Docket #

THE COMMONWEALTH OF MASSACHUSETTS
William Francis Galvin
Secretary of the Commonwealth

Regulation Filing

To be completed by filing agency

CHAPTER NUMBER:

950 CMR 32.00

CHAPTER TITLE:

Public Records Access

AGENCY:

Office of the Secretary of the Commonwealth

SUMMARY OF REGULATION:

State the general requirements and purposes of this regulation.

950 CMR 32.00 describes the practices and procedures of the Division of Public Records relative to
the requirements of governmental entities or political subdivisions of the Commonwealth with respect
to disclosure of public records, reporting requirements for certain records access officers and
ensuring that disputes regarding access to particular records are resolved expeditiously and fairly.
950 CMR 32.00 shall not limit the availability of other remedies provided by law. The regulations reflect
the provisions of An Act to Improve Public Records, Chapter 121 of the Acts of 2016.

REGULATORY AUTHORITY:

M.G.L. c. 66, § 1

AGENCY CONTACT:

Shawn A. Williams

ADDRESS:

One Ashburton Place, Room 1719, Boston, MA 02108

PHONE:

617-727-2832

Compliance with M.G.L. c. 30A
EMERGENCY ADOPTION -

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

PRIOR NOTIFICATION AND/OR APPROVAL -

If prior notification to and/or approval of the Governor,
Legislature or others was required, list each notification, and/or approval and date, including notice to the Local
Government Advisory Commission.
Local Government Advisory Commission was notified on August 26, 2016.

PUBLIC REVIEW -

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

Date of public hearing or comment period:

October 6, 2016

105

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

276

 FISCAL EFFECT -

Estimate the fiscal effect of the public and private sectors.

For the first and second year:
For the first five years:
No fiscal effect:

x

SMALL BUSINESS IMPACT -

M.G.L. c. 30A section 5 requires each agency to file an amended small
business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed
regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.
November 21, 2016

Date amended small business impact statement was filed:

CODE OF MASSACHUSETTS REGULATIONS INDEX -

List key subjects that are relevant to this regulation:

Public Records

PROMULGATION -

State the action taken by this regulation and its effect on existing provisions of the Code
of Massachusetts Regulations (CMR) or repeal, replace or amend. List by CMR number:
Replace 950 CMR 32.00.

ATTESTATION -

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

SIGNATURE:

SIGNATURE ON FILE

DATE:

Dec 1 2016

Publication - To be completed by the Regulations Division
MASSACHUSETTS REGISTER NUMBER:
EFFECTIVE DATE:

1328

DATE:

12/16/2016

01/01/2017

CODE OF MASSACHUSETTS REGULATIONS

Remove these pages:
1, 2
109 - 112.2

Insert these pages:
1, 2
109 - 112.6
12/01/2016

106

kr

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
Table of Contents
Page
(950 CMR 1.00 through 9.00: RESERVED)

9

950 CMR 10.00: ADJUDICATORY PROCEEDINGS: SECURITIES DIVISION

29

Section 10.01:
Section 10.02:
Section 10.03:
Section 10.04:
Section 10.05:
Section 10.06:
Section 10.07:
Section 10.08:
Section 10.09:
Section 10.10:
Section 10.11:

29
29
30
30
30
31
32
33
33
37
37

Scope of Rules
Scope and Definitions
Representation
Time
Filings Generally
Initiation of Formal Adjudicatory Proceedings
Motions
Intervention and Participation
Hearings and Conferences
Settlement of Proceeding
Orders

(950 CMR 11.00: RESERVED)

39

950 CMR 12.200: REGISTRATION OF BROKER-DEALER, AGENTS,
INVESTMENT ADVISER, INVESTMENT ADVISER
REPRESENTATIVES AND NOTICE FILING PROCEDURES
FOR FEDERAL COVERED ADVISERS

41

Section 12.201:
Section 12.202:
Section 12.203:
Section 12.204:
Section 12.205:

Broker-dealer/Agent Registration Requirements
Broker-dealer/Agent Registration Procedures
Post-registration Requirements
Denial, Revocation, Suspension, Cancellation, and Withdrawal of
Registration
Investment Advisers and Federal Covered Advisers

41
41
44
46
48.3

950 CMR 13.300: REGISTRATION OF AND NOTICE FILINGS FOR SECURITIES

49

Section 13.301:
Section 13.302:
Section 13.303:
Section 13.304:
Section 13.305:
Section 13.306:

49
49
49
49
51
52

Registration Requirement (Reserved)
Registration by Coordination
Registration by Qualification
Provisions Applicable to Registration Generally
Denial, Suspension, and Revocation of Registration
Notice Filings for Offerings of Investment Company Securities

