area and communities within and adjacent to the Commission’s jurisdiction likely to be affected by the proposed activities, as well as to the county and state; 16. An evaluation of the sufficiency of existing services and utilities, a description of any general measures necessary to increase those service capacities and an examination of the burdens on communities or government to provide those services; 17. An explanation of how this proposal is consistent with the standards and purpose of the D-PD Development Subdistrict; and 18. A description of the anticipated site conditions following closure and the potential for future reclamation and beneficial use of the affected area.

D. Subdistrict Boundary Change for a Limited Period

A decision by the Commission on a petition for a subdistrict change to a D-PD Development Subdistrict for a metallic mineral mining or Level C mineral exploration activity must occur before a decision is made on a metallic mineral mining or exploration permit by the Department of Environmental Protection (Department), as applicable. Such a subdistrict boundary change is limited to the longer of a period of 10 years from the date of approval of the subdistrict change or the expiration date of a permit issued by the Department or the Commission for metallic mineral mining activities or Level C mineral exploration activities within the D-PD Development Subdistrict. If no metallic mineral mining or Level C mineral exploration activities occur within ten years of the Commission granting the zone change, the D-PD Development Subdistrict designation shall automatically revert to the appropriate Subdistrict designation(s). If an application for the development of the site is pending either with the Department or the Commission, the Commission, at its discretion, and for good cause shown, may extend the duration of the D-PD Development Subdistrict to allow for the completion of the proceeding. Following closure and reclamation, the landowner or lessee of the mining area shall petition the Land Use Planning Commission for rezoning to an appropriate Subdistrict designation.

History

• STATUTORY AUTHORITY: 12 M.R.S.A. §681 et seq.
• EFFECTIVE DATE: August 13, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CHANGES: September 2, 1997 -
• NON-SUBSTANTIVE CHANGES: converted to Microsoft Word for Windows format
• AMENDED: May 27, 2013 – filing 2013-118
• AMENDED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 01-672 to 01-672.)
• AMENDED: WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 14, 2025

Chapter 13 Metallic Mineral Exploration and Mining Certifications

Code Me. R. 01-672 Ch. 13 of the Commission's Rules {#sec-01-672-ch.-13 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 13}

Effective Date:

September 20, 2018

Chapter 13

Metallic Mineral Exploration,

and Mining Certifications

GENERAL PROVISIONS

Applicability.

This Chapter applies to all exploration activity and all mining activity, including advanced exploration, in the unorganized and deorganized areas of the State.

Definitions.

As used in this Chapter, unless the context otherwise indicates, the following terms have the following meanings:

• 1. Advanced Exploration. “Advanced exploration” or “advanced exploration activity” means any metallic mineral bulk sampling or exploratory activity that exceeds those activities that are exploration activities, but removes 10,000 tons or less of mine waste. Samples taken as part of “exploration” are not considered bulk sampling. 2. Beneficiation. “Beneficiation” means the treatment of ore to liberate or concentrate its valuable constituents. “Beneficiation” includes, but is not limited to, crushing, grinding, washing, dissolution, crystallization, filtration, sorting, sizing, drying, sintering, pelletizing, briquetting, calcining, roasting in preparation for leaching to produce a final or intermediate product that does not undergo further beneficiation or processing, gravity concentration, magnetic separation, electrostatic separation, flotation, ion exchange, solvent extraction, electrowinning, precipitation, amalgamation, and dump, vat, tank and in situ leaching. 3. Bulk Sampling. “Bulk sampling” means the removal of samples for the purpose of testing to determine the feasibility, method, or manner of extraction and/or processing of metallic minerals. Such testing may include milling or grinding tests, and/or pilot plant and processing tests. Methods of bulk sampling may include, but are not limited to, drilling and boring, digging of shafts and tunnels, or digging of pits and trenches. For purposes of this rule, bulk sampling of metallic mineral deposits is included in advanced exploration and is limited to the removal of no more than 10,000 tons of mine waste. 4. Commission. “Commission’ means “the Maine Land Use Planning Commission” and, unless clearly stated otherwise or clearly evident from the context, includes Commission staff where, consistent with Chapter 3 of its rules, the Commission has delegated authority to its staff to act on behalf of the Commission. 5. Department. “Department” means the Maine Department of Environmental Protection. 6. Director. “Director” means the Director of the Maine Land Use Planning Commission. 7. Drilling. “Drilling” means the making of holes with a drill for exploration of a metallic mineral deposit. 8. Drill Hole. “Drill hole” means the cavity created by drilling. 9. Exploration. “Exploration” or “exploration activity” means activities conducted in accordance with this Chapter for the purpose of determining the location, extent and composition of metallic mineral deposits, test boring, test drilling, hand sampling, the digging of test pits, trenching or outcrop stripping for the removal of overburden having a maximum surface opening of 300 square feet per test pit or trench, or other test sampling methods determined by the Commission, in consultation with the Department, to cause minimal disturbance of soil and vegetative cover. 10. Exploration Permit. “Exploration permit” means a permit issued by the Commission pursuant to Chapter 10, Land Use Districts and Standards, and in accordance with Chapter 13, authorizing metallic mineral exploration activities. 11. Exploration Site. “Exploration site” means the area within which exploration or activities incidental thereto occur, or may reasonably be expected to occur. 12. Groundwater. “Groundwater” means all the waters found beneath the surface of the earth which are contained within or under this State or any portion thereof, except such waters as are confined and retained completely upon the property of one person and do not drain into or connect with any other waters of the State. 13. Metallic Mineral. “Metallic mineral” means any ore or material to be excavated from the natural deposits on or in the earth for its metallic mineral content to be used for commercial or industrial purposes. “Metallic mineral” does not include ores of thorium or uranium. 14. Mine Waste. “Mine waste” means all material, including, but not limited to, overburden, rock, lean ore, leached ore, or tailings, that in the process of mining and beneficiation has been exposed or removed from the earth during advanced exploration and mining activities. 15. Mining. “Mining,” or “mining activity” means activities, facilities or processes necessary for the extraction or removal of metallic minerals or overburden or for the preparation, washing, cleaning or other treatment of metallic minerals and includes the bulk sampling, advanced exploration, extraction or beneficiation of metallic minerals as well as waste storage and other stockpiles and reclamation activities, but does not include exploration. 16. Ore. “Ore” means rock containing sufficient metallic mineralization to process using technologies that exist at the mining operation. 17. Overburden. “Overburden” means soil, rock, or other materials which lie above or between the natural mineral deposits to be mined. 18. Person. “Person” shall mean an individual, firm, association, organization, partnership, trust, company, corporation, state agency or other legal entity. 19. Qualified Professional. “Qualified professional” or “qualified person” means a scientist, engineer, or professional in a technical discipline with sufficient training and experience to enable the individual to make sound professional judgments regarding conducting technical analyses or regarding the design, construction, and operation of regulated units and ancillary structures who, if accreditation is the norm in the profession, is accredited in the State of Maine, or subject to review and approval by the Commission, is accredited in another jurisdiction. 20. Reclamation. “Reclamation” means the rehabilitation of the area of land affected by the exploration activities, including but not limited to, the stabilization of slopes and the creation of safety benches, the planting of vegetation including grasses, crops, shrubs, and/or trees, and the enhancement of wildlife and aquatic habitat and aquatic resources. 21. Tailings. “Tailings” means the product resulting from the milling and mineral concentration process remaining after extraction of minerals by physical or chemical means. 22. Topsoil. “Topsoil” means the material at the earth’s surface which has been so modified and acted upon by physical, chemical, and biological agents that it will support rooted plants.

Prohibition.

It shall be unlawful for any person to engage in any exploration or mining activity, including advanced exploration, or to initiate construction in preparation for conducting these activities, except as authorized pursuant to this Chapter.

