reglab/statecodes huggingface dataset:
Code of Massachusetts Regulations › 963 CMR - MASS. SCHOOL BUILDING AUTHORITY › Title 963 CMR 2.00 - School Building Grant Program › Section 2.17 - Audit Procedures

Current through Register 1525, July 5, 2024
(1)
General Audit Process
.
(a) In order to determine the eligible costs
			 of an Approved Project and to ensure that only eligible costs are included in a
			 Total Facilities Grant, the Authority shall conduct an Audit or Audits of each
			 Approved Project, at such time or times as may be required by the Authority.
			 The Authority may designate any person it deems qualified to perform an Audit,
			 and such person shall use agreed upon procedures, as determined by the
			 Authority in the performance of said Audit or Audits. Such person shall certify
			 in writing to the Authority that, in conducting the Audit or Audits on behalf
			 of the Authority, he or she is and shall remain in full compliance with the
			 Massachusetts Conflict of Interest Law, M.G.L. c. 268A.
(b) The Eligible Applicant shall cooperate
			 with the Authority and/or its designee, if any, in the conduct of an Audit or
			 Audits. Such cooperation shall include, but not be limited to, scheduling,
			 provision of Audit Materials, provision of adequate workspace, responding to
			 requests for documents, providing access to personnel with knowledge of the
			 Approved Project, providing access to Approved Project related materials stored
			 electronically, or complying with any other requirement of the Authority for
			 the thorough and expeditious conduct of the Audit.
(c) Audits of Approved Projects shall be
			 performed in accordance with MSBA Audit Guidelines, established by the
			 Authority.
(d) Except as provided
			 in 963 CMR 2.00, the cost of the Audit or Audits shall be borne by the
			 Authority. If the Authority determines that the Eligible Applicant:
1. has not reasonably cooperated with the
			 Authority in the conduct of an Audit or Audits; or
2. is responsible for any delay in an Audit
			 or Audits the Authority may, in its sole discretion, deduct all or a portion of
			 the cost of conducting an Audit or Audits from the Eligible Applicant's Total
			 Facilities Grant, discontinue making payments to the Eligible Applicant, or
			 seek to recover any payments that the Authority may have already made to the
			 Eligible Applicant.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.01 - General Provisions

Current through Register 1525, July 5, 2024
(1)
Authority.
965 CMR 2.00 is promulgated pursuant to M.G.L. c. 66A, § 3.
(2)
Application.
965 CMR 2.00 shall apply to the Department of the State Auditor.
(3)
Scope; Exemptions.
965 CMR 2.00 shall govern the collection, maintenance and dissemination of personal data. 965 CMR 2.00 shall not apply to:
(a) Criminal offender record information as defined in M.G.L. c. 6, § 167;
(b) Intelligence or evaluative information as defined in M.G.L. c. 6, § 167;
(c) Personal data contained in a public record as defined in M.G.L. c. 4, § 7;
(d) Information not otherwise excluded by 965 CMR 2.01(3)(a) through (c) that is gathered during the course of an audit conducted pursuant to M.G.L. c.11, §§ 12 and 13, until such time as the audit is released;
(e) Information not otherwise excluded by 965 CMR 2.01(3)(a) through (d) that is gathered by the Department pursuant to M.G.L. c. 75C, c. 75D, and c. 93, § 20A; and
(f) Any other statute restricting the release of personal data.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.02 - Definitions

Current through Register 1525, July 5, 2024
As used in 965 CMR 2.00, unless the context otherwise requires, the terms set forth below are defined as follows:
Audit Trail
shall mean a record by the holder of certain persons or entities specified in 965 CMR 2.04(13)  who obtain access to personal data and shall include the identity of such persons or entities gaining access and their intended use of such data.
Authorized Representative
shall mean an agent expressly appointed by the data subject, including, but not limited to, an attorney at law.
Collects
shall mean gathers, obtains, or receives personal data.
Data Subject
shall mean an individual to whom personal data refers. This term shall refer only to human beings, and shall not include corporations, corporate trusts, partnerships, limited partnerships, trusts, other similar entities, entities subject to audit pursuant to M.G.L. c. 11, §§ 12 and 13, or schools subject to review pursuant to M.G.L. chs. 75C, 75D, and 93, § 20A.
Department of the State Auditor or Department
shall mean the agency of government created by M.G.L. c. 11, § 2.
Disseminates
shall mean transfers personal data, for any purpose, from a holder to any other agency, person, or entity.
Holder
shall mean:
(a) The Department of the State Auditor or
(b) Any person or entity which contracts with or has an agreement with the Department whereby personal data is held as a part or as a result of performing a governmental or public function or purpose; or
(c) Any subcontractor of a holder described above who holds personal data as a part of or as a result of performing a governmental or public function or purpose.
Holds
shall mean collects, stores, maintains, disseminates, or uses, whether manually, mechanically, or electronically.
Maintains
shall mean stores, updates, or corrects personal data.
Personal Data
shall mean any information concerning an individual which, because of a personal identifier including, but not limited to, name, identifying number, mark, or description that can be readily associated with a particular individual; provided, however, that such information is not contained in a public record as defined in M.G.L. c. 4, § 7 clause 26, and not referred to in 965 CMR 2.02.
Personal Data System
shall mean a system of records containing personal data which is organized in such a way that the data is retrievable by the identity of the data subject.
Personal Identifier
shall mean any element of data which may be used to determine a person's identity, either by itself or when combined with other data available to the holder. Such data may include, but is not limited to: name, address, social security number, date of birth, race, zip code, mother's given name or maiden name, or other similar device.
State Auditor
shall mean Auditor of the Commonwealth or a designated member of the Department.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.03 - Information Officers