950 CMR 14.400: GENERAL PROVISIONS

55

Section 14.401:
Section 14.402:
Section 14.403:
Section 14.404:
Section 14.405:

55
58
72.5
72.5

Section 14.406:
Section 14.407:
Section 14.407A:
Section 14.408:
Section 14.409:
Section 14.410:
Section 14.411:
Section 14.412:
Section 14.413:

Definitions
Exemptions
Filing of Sales and Advertising Literature
Misleading Filings (Reserved)
Unlawful Representations Concerning Registration or Exemptions
(Reserved)
Administration of Chapter
Investigations and Subpoenas
Cease and Desist Orders
Injunctions (Reserved)
Criminal Penalties (Reserved)
Civil Liabilities (Reserved)
Judicial Review of Orders (Reserved)
Rules, Forms, Orders, and Hearings
Nonpublic Records and Information

(950 CMR 15.00 through 19.00: RESERVED)

4/10/15

72.5
72.5
72.7
72.7
72.7
72.7
72.7
72.7
72.7
72.8
73

950 CMR - 1

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
Table of Contents
Page
950 CMR 20.00: PREPARING AND FILING REGULATIONS

75

Section 20.01:
Section 20.02:
Section 20.03:
Section 20.04:
Section 20.05:
Section 20.06:

75
75
76
76
77
77

Scope and Purpose
Definitions
Preparing Regulations
Filing Regulations
Emergency Regulations
Exceptions

950 CMR 21.00: PREPARING AND FILING CAPITAL FACILITY
PROJECT NOTICES FOR THE CENTRAL REGISTER

79

Section 21.01:
Section 21.02:
Section 21.03:
Section 21.04:

79
79
80
80

Scope and Purpose
Definitions
Notices Required to be Published
Filing Requirements

(950 CMR 22.00 through 30.00: RESERVED)

81

950 CMR 31.00: ADJUDICATORY PROCEEDINGS: SUPERVISOR OF RECORDS

101

Section 31.01:
Section 31.02:
Section 31.03:
Section 31.04:
Section 31.05:
Section 31.06:
Section 31.07:
Section 31.08:
Section 31.09:
Section 31.10:

101
101
102
103
103
103
105
106
106
106

Scope and Application of Rules
General Provisions
Pleadings and Motions
Service
Intervention
Evidence
Hearings
Consolidation; Continuances; Satisfaction of Complaint
Briefs
Disqualification Hearings of Legislative Agents

950 CMR 32.00: PUBLIC RECORDS ACCESS

109

Section 32.01:
Section 32.02:
Section 32.03:
Section 32.04:
Section 32.05:
Section 32.06:
Section 32.07:
Section 32.08:
Section 32.09:
Section 32.10:

109
109
110
111
111
112.1
112.3
112.5
112.6
112.6

Scope and Purpose
Definitions
General Provisions
Records Access Officers
Additional Records Access Officer Responsibilities
Rights of Access
Copies of Records; Fees
Appeals
Enforcement of Orders
Advisory Opinions

950 CMR 33.00: FAIR INFORMATION PRACTICES REGULATIONS

113

Section 33.01:
Section 33.02:
Section 33.03:
Section 33.04:
Section 33.05:
Section 33.06:
Section 33.07:
Section 33.08:
Section 33.09:
Section 33.10:
Section 33.11:

113
113
113
114
114
114
114
115
115
115
115

12/16/16

Authority
Scope and Application
Fees
Meaning of Terms
Responsible Person
Duties and Responsibilities
Contracts to Hold Personal Data
Personnel Training
Physical Security
Duplicate Files
Notice and Annual Report to the Secretary of State

950 CMR - 2

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
950 CMR 32.00:

PUBLIC RECORDS ACCESS

Section
32.01:
32.02:
32.03:
32.04:
32.05:
32.06:
32.07:
32.08:
32.09:
32.10:

Scope and Purpose
Definitions
General Provisions
Records Access Officers
Additional Records Access Officer Responsibilities
Rights of Access
Copies of Records; Fees
Appeals
Enforcement of Orders
Advisory Opinions

32.01:

Scope and Purpose
(1) 950 CMR 32.00 describes the practices and procedures of the Division of Public Records
relative to the requirements of governmental entities or political subdivisions of the
Commonwealth with respect to disclosure of public records, reporting requirements for certain
records access officers and ensuring that disputes regarding access to particular records are
resolved expeditiously and fairly. 950 CMR 32.00 shall not limit the availability of other
remedies provided by law.
(2) The Division of Public Records is under the supervision of the Supervisor of Public
Records. The Supervisor may amend and rescind such rules, forms and orders as are
contemplated by the provisions of the Massachusetts General Laws and as are necessary to carry
out their purposes.
(3) The Supervisor of Public Records may authorize exceptions to 950 CMR 32.00 with respect
to any specific requirement provided that such exceptions to 950 CMR 32.00 are in conformity
with the provisions of the Massachusetts General Laws.