Relation to Other Rules.

This Chapter is intended to supplement rules administered by the Commission. No activity described in this Chapter is exempt from a requirement contained in any Commission rule unless such requirement, and rule, is specifically cited and described as inapplicable.

• 1. Obligation to Comply. Compliance with the provisions of this Chapter, or an exploration permit or certification determination issued in accordance with this Chapter does not relieve a person of the obligation to comply with all other applicable state or federal statutes or regulations, including but not limited to, the regulations for air emissions, waste discharges, solid and hazardous waste management, underground oil storage facilities, oil discharge pollution prevention measures and facilities, and waste oil. 2. Other Permits. Depending upon the location, type and extent of activity, a permit may be required under other rules or statutes. Persons seeking to conduct exploration or mining activities should check with the appropriate agencies, including the Department and the Maine Geological Survey to determine applicable requirements.

Relation to Chapter 10.

The Commission’s Chapter 10 rules, Land Use Districts and Standards , establishes in which subdistricts exploration activities and mining activities, including advanced exploration, are an allowed use. Chapter 10 categorizes exploration and advanced exploration activities as falling into one of the following three use listings: Level A Mineral Exploration Activities, Level B Mineral Exploration Activities, and Metallic Mineral Mining Activity, Tier One Advanced Exploration. Level A Mineral Exploration Activities, and Level B Mineral Exploration Activities are subject to Section 13.02. Tier One Advanced Exploration, as well as other mining activities, is subject to Section 13.03.

EXPLORATION

Purpose of Exploration Requirements.

The purpose of this subchapter is to establish procedures and standards for exploration activities.

Applicability of Exploration Requirements.

This subchapter applies to any person proposing to conduct metallic mineral exploration activities in the area served by the Commission.

NOTE: Geophysical surveys are considered as exploration for the purposes of this Chapter and the standards and submissions under Section 13.02,C, provided that they require some disturbance of soil or vegetation, such as cutting or clearing of vegetation along a survey grid. Non-intrusive methods, such as aeromagnetic surveys or other remote-sensing methods that do not involve any disturbance of soil or vegetation are not considered part of exploration for the purposes of this Chapter.

Requirements for Exploration Activities.

• 1. Applicability of Standards. The Commission’s Chapter 10 rules identify in which subdistricts exploration is an allowed use. Where an allowed use, exploration is allowed without a permit subject to standards, allowed with a permit, or allowed with a permit upon obtaining special exception approval. To be allowed without a permit subject to standards, the person engaging in exploration must comply with the standards in Section 13.02,C,2, and not the standards in Section 10.27,C,1, of the Commission’s Chapter 10 rules. Where exploration is allowed only after obtaining a permit, whether or not special exception approval is required, the person applying for a permit must demonstrate compliance with the standards in Section 13.02,C,2, and not the standards in Section 10.27,C,1, of the Commission’s Chapter 10 rules. Notwithstanding the general requirement that a person engaging in exploration must comply with the standards in Section 13.02,C,2, exploration that would not comply with these standards may be allowed upon issuance of a permit from the Commission, provided that exploration is an allowed use in the subdistrict involved. An applicant for such a permit shall show by a preponderance of the evidence that the proposed activity, which is not in conformance with the standards in Section 13.02,C,2, shall be conducted in a manner that produces no undue adverse impact upon the resources and uses in the area. 2. Standards. Except as provided in Section 13.02,C,1, the following minimum standards must be met for exploration activities: 1. New access ways shall involve little or no recontouring of the land or ditching, and shall not include the addition of gravel or other surfacing materials. Clearing of the vegetative cover shall be limited to the minimum necessary to allow for the movement of equipment. Existing access ways shall be maintained to ensure that runoff is delivered immediately to stable ditches, if any, and vegetated buffer areas. 2. Access way approaches to stream channels shall be located and designed so as to divert water runoff from the way in order to prevent such runoff from directly entering the stream. 3. Erosion control measures must be implemented to prevent unreasonable erosion of soil or sediment beyond the exploration site or into sensitive areas such as slopes exceeding 15% and areas that drain directly into water bodies, drainage systems, water crossings, or wetlands; these measures must be in place before exploration activity, or related activities including, but not limited to, clearing and road construction, begins. Measures must remain in place and functional until the site is permanently stabilized. Adequate and timely temporary and permanent stabilization measures must be taken and the site must be maintained to prevent unreasonable erosion and sedimentation. 4. Exploration activities or associated access ways where the operation of machinery used in such activities results in the exposure of mineral soil, shall be located such that an unscarified filter strip of at least the width indicated below is retained between the exposed mineral soil and the normal high water mark of a flowing water, body of standing water, coastal wetland, or wetland identified as a P-WL1 subdistrict as defined in the Commission’s Chapter 10 rules or identified on the Commission’s official Land Use Guidance Maps:

Average Slope of Land Width of Strip

Between Exposed Mineral Soil and Between Exposed Mineral Soil and

Normal High Water Mark Normal High Water Mark

(Percent) (Feet Along Surface of the Ground)

0-29 75

30-39 85

40-49 105

50-59 125

60-69 145

70 or more 165

Table 13.02,C-1. Unscarified filter strip width requirements for exposed mineral soil created by mineral exploration activities or associated access ways.

The provisions of Section 13.02,C,2,d apply only on a face sloping toward the water, provided, however, no portion of such exposed mineral soil on a back face shall be closer than 75 feet; the provisions of Section 13.02,C,2,d do not apply where access ways cross such waters.

• • 1. Except when surface waters are frozen, access ways for exploration activities shall not utilize stream channels bordered by P-SL2 Shoreland Protection Subdistricts except to cross the same by the shortest possible route. Unless culverts or bridges are installed in accordance with Sections 10.27,D,2 and 5 of the Commission’s Chapter 10 rules such crossings shall only use channel beds which are composed of gravel, rock or similar hard surface which would not be eroded or otherwise damaged. 2. Topsoil which is stripped or removed must be stockpiled for use in reclaiming disturbed land areas. Soil stockpiles shall be seeded, mulched, and anchored or otherwise stabilized. 3. The exploration site shall be restored to a physical state that is similar to and compatible with that which existed prior to any exploration. Within 30 working days following completion of exploration at an exploration site, any person conducting exploration activities shall accomplish the following:

(1) Disposal of all debris in accordance with applicable state laws and regulations;

(2) Grading of the surface of the site so that the final graded slope conforms with the original contour of the land; and

(3) Placement of topsoil, and reseeding and stabilization of graded topsoil with vegetation native to the area. Any person conducting exploration activities shall follow the “Guidelines for Vegetative Stabilization,” Appendix B of the Commission’s Chapter 10 rules.

