Colorado Register

38 CR 6 Volume 38 , No. 6 March 25, 2015 Introduction

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Colorado Register, Vol. 38, No. 6, March 25, 2015 2

Notice of Proposed Rulemaking

Tracking number

2015-00158

Department

100,800 - Department of Personnel and Administration

Agency

105 - Division of Risk Management

CCR number

1 CCR 105-1

Rule title RULES FOR THE RISK MANAGEMENT DIVISION OF DEPARTMENT OF

ADMINISTRATION

Rulemaking Hearing

Date Time

04/16/2015 10:00 AM

Location 1525 Sherman St. Room 217, Denver, CO m80203

Subjects and issues involved Repeal certain risk program rules

Statutory authority 24-4-101 et seq. C.R.S.; 24-30-1505 (1)(a)(V)(A), C.R.S.

Contact information

Name Title

Doug Platt Communication Manager

Telephone Email

303-866-6095 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 DEPARTMENT OF PERSONNEL AND ADMINISTRATION

1 CCR 105-1

RULES FOR THE RISK MANAGEMENT Preamble

Unless otherwise noted in a specific provision, the Risk Management rules found at 1 CCR 105-1 were adopted by the Department of Personnel & Administration, effective July 30, 1986. This version reflects rulemaking by the Department as follows: repeal in their entirety Chapters 1, 2, 3, 4, 5 and 6 effective July 1, 2015.

CHAPTER I - HIGHER EDUCATION EXEMPTION FROM RISK MANAGEMENT PROGRAM

1-1 The rules in this chapter apply to services provided pursuant to C.R.S. 24-30-1501 through C.R.S. 24-30- 1520 (Part 15).

1-2 Risk Management Program. The Risk Management Program is a single program including three service areas: property, liability and workers’ compensation. Any higher education governing board electing to be excluded from the Risk Management Program any institution, pursuant to House Bill 04-1009, C.R.S. 24-30-1502(5), as amended, must opt out of all three services as to such institution. Each institution excluded from the Risk Management Program shall assume, or adequately provide for, all liability for claims payments payable on and after the effective date of the-opt out (i.e., both prospective and tail claims liability).

A. Program Waiver. At the sole discretion of the Executive Director of the Department of Personnel & Administration (DPA), the Executive Director may grant a temporary program waiver allowing any institution of higher education to continue to receive services in one or more of the three service areas (property, liability or workers compensation). If a program waiver is granted, the institution of higher education must assume, or adequately provide for, all remaining services by the following July 1st , unless a subsequent waiver is granted.

B. Claims Liability Waiver. Unless the Executive Director grants a claims waiver as to portions of the entire claims liability, any institution of higher education opting out shall assume, or adequately provide for, all liability for claims payments payable on and after the effective date of the opt out (i.e., both prospective and tail claims liability) as to each service area removed.

C. Criteria. In granting a waiver, the Executive Director may consider any or all of the following criteria: in consultation with the Office of State Planning and Budgeting (OSPB), the ability of remaining agencies to make the necessary budget adjustment; implications to risk management, contractual obligations; and any other factors the Executive Director deems relevant.

1-3 If either a program waiver or a claims waiver is requested, an actuarial analysis of claim history, payments, and reserves is required.

A. The cost of the actuarial analysis will be shared equally between DPA and the institution of higher education seeking to be excluded from the Risk Management Program. Selection of the actuary is at the sole discretion of the Executive Director.

B. The Executive Director will determine the amount of excess allocations, if any, that may be due to the institution of higher education for the tail claims liability.

1-4 A. The effective date of the exclusion from the Risk Management Program shall be July 1 following written notice as provided below. Written notice must be received by the Executive Director of the DPA not later than 12 months prior to the effective date, and must provide a copy of the governing board decision. In order to ensure an orderly process consistent with budgetary and appropriation requirements, the written notice shall include an explanation of how the higher education institution intends to assume responsibility for, or adequately provide for, liabilities; if not already provided, a copy of the written report required by C.R.S. 24-30-1503.5(2) that sets forth the analysis of the higher education institution’s ability to provide worker’s compensation services, estimated property and liability losses; insurance costs and administrative costs of risk management that they expect to incur.

B. Notice Waiver. At the discretion of the Executive Director of the DPA, the Executive Director may grant a waiver of the 12 months written notice requirement allowing any institution of higher education to provide less than 12 months written notice.

In granting a notice waiver, the Executive Director may consider any or all of the following criteria: in consultation with the Office of State Planning and Budgeting (OSBP), the ability of remaining agencies to make the necessary budget adjustments; implications to risk management; contractual obligations; and any other factors the Executive Director deems relevant.

1-5 A copy of the report required by C.R.S. 24-30-1503.5(2) shall be provided to the Executive Director at the same time it is provided to the General Assembly.

(Effective December 1, 2004; Adopted September 21, 2004.) DEPARTMENT OF PERSONNEL AND ADMINISTRATION

1 CCR 105-1

RULES FOR THE RISK MANAGEMENT Preamble

Unless otherwise noted in a specific provision, the Risk Management rules found at 1 CCR 105-1 were adopted by the Department of Personnel & Administration, effective July 30, 1986 This version reflects rulemaking by the Department as follows: repeal in their entirety Chapters 1, 2, 3, 4, 5 and 6 effective July 1, 2015.

CHAPTER I - GENERAL PROVISIONS

1-1 Statutory reference. Colorado Revised Statutes, chapter 24, article 30, part 15, shall be known as the Risk Management Act.