32.02: Definitions
For the purposes of 950 CMR 32.00 unless the context otherwise requires, the following
terms shall have the meanings indicated:
Advisory Opinion. An opinion issued by the Supervisor of Public Records intended to provide
guidance on issues related to public records access and retention.
Agency. Any agency, executive office, department, board, commission, bureau, division or
authority of the commonwealth that is identified in M.G.L. c. 66, § 6A and c. 4, § 7, clause
Twenty-sixth and makes or receives "public records", as defined in 950 CMR 32.02. Agency
includes any person, corporation, association, partnership or other legal entity which receives or
expends public funds for the payment or administration of pensions for any current or former
employees of the commonwealth or any political subdivision as defined in M.G.L. c. 32, § 1.
Business Day. Monday through Friday. Business day does not include Saturdays, Sundays, legal
holidays, or other weekdays where a custodian's office is closed unexpectedly.
Commercial Purpose. The sale or resale of any portion of the public record or the use of
information from the public record to advance the requester's strategic business interests in a
manner that the requester can reasonably expect to make a profit including in addition to the
foregoing, obtaining names and addresses from the public record for the purpose of solicitation.
It does not include gathering or reporting news or gathering information to promote citizen
oversight or further the understanding of the operation or activities of government or for
academic, scientific, journalistic, or public research or education.
Custodian. Any governmental entity that makes or receives public records.

12/16/16 (Effective 1/1/17)

950 CMR - 109

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.02: continued
Division. Division of Public Records, Office of the Secretary of the Commonwealth of
Massachusetts.
Governmental Entity. Any agency or municipality as defined in 950 CMR 32.02. It includes any
quasi-governmental agency that is considered a body politic and corporate or public
instrumentality. It does not include the legislature and the judiciary.
Municipality. Cities and towns, local housing, redevelopment or similar authorities. A
consortium, consolidation or combination of entities within a single political subdivision of the
commonwealth or among multiple political subdivisions of the commonwealth shall be deemed
a municipality.
Public Record. All books, papers, maps, photographs, recorded tapes, financial statements,
statistical tabulations, or other documentary materials or data, regardless of physical form or
characteristics, made or received by a governmental entity unless such materials or data fall
within one or more of the exemptions found within M.G.L. c. 4, § 7, clause Twenty-sixth or
other legally applicable privileges.
Records Access Officer. The employee designated within a governmental entity to perform
duties described in 950 CMR 32.00 including coordinating a response to requests for access to
public records, assisting individuals seeking public records in identifying the records requested,
and preparing guidelines that enable requesters to make informed requests regarding the
availability of such public records electronically or otherwise.
Requester. Any person or entity seeking to inspect or obtain copies of public records.
Redact. To delete, or otherwise expurgate that part of a public record that is exempt from
disclosure under M.G.L. c. 4, § 7, clause Twenty-sixth or other legally applicable privileges from
non-exempt material.
Search Time. The time needed to locate and identify, pull from the files, copy and reshelve or
refile a public record. However, it shall not include the time expended to create the original
record.
Secretary. The Secretary of the Commonwealth of Massachusetts.
Segregation Time. The time used to review records to determine what portions are subject to
redaction or withholding under M.G.L. c. 4, § 7, clause Twenty-sixth or other legally applicable
privileges. Segregation time shall not include time expended to review record for accuracy and
correct errors.
Supervisor. Supervisor of Public Records or Supervisor of Records.
Withhold. To hold back from disclosure a record under M.G. L. c. 4, § 7, clause Twenty-sixth
or other legally applicable privileges.
32.03: General Provisions
(1) Division Mailing Address and Electronic Mail Address. All communications shall be
addressed or delivered to:
Supervisor of Records
Division of Public Records
Office of the Secretary of the Commonwealth
One Ashburton Place, Room 1719
Boston, Massachusetts 02108
or: pre@sec.state.ma.us
Electronic communication is strongly encouraged and is the preferred method of
correspondence.