Current through Register 1525, July 5, 2024
(1)
Officer Designation.
The State Auditor shall designate a person who shall serve as the responsible person for each personal data system the Department maintains in accordance with M.G.L. c. 66A, § 2(a). A single employee may serve as the responsible person formore than one such system.
(2)
Duties and Responsibilities.
The officer described in 965 CMR 2.03(1) shall with respect to the system or systems for which he is immediately responsible:
(a) Ensure that the requirements for preventing unauthorized access to personal data, as set out in M.G.L. c. 66A and in 965 CMR 2.00, are followed;
(b) Receive complaints and objections concerning the operation of the personal data system for which he is responsible and the implementation of 965 CMR 2.00; and
(c) Answer questions concerning the operation of the personal data system for which he is responsible and the implementation of 965 CMR 2.00.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.04 - Administration of Personal Data

Current through Register 1525, July 5, 2024
(1)
General.
The holder shall not collect, maintain, or disseminate any personal data that is not essential for the performance of functions authorized by law, except where otherwise provided by statute or judicial order.
(2)
Holder Agreements.
(a) A holder shall not allow any other person, entity, or agency to hold personal data in the absence of an express contract or agreement.
(b) A holder which enters into a contract or agreement with any other person, entity, or agency, to hold personal data, shall:
1. expressly inform the other person, entity, or agency of its status as a holder under 965 CMR 2.00; and
2. contractually bind the other holder to its obligation under 965 CMR 2.00 and M.G.L. c. 66A.
(c) A holder shall ensure that all contracts and agreements affecting the collection, maintenance, or dissemination of personal data between it, or another holder of the same personal data, and the person or entity not otherwise subject to 965 CMR 2.00 shall contain provisions requiring compliance with 965 CMR 2.00 and M.G.L. c. 66A.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.05 - Enforcement

Current through Register 1525, July 5, 2024
(1)
Sanctions
.
Employees of a Holder.
Any employee of the holder found breaching the confidentiality of data subjects through the violation of 965 CMR 2.00 shall be subject to reprimand, suspension, dismissal, or other disciplinary measures by the State Auditor consistent with the Personnel Manual of the Department and may be denied future access to or contact with personal data and removed from any holding responsibilities relative to such information.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.06 - Access by Data Subjects

Current through Register 1525, July 5, 2024
(1)
Public Inquiry.
Where an individual has reason to believe that personal data relating to him are held, the individual may request, in writing, that the State Auditor or his designee locate all personal data held by the Department of the State Auditor.
(2)
Request of Individual for Notification of Holding.
The Department will inform any individual in writing, within 20 days of receipt of a request, whether the Department maintains any personal data concerning such individual.
(3)
Right of Data Subject to Access.
Unless access by a data subject is prohibited by statute, the Department will, as promptly as possible, but in any event within 20 days of a receipt of a request, grant access to any data subject to any personal data concerning him which the Department holds. In addition, such data subject shall have the right to inspect and copy any personal data to which he has access.
(4)
Notification of Denial of Access to Data.
The Department will, within 20 days of a receipt of a request, notify an individual in writing, in terms comprehensible to him, of its denial of his request for access, and the reasons therefore.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.07 - Objections and Administrative Appeals

Current through Register 1525, July 5, 2024
(1)
Objections by Data Subject.
A data subject who objects to the collection, maintenance, dissemination, use, accuracy, completeness, type of, ordenial of access to personal data held regarding him may file an objection with the officer in charge of the personal data system.
(2)
Responsibilities of Holder Pursuant to Objections.
Pursuant to an objection by the data subject, the officer responsible for a data system shall within 30 days of the receipt of the objection:
(a) Investigate the validity of the objection; and,
(b) If, after the investigation:
1. the objection is found to be meritorious, correct the contents of the data or the methods for holding or the use of such data; or,
2. if the objection is found to lack merit, provide the data subject the opportunity to have a statement reflecting his views recorded and disseminated with the data in question.
(c) Notify in writing the data subject of his decision.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 2.00 - Fair Information Practices Act › Section 2.08 - Disclosure of Personal Data to the Attorney General