1-2 Purpose and Basis. In 1985, the insurance carrier for state liability claims notified the state of cancellation of coverage. The Governor called the general assembly into a special session for the purpose of enacting legislation permitting the State of Colorado to self insure for general and automobile liability and claims arising under federal law. HB100l provided for a Risk Management Division in the Department of Administration to supervise the claims process, settle valid claims, and establish risk management programs for state agencies.

These rules and 1986 amendments are designed to effectuate the statute and to facilitate the proper adjusting and processing of claims.

In 1986 no responsive bids were received from the insurance industry for the state's property insurance. HB 1008, Special Session of the Legislature, August 1986, sec. 24-30-1510.5 authorized the state to be self-insured for property and established a self-insured property fund in the Division of Risk Management.

The rules will be available to the public and state agencies so that they will be aware of the claims system and be able to file claims where the state may have caused injury or the agency has suffered property damage.

The rules also provide a framework for administration of risk management programs within the Department of Administration. State agencies will be actively involved in the carrying out of programs of comprehensive risk management including (1) identification of property and liability losses of agencies and (2) reduction of losses by state agencies and (3) inspection of state property.

These rules coordinate and focus on requirements of the Govern- mental Immunity Act, chapter 24, article 10, part 1, (1973 and & 1985 Supp.) and the Risk Management Act, chapter 24, article 30, part 15.

1-3 Construction. The rules promulgated here shall be construed liberally to accomplish the purposes of the act and to assist the just administration of claims processing and risk management.

1-4 Applicability. The rules apply to: claims against state agencies and state employees; any member of the public who makes claim against the state; persons contracting with the state for services tendered under the Risk Management Act, and state agencies and employees in all aspects of the Risk Management Act and its administration.

CHAPTER II - DEFINITIONS

2-l Definitions in the Act. The definitions set forth in the Risk Management Act shall apply to these rules.

2-2 Other definitions.

a) Act means the Risk Management Act as referred to in the statutory reference in Chapter I. b) Adjustment means the process leading to denial or settlement of a claim by the authorized person.

c) Claimant means any person claiming to have suffered an injury by the state or state employee and filing a claim pursuant to the Immunity Act or federal law.

d) Claim means a notice of claim filed in compliance with the Immunity Act and any law suit subsequently filed pursuant to Governmental Immunity Act or under federal law.

e) Claims adjuster shall include claims adjusters under contract, the claims manager, risk manager, executive director of the Department of Administration and the claims board.

f) Employee shall mean officer, employee, servant, and authorized volunteer of the state whether compensated or not, elected, or appointed, but does not include independent contractors or any person sentenced to participate in any type of public service.

g) Authorized volunteer shall mean a person who is acting for a tangible and direct benefit to the state rather than of primary benefit to himself; whose volunteer work or services are at the specific request or requirement of the state, and whose performance of volunteer work or services are subject to the direct control of the state, "Authorized volunteer" excludes person who receive a salary for their work or services paid by a non-state entity, and persons or entities who are in the business of providing the services.

h) Notice of claim under the Immunity Act is the same as a claim under the Risk Management Act.

i) Settlement shall mean an agreement to satisfy a claim which is accompanied by documents as required by these rules and provision for payment, if any. Authorized to settle means authorization to order payment.

j) State means state agency as defined in the Risk Management Act.

CHAPTER III - INVESTIGATION AND ADJUSTMENT OF CLAIMS

3-1 Claims. Every claim against the state or state employee must comply with notice provisions of C.R.S. 24- 10-109, (1973) in order for payment, if any, to be made.

3-2 Claim form. For purposes of filing a claim, an approved claim form set forth in appendix A to these rules will be available from the Division of Risk Management, contract claims adjusters, and all state agencies. State employees shall be diligent to distribute claim forms when requested.

3-3 Investigation. Within a reasonable period of time after notice or knowledge of an incident or after a claim is filed, an investigation will be initiated under supervision of the Risk Management Division.

State agencies making claims for property damage will complete property claim form, appendix C, and submit it to the Division of Risk Management.

3-4 Cooperation of claimant. A claimant may be required to supply additional information to investigators. Lack of cooperation with investigators may result in lower adjustment or denial of the claim.

3-5 Cooperation of State Agencies and Employees. The involved state agency and state employee shall participate in and cooperate with the investigation of claims.

3-6 Scope of Investigation. The investigation will proceed generally to consider-the following:

a) compliance with the Immunity Act such as timely filing and adequate notice;

b) whether immunity has been waived in the circumstances or whether the claim arises under federal law;

c) whether the state, claimant, or other party, is at fault in causing the injury; d) the amount of damages actually incurred by the claimant; e) other considerations bearing on validity of the claim.

3-7 Legal Issues. If, in the course of investigation of an actual or anticipated claim, legal issues are raised, consultation shall be sought with the attorney general, or when appropriate, an attorney or firm under contract.

3-8 Denials. Where no basis is found for the claim, it shall be promptly denied. A letter of denial to the claimant shall be issued by the claims adjuster. A copy shall be filed with Risk Management.

3-9 Negotiation settlement. Where it's determined that settlement is appropriate, the claims adjuster may make an offer of settlement and enter into settlement with the claimant within the adjuster's statutory level of authority subject to payment by the state.

3-10 Payments for State Property Losses. State property losses shall be paid out of the Division of Risk Management's self-