12/16/16 (Effective 1/1/17)

950 CMR - 110

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.03: continued
(2) Division Business Hours. The regular hours of the Division are from 8:45 A.M. to
5:00 P.M. each business day.
(3) Computation of Time. Unless otherwise provided, the computation of time referred to in
950 CMR 32.00 shall begin with the first business day following the date of receipt of any
request, regardless of physical form. The computation of time for an oral request shall begin
with the day the oral request was made to the custodian.
(4) Presumptions. In all proceedings pursuant to 950 CMR 32.00, there shall be a presumption
that the record sought is public.
32.04: Records Access Officers
(1) Each agency and municipality shall designate one or more employees as records access
officer(s).
(2) In a municipality, the municipal clerk, or the clerk's designees, or any designee of a
municipality that the chief executive officer of the municipality may appoint, shall serve as
records access officers.
(3) The designation of a records access officer shall not be construed to prohibit employees who
have been previously authorized by the agency or municipality to make public records or
information available to the public from continuing to do so in accordance with 950 CMR 32.00.
(4) Each agency and municipality shall post in a conspicuous location at its offices and on its
website, if any, the name, title, business address, business telephone number, and business email
address of each records access officer.
(5) A records access officer shall:
(a) coordinate the custodian's response to requests for access to public records and shall
facilitate the resolution of such requests by the timely and thorough production of public
records;
(b) assist persons seeking public records to identify the records sought;
(c) assist the custodian in preserving public records in accordance with all applicable laws,
rules, regulations and retention schedules;
(d) to the extent feasible, provide public records to a requester in electronic format unless
the record is not available in electronic form or the requester does not have the ability to
receive or access the records in electronic format and if feasible, in the requesters preferred
format. In the absence of a preferred format, the records shall be provided in a searchable
machine-readable form;
Where the requester is an individual held in custody in any correctional facility, as
defined in M.G.L. c. 125, § l(d), the records access officer shall presume that the requester
does not have the ability to receive or access records in usable electronic form;
(e) to the extent feasible, furnish the public records by providing reasonable assistance in
locating the records on an appropriately indexed and searchable public website;
(f) prepare guidelines of the agency or municipality that enable the person seeking access
to public records in the custody of the agency or municipality to make informed requests
regarding the availability of such public records electronically or otherwise. The guidelines
shall include a list of categories of public records maintained by the agency or municipality
and such list shall be updated periodically; each agency or municipality that maintains a
website shall post the guidelines on its website;
(g) a municipal records access officer shall, to the extent feasible, post commonly available
public record documents on a website maintained by the municipality. The website copy
shall not be deemed the record copy for retention purposes.
32.05: Additional Records Access Officer Responsibilities
(1) Agency Records Access Officers. The requirements of 950 CMR 32.05(1) shall apply only
to agency records access officers.

12/16/16 (Effective 1/1/17)

950 CMR - 111

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.05: continued
(a) agency designation of primary and secondary records access officers; reporting
requirements:
1. each agency shall designate one primary records access officer responsible for
reporting information to the Secretary pursuant to M.G.L. c. 66, § 6A(e) and 950 CMR
32.05(1)(c).
2. a primary records access officer shall submit a notification of such designation to the
Division electronically in a manner determined by the Division.
3. the primary records access officer may notify the secondary record access officers to
facilitate reporting such information.
4. the primary records access officer shall electronically notify the Secretary of the
designation of secondary records access officers electronically in a manner determined
by the Division.
5. the agency shall maintain and update information regarding primary and secondary
records access officers electronically, including changes in personnel identified as
primary and secondary records access officers, in a manner determined by the Division.
(b) agency records access officers shall electronically report to the Secretary the information
described in 950 CMR 32.05(1)(c)1. through 9. in a manner determined by the Secretary.
(c) an agency records access officer shall report to the Secretary with respect to written
requests for public records and responses to these requests for each calendar year ending
December 31st:
1. the nature of each request and the date on which each request was received;
2. the date on which a response is provided to the requester;
3. the date on which a public record is provided to the requester;
4. the number of hours required to fulfill the request;
5. fees charged to the requester, if any;
6. records access officer petitions to the Supervisor submitted under M.G.L. c. 66,
§ 10(d)(iv) and 950 CMR 32.06(4)(g) and (h);
7. requests appealed to the Supervisor under M.G.L. c. 66, § 10A and 950 CMR
32.08(1);
8. the time required to comply with the Supervisor's orders under M.G.L. c. 66, § 10A;
and
9. the final adjudication of any associated court proceedings under M.G.L. c. 66,
§ 10A(d).
(d) the Supervisor may make exceptions to the reporting requirement in 950 CMR
32.05(1)(c) for particular classes of records, such as:
1. certified copies of records;
2. registry of deeds records;
3. incorporation records;
4. vital records;
5. criminal offender record information requested by the offender, representative, or
other authorized recipient.
(e) all information must be provided in accordance with 950 CMR 32.05(1) within ten
business days of the last day of the calendar year.
(f) an agency shall provide on a searchable website electronic copies, accessible in a
commonly available electronic format, of the following types of records, provided that any
agency may withhold any record or portion thereof in accordance with state or federal law:
1. final opinions, decisions, orders, or votes from agency proceedings;
2. annual reports;
3. notices of regulations proposed under M.G.L. c. 30A;
4. notices of hearings;
5. winning bids for public contracts;
6. awards of federal, state and municipal government grants;
7. minutes of open meetings;
8. agency budgets; and
9. any public record information of significant interest that the agency deems
appropriate to post, such determination to be made by each agency on a case-by-case
basis.