Current through Register 1525, July 5, 2024
(1) Where a suit (or legal proceeding) has been threatened or instituted by a data subject against the Department of the State Auditor or against any official or employee of the Department, arising from his or her official duties or scope of employment, any personal data concerning the data subject, held by the Department that is or employs a party to such suit (or legal proceeding), which is relevant to a determination of the issues in dispute, may be furnished to the Attorney General, or authorized assistant attorney general, who may further disclose such personal data to the extent he or she deems necessary for purposes of representing the defendant(s), subject to the following conditions:
(a) Disclosure shall be furnished in response to a written or oral request from the Office of the Attorney General, which shall indicate the purpose for which the personal data is requested and describe, with particularity, the data requested; and
(b) Personal data of persons not party to the litigation (or legal proceeding) will be redacted in order to protect the privacy interests of such persons.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 3.00 - Safeguard Of Personal Information › Section 3.01 - Scope, Purpose, and Other General Provisions

Current through Register 1525, July 5, 2024
(1)
Applicability
. 965 CMR 3.00 is applicable to the Office of the State Auditor (OSA).
(2)
Purpose
. The Auditor promulgates 965 CMR 3.00, relating to the Safeguard of Personal Information, pursuant to her authority in M.G.L. c. 93H, § 2(c).
(3) The purpose of 965 CMR 3.00 is to effectuate the purpose of M.G.L. c. 93H, that is, to: ensure the security and confidentiality of employee information in a manner fully consistent with industry standards; to protect against anticipated threats or hazards to the security or integrity of such information; and to protect against unauthorized access to or use of such information that could result in substantial harm or inconvenience to any resident of the commonwealth.
(4)
Scope
. 965 CMR 3.00 governs the collection, maintenance, and disclosure of "personal information" as defined by M.G.L. c. 93H, § 1(a), and 965 CMR. 3.00, by the OSA.
(5)
Consistency
. 965 CMR 3.00 should be read consistently with other state or federal laws and regulations applicable to the OSA and already in place, including but not limited to the public records laws (
e.g
., M.G.L. c. 66, § 10; the Fair Information Practices Act, M.G.L. c. 66A, § 1; the Criminal Offender Record Information Act, M.G.L. c. 6, § 172 and 940 CMR 11.00.).
(6)
Limitation
. 965 CMR 3.00 is not intended to establish a standard of care or create any independent private right, remedy, or cause of action on the part of any employee, auditee, or other third party on account of any action the OSA takes or fails to take in relation to the Written Information Security Program (WISP).
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 3.00 - Safeguard Of Personal Information › Section 3.02 - Definitions

Current through Register 1525, July 5, 2024
For purposes of 965 CMR 3.00 and as used in 965 CMR 3.00, unless the context otherwise requires, the following terms shall have the following meanings:
Auditor
. means the Office of the State Auditor (OSA).
Breach of Security
. means the unauthorized acquisition or unauthorized use of unencrypted data or encrypted electronic data, and the confidential process or key that is capable of compromising the security, confidentiality, or integrity of personal information maintained by a person or agency that creates a substantial risk of identity theft or fraud against a resident of the commonwealth. A good faith but unauthorized acquisition of personal information by a person or agency, or employee or agent thereof, for the lawful purposes of such person or agency, is not a breach of security unless the personal information is used in an unauthorized manner or subject to further unauthorized disclosure.
Computers
. means personal desktop computers, laptops, and PDAs such as Blackberries.
Electronic
. means relating to technology having electrical, digital, magnetic, wireless, optical, electromagnetic, or similar capabilities.
Encryption
. means the transformation of data through the use of an algorithmic process, or an alternative method at least as secure, into a form to which meaning cannot be assigned without the use of a confidential process or key.
Personal Information
means a Massachusetts resident's first name and last name or first initial and last name in combination with any one or more of the following data elements that relate to such resident:
(a) Social Security number;
(b) driver's license number or state-issued identification card number; or
(c) financial account number, or credit or debit card number, with or without any required security code, access code, personal identification number, or password, that would permit access to a resident's financial account; provided, however, that "personal information" does not include information that is lawfully obtained from publicly available information, or from federal, state, or local government records lawfully made available to the general public.
Record or Records
means any material upon which written, drawn, spoken, visual, or electromagnetic information or images are recorded or preserved, regardless of physical form or characteristics.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 3.00 - Safeguard Of Personal Information › Section 3.03 - Written Information Security Program

