Regulation  840 CMR 6.00: Standard Rules for Disclosure of Information

Date:	09/29/2000
Organization:	Public Employee Retirement Administration Commission
Regulatory Authority:	M.G.L. c. 7, § 50 M.G.L. c. 32, § 21
Official Version:	Purchase the official print version

840 CMR 6.00 is the standard rule for disclosure of information promulgated by PERAC pursuant to M.G.L. c. 7, §§ 50(a) and 50(n). Except as otherwise provided by PERAC, by supplementary rules of aparticular retirement board approved by PERAC pursuant to 840 CMR 14.02, or by statute, 840 CMR 6.00 shall govern the release of all records in the custody of any retirement board in the Commonwealth. The release of records in the custody of retirement boards subject to M.G.L. c. 66A shall be governed by M.G.L. c. 66A, 801 CMR 2.00 and 3.00 and 840 CMR 6.00.

REGULATORY AUTHORITY

840 CMR 6.00: M.G.L. c. 7, § 50; M.G.L. c. 32, § 21.

6.01 Definitions

Unless a different meaning is plainly required by the context, words and phrases used in 840 CMR 6.00shall have the meanings assigned them by M.G.L. c. 4, § 7(26), M.G.L. c. 30A, §§ 11A and 11A½, M.G.L. c. 32, M.G.L. c. 34, §§ 9F and 9G, M.G.L. c. 39, §§ 23A and 23B, and M.G.L. c. 66A, § 1, and if no meaning is so assigned, they shall have their ordinarymeanings.

6.02 Purpose of Standard Rules

The purpose of 840 CMR 6.00 is to establish uniform standards and procedures to be applied by retirement boards in maintaining and disclosing records, including records containing personal data. A retirement board shall provide access to public records as required by M.G.L. c. 66, § 10 and shall protect personal data which it holds as required by M.G.L. c. 66A and 840 CMR 6.00.

6.03 Privacy Standards

1. Without the written consent of the data subject or their authorized representative, no retirement board shall disclose to any person outside of the board any personal information contained in a personnel or medical file which may be identified or associated with the data subject, nor other materials or data pertaining to a specifically named individual if such disclosure may constitute an unwarranted invasion of personal privacy, unless such disclosure is required by Federal or State statute or regulation.
2. In determining whether personal information other than that contained in a personnel or medical file is a public record, a retirement board shall balance the seriousness of any invasion of privacy which releaseof the record may cause against the public's right to know about the contents of the record, and shall consider whether the public interest in obtaining the information substantially outweighs the seriousness of any potential invasion of privacy.
3. In general, the determination whether release of materials or data may constitute an unwarrantedinvasion of personal privacy must be made on a case-by-case basis. However, the board shall not release records containing intimate details of a highly personal nature, such as information related to alcohol or drug problems, mental health problems, or the like, without the written consent of the data subject or an order of a court of competent jurisdiction.
4. In making the determination whether the privacy exemption to the public records law limits disclosure of information a retirement board shall observe the following principles:
   1. Information relating to a member's name and type of retirement (e.g. superannuation, disability, termination,  veteran status, etc.) is generally a public record;
   2. Medical files or information relating to a specifically named individual, including the medical reason for a disability retirement, shall not be considered a public record; and
   3. Other material or data relating to a specifically named individual is generally not a public record if the information contained in the record relates to intimate details of a highlypersonal nature.
5. Any record pertaining to meetings of a retirement board including records pertaining to thefinancial operation of the board shall be presumed to be a public record unless the record is exempt from disclosure by 840 CMR 6.12.
6. If a record contains information which is exempt from disclosure pursuant to M.G.L. c. 4, § 7(26), the retirement board shall release as a public record any non-exempt, segregable portions of such record.
7. Retirement board studies and reports based upon personal data held by the board may be disclosed if all personal identifiers have been removed and no data subject can otherwise be identified by the nature, content, or context of such studies or reports.