• • 1. Within 30 working days after completion of exploration activities, all excavations including trenches, test pits, and mud pits shall be capped, refilled or secured. All settling ponds or sumps must be backfilled, covered with topsoil and seeded. 2. In accordance with the provisions of Section 10.26,G,5 of the Commission’s Chapter 10 rules, drill pump stations may be located closer than the setbacks required for structures from waterbodies or wetlands in Section 10.26,D,2 of the Commission’s Chapter 10 rules, but at no time shall the drill pump station be located closer than 25 feet to a waterbody or wetland identified as P-WL1. 3. All drill additives shall be non-toxic as indicated by the manufacturer’s product publications, such as Safety Data Sheets, and biodegradable to the extent reasonably possible. Except for samples collected for exploration purposes, all drilling mud, water and other fluids, as well as waste cuttings must be confined to the drill site by the use of storage tanks or sumps. All excavation sites and resulting waste must be managed to ensure no untreated water is released to the environment and released volumes will not adversely impact existing stream flows. 4. Sealing of all drill holes, whether temporary or permanent, shall be completed within 30 days of cessation of drilling or testing activities such as “down-the-hole” geophysical surveys or other similar activities. All artesian wells shall be capped or sealed within 48 hours after cessation of drilling or the onset of artesian conditions. No drill hole may be temporarily sealed for more than 3 years unless the drill hole is being used during the time it is temporarily sealed for sampling or other studies related to a mineral deposit or general hydrological conditions of the area. A drill hole that has remained temporarily sealed for more than 3 years and is not being used for sampling or other studies shall be sealed permanently. All sealing activities shall be conducted according to the “Guidance for Well and Boring Abandonment,” produced by the Department’s Bureau of Remediation and Waste Management, Division of Technical Services, dated January 7, 2009. 5. All facilities and equipment shall be promptly removed from the exploration site when they are no longer needed for the exploration activity, or for any reclamation activities or monitoring required for the exploration activity. However, such facilities or equipment which are otherwise allowed under the Commission’s rules, or that would be used for an advanced exploration or mining activity under review by the Department, may remain on site, provided that any required permits are obtained. 6. The Commission may enter any exploration site, take samples, and conduct tests in order to determine compliance with any provision of this Chapter or other applicable requirements. The Commission may require the submission of annual self-inspection reports, signed by a qualified professional on exploration activities conducted by the permittee. 7. Any person conducting exploration activities shall notify the Commission orally within 24 hours and in writing within 5 working days of any activity or occurrence during the course of exploration or reclamation which has the potential to damage public health or the environment. 1. Submission Requirements. 1. At least 30 days prior to commencing Level A Mineral Exploration drilling activities as defined in Chapter 10, Section 10.02, any Level B Mineral Exploration activities as defined in Chapter 10, Section 10.02, or when submitting an application for an exploration permit, a person planning such activity or filing an application shall submit a work plan to the Commission. The work plan shall be prepared and signed by a qualified professional and provide the following information, at a minimum: 1. Documentation of the property boundaries, landowner information, and description of the area to be explored; 2. Evidence of the person’s title, right or interest for access to the area to be explored and to conduct exploration and restoration activities; 3. A site plan showing the proposed access routes and exploration areas; 4. Identification of any existing access ways, roads, or clearings; 5. A site plan with wetlands or other sensitive environmental features identified; 6. A sediment and erosion control plan, including a stormwater management plan for access roads, excavation and stockpile areas, and other areas affected by the activity; 7. A description of proposed drilling and excavation activities and methods, including petroleum products and chemical handling procedures and spill management, estimated quantities of material that must be removed to obtain samples, and best management practices to be employed in conducting the exploration activities. If specified by the Commission, additional measures to protect the environment shall be adopted by the person engaged in exploration activities; 8. A plan for backfill and restoration of exploration sites which will address subsidence, drill holes, structural safety, water management, restoration of disturbed areas including access roads, and the abatement of any physical hazards; and 9. A site plan showing the exploration drilling area, maximum number of drill holes, and the maximum total drilling footage.

Submissions must be sufficient in detail to show the standards of Section 13.02,C,2 will be met. In addition, site plans must be submitted at a sufficient scale to allow for a meaningful review of existing site conditions and the proposed exploration site layout, typically at a scale of 1 inch to 100 feet or larger.

• • 1. Within 60 days of the completion of the exploration activities, the person required to have submitted a work plan pursuant to Section 13.02,C,3,a above shall submit to the Commission a report, prepared and signed by a qualified professional, including: 2. Documentation that all of the requirements of the restoration plan were completed, and 3. The following information for each drill hole: 1. Location and identification of the drill hole; 2. Dimensions of the drill hole; 3. Identification of depth, static elevation, and estimated flow of any groundwater encountered, if known; and 4. Methods of sealing the drill hole, demonstrating compliance with Section 13.02,C,2,k. 4. Hand sampling activities (soil sampling with auger or shovel, stream sediment sampling and rock chip sampling) are exempt from the submission of an exploration work plan; however, these activities may require approval under other laws and regulations administered by the Commission. 1. Permit Conditions. Where an exploration permit is required, such a permit shall be subject to the following.

Noncompliance and Occurrence Reporting. The permittee shall provide notice to the Commission of any noncompliance; and to the Department and the Commission of any unpermitted or otherwise unlawful release or discharge of pollutants, fire or explosion at the site. Notice shall be provided orally within 24 hours from the time the permittee becomes aware of the circumstances, and in writing within 5 working days. If the noncompliance, release or discharge of pollutants, or cause of fire or explosion has not been corrected, the anticipated time it is expected to continue shall be given, together with the steps taken or planned to reduce, eliminate and prevent recurrence. This notice requirement does not supersede or replace any other State or federal spill, release, or discharge reporting requirement.

REQUESTS FOR CERTIFICATION OF ADVANCED EXPLORATION AND MINING

Certification of Metallic Mineral Mining.

Pursuant to 12 M.R.S. § 685-B(1-A)(B-2) and 38 M.R.S. § 490-NN(2), the Commission certifies metallic mineral mining and advanced exploration permitted by the Department. For the purposes of this subchapter, the term mining permit shall be considered to include both permits to mine and permits for advanced exploration, unless expressly indicated otherwise. All Commission certification determinations will conform with the following:

• 1. The Commission will consider receipt, by the Commission, of a notice of intent to mine and develop and a map indicating the location of the proposed mining and development, required by 12 M.R.S. § 685-B(1-A)(B-2), as a request for certification. The notice and map may be provided by the person proposing mining and development directly to the Commission or to the Department for the Department to provide to the Commission.[1] 2. A Commission certification determination will be issued solely to the Department for inclusion in the Department’s mining permitting decision. 3. A Commission determination to approve a request for certification may include reasonable terms and conditions that the Commission determines appropriate in order to fulfill the requirements and intent of the Commission’s statute, rules, and plans. After the inclusion of the certification determination in the Department’s mining permitting decision, the Commission retains, pursuant to 12 M.R.S. § 685-B(1-A)(B-2), the authority to enforce the land use standards certified to the Department, including through the enforcement of terms and conditions that are a part of a certification determination. 4. The Commission may conduct its certification review and issue its determination as a single certification determination or in two parts. If provided in two parts, the first part will include a determination of whether to certify that the proposed mining and development is an allowed use within the subdistrict or subdistricts for which it is proposed. The second part will include a determination of whether to certify that the proposed mining and development meets the land use standards established by the Commission that are not considered in the Department’s review. 5. The Commission will not independently evaluate title, right, or interest and shall condition any certification on the Department finding, in its permit review, that the person requesting certification has the necessary title, right or interest. 6. A Commission determination to approve a request for certification, or to deny a request for certification when the request is associated with a proposal being reviewed by the Department as part of a mining permit application that is pending at the time of the determination, is not final agency action. Pursuant to 5 M.R.S. §§ 11001 et seq., a person aggrieved by a Department mining permit decision containing a certification determination may appeal the Department’s final agency action to state court in accordance with applicable state laws and court rules. As part of such an appeal, a person aggrieved may seek judicial review of any of the components of the Department’s final agency action, including the Commission’s certification determination that is incorporated into the Department’s permitting decision. 7. A Commission determination to deny a request for certification, when the request is not associated with a proposal being reviewed by the Department as part of a mine permit application that is pending at the time of the determination, is final agency action subject to judicial review in state court by a person aggrieved in accordance with applicable state laws and court rules. 8. If a mine permittee submits a request to amend or revise its mining permit to the Department, the permittee shall provide the Commission a copy of the permit amendment or minor revision documentation provided to the Department. Within 15 days of receiving a copy of these materials, the Commission shall determine whether a certification amendment is required or request additional information needed to make this determination. Modifications proposed by the permittee that the Commission determines would alter any finding or the basis for any finding in the existing certification will trigger the need for an amended certification. The Commission will process a request for a certification amendment in the same manner as a request for certification.