Current through Register 1525, July 5, 2024
The Auditor shall develop, implement, maintain, and monitor a Written Information Security Program (WISP) designed to safeguard the personal information of residents of the commonwealth contained in the records of the Auditor. The Auditor's WISP shall be separate from 965 CMR 3.00 in order to facilitate periodic review and updating of the program. Like 965 CMR 3.00, the WISP shall be read consistently with the safeguards for protection of personal information of a similar character set forth in other state or federal laws and regulations applicable to the OSA and already in place, including but not limited to: the Fair Information Practices Act, M.G.L. c. 66A, § 1; the Criminal Offender Record Information Act, M.G.L. c. 6, § 172 and 940 CMR 11.00. The Auditor's WISP shall be available for public inspection, except to the extent any section(s) thereof may be exempt from disclosure under M.G.L. c. 4, § 7, cl. 26, or are privileged by law.
The Auditor's WISP shall include the following elements:
(1)
Designation of Employee
. The Auditor will designate one or more employees to design, implement, and coordinate the maintenance of the WISP.
(2)
Identification and Assessment of Internal and External Risks
. The Auditor will identify and assess internal and external risks to the security, confidentiality, or integrity of any electronic, paper, or other records containing personal information in each relevant area of activity of the Auditor, and will evaluate and improve, where necessary, the effectiveness of the current safeguards for minimizing such risks, including but not limited to
(a) ongoing employee training;
(b) monitoring employee compliance with policies and procedures;
(c) upgrading information systems, including network, system, and software design, as well as information processing, storage, and transmission, as necessary;
(d) storage of records and data in locked facilities, storage areas, or containers;
(e) access and transportation of records and data by employees who take records containing personal information off the OSA premises; and
(f) improving, as necessary, means for detecting, preventing, and responding to security breaches, including but not limited to security systems and failures.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 4.00 - Calculation Of Privatization Threshold › Section 4.01 - General Provisions

Current through Register 1525, July 5, 2024
(1)
Authority
. 965 CMR 4.00 is promulgated pursuant to M.G.L. c. 7, § 55(c).
(2)
Applicability
. 965 CMR 4.00 is applicable to the Department of the State Auditor and to any Agency as defined by M.G.L. c. 7, § 53.
(3)
Scope
. 965 CMR 4.00 shall govern the calculation of the annual change, if any, in the amount of the threshold at which a privatization contract becomes subject to M.G.L. c. 7, §§ 52 through 55.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 4.00 - Calculation Of Privatization Threshold › Section 4.02 - Definitions

Current through Register 1525, July 5, 2024
As used in 965 CMR 4.00, unless the context otherwise requires, the terms set forth in 965 CMR 4.02 are defined as follows:
Consumer Price Index (CPI)
shall mean the United States Department of Labor's Bureau of Labor Statistics Index, All Urban Consumers, U.S. City Average, for all items (1982-84=100).
CPI for Most Current Year (CPI-CY)
shall mean the average CPI from the most recent December through November period.
CPI for Previous Year (CPI-PY)
shall mean the average CPI from the second most recent December through November period.
CPI Change
shall mean the difference between the CPI-CY and the CPI-PY.
Current Privatization Threshold Amount
shall mean the prior year's Privatization Threshold Amount plus the Privatization Threshold Change.
Department
shall mean the Department of the State Auditor.
Original Threshold Amount
shall mean $500,000.
Percent Change in CPI
shall mean the percent increase or decrease in the average CPI from the previous year calculated by dividing the CPI Change by the CPI-PY.
Privatization Contract
shall mean an agreement or combination or series of agreements by which a non-governmental person or entity agrees with an agency to provide services, valued at the Current Threshold Amount, which are substantially similar to and in
lieu
of, services theretofore provided, in whole or in part, by regular employees of an agency. Any subsequent agreement, including any agreement resulting from a rebidding of previously privatized service, or any agreement renewing or extending a privatization contract, shall not be considered a privatization contract. A contract for information technology services shall not be considered a privatization contract if an employee organization recognized under M.G.L. c. 150E as the exclusive representative of an affected employee, as determined by the Secretary of Administration and Finance, agrees to the terms of the contract in writing. An agreement solely to provide legal, management consulting, planning, engineering, or design services shall not be considered a privatization contract.
Privatization Threshold Amount
shall mean the dollar amount at which point a contract may be subject to M.G.L. c. 7, §§ 52 through 55.
Privatization Threshold Change
shall mean the prior year's Privatization Threshold Amount multiplied by the Percent Change in the CPI.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 4.00 - Calculation Of Privatization Threshold › Section 4.03 - Calculation of Annual Change in the Privatization Threshold Amount