12/16/16 (Effective 1/1/17)

950 CMR - 112

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.05: continued
(g) an agency shall post records online pursuant to 950 CMR 32.05(1)(f) as soon as
practicable on a website maintained by the agency. The website copy shall not be deemed
the record copy for retention purposes. 950 CMR 32.05(1)(f) and (g) shall apply only to
records made or received on or after January 1, 2017.
(h) an agency may fulfill the requirements of 950 CMR 32.05(1)(f) and (g) by providing
links to other agency websites that provide access to the categories of records described in
950 CMR 32.05(1)(f)1. through 9.; provided, however, that the website is searchable and
provides electronic copies, accessible in a commonly available electronic format.
32.06: Rights of Access
(1) Requests for Public Records.
(a) requests for public records may be made orally in person to a records access officer or
custodian or may be written. Telephone requests may be accepted at the discretion of the
records access officer.
(b) requests for public records shall include a reasonable description of the requested record
to the records access officer so that he or she can identify and locate it promptly.
(c) written requests may be delivered by a requester to the business address or designated
website or email address of a records access officer or custodian:
1. by hand;
2. by mail;
3. by electronic mail; or
4. by facsimile, if custodian has facsimile access.
(d) a records access officer shall not require a particular form be used by requesters, but may
make forms available for requesters.
(e) a person shall not be required to make a personal inspection of the record prior to
receiving a copy.
(f) calculation of time will commence only for requests that are made in accordance with
950 CMR 32.06(1).
(g) a request for records in which an individual, or representative of the individual has a
unique right of access by statutory, regulatory, judicial or other applicable means, shall not
be considered a request for public records.
(2) Records Access Officer Response to Requests for Records.
(a) a records access officer or designee shall permit inspection or provide or furnish a copy
of all public records within the custody and control of the custodian at reasonable times and
without unreasonable delay under M.G.L. c. 66, § 10(a).
(b)
if applicable, a records access officer shall provide a written response under
M.G.L. c. 66, § 10(b) to a request for public records no later than the tenth business day
following the receipt of a request notwithstanding the applicability of any petition filed
pursuant to 950 CMR 32.06(4).
(c) a records access officer shall not charge a fee for the provision of a public record unless
the records access officer responded to the requester within ten business days under
M.G.L. c. 66, § 10(b).
(d) if a records access officer intends to provide records, access to such records must be
provided no later than the tenth business day following the receipt of a request, unless an
extension of time is permitted in a manner consistent with 950 CMR 32.06(2)(i) and (4).
(e) a written request for records, regardless of the form of delivery, will be deemed received
on the first business day following receipt the request by the records access officer; an oral
request will be deemed received on the day it was made.
(f) a records access officer may delay provision of records until all fees related to such
requests are paid in full by the person seeking access to the requested records in accordance
with 950 CMR 32.07.
(g) a records access officer shall, when appropriate, suggest a reasonable modification of
the scope of the request or offer to assist the requester to modify the scope of the request if
doing so would enable the agency or municipality to produce records sought more efficiently
and affordably.

12/16/16 (Effective 1/1/17)