Acceptance of Requests for Certification.

• 1. Request for Certification Accepted as Complete for Processing. Upon receipt of a request for certification, the Commission shall determine whether to accept the request for certification as complete for processing based upon whether the request: 1. contains a notice of an intent to develop and a map indicating the location of the proposed development; 2. is accompanied by the proper fee; and 3. contains sufficient information for the Commission to begin its review.

The Commission shall make such determination prior to initiating substantive review. The Commission shall notify the person requesting certification of any deficiency in the request for certification within a reasonable time after it becomes aware of the deficiency. The Commission shall determine whether to accept a request for certification as complete for processing within 15 working days of receipt of the request.

• 1. Additional Information May Be Required. A determination that a request for certification is accepted as complete for processing is based upon satisfying the factors in Section 13.03,B,1above, but does not preclude the Commission from requesting additional information during its review. Even if a request for certification is accepted as complete for processing, the Commission may deny the certification for failure to provide information necessary to enable the Commission to make necessary findings under applicable review criteria.

Request for Certification Content.

A person requesting certification shall use the appropriate forms, as coordinated with the Department, but need not complete any portions of a form determined by the Commission to be unnecessary for a specific request for certification.

Notice of Intent to File a Request for Certification.

At least 30 days prior to filing a request for certification either directly with the Commission, or with the Department for the Department to provide to the Commission, a person requesting certification must provide public notice of the intent to file such a request. The public notice must be provided in the same manner as the Department requires for a mining permit application. The content of the notice shall be the same as required by the Department, except that the Commission must be substituted for the Department and the public notice must state the manner in which a person may request that the Commission hold a public hearing. Provided the requirements of Section 13.03,D are satisfied, with Department approval, a person’s notice of intent to file a request for certification may be incorporated into its public notice associated with its Department mining permit application.

Separate from the notice provided by the person requesting certification, the Commission may, at its expense, provide additional notice in any other manner it deems appropriate.

Notice of Filing of a Request for Certification.

Following receipt of a request for certification, the Commission shall generate a list of all requests for certification received on a periodic basis indicating the name of the person making the request and the location and nature of the proposed activity. This list must be made available to the public upon request.

When to Hold a Public Hearing.

• 1. As provided by these rules, interested persons may prepare and submit evidence and argument to the Commission and request a hearing on a request for certification. 2. The Commission shall consider all requests for a hearing submitted in a timely manner. Hearings on a request for certification are at the discretion of the Commission. In determining whether a hearing is advisable, the Commission shall consider the degree of public interest and the likelihood that information presented at the hearing will be of assistance to the Commission in making its certification determination. 3. The Commission shall not amend or modify any certification unless it has afforded the person who requested certification, or its successor with regard to the certification, an opportunity for a hearing.

Notice of Hearings on Requests for Certification.

Notice of all public hearings in regard to requests for certification must be given by the Commission or, at the discretion of the Commission, by the person requesting certification, as follows:

• 1. By regular mail, or electronic mail with the agreement of the person receiving notice, at least 30 days prior to the initial scheduled hearing, to: 1. The person requesting certification; 2. All persons owning or leasing land within 1,000 feet of the proposed project according to the records of Maine Revenue Services or the applicable plantation or municipality; 3. The municipality or plantation where the project is proposed; 4. The county, if the proposed project site is in an unorganized township; 5. The legislators whose districts encompass the project; 6. Maine’s Native American Tribes; 7. Intervenors; 8. Persons who have made a timely request to be notified of a specific hearing; 9. Persons who have filed a written request, within the calendar year, to be notified of hearings; 10. Appropriate State and federal agencies, as determined by the Commission; and 11. In any proceeding involving a proposed modification or amendment of a certification that was the subject of an earlier hearing, all persons admitted to formal party status at the earlier hearing. 2. By publication twice in a newspaper of general circulation in the area affected by the certification request as determined by the Commission. 1. Notice must be published in the legal notices section of the newspaper. 2. The date of the initial publication must be at least 30 days before the hearing. The date of the second publication shall be at least 7 days and no more than 13 days before the date of the hearing. 3. In any other manner the Commission deems appropriate.

Contents of Notice of Hearings.

Notice of all public hearings must contain the following:

• 1. The name and address of the person requesting certification; 2. The legal authority and jurisdiction under which the proceeding is being conducted; 3. A reference to statutory and rule provisions involved; 4. In a short and plain statement, the nature and purpose of the proceeding; 5. The location and nature of the proposed development and mine; 6. The location where further information, including a copy of the certification request, may be inspected; 7. The manner and time period within which evidence and argument may be submitted to the Commission for consideration; 8. The time and place of the public hearing; 9. The manner and time within which petitions for intervention under the Commission’s Chapter 5 rules may be filed; and 10. Such other information as the Commission deems appropriate.

Cancellation or Change of Hearing.

If a scheduled hearing is canceled or postponed to a later date, the Commission shall provide timely notice to the persons described in Section 13.03,G,1 above. When hearings are continued, the Commission shall provide such additional notice as it deems appropriate to inform the parties and interested persons, but the Commission may continue a hearing to a later date and place as is announced at the hearing.

Comment Period Without Hearing.

The Commission shall allow a period of not less than 20 days after accepting a request for certification as complete for processing, during which time any interested persons may submit written comments to the Commission. The Commission, at its discretion, may modify or waive this time period in cases involving emergencies or requests for certifications that are routine in nature. In exercising its discretion and evaluating whether a request for certification is routine in nature, the Commission may consider the request, in whole or in the two parts allowed for in Section 13.03,A,4, and elect to retain, waive, or modify the 20-day period for either of the two parts individually or for the request for certification as a whole. The Commission may delegate this discretionary authority to the Director.

Procedures and Time Limits for Issuing a Certification.

• 1. Except where otherwise directed by the Commission or determined by the Director, the staff shall prepare a recommendation for each request for certification brought to the Commission for a determination. Copies of the staff recommendation must be made available to the person requesting certification, intervenors and all other persons requesting to be so notified at least 7 days prior to the date of the expected determination. 2. Notice of the certification determination shall be sent to the person requesting certification and to any other person having requested such information. 3. Notice of a certification determination of the staff must indicate that any person aggrieved by the staff determination has the right to a review of the staff determination by the Commission. The request for such review must be made in writing within 30 days of the staff determination. 4. A copy of each request for certification determination, marked approved or disapproved, shall be retained in the Commission files and shall be available to the public during normal business hours. 5. The Commission will maintain at its principal office a written record, available for inspection by the public, of the vote of each Commission member on a request for certification it has considered.

Appeals.

• 1. A person aggrieved may request Commission review of a staff certification determination. Such a request must be made within 30 days of the determination. If the determination is made in two parts as provided for in Section 13.03,A,4 above, the request for review must be made within 30 days of the part of the determination of which review is sought. 2. A Commission determination to approve a request for certification, or to deny a request for certification when the request is associated with a proposal being reviewed by the Department as part of a mining permit application that is pending at the time of the determination, is not final agency action and is not appealable except as part of the Department permit decision. In the event a person aggrieved appeals a Department permit decision that includes a certification determination to the Board of Environmental Protection or to state court, the Commission certification determination record shall be considered part of the Department permit record for the purpose of the appeal. A Commission determination to deny a request for certification, when the request is not associated with a proposal being reviewed by the Department as part of a mining permit application that is pending at the time of the determination, is final agency action subject to judicial review in state court by a person aggrieved in accordance with governing laws and court rules.