Current through Register 1525, July 5, 2024
(1) Pursuant to M.G.L. c. 7, § 53, as of January 1st each year, Privatization Threshold Amount shall increase from the Original Threshold Amount and any changes in prior year Privatization Threshold Amounts to reflect increases in the consumer price index calculated by the United States Bureau of Labor Statistics for all urban consumers nationally during the most recent 12 month period for which data is available.
(2) As of January 1st of each year, the most recent 12 month period for which data is available is the previous December through November period. For example, on January 1, 2012, the most recent 12 month period for which United States Bureau of Labor Statistics data was available was the period from December 1, 2010 to November 30, 2011.
(3) In January of each year, the Department shall calculate the CPI for the Most Current Year by adding up the monthly change in the CPI from the most recent December through November period and dividing by 12. For example, in the period from December 1, 2010 to November 30, 2011, the average CPI was 224.385.
(4) Following the calculation of the CPI for the Current Year, the Department shall subtract the CPI for the Previous Year from the CPI for the Current Year to determine the CPI Change. For example, the CPI for Previous Year in the example in 965 CMR 4.03(3), for the period from December 1, 2009 to November 30, 2010, was 217.828. In this example, the CPI Change for the Privatization Threshold Amount to take effect as of January 1, 2012 was 6.56.
(5) In order to determine the Percent Change in CPI, the Department shall divide the CPI Change by the CPI for Previous Year, and multiply the result by 100. For example, in the example 965 CMR 4.03(4), dividing the CPI Change - 6.56 - by the CPI-PY - 217.828 - yields the number 0.0301, which, multiplied by 100, yields a Percent Change in CPI of 3.01%.
(6) To determine the Privatization Threshold Change, the Department shall multiply the prior year's Privatization Threshold Amount by the Percent Change in CPI. In the example 965 CMR 4.03(5), for instance, because the prior year's Privatization Threshold Amount was $508,775 and the Percent Change in CPI was 3.01%, the Privatization Threshold Change was $15,316.
(7) To determine the Current Privatization Threshold Amount, the Department shall add the Privatization Threshold Change to the prior year's Privatization Threshold Amount. In the instance in 965 CMR 4.03(6), adding the Privatization Threshold Change -- $15,316 - to the prior year's Privatization Threshold Amount -- $508,775 - yielded a Current Privatization Threshold Amount, as of January 1, 2012, of $524,091.
(8) In the event that the CPI declines, the new Privatization Threshold Amount shall decline as well, but in no event shall the new Privatization Threshold decline below the statutorily set threshold of $500,000.
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 4.00 - Calculation Of Privatization Threshold › Section 4.04 - Table of Calculations

Current through Register 1525, July 5, 2024
Following the statutory increase in the Original Threshold Amount that took effect on July 1, 2009, and using the procedures in 965 CMR 4.03, the Department employed the following calculations in arriving at new Privatization Threshold Amounts:
Year
Avg. CPI Dec-Nov
Percent Change
Percent Change in Dollars
New Privatization Threshold (effective January 1st the following year)
2009
214.071
The calculation was not used in 2009 because doing so would have resulted in a threshold below the statutory threshold of $500,000.
2010
217.828
1.76%
$8,775
$508,775
2011
224.385
3.01%
$15,316
$524,091
2012
229.267
2.18%
$11,403
$535,494
Code of Massachusetts Regulations › 965 CMR - DEPARTMENT OF STATE AUDITOR › Title 965 CMR 4.00 - Calculation Of Privatization Threshold › Section 4.05 - Access to Current Privatization Threshold Amount

Current through Register 1525, July 5, 2024
Upon completion of a new Current Privatization Threshold Amount, the Department shall publicize the new Amount on the State Auditor's website --
http://www.mass.gov/auditor/
. Anyone may request information on the Current Privatization Threshold Amount by contacting the Department at the following address and/or phone number:
Legal Department
Office of the State Auditor
One Ashburton Place, Room 1819
Boston, MA 02108
(617) 727-6200
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.01 - Scope and Purpose

Current through Register 1525, July 5, 2024
M.G.L. c. 55 regulates all campaign finance activity for state,
				county, city and town elections and regional school and other district
				elections in the Commonwealth.
				970 CMR
				1.00 provides for the regulation of activity which is
				often engaged in by political committees. It establishes specific guidelines
				for transactions such as debt settlements, the acceptance and reporting of
				campaign contributions and loans from candidates to their political
				committees.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.02 - General Provisions