950 CMR - 112.1

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.06: continued
(h) a records access officer may not require the requester to specify the purpose for a request
except:
1. when the requested records concern information which may be exempt from
disclosure pursuant to M.G.L. c. 4, § 7(26)(n);
2. to determine whether the records are requested for a commercial purpose; or
3. to determine whether to grant a request for a fee waiver.
(i) a records access officer shall identify a reasonable timeframe in which it shall produce
the public records sought in a manner consistent with M.G.L. c. 66, § 10(b)(vi), provided that
the requester may voluntarily agree to a response date beyond these timeframes.
(3) Denial by Records Access Officer.
(a) a records access officer shall provide written notice by first class mail or electronic mail
to a requester of any denial of access to records.
(b) a records access officer shall provide such written notice of denial of access within ten
business days of its receipt of a request for public records in accordance with 950 CMR
32.06(2)(b).
(c) such written notice of denial shall include:
1. the date of the request;
2. identification of any records sought that are not within the possession, custody, or
control of the agency or municipality the records access officer serves;
3. identification of the agency or municipality that may be in possession, custody or
control of the public record sought, if known to the records access officer;
4. identification of any records, categories of records or portions of records that the
agency or municipality intends to withhold;
5. identification of any specific exemption to the Public Records Law or common law
privilege that applies to the withhold record or records;
6. identification of the applicability of each cited exemption or privilege to each portion
of the withheld record or records;
7. identification of any portions of responsive records that the agency or municipality
intends to produce; and
8. a statement informing the requester of the right of administrative appeal to the
Supervisor under 950 CMR 32.08(1) and the right to seek judicial review of an
unfavorable decision by commencing a civil action in the superior court.
(d) where a record has been withheld based on a claim of the attorney-client privilege the
records access officer shall provide in its written denial a detailed description of the record,
including the names of the author and recipients, and in general terms, the subject matter of
the withheld information.
(4) Petition for Modification or Waiver by a Records Access Officer to the Supervisor.
(a) petitions requesting an extension of time to furnish copies of the requested records or
waive statutory limits to fees from a records access officer to the Supervisor shall be in
writing and delivered to the Supervisor in accordance with 950 CMR 32.03(1). A copy of
the petition shall be provided by the records access officer to the requester. The Supervisor
shall issue a written determination with findings regarding any such petition within five
business days following receipt of a records access officer petition.
(b) petitions filed under 950 CMR 32.06(4) do not affect the requirement that a records
access officer shall provide an initial response to a requester within ten business days after
receipt of a request for public records, pursuant to 950 CMR 32.06(2)(a) or (b). Failure to
comply with 950 CMR 32.06(4) will result in a waiver of the right to assess fees for public
records.
(c) all such petitions shall be considered public records both in the custody of the records
access officer and the Supervisor.
(d) petitions seeking an extension of time to furnish copies of the requested records must
be made by a records access officer within 20 business days after receipt of a request for
public records, or within ten business days after the records access officer's receipt of a
determination by the Supervisor that a requested record constitutes a public record.

12/16/16 (Effective 1/1/17)

950 CMR - 112.2

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.06: continued
(e) a petition for extension of time described in 950 CMR 32.06(4)(d) shall include a brief
narrative detailing why an extension of time is necessary. Upon a showing of good cause,
the Supervisor may grant a single extension. For an agency, such extension may not exceed
20 business days from the date of the grant of the extension by the Supervisor. For a
municipality, such extension may not exceed 30 business days from the date of the grant of
the extension by the Supervisor.
(f) if, when reviewing a petition for extension of time described in 950 CMR 32.06(4)(d),
the Supervisor determines that the request is part of a series of contemporaneous requests
that are frivolous or designed to intimidate or harass, and the requests are not intended for
the broad dissemination of information to the public about actual or alleged government
activity, the Supervisor may grant a longer extension or relieve the custodian of its obligation
to provide copies of the records sought.
(g) petitions seeking a waiver of statutory limits to fees assessed to segregate and/or redact
public records must be made within ten business days after receipt of a request for public
records.
(h) a petition seeking a waiver of statutory limits to fees described in 950 CMR 32.06(4)(g)
must be made in accordance with the following:
1. any records access officer may petition the Supervisor to charge for time spent
segregating or redacting records.
2. only a municipal records access officer may petition the Supervisor for permission
to charge fees in excess of the maximum hourly rate of $25 per hour for time required
to comply with a request.
3. records access officers shall not petition the Supervisor seeking a waiver associated
with the provisions of 950 CMR 32.07(2)(l)1. and (m)1.
4. a records access officer shall respond to a request within five business days of receipt
of the Supervisor's determination regarding a petition submitted under 950 CMR
32.06(4)(g).
32.07: Copies of Records; Fees
(1) Copies of Paper and Electronic Records.
(a) upon request, a requester shall be entitled to receive in hand, by mail, by facsimile or
electronically one copy of a public record or any desired portion of a public record.
(b) as an alternative to obtaining copies of records from a records access officer a requester
shall be permitted, to the extent feasible, and at reasonable times:
1. view and inspect records prior to obtaining copies; or
2. use a personal device such as a camera or portable scanner to copy records.
(c) the records access officer shall presume that a requester prefers copies provided in
machine-readable electronic form, when electronic form is available, unless the requester
specifies an alternative preference.
(d) the records access officer must provide electronic records in native form when possible.
(e) when designing or acquiring an electronic record keeping system or database the records
access officer in cooperation with the custodian shall ensure, to the extent feasible that:
1. newly acquired or implemented electronic record keeping systems or databases are
capable of providing data in a commonly available electronic, machine readable format;
and
2. the newly acquired or implemented electronic record keeping system allows for
information storage and retrieval methods permitting retrieval of public portions of
records to provide maximum public access.
(f) furnishing a segregable portion of a public record shall not be deemed to be creation of
a new record. This applies to a responsive record in the form of an extract of existing data,
as such data exists at the time of the request and is segregable from nonresponsive and
exempt data.
(2) Fees.
(a) a records access officer may assess a reasonable fee for the production of a public record
except those records that are freely available for public inspection, subject to the provisions
of 950 CMR 32.04(5)(d). A records access officer is encouraged to inform a requester of the
availability of records online to avoid delays and fees associated with the provision of public
records.
12/16/16 (Effective 1/1/17)