6.04 Records Access Officer; Designation; Duties and Responsibilities; Fees

1. Designation. Each retirement board shall designate a person to serve as records access officer.
2. Duties and Responsibilities. The records access officer shall:
   1. maintain custody of and control over all records held by the retirement board;
   2. take all reasonable precautions, which could include an electronic backup of all files, to protect the records from fire, theft, flood, natural disaster, unauthorized removal, or othersecurity hazard;
   3. inform members and staff of the retirement board of the provisions of 840 CMR 6.00;
   4. ensure that the number of duplicate retirement files is maintained at an absolute minimum and that any such duplicate files are maintained consistent with the requirements of840 CMR 6.00;
   5. develop and implement a plan for the expungement of obsolete records with approval, where applicable, of the Records Conservation Board established by M.G.L. c. 30, § 42, and the Supervisor of Public Records pursuant to M.G.L. c. 66, § 8;
   6. maintain to the maximum extent feasible a complete and accurate record, which shall be deemed part of the data to which it relates for all purposes under 840 CMR 6.00, of every access to or use of a member's retirement file,  including the identity of all persons and organizations to whom such access has been granted, except that no record need be maintained of any such access to or use by members or staff of the retirement board, medical panel members, or representatives of PERAC;
   7. make the initial determination as to whether any record requested is a public record and as to whether access to the record requested is mandated by M.G.L. c. 4, § 7(26), or by otherapplicable law or regulation;
   8. assess and collect fees as provided in 840 CMR 6.04(3);
   9. receive objections as provided in 840 CMR 6.14;
   10. answer questions; and
   11. make available on request copies of M.G.L. c. 4, § 7(26), M.G.L. c. 66, § 10 (theMassachusetts Public Records Law), applicable provisions of M.G.L. c. 66A (the Massachusetts Fair Information Practices Act), and 801 CMR 2.00 and 3.00, applicable provisions of M.G.L. c. 30A, §§ 11A and 11A½ (the Open Meeting Law governing state agencies), M.G.L. c. 34, §§ 9F and 9G (the Open Meeting Law governing county agencies), and M.G.L. c. 39, §§ 23A and 23B (the Open Meeting Law governing municipal agencies) and 840 CMR 6.00.
3. Fees. The records access officer may assess a reasonable fee for the production of a public record, except for those records that are freely available for public inspection, subject to the provisions of M.G.L. c. 66, § 10(d) and 950 CMR 32.07(2). 

6.05 Reserved

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6.06 Access to Personal Data in Retirement Files by PERAC, Retirement Boards, Medical Panel Physicians, and the Office of the Attorney General

1. The Commission, staff, and representatives of PERAC, members and staff of the retirement board, and medical panel physicians shall have access to personal data in retirement files to the extent that theirduties require such access.
2. Whenever a data subject files or threatens to file a complaint against the Commonwealth, including executive offices, agencies, or departments, or against any employee or officer of the Commonwealth, concerning a matter within the scope of the office or employment with the Commonwealth, any personal data concerning the data subject that is in the possession of the retirement board or PERAC that is relevant to the determination of the issues in dispute shall be provided to the Office of the Attorney General upon request. Such requests must be in writing and contain a clear description of the data sought, the reason for the request, and the intended use of the data. In supplying such data, the retirement board or PERAC must redact any data concerning non-parties. Any personal data indicating a violation of law may be referred to the Office of the Attorney General for investigation and enforcement. Any assistant attorney general may further disclose the personal data to the extent deemed necessary to defend the Commonwealth, officer, or employee effectively against the data subject's claim. No data may

6.07. Access to Personal Data in Retirement Files by Members

1. Request for Notification of Holding. The records access officer, upon request of a member or their authorized representative, shall inform the member in writing, within 10 business days of receipt of arequest, whether the retirement board holds, or has held within the previous 24 months, any personal dataconcerning the member.
2. Access to Personal Data. A member or their authorized representative shall be granted access to all personal data in the member's retirement file except where prohibited by law or judicial order and exceptas provided in 840 CMR 6.07(3). In making any disclosure of personal data to a member pursuant to 840 CMR 6.07, the records access officer may remove personal identifiers relating to a third person, except where such third person is an officer or employee of government acting as such. The records access officershall not rely on any exception contained in M.G.L. c. 4, § 7(26) to withhold from a member personal data otherwise accessible to him or her under 840CMR 6.00.
3. Investigative Data. Except as specifically authorized by the records access officer with the approval ofthe retirement board, a member or their authorized representative shall not be granted access to any information in the member's retirement file which is currently the subject of an investigation and the disclosure of which would probably so prejudice the possibility of effective law enforcement that such disclosure would not be in the public interest. Such information may be withheld for the time it takes the investigatory agency to complete its investigation and commence an administrative or judicial proceeding on its basis or one year from the commencement of the investigation, whichever occurs first. 840 CMR 6.07(3) shall not affect any rights to access the member may have under administrative or judicial discoveryprocedures.
4. Notification of Denial of Access. If access to personal data is denied, the records access officer shall notify the member in writing of such denial, shall state the reasons for such denial, and shall describe the right to appeal provided in 840 CMR 6.14(2).

6.08 Access to Retirement Files by Employers

1. An employer may be granted access to personal data in a member's retirement file bearing on the member's present and former employment by the employer.
2. An employer desiring such access shall make a request on the appropriate form stipulating that the employer shall not disseminate any personal data received except as permitted by M.G.L. c. 66A, whereapplicable, or 840 CMR 6.00.  The member’s written consent is required.
3. If access to personal data is denied, the records access officer shall notify the employer in writingof such denial, the reasons therefor, and the right to appeal as provided in 840 CMR 6.14(2).

6.09 Access to Retirement Files by Legal Process

Unless otherwise prohibited by law or judicial order, upon receipt of a subpoena duces tecum, or other order of a court or administrative agency of competent jurisdiction directing the retirement board to produce personal data in a member's retirement file, the records access officer shall notify the member ofthe demand no later than the next business day following the day on which the subpoena or otherdocument is served and shall not produce any records in response to the demand unless the member has been notified in reasonable time to seek to have the process quashed. If the member is properly notified and if the process is not quashed, the records access officer shall produce a copy of the requested records as ordered by the Court or agency, and shall advise the Court or agency of the requirements of 840 CMR 6.00.