Current through Register 1525, July 5, 2024
(1)
Amendments
.
			 970 CMR
			 1.00 may be amended at any time, and such amendments
			 shall take effect in accordance with M.G.L. c. 30A, § 6.
(2) The term
political
			 committee
as used in 970 CMR shall, unless the context otherwise
			 requires, also apply to a candidate's account, as provided for in M.G.L. c. 55,
			 § 2, and shall apply to all transactions and activities of said account.
			 Candidates who do not create a political committee are required to file an
			 organizational statement with OCPF or the city or town clerk, as applicable,
			 prior to raising or spending money. The organizational statement shall include
			 the full name of the candidate, the candidate's address, a statement
			 identifying the office sought by the candidate, and the party affiliation of
			 the candidate, if applicable.
(3)
			 The term
candidate
as used in 970 CMR shall, unless
			 the context otherwise requires, also apply to the candidate committee organized
			 on behalf a candidate in accordance with M.G.L. c. 55.
(4) In any town having elections in November,
			 candidates and committees required to file reports relating to such elections
			 shall file reports in accordance with the schedule established in M.G.L. c. 55,
			 § 18(a)(1) for cities.
(5)
Date and Time Reports Due
.
(a) Except for the reports listed in 970 CMR
			 1.02(5)(b), reports filed electronically with the Director are due by 11:59
			 P.M. on the dates specified in the campaign finance law, unless the due date
			 falls on a Saturday, Sunday or a legal holiday as defined in M.G.L. c. 4,
			 § 7. In such cases, the report will be due by 11:59 P.M. on the next
			 business day.
(b) Independent
			 Expenditure and Electioneering Communication Reports required to be filed with
			 the Director by M.G.L. c. 55, §§ 18A and 18F shall be filed
			 electronically no later than 11:59 P.M. on the date specified in M.G.L. c. 55,
			 notwithstanding that the date may fall on a Saturday, Sunday or legal
			 holiday.
(c) Reports filed with a
			 local election official are due no later than the close of the workday of the
			 date specified in the campaign finance law. If the due date for a municipal
			 report falls on a day when the election office is closed (a Saturday, Sunday or
			 legal holiday, or closing due to local schedule or inclement weather) the
			 report is due no later than the close of business on the next business
			 day.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.03 - Debts

Current through Register 1525, July 5, 2024
(1)
Corporate Debts
.
			 Debts owed to business corporations or other entities subject to M.G.L. c. 55,
			 § 8 for goods and services may not be settled by candidates or political
			 committees other than ballot question committees or independent expenditure
			 PACs for less than the amount owed unless both the business corporation or
			 other entity subject to M.G.L. c. 55, § 8 and the political committee
			 treat the debt in a commercially reasonable manner. A corporation which settles
			 a debt for less than the amount owed has made an in-kind contribution to the
			 ballot question committee or independent expenditure PAC, and the ballot
			 question committee or PAC must disclose the receipt of the in-kind contribution
			 on its campaign finance reports. 970 CMR 1.03 shall not apply to a debt which
			 is the subject of a dispute between a political committee and a creditor
			 involving questions of satisfactory delivery of goods or services, or the
			 amount owed. In order for a settlement of such a debt to occur all of the
			 following requirements must be met:
(a)
			 Credit was extended in the ordinary course of business similar to terms granted
			 to other political and non-political debtors.
(b) The committee has made commercially
			 reasonable efforts to satisfy the debt.
(c) The creditor has pursued remedies to seek
			 payment in the same manner it normally takes against debtors in a financial
			 condition similar to the committee.
(d) The settlement is similar to others the
			 creditor has made with other debtors, and similar to settlements the committee
			 has proposed to its other creditors.
(e) The length of time prior to settlement is
			 consistent with normal business and trade practice.
(f) A political committee or candidate must
			 file with this office a Statement of Settlement, which is subject to review,
			 within 30 days of any such settlement. All Statements of Settlement must be
			 signed by the Treasurer and Candidate of the political committee, and a duly
			 authorized agent of the corporation.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.04 - Contributions

Current through Register 1525, July 5, 2024
(1)
Joint
			 Contributions
. A contribution which is made by a check which
			 reflects a joint checking account of more than one individual is presumed to be
			 from the individual whose signature appears on the check. The candidate or
			 committee receiving the check may, however, at the recipient's discretion,
			 attribute the contribution equally between each individual named on the check,
			 unless such attribution would result in a contribution exceeding the limits in
			 M.G.L. c. 55, § 7A. For example, if a $2,000 check is received and neither
			 contributor has contributed in the calendar year in which the maximum allowed
			 for each contributor is $1,000, the committee may attribute the contribution
			 equally between the two contributors.
(a) If
			 attribution among each named contributor would result in an excess
			 contribution, the contribution may be attributed in a manner that avoids such
			 excess contribution. For example, if one of two persons named on a joint check
			 in the amount of $1,000 has already contributed $750 (of the maximum allowed
			 starting in 2015 of $1,000), but the other named contributor has not yet
			 contributed, the recipient committee may attribute $250 of the contribution to
			 the contributor who has already contributed, and $750 to the other
			 contributor.
(b) Contributors
			 making a joint contribution may submit a written request to the candidate or
			 committee to have the contribution be attributed in a manner other than
			 equally. Such request shall be controlling, unless it would result in the
			 making of a contribution exceeding the limits in M.G.L. c. 55.
(c) If a recipient attributes a portion of a
			 contribution made by joint check to one of the persons named on the check who
			 did not sign the check, and the attribution is other than an equal division
			 between the two persons named on the joint check, the recipient must, within 30
			 days of receiving the check, provide written notification to each contributor
			 describing the amounts attributed to each contributor. The notification must
			 advise the contributors that they may request reattribution in amounts
			 different from the amounts initially determined by the candidate or committee,
			 and that the contributors may alternatively request a refund of any portion of
			 a joint contribution. If requested to do so by a contributor, the candidate or
			 committee must reattribute a joint contribution in accordance with a request
			 received from a contributor, unless the reattribution would result in the
			 making of a contribution exceeding the limits in M.G.L. c. 55.
(d) Candidates and committees shall maintain
			 records relating to all joint contributions received, including copies of
			 checks, written attribution requests, and notifications provided to
			 contributors.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.05 - Loans