950 CMR - 112.3

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.07: continued
(b) if fees are being assessed, a records access officer shall provide a written, itemized, good
faith estimate of any fees that may be charged to produce the records prior to complying with
a public records request within ten business days.
(c) the reasonable fee for reproduction shall not exceed the actual cost of reproducing the
record.
(d) a fee shall not be assessed for time spent segregating or redacting records unless such
segregation or redaction is required by law or approved by the Supervisor under 950 CMR
32.06(4)(g) and (h).
(e) the charge for black and white paper copies or printouts of records of any size
susceptible to ordinary means of production shall not exceed .05¢ per page, for both single
and double-sided black and white copies or printouts.
(f) a records access officer shall not assess a copying fee for electronic copies or copies of
public records transmitted via facsimile.
(g) the actual cost of any storage device or material provided to a person in response to a
request for public records may be included as part of the fee.
(h) for copies of public records not susceptible to ordinary means of reproduction, the actual
cost incurred in providing a copy may be assessed.
(i) a records access officer shall assess no fee greater than the lowest hourly rate of a person
capable of compiling, segregating, redacting and reproducing a requested record, subject to
the requirements of 950 CMR 32.07.
(j) a records access officer may assess the actual cost of postage to mail copies of public
records, provided:
1. the requester specifically requests that records be mailed or is unable to receive
copies in person; and
2. the records access officer shall charge the lowest cost available for such mailings, at
the discretion of the requester.
(k) Waiver of Fees. Records access officers may waive or reduce the amount of any
assessed fee upon a showing that:
1. disclosure of a requested record is in the public interest;
2. the request for records is not primarily in the commercial interest of the requester; or
3. the requester lacks the financial ability to pay the full amount of the reasonable fee.
(l) Agency Records Access Officers.
1. an agency records access officer shall not assess a fee for the first four hours of time
spent searching for, compiling, segregating, redacting and reproducing a requested
record.
2. an agency records access officer shall not assess a fee for time spent segregating and
redacting a requested record unless such segregation or redaction is required by law or
approved by the Supervisor under 950 CMR 32.06(4)(g) and (h).
3. an agency records access officer shall assess no fee of more than $25 per hour for the
cost to comply with a request for public records.
(m) Municipal Records Access Officers.
1. a municipal records access officer shall not assess a fee for the first two hours of time
spent searching for, compiling, segregating, redacting and reproducing a requested record
in a municipality with a population of over 20,000.
2. a municipal records access officer in a municipality with a population of 20,000
persons or fewer may assess a fee for the first two hours of time spent compiling,
segregating, redacting and reproducing a requested record, provided:
i. population data shall be determined by the decennial U.S. Census; and
ii. it shall be the burden of the municipal records access officer to provide
population data information in responses in which it seeks to assess such fees.
3. a municipal records access officer shall assess no fee of more than $25 per hour for
the cost to comply with a request for public records unless approved by the Supervisor
under 950 CMR 32.06(4)(g) and (h).
4. a municipal records access officer shall not assess a fee for time spent segregating
and redacting a requested record unless such segregation or redaction is required by law
or approved by the Supervisor under 950 CMR 32.06(4)(g) and (h).

12/16/16 (Effective 1/1/17)