Effective Date of Certification Determination.

• 1. Staff Decisions. Any person aggrieved by a certification determination of the staff has a right to a review of that determination by the Commission. A request for such a review must be made in writing in accordance with Section 13.03,L,1, above. The staff decision is effective on the date it is rendered, unless a request for Commission review is made. 2. Commission Decisions. A certification determination of the Commission is effective beginning on the date the determination is rendered by the Commission.

Criteria for Approval of Mining Permit Certifications.

Pursuant to 12 M.R.S. §685-B(1-A)(B-2) and 38 M.R.S. §490-NN(2), the Commission must review whether the proposed mining and development meets any land use standard established by the Commission and applicable to the project that is not considered in the Department’s review. A person requesting certification must demonstrate to the Commission that the proposed project satisfies the following land use standards.

• 1. Section 10.11, A through E, Nonconforming Uses and Structures; 2. Section 10.24,E regarding conformance with statute, regulations, standards and plans; 3. Section 10.25,A,7 as it regards apportionment of development rights through the Commission’s subdistrict regulations; 4. Sections 10.25,B,1, and 3 regarding dimensional standards and building layout in prospectively zoned areas; 5. Sections 10.24,B and 10.25,D regarding transportation loading, parking, circulation, congestion or unsafe conditions, except that the Commission will not apply Section 10.25,D,3,b because stormwater runoff will be reviewed by the Department; 6. Section 10.25,F,2 Lighting; 7. Section 10.25,Q Subdivision and Lot Creation; 8. Section 10.25,T Activities in Flood Prone Areas to the degree necessary to comply with the Commission’s land use standards adopted in accordance with the National Flood Insurance Program; 9. Sections 10.26,A through G Dimensional Requirements, with the dimensional requirement in Section 10.26,G,5, notwithstanding any language in the Commission’s rules to the contrary,

applying to setback requirements for structures from the shoreline, upland edge of a wetland designated as a P-WL1 subdistrict, road, and/or property line;

• 1. Section 10.27,B Vegetation Clearing except in areas that are regulated as jurisdictional resources under the Natural Resources Protection Act or are within the limits of excavation permitted by the Department; 2. Section 10.27,E Timber Harvesting; and 3. Section 10.27,J Signs.

History

• STATUTORY AUTHORITY: 38 M.R.S. §349-A
• EFFECTIVE DATE: August 26, 1991
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996
• NON-SUBSTANTIVE CHANGES: September 2, 1997 - minor spelling, formatting and layout
• REPEALED AND REPLACED: September 20, 2018 - filing 2018-171
• REPEALED AND REPLACED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 01-672 to 01-672.)
• REPEALED AND REPLACED: WORD VERSION CONVERSION (IF NEEDED) AND ACCESSIBILITY CHECK: July 14, 2025
• REPEALED AND REPLACED: The Commission encourages persons requesting a certification to involve Commission staff in pre-application meetings either together with the Department or separately. ↑

Chapter 16 Rules Relating to Large Lot Land Divisions

Code Me. R. 01-672 Ch. 16 of the Commission's Rules {#sec-01-672-ch.-16 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 16}

Effective Date: September 22, 1990

Amended Effective: November 1, 2021

16.01 Legal Authority

This rule is authorized and adopted under 12 M.R.S. §685-A.

16.02 Preamble

This rule was adopted to provide appropriate transitional standards for a limited number of subdivisions that were affected by the elimination of exemptions for certain large lot divisions from the Commission’s regulatory standards and procedures.

Public Law 1989, Chapter 584 amended the definition of subdivision in the Land Use Regulation law. As a result of this amendment to the law, some lot divisions which had been exempt under the previous definition became legally recognized as subdivisions, subject to regulatory review by the Commission. Chapter 16 was established to provide a streamlined review process for subdivisions that were in various stages of planning and implementation when Chapter 584 was enacted.

This rule originally established a two-year time frame, expiring July 1, 1992, for submission of applications for review under its provisions. This deadline was subsequently extended to July 1, 1993 by Private and Special Law 1991, chapter 92. During the time period established for review of applications under this rule, seven large-lot subdivisions comprising approximately 500 lots were approved under Chapter 16.

Since the deadline for consideration under Chapter 16 has expired, the rule’s function is now limited to maintaining the standards that were applied to subdivisions reviewed under the rule.

16.03 (RESERVED)

16.04 Applicability

This rule applies only to parcels of real estate where all of the following conditions have been met:

A. On or before July 12, 1989:

(1) A division of land was platted and recorded as permitted by the law in effect prior to the enactment of Public Law 1989, chapter 584^[1]*;

(2) The plat of such land division was properly filed with the Registry and with the State Tax Assessor, or if the land is located in a plantation, with the tax assessor of the plantation;

(3) As platted and filed in the Registry, the division is comprised of lots where each lot to be sold or developed occupies at least 40 but not more than 100 acres;

(4) As platted and filed in the Registry, the division does not contain any spaghetti lots as that term is defined by 12 M.R.S. §682(13); and

(5) The person creating the division undertook one or more of the following pre-development or development activities:

(a) Caused to be performed and recorded by a Maine registered land surveyor a valid and reasonably accurate land survey of each lot within the division;

(b) Sought and obtained a road construction permit from the Commission for construction of a road to serve the subdivision. Filing of a notification with the Commission for construction of a land management road is not sufficient to meet this condition;

(c) Sold or placed under contract for sale three or more lots within the division as that division is platted and filed in the Registry;

(d) Caused to be performed and recorded a medium intensity soils survey of the parcel or a soils suitability test for eighty percent or more of the lots in the division by either a licensed Site Evaluator or a Maine registered soil scientist; or

(e) Established a lot owners association for the maintenance of roads within the division, including the adoption of association bylaws; and

B. Either the parcel from which the division was made contains no shoreland area as that term is defined by 38 M.R.S. §435, or the division was platted and filed in the Registry and with the State Tax Assessor on or before April 19, 1988; and

C. The person creating the subdivision files a complete application for a permit under this rule prior to July 1, 1992.

16.05 Subdivisions Not Meeting Applicability Requirements or Not Meeting General Standards

A. Subdivision activities (including without limitation sales or conveyances of lots within a previously platted and recorded division, and which occur for the first time after the effective date of Public Law 1989, chapter 584) that do not meet the applicability requirements set forth in Section 16.04 of this rule require Commission subdivision approval and appropriate zoning pursuant to 12 M.R.S. §685-B and Chapter 10.

B. This rule must not be construed to prohibit or govern the sale or other conveyance or the development of a lot that does not meet the requirements of this rule where subdivision approval by the Commission has otherwise been obtained under 12 M.R.S. §685-B and Chapter 10 of the Commission's Standards.

C. The sale or lease of lots containing 40 or more acres for which a plan of those lots was filed with the Registry and the State Tax Assessor, or if the land is located in a plantation, with the tax assessor of the plantation, on or before April 19, 1988 and for which subdivision approval was not required under law in effect on April 19, 1988 does not require subdivision approval by the Commission. See Public Law 1987, chapter 864, section 11.

16.06 General Standards for Issuance of Permit By Rule for Subdivisions Eligible Under Section 16.04

A. A permit by rule may be granted only for a subdivision, including qualifying lots therein, as configured on the plat filed in the registry of deeds on or before July 12, 1989 showing that division.

B. Permanent access to each lot of a subdivision must be secured by a perpetual easement on a privately owned road to a public road or by direct access to a public road. Each lot must have at least 200 feet of frontage along the traveled portion of an access road, provided, however, that this minimum frontage requirement does not apply to lots located on a cul-de-sac or at the terminus of a road. If not shown on the plat, such road must be identified on a separate road plan filed in the registry of deeds.