Current through Register 1525, July 5, 2024
(1) All loans by a candidate to the political
			 committee organized on behalf of that candidate are subject to the following:
(a) If the candidate borrows money with
			 interest from a banking institution in the ordinary course of business, and if
			 he or she lends those same funds to his political committee, he may charge his
			 or her committee the exact terms he or she is being charged by the banking
			 institution, provided however, that he or she may do so only on the exact
			 amount he or she has loaned to his or her committee from funds loaned to him or
			 her by the banking institution.
(b)
			 If a candidate makes a loan to his or her political committee from his or her
			 own personal funds without having secured a bank loan he or she may not charge
			 his or her committee interest or any other costs.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.06 - Limitations on Contributions by Political Committee

Current through Register 1525, July 5, 2024
(1)
(a)
			 Pursuant to and only for the purposes of the contribution limitations in M.G.L.
			 c. 55, § 6, contributions shall be considered to be made by a single
			 political committee if made by more than one political committee established,
			 financed, maintained, or controlled by any person, including any parent
			 committee of a subsidiary committee or any person other than a natural
			 person.
(b) Two or more political
			 committees may be considered to be a single political committee for the
			 purposes of the contribution limitations in M.G.L. c. 55, § 6, if such
			 committees make contributions to one or more of the same candidates or
			 political committees and if, based on a consideration of the circumstances in
			 970 CMR 1.06(l)(b) l. through 6., the committees are determined to have been
			 established, financed, maintained or controlled by the same person (or persons)
			 or entity (or entities):
1. Such person
			 possesses one or more of the following with respect to each of the political
			 committees:
a. Ownership of a controlling
			 interest in voting rights, shares or securities of one or more of the political
			 committees in question or of a person having control over such committee or
			 committees, if any;
b. The
			 authority, power, or ability to direct or control the activities of one or more
			 of the political committees in question or of a person having control over such
			 committee or committees, if any; or
c. The authority, power, or ability to hire,
			 appoint, discipline, discharge, demote, or remove or otherwise influence the
			 decision of the officers or members of one or more of the political committees
			 in question or of a person having control over such committee or committees, if
			 any.
2. Each of the
			 political committees having the same, or substantially the same, persons as
			 principal officers or members;
3.
			 Each of the political committees reach decisions regarding contributions made
			 to one or more candidates or political committees in cooperation, consultation
			 or concert with, or at the request or suggestion of, each other or of a person
			 having control over such committees, if any;
4. The transfer of funds between the
			 political committees which represent a substantial portion of the funds of
			 either the transferor or transferee political committee;
5. Contributions to the political committees
			 by the same person or persons; or
6. The use of shared administrative resources
			 including, but not limited to, office space, equipment or personnel, by the
			 political committees.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.07 - Contributions by Conduits and Intermediaries

Current through Register 1525, July 5, 2024
(1)
Generally
. Contributions gathered and delivered to a
			 candidate through an intermediary or conduit ("bundled" contributions) are
			 treated not only as contributions from the person making the contribution but
			 also as contributions from the intermediary or conduit, if the intermediary or
			 conduit is a "regulated intermediary," and at least one of the contributions is
			 greater than $100, subject to biennial indexing.
(2)
Regulated
			 Intermediaries
. Regulated intermediaries include:
(a) political action committees and their
			 officers, employees and agents;
(b)
			 legislative agents and executive agents, and employees or agents acting on
			 their behalf;
(c) lobbying
			 organizations and their officers, employees or agents acting on behalf of the
			 organization; and
(d) persons
			 responsible for delivering "pooled contributions" from a corporation's officers
			 or employees.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.08 - Reporting of Contributors' Occupation and Employer