950 CMR - 112.4

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.07: continued
(n) Failure to Pay Fee. A records access officer may provide written notice denying access
to public records to a requester who has failed to compensate the custodian for previously
produced public records, provided:
1. a fee estimate for a previous request was prepared in compliance with 950 CMR
32.00 and the requester agreed to pay the previous fee;
2. the written notice details the reasons for denial, including an itemized list of any
balances attributed to previously produced records.
32.08: Appeals
(1) Appeal to the Supervisor.
(a) 950 CMR 32.08 shall not apply to records in which an individual, or a representative of
the individual, has a unique right of access to the record through statutory, regulatory,
judicial or other applicable means.
(b) a requester may petition the Supervisor for failure by a records access officer to comply
with a requirement of 950 CMR 32.00.
(c) an oral request, while valid as a public record request, shall not be the basis of an appeal
under 950 CMR 32.08.
(d) petitions for appeal of a response by a records access officer must be made within 90
calendar days of the date of the response by a records access officer.
(e) petitions for appeal of a failure to respond within the timeliness requirements of
950 CMR 32.00 must be made within 90 calendar days of the request.
(f) all petitions for appeal shall be in writing and shall specifically describe the nature of the
requester's objections to the response or failure to timely respond.
(g) requesters shall provide to the Supervisor complete copies of all correspondence
associated with the petition, including:
1. a complete copy of the letter by which the request was made, including in the case
of electronic communications all header information indicating time, date, subject, sender
and recipient email addresses; and
2. a complete copy of all written responses associated with requests subject to the
petition for appeal, including in the case of electronic communications all header
information indicating time, date, subject, sender and recipient email addresses.
(h) in petitioning the Supervisor, the requester shall provide a copy of such petition to the
records access officer associated with such petition.
(i) if the requester's petition for appeal is related to a previous appeal to the Supervisor, the
requester's petition shall refer to the previous appeal number.
(j) petitions under 950 CMR 32.08 received before 4:00 P.M. shall be opened on the day
of receipt. Petitions received after 4:00 PM shall be opened on the following business day.
(2) Dispositions of Appeals.
(a) the Supervisor shall issue a written determination regarding any petition submitted in
accordance with 950 CMR 32.08(1) not later than ten business days following receipt of the
petition.
(b) the Supervisor may deny an appeal for, among other reasons if, in the opinion of the
Supervisor:
1. the public records in question are the subjects of disputes in active litigation,
administrative hearings or mediation;
2. the request is designed or intended to harass, intimidate, or assist in the commission
of a crime;
3. the public records request is made solely for a commercial purpose;
4. the requester has failed to comply with the provisions of 950 CMR 32.08(2).
(c) upon a determination by the Supervisor that a violation has occurred, the Supervisor
shall order timely and appropriate relief.
(3) Hearings and Conferences.
(a) the Supervisor may conduct a hearing pursuant to the provisions of 801 CMR
1.00: Standard Adjudicatory Rules of Practice and Procedure. The decision to hold a
hearing shall be solely in the discretion of the Supervisor.

12/16/16 (Effective 1/1/17)

950 CMR - 112.5

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

 950 CMR: OFFICE OF THE SECRETARY OF THE COMMONWEALTH
32.08: continued
1. said rules shall govern the conduct and procedure of all hearings conducted pursuant
to 950 CMR 32.08.
2. nothing in 950 CMR 32.08 shall limit the Supervisor from employing any
administrative means available to resolve summarily any appeal arising under 950 CMR
32.00.
(b) the Supervisor may order conferences for the purpose of clarifying and simplifying
issues and otherwise facilitating or expediting the investigation or proceeding. The decision
to hold a conference shall be solely in the discretion of the Supervisor.
(4) In Camera Inspections and Submissions of Data.
(a) the Supervisor may require an inspection of the requested record(s) in camera during any
investigation or any proceeding initiated pursuant to 950 CMR 32.08.
(b) the Supervisor may require the records access officer to produce other records and
information necessary to reach a determination pursuant to 950 CMR 32.08.
(c) the Supervisor does not maintain custody of documents received from a records access
officer submitted for an in camera review. The documents submitted for an in camera review
do not fall within the definition of public records. M.G.L. c. 4, § 7(26).
(d) upon a determination of the public record status of the documents, they are promptly
returned to the custodian, and no copies shall be retained by the Supervisor.
(e) any public record request made to the Division for records being reviewed in camera
would necessarily be denied, as the office would not be the custodian of those records.
(f) attorney-client privileged records voluntarily submitted to Supervisor:
1. a records access officer may voluntarily submit documents to the Supervisor for in
camera review;
2. such submission shall not waive any legally applicable privileges claimed by the
agency or municipality.
(5) Custodial Indexing of Records.
(a) the Supervisor may require a records access officer or custodian to compile an index of
the requested records within the context of a public records appeal under 950 CMR 32.08.
(b) said index shall be a public record and shall meet the following requirements:
1. the index shall be contained in one document, complete in itself;
2. the index shall adequately describe each withheld record or redaction from a released
record;
3. the index must state the exemption or exemptions claimed for each withheld record
or each redaction of a record; and
4. the descriptions of the withheld material and the exemption or exemptions claimed
for the withheld material must be sufficiently specific to permit the Supervisor to make
a reasoned judgment as to whether the material is exempt.
(c) nothing in 950 CMR 32.08 shall preclude the Supervisor from employing alternative or
supplemental procedures to meet the particular circumstances of each appeal.
32.09: Enforcement of Orders
A records access officer shall promptly take such steps as may be necessary to comply with
an order of the Supervisor. If a records access officer fails to comply with an order issued by the
Supervisor, the Supervisor, upon the Supervisor's initiative, may notify the Attorney General to
ensure compliance.
32.10: Advisory Opinions
Advisory opinions from the Supervisor may be requested. However, it shall be in the
Supervisor's discretion whether to issue an advisory opinion. The Supervisor has and will
continue to provide a staff member on call every day during regular business hours to offer
informal information to any person, whether a requester or custodian.
REGULATORY AUTHORITY
950 CMR 32.00: M.G.L. c. 66, § 1.

12/16/16 (Effective 1/1/17)

950 CMR - 112.6

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