C. Roads within the subdivision must have a travel surface of at least 15 feet.

D. Dwelling units and accessory structures occupying more than 250 square feet and placed upon any lot within a subdivision that is sold after July 1, 1990 must be located no closer than 70 feet from the travel surface of any road except that detached garages may be no closer than 40 feet.

E. Provision for the maintenance of roads within the subdivision must be made through the creation and operation of a lot owners association or other equivalent binding arrangement.

F. Each lot must have sufficient soils for installation of a sewage disposal system in compliance with the requirements of the Maine State Plumbing Code.

G. No lot within a subdivision that is sold after July 1, 1990 may be further divided such that the area of any lot is less than 40 acres, except that a transfer of an interest in land to an abutting owner of land is permitted.

H. Except as otherwise provided in this rule, development or construction on any lot and construction of roads within a subdivision must comply with the requirements of Chapter 10, Sections 10.25 and 10.27 as well as all other applicable regulatory requirements.

I. Except as otherwise provided in this rule, uses of lots within a subdivision are permitted to the extent and in the manner allowed within subdistrict(s) within which they are located.

J. Notwithstanding Sections 10.06(G), 10.21(A)(3)(C) and 10.23(L) of Chapter 10, only for the purposes of subdivisions qualifying under this rule a residential subdivision is a permitted use within (M-GN) General Management Subdistricts and (P-SL) Shoreland Protection Subdistricts.

K. Within a subdivision lot that is sold after July 1, 1990, no more than one residential dwelling unit, with the dwelling unit occupying not more than 4,000 square feet of gross floor area and accessory structures and buildings may be placed on each lot.

L. For every 500 acres of land in a subdivision, at least 40 acres must remain permanently undeveloped by imposition of appropriate restrictions, pursuant to a conservation easement or conveyance to a lot owners association, for use as open space or wildlife habitat. However, if the area of all lots to be sold or developed after July 1, 1990, in any subdivision, or contiguous subdivisions owned or controlled by the same entity, comprises more than 3,000 acres, regardless of how platted, at least 80 acres must remain undeveloped in the above described fashion for every 500 acres of land in the subdivision or subdivisions.

M. The Standards set forth in Sections 16.06(D), (E), (G), (I), (K) and (L) of this rule must be stated as deed covenants on sales or conveyances of lots sold after July 1, 1990.

History

• STATUTORY AUTHORITY: 12 M.R.S. §§ 682, 683-A(3), 685-B(6-A), 685-C(5)
• EFFECTIVE DATE: September 22, 1990 – filing 90-405
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996 – filing 96-165
• NON-SUBSTANTIVE CORRECTIONS: April 18, 1997 – filing 97-071
• AMENDED: October 17, 2000 – filing 2000-446
• AMENDED: November 1, 2021 – filing 2021-179
• AMENDED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 04-061 to 01-672.)
• AMENDED: The law in effect prior to enactment of Public Law 1989, chapter 584 is set forth at Public Law 1987, Chapter 810. ↑

Chapter 17 Reestablishment of Commission Jurisdiction; Attachment to Ch. 17 (MAP)(.pdf)

Code Me. R. 01-672 Ch. 17 of the Commission's Rules {#sec-01-672-ch.-17 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-672 Ch. 17}

Effective Date: August 14, 1992

Amended Effective: September 2, 2025

Authority

Pursuant to 12 M.R.S. § 685-A(4-A)(B) the Commission is authorized to reestablish its jurisdiction over certain towns or plantations.

Purpose

This rule reestablishes the jurisdiction of the Maine Land Use Planning Commission in those municipalities and plantations where the Commission has found that one or more of the conditions for reestablishing jurisdiction set forth in 12 M.R.S. § 685-A(4-A)(B) has occurred in the plantation or municipality.

Applicability and Effective Date of Reestablished Jurisdiction

The Commission has found that one or more of the conditions set forth in 12 M.R.S. § 685-A(4-A) has occurred in each municipality and plantation identified below and has concluded reestablishment of the Commission's jurisdiction in that municipality or plantation is necessary to reasonably protect the natural, recreational, historic or other resources of the municipality or plantation and to extend the principles of sound planning, zoning and subdivision control to the municipality or plantation:

Brighton Plantation, Somerset County

Brighton Plantation, located in Somerset County, had been granted plantation status under Maine law. When the Land Use Regulation Commission was formed, Brighton Plantation did not administer its own land use planning and regulatory program. Instead, the Commission carried out those functions in lieu of local government.

In accordance with 12 M.R.S. § 685-A(4-A), Brighton Plantation submitted to the Commission a Comprehensive Land Use Plan, zoning ordinance including standards and land use subdistricts, and a land use district boundary map(s) for the plantation. On February 26, 1987, the Commission approved the plan, ordinance, and maps.

On May 12, 1990, the Plantation adopted its Comprehensive Land Use Plan, zoning ordinance and map(s) that earlier had been approved by the Commission. Thus the plantation removed itself from the Commission's jurisdiction on May 12, 1990 and began administering its local land use program.

On March 28, 1992, at an annual meeting of the plantation, Brighton Plantation abolished its planning board and voted to return to the Maine Land Use Planning Commission’s jurisdiction. The plan and ordinance were not repealed at that time although the plantation lacks the administrative body necessary to review and act upon zoning or permit applications or carry out other necessary provisions of the land use plan and ordinance in the plantation. At a special plantation meeting held on May 19, 1992, Brighton Plantation reaffirmed its decision of March 28, 1992.

The Commission reestablished jurisdiction over Brighton Plantation effective August 14, 1992.

Subsequently, Brighton Plantation submitted an updated Comprehensive Land Use Plan and Land Use Zoning Ordinance to the Commission in 1995. The Commission approved this Plan and Ordinance on June 15, 1995. Brighton Plantation adopted these updated versions of its Comprehensive Land Use Plan and Land Use Zoning Ordinance on July 20, 1995, and resumed land use control effective on the same date.

Highland Plantation, Somerset County

Highland Plantation, located in Somerset County, had been granted plantation status under Maine law. When the Land Use Regulation Commission was formed, Highland Plantation did not administer its own land use planning and regulatory program. Instead, the Commission carried out those functions in lieu of local government.

In accordance with 12 M.R.S. § 685-A(4-A), Highland Plantation submitted to the Commission a Comprehensive Land Use Plan, zoning ordinance including standards and land use subdistricts, and a land use district boundary map(s) for the plantation. On April 13, 2016, the Commission approved the plan, ordinance, and maps.

On March 26, 2016, the Plantation adopted its Comprehensive Land Use Plan, zoning ordinance, and map(s). On April 13, 2016, the Commission approved these documents, with a condition requiring the hiring of a qualified Code Enforcement Officer. On July 11, 2016, the Commission transferred local land use regulatory authority.

On April 26, 2025, at an annual meeting of the plantation, Highland Plantation voted to repeal its comprehensive plan and land use ordinance. Pursuant to 12 M.R.S. § 685-A(4-A)(B)(1), the Maine Land Use Planning Commission reestablishes its jurisdiction over Highland Plantation. The Land Use Guidance Map for Highland Plantation that was in effect prior to the 2016 transfer of authority is hereby adopted and effective until a land use inventory is completed, and the Commission’s rezoning process, including opportunity for public comment, is conducted to create an updated zoning map.

Jurisdiction Reestablished

Reestablishment

The Commission reestablishes its jurisdiction over the municipalities and plantations identified in Section 17.03 above and adopts Land Use Guidance Map for those areas.

The municipalities and plantations identified in Section 17.03 above are subject to the plans, maps, regulations, standards and other requirements of the Commission.

This reestablishment of jurisdiction supersedes any prior Commission approval of such municipalities' and plantations' plan, ordinance, and maps.