Current through Register 1525, July 5, 2024
(1)
Generally
. All
			 candidates and political committees must report both the occupation and the
			 employer or employers of each person whose contribution or contributions in the
			 aggregate equal or exceed the sum of $200 within any one calendar year.
			 Contributions received after the first $200 is received during a calendar year
			 must be refunded if occupation and employer information is not obtained and
			 reported after the exercise of a candidate or committee's best efforts, as
			 defined in 970 CMR 1.08(2).
(2)
Exception to Obligation to Disclose - Best Efforts
.
			 Contributions may be kept by a committee if the committee, after exercising
			 best efforts to obtain the information, is not able to obtain the information
			 from a contributor after making a request when the contribution is solicited
			 and an additional written request. For the purposes of 970 CMR 1.08, best
			 efforts shall include the following:
(a) The
			 first request for such information must be made, orally or in writing, at the
			 time the contribution is solicited, if a contribution is $200 or
			 more.
(b) If the required
			 information regarding both occupation and employer is not provided at the time
			 of receipt of the contribution, an additional written request addressed to the
			 contributor must be made within 45 days of a committee's receipt of any
			 contribution which brings the total received to $200 or more during a calendar
			 year. The written request must specifically identify the contributor.
(c) If the initial request is made at the
			 time of solicitation and the subsequent written request is made in a timely
			 manner as provided in 970 CMR 1.08(2)(b) and the requested information is not
			 provided by the contributor, the committee may keep the contribution without
			 reporting the occupation and employer information to the Director or the city,
			 town or district election official. Committees should note on their campaign
			 finance reports, however, that a letter was sent in compliance with 970 CMR
			 1.08(2)(b).
(d) If a candidate or
			 treasurer of a committee determines that information provided by a contributor
			 is incomplete, but wishes to keep the contribution, the committee must keep
			 records reflecting all attempts made by the committee to obtain the required
			 information.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.10 - Recordkeeping and Disclosure of In-kind Contributions

Current through Register 1525, July 5, 2024
(1) Candidates and treasurers of political
			 committees shall keep and preserve detailed accounts as required by M.G.L. c.
			 55, §§ 2 and 5 and 970 CMR 1.10, and shall, upon request by the
			 Director, provide copies of such records to OCPF.
(2) For the purpose of 970 CMR 1.10, the word
			 "accounts" shall include all accounts, records and other documents including,
			 but not limited to, correspondence and fund raising materials, maintained or
			 required by M.G.L. c. 55, M.G.L. c. 55C or 970 CMR by the candidate or
			 candidate committee whether in written, electronic or other form. In addition,
			 accounts shall include, but are not limited to:
(a) bank accounts, bank statements, ledgers,
			 canceled checks or other information relative to such bank accounts;
(b) bills, receipts, and other vendor
			 information received in connection with any expenditure made or liability
			 incurred for goods and services;
(c) copies of all contributor checks,
			 contributor lists, card files, and other contributor information.
Code of Massachusetts Regulations › 970 CMR - OFFICE OF CAMPAIGN AND POLITICAL FINANCE › Title 970 CMR 1.00 - Campaign finance activity › Section 1.12 - Transfer of Candidate Political Committee from Municipal Level to State Level

Current through Register 1525, July 5, 2024
(1) A candidate or
			 candidate committee that files reports with a city or town clerk or election
			 commission must, if the candidate intends to seek state or county elective
			 office, or will otherwise be required to file with OCPF in accordance with
			 M.G.L. c. 55, § 18 or § 19 because of the new office being sought,
			 transfer by registering with the Office of Campaign and Political Finance as
			 provided in 970 CMR 1.12.
(2) A new
			 Statement of Organization of the Candidate's Committee (OCPF Form CPF 101) must
			 be filed with the Office of Campaign and Political Finance.
(3) A copy of the candidate's most recent
			 Campaign Finance Report (OCPF Form CPF M102) as filed with the local election
			 official, and the Transition-In Report, described in
			 970 CMR
			 1.17(2), must be e-filed
			 with the Office of Campaign and Political Finance. The next filing with OCPF
			 will report activity from the day following the ending date of such
			 report.
(4) While a candidate
			 continues to seek or hold offices with reporting requirements at both OCPF and
			 the municipal level, reporting requirements with both the Office of Campaign
			 and Political Finance and the local election official will continue.
(5) The Director may determine, based on a
			 review of the relevant facts, that a candidate, who would otherwise be required
			 to appoint a depository bank and file reports in accordance with M.G.L. c. 55,
			 § 19 because the candidate is an incumbent city or county officer, is
			 primarily seeking legislative office. If such a determination is made, the
			 candidate will be required to file reports according to the schedule required
			 for candidates for legislative office.
(6) The Director may determine, based on a
			 review of the relevant facts, that a candidate, who would otherwise be required
			 to file reports as a candidate for legislative office in accordance with M.G.L.
			 c. 55, §§ 18 and 19 because the candidate is an incumbent legislative
			 office holder, is primarily seeking other depository office with a more
			 frequent filing schedule. If such a determination is made, the candidate will
			 be required to file reports on the more frequent schedule required for
			 candidates for non-legislative depository office.