6.10 Access to Personal Data in Retirement Files by the General Public

1. Any person may request access to public records in a member's retirement file pursuant to theprocedures provided in 840 CMR 6.11 and
2. M.G.L. c. 66, § 10, If the records access officer determines that data requested is exempt from disclosure pursuant to M.G.L. c. 4, § 7(26), they shall deny access unless such dissemination of the record is:
   1. authorized by a statute or regulation consistent with the purposes of M.G.L. c. 66A and 840 CMR 6.00;
   2. requested by an employer consenting to observe the provisions of M.G.L. c. 66A applicable to holdersof personal data as provided in 840 CMR 6.08;
   3. approved in writing by the member, and the member has a right of access to the requestedrecords by law or 840 CMR 6.00; or
   4. requested by a physician treating a data subject during a medical or psychiatric emergencywhich precludes the data subject from approving disclosure; provided that notice of disclosure shall be given to the data subject upon termination of the emergency.
3. Any person seeking access to personal data that is not subject to release in a member's file pursuant to 840 CMR 6.10(1)(c) shall submit a written request to the records access officer stating the name of the member and specifying the information sought. Upon receipt of a request, the records access officer shall send a letter to the member describing these procedures, explaining that the member is under no legal obligation to consent to the release of the information, and enclosing the request. If the member consents in writing to  the requested access, the Custodian shall grant access as requested. If the member does not respond, or does not so consent, the records access officer shall deny access. The records access officer shall furnish the member, upon request, a copy of any personal data that has been disclosed.

6.11 Access to Public Records; Promptness of Access; Requests for Public Records

1. Access to Public Records. If the records access officer intends to produce a public record and is able to do so within ten business days of receipt of a request for public records, the records access officer must, at reasonable times and without unreasonable delay, permit inspection or furnish one copy thereof. The records access officer must do so provided that the request reasonably describes the public record sought, the public record is within the possession, custody, or control of the retirement board, and the records access officer has received payment of any reasonable fee assessed pursuant to M.G.L. c. 66, § 10(d) and 950 CMR 32.07(2).
2. Promptness of Access. The records access officer shall establish and maintain routine procedures for prompt production of public records to persons requesting them. The records access officer shall provide, within ten business days of receipt of a request for public records, a response which complies with the provisions of M.G.L. c. 66, § 10(b). To the extent the records access officer is unable to produce the public records sought within ten business days of receipt of the request, the records access officer will identify a reasonable timeframe to produce the public records sought. For an agency, said timeframe shall not exceed 15 business days following receipt of the request, and for a municipality, the timeframe shall not exceed 25 business days following receipt of the request.
3. Request for Public Records. A person may request public records either orally, in-person or by telephone, or in writing, by electronic or first-class mail. A retirement board shall require a written request for records only when there is a substantial doubt as to whether the record requested is a public record, and shall not require such a written request merely to delay production. The records access officer shall provide forms for requesting records, but any written request is sufficient as long as the record is adequately described therein. Any person seeking access to a public record shall provide a reasonable description that enables the records access officer to identify and locate the record promptly. Superior knowledge of the contents of retirement board files on the part of the records access officer shall be used to facilitate rather than hinder compliance with requests for public records.

6.12 Records of Retirement Board Meetings

1. The minutes and other records of each retirement board meeting shall be a public record and shall be available upon request as provided herein; provided, however, that the records of any executive session may remain secret as long as disclosure may defeat the lawful purposes for which the session was closed,but no longer.
2. The retirement board shall periodically review its records of executive sessions to determine whether such records must remain private. When the retirement board decides that a previously confidential executive session record or portion thereof need no longer remain private, it shall note such decision in theminutes of the retirement board meeting at which such decision is made.

6.13 Contacting the Public Records Division

Supervisor of Public Records. The records access officer or retirement board may contact the Public Records Division by phone at [phone] or by email at [e-mail]. 

6.14 Objections and Administrative Appeals

1. Objection to Records Access Officer. Any member or their authorized representative who objects to the collection, maintenance, dissemination, use, accuracy, completeness, type of, or denial of access to, personal data in their retirement file, may file an objection thereto with the records access officer. Upon receipt of such objection, the records access officer shall investigate the validity of the objection. If, after the investigation, the objection is found to be meritorious, the records access officer shall correct the contents of the data or the methods for holding or the use of such data. If the objection is found to lack merit, the records access officer shall provide the member the opportunity to have a statement reflecting their views recorded and disseminated with the data in question. In either event, the records access officer shall notify the member in writing of their decision within 30 days following receipt of the objection.
2. Appeals to the Supervisor of Public Records. In the event any records access officer denies access to a record claimed to be a public record, the person making the request may appeal the matter to the Supervisor of Public Records as provided by M.G.L. c. 66, § 10A(a) and 950 CMR 32.08.
3. Judicial Relief. The administrative remedies provided in 840 CMR 6.14 shall not limit administrative or judicial remedies provided in M.G.L. c. 66, § 10A, M.G.L. c. 214, § 3B, or any other statute or regulation.