The reestablishment of the Commission’s jurisdiction may be superseded by subsequent town or plantation action. Any such circumstances will be indicated as applicable in Section 17.03.

History

• STATUTORY AUTHORITY: 12 M.R.S. §§ 685-A(4-A) and 685-C(5); and 30-A M.R.S. § 7059
• EFFECTIVE DATE: August 14, 1992 – filing 1992-318
• EFFECTIVE DATE (ELECTRONIC CONVERSION): May 4, 1996 – filing 1996-165
• NON-SUBSTANTIVE CORRECTIONS: January 10, 1997 – filing C-1997-071
• NON-SUBSTANTIVE CORRECTIONS: September 2, 1997 – converted to Microsoft Word for Windows 2.0 format.
• AMENDED: October 17, 2000 – filing 2000-455
• AMENDED: (APA Office Note dated November 6, 2013: due to a legislatively-mandated reorganization, the Land Use Regulation Commission was renamed as Land Use Planning Commission, with its umbrella-unit number changed from 01-672 to 01-672.)
• APAO ACCESSIBILITY CHECK: August 28, 2025
• REPEALED AND REPLACED: September 2, 2025 – filing 2025-171

01-683 Land for Maine's Future

Chapter 1 Definitions

Code Me. R. 01-683 Ch. 1 Definitions {#sec-01-683-ch.-1 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-683 Ch. 1}

A NOTE ABOUT THIS CHAPTER

This rule identifies LMF Program terminology and applicable definitions. Words are listed in alphabetical order of the primary term.

PURPOSE AND LEGAL AUTHORITY

This rule is authorized by and adopted pursuant to 5 M.R.S. § 8051 and 5 M.R.S. §§ 6203-A, 6203-B, 6203-C, 6203-E, 6203-F, and 5 M.R.S. § 6205(2).

DEFINITIONS

A

Applicant:

The Cooperating Entity (as defined in 5 M.R.S. § 6201) or the Natural Resources State Agency submitting a Proposal for funding under any LMF Program or, in the case of Applications for Amendments, the Cooperating Entity submitting the Application for Amendment.

B

Board:

The Land for Maine’s Future Board.

D

Designated State Agency:

The Natural Resource State Agency committed to sponsoring an LMF Project and holding rights under the Project Agreement when LMF funds are awarded to a Cooperating Entity. Also known as State Sponsoring Agency or State Sponsor.

Director:

The Director of the Land for Maine’s Future Program. The Director is the principal administrative, operational, and executive employee of LMF.

N

Natural Resource State Agency(ies).

State agencies, bureaus, boards, commissions, or other instrumentalities with jurisdiction over the protection of the State's natural resources.

P

Program:

The Land for Maine’s Future Program.

Program Decision:

A final action taken by the Land for Maine’s Future including, but not limited to, award of grant funds and amendments to previously funded LMF Projects.

Project or Project Lands:

The lands, corresponding conservation values, and proposed means of conservation identified in an LMF Proposal that have been selected by the LMF Board for funding.

Proposal:

The materials and information submitted by an Applicant applying for funding in response to LMF’s Request for Proposals. Also known as an Application.

S

State Agency:

Any of the Natural Resource State Agencies authorized to apply for LMF funding or serve as a Designated State Agency.

W

Workbook.

The Request for Proposals document published by LMF for any funding opportunity.

History

• STATUTORY AUTHORITY: 5 M.R.S. §§6203-A, 6203-B, 6203-C, 6203-E, 6203-F, and 6205
• EFFECTIVE: November 3, 2024 – filing 2024-243
• APAO ACCESSIBILITY CHECK: September 9, 2025 (nonsubstantive accessibility issues were resolved by agency)

Chapter 2 Rules of Program Administration

Code Me. R. 01-683 Ch. 2 Rules of Program Administration {#sec-01-683-ch.-2 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-683 Ch. 2}

RULES OF PROGRAM ADMINISTRATION

PURPOSE OF RULES

These Chapter 2 rules have been created to clarify and standardize certain procedures in connection with:

the issuance of Requests for Proposals;

the processing of Proposals received in response to Requests for Proposals pursuant to 5 M.R.S. §§ 6203-A, 6203-B, 6203-C, 6203-E, and 6203-F; 12 M.R.S. § 6042, and 7 M.R.S. § 164;

the award of funds pursuant to 5 M.R.S. §§ 6203-A, 6203-B, 6203-C, 6203-E, and 6203-F and attendant obligations of recipients; and

the delegation of certain authority by the Board to LMF staff.

PROGRAM ADMINISTRATION

REQUESTS FOR PROPOSALS

Funds will be awarded pursuant to Requests for Proposals issued by the Board.

Board’s Determination

The Board, in its sole discretion, will determine when and whether to issue a Request for Proposals (RFP).

Manner Issued

The Board issues an RFP by publishing the RFP document, which is typically titled “the Workbook.” The RFP document contains the requirements, necessary forms, guidelines, procedures, and conditions of funding as well as all information deemed advisable by the Board, LMF Staff, and Designated State Agencies.

Board Review of Proposals Submitted in Response to a Request for Proposals

• 1. The Board will review all Proposals timely submitted in response to an RFP based on the criteria established within the RFP document. 2. The Board will document the scoring and substantive information that supports the scoring and will make any award decision based upon the criteria set forth in the RFP document. 3. The Board retains discretion to make, or not make, funding awards. Satisfying the conditions of the RFP does not create a right to an award of funds.

Applicant Response to RFP

By submitting a Proposal in response to an RFP, an Applicant consents to the requirements, procedures, and conditions of funding contained within that RFP document.

Withdrawal of Proposals.

The Applicant may withdraw a Proposal at any time without prejudice to their right to resubmit in response to a subsequent RFP for which the project is eligible for funding.

DETERMINATION OF TIMELINESS

Receipt of Materials.

Regarding any period or deadline for the filing of any submission:

• 1. If the Board requires that a hard copy be delivered to LMF offices, delivery is timely if postmarked by the date specified. 2. If the Board requests that a submission be delivered by email or other electronic means, or for hand-delivery of a hard copy, delivery is timely if received on or before 5:00 p.m. EST/EDT on the date specified.

Acceptance of Materials After Expiration of the Period.

The Board, for good cause shown, may at any time in its discretion:

• 1. With or without notice, extend the period or deadline for the filing of any submission or 2. Upon request made after the expiration of the prescribed period or deadline for filing, accept a submission delivered after the date and time specified where the failure to act was the result of excusable neglect.

SIGNATURES

According to 10 M.R.S., Chapter 1053, the Board may accept, require, and use digital signatures for digital submissions and other official matters. However, the Board may, at the Board’s discretion, require that a signature be a manual signature and/or that a digital signature be supplemented by a manual signature.

DELEGATION OF AUTHORITY TO STAFF

BOARD FINDINGS

Pursuant to 5 M.R.S. §§ 6205(2), the Board finds that:

1. Management and administration of the Program is conducted between LMF Board meetings by LMF Staff under the responsibility of the Director. LMF Staff, therefore, are those most likely to receive requests for help and information from the Public, including potential Applicants, and have a high degree of familiarity with the particular circumstances surrounding such requests.
2. As LMF Staff manage a Project after the final award but before disbursement, they may learn of changes that alter the previously accepted fair market value that formed the basis for the Board’s final award.
3. Delegating sufficient authority to LMF Staff to approve minor deviations from program requirements after the final award but before disbursement, provided that the authority is clearly described and defined, will eliminate a waiting period between the completion of the staff work and the next LMF board meeting.
4. The nature of the discretionary authority that may be conveyed would be such that LMF Staff may decide on the strict basis of the statutory criteria for approval contained in 5 M.R.S. §§ 6203-A, 6203-B, 6203-C, 6203-E, and 6203-F, and the policies, standards, and rules duly adopted by the Board.

DELEGATION OF AUTHORITY

the Board has the authority to develop policy(ies) for delegating authority to its staff, under the responsibility of the Director, including the authority to

• 1. Approve, approve with conditions, disapprove, or otherwise act on the following, provided they are routine in nature and do not raise significant policy issues: 1. Reductions in land area of 10% or less of the original total project land area discovered following the Board’s final award but prior to disbursement. This includes instances in multi-parcel projects, provided that the corresponding change to fair market value is also no greater than 10% and further provided that such changes maintain the statutorily required match ratio of at least 1:1. 2. Changes in project scope discovered after the Board’s final award but prior to disbursement that do not substantially affect public access, recreational opportunities, uses of the land, ecological or conservation attributes. 2. Extend the time limits for submission as provided in 2.02. 3. Exercise reasonable judgment after final award in determining when and whether all conditions for funding have been satisfied.

Notwithstanding the provisions of Sections 2.03, at the request of the Applicant or the discretion of the Board or the Director, any proposal, request, or matter may be forwarded to the Board for discussion, decision, guidance to staff, or directive to staff.

History

• STATUTORY AUTHORITY: 5 M.R.S. §§6203-A, 6203-B, 6203-C, 6203-E, 6203-F, and 6205
• EFFECTIVE DATE: November 3, 2024 – filing 2024-244
• APAO ACCESSIBILITY CHECK: September 9, 2025 (nonsubstantive accessibility issues were resolved by agency)

Chapter 10 Grievance Procedures for the Handicapped

Code Me. R. 01-683 Ch. 10 Section 504 Grievance Procedure {#sec-01-683-ch.-10 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-683 Ch. 10}

State Planning Office has adopted the following internal grievance procedure providing for prompt and equitable resolution of complaints alleging any action prohibited by federal regulations implementing Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794).

Section 504 states, in part, that "No otherwise qualified handicapped individual shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance...."

This 504 grievance procedure is not meant to preclude other avenues of relief for the grievant.

The law and regulations may be examined in the office of

504 Coordinator

State Planning Office

164 State Street, Augusta, Maine 04333

287-3261

who has been designated to coordinate the efforts of State Planning Office to comply with the regulations.

1. A complaint must be filed in writing or verbally within 180 days of the alleged violation with the Agency 504 Coordinator, contain the name and address of the person filing it, and describe the action alleged to be prohibited by the regulations.

2. The Agency 504 Coordinator or his designee shall conduct an investigation to determine the validity of the complaint. The investigation shall include an opportunity for the grievant, by requesting an informal conference within 30 days of filing the complaint, to confront the people responsible for the action complained against. The 504 Coordinator shall, immediately upon receipt of the complaint, inform the grievant in writing of his right to request a conference. If the grievant requests and participates in a conference, he shall have an opportunity to present evidence and arguments on all issues, to cross-examine any person present and testifying, and to be represented at the conference. The 504 Coordinator shall be responsible for creating and maintaining a record or report of the conference. if the grievant does not request a conference, he shall still have the right to present evidence such as documents and written statements to the 504 Coordinator for consideration during the investigation. The Agency 504 Coordinator shall provide the Agency head with a written report of the findings of the investigation, including the record or report of the informal conference, if such a conference occurred.

3. The agency head shall issue a written decision within 60 days of the date the complaint was filed describing what action, if any, she/he will take regarding the complaint.

4. The 504 Coordinator will maintain the 504 complaint files of the agency for two years.

EFFECTIVE DATE:

January 8, 1985

EFFECTIVE DATE (ELECTRONIC CONVERSION):

May 22, 1996

Chapter 10 page 2

Chapter 250 Methodology for Conducting a Scenic Inventory of Scenic Resources of State or National Significance Located in the State's Coastal Area

Code Me. R. 01-683 Ch. 250 Methodology for Conducting a Scenic Inventory of Scenic Resources of State or National Significance Located in the State's Coastal Area {#sec-01-683-ch.-250 omnilex-key=us-me-regs-official--dept-agriculture-conservation-and-forestry--01-683 Ch. 250}

SUMMARY: As required by Title 35-A M.R.S.A. §3457, this chapter establishes the methodology that the State Planning Office will use in preparing inventories of scenic resources and identifying scenic viewpoints deemed of state or national significance in Maine's coastal area for purposes of state wind power laws.

SECTION I. PURPOSE AND DEFINITIONS

1. PURPOSE

The purpose of this rule is to specify the methodology that the office will use in preparing inventories of scenic resources in Maine's coastal area, ranking them in terms of their state or national significance in terms of scenic quality, and identifying scenic viewpoints within scenic areas determined to be of state or national significance. Title 35-A M.R.S.A. §3451(9)(H)(2) provides that a scenic viewpoint in the coastal area that is identified in an inventory prepared pursuant to this methodology as having state or national significance in terms of scenic quality is among the types of scenic resources of state or national significance that the Department of Environmental Protection and Land Use Regulation Commission must consider in reviewing applications for grid-scale wind energy development proposals.

2. DEFINITIONS

As used in this rule, the following terms have the following meanings:

A. "Coastal area" means the coastal area as defined by Title 38 M.R.S.A. §1802(I).

B. "Office" means the State Planning Office.

C. "Scenic area of state or national significance" means a place or area located in the coastal area that is ranked as having state or national significance in terms of scenic quality in a scenic inventory developed by or prepared for the office in accordance with the methodology established by this rule, as provided by Title 35-A M.R.S.A. §3457.

D. "Scenic viewpoint" means a particular location within a scenic area of state or national significance from which the view is deemed distinctive or highly distinctive in accordance with the methodology provided for by this rule.

SECTION 2. METHODOLOGY

1. Scenic inventory; Scenic Assessment Handbook. The office shall use the methodology detailed in the Scenic Assessment Handbook, published by the office in October 2008, in preparing a scenic inventory that identifies scenic areas of state or national significance in the coastal area.

2. Identification of scenic viewpoints. Each scenic inventory prepared pursuant to this section shall identify one or more scenic viewpoints for each scenic area of state or national significance that is identified in that inventory as provided in the Scenic Assessment Handbook referenced in subsection 1.

3. Publication of methodology. The office shall make the Scenic Assessment Handbook referenced in this section 1 available for electronic downloading via the Internet.

SECTION 3. PREPARATION OF SCENIC INVENTORIES

1. Preparers. As provided by Title 35-A M.R.S.A. §3457(2), the office may contract for services regarding preparation of a scenic inventory conducted pursuant to the methodology established by this rule.

2. Public notice and opportunity for comment. Prior to its final adoption, the office shall provide public notice of and an opportunity for written comment on each scenic inventory prepared pursuant to this rule.

3. Publication. The office shall make each scenic inventory prepared pursuant to this rule available for electronic downloading via the Internet.

4. Update of scenic inventories; scenic viewpoints. The office may in its discretion, as new information becomes available or to address changed circumstances, update a scenic inventory prepared pursuant to Section 2. Such updates may include, but are not limited to, amendment of the scenic viewpoints identified in the inventory. Prior to its final adoption, the office shall provide public notice of and an opportunity for written comment on each update proposed pursuant to this section scenic inventory prepared pursuant to this rule.

History

• STATUTORY AUTHORITY: Title 35-A M.R.S.A. §3457(7) (PL 2007 c. 661, section 7 (Emergency))
• EFFECTIVE DATE: April 8, 2009 – filing 2009-151
• FISCAL IMPACT: The rule imposes no direct costs or other economic burden on municipalities.
• FISCAL IMPACT: Chapter 250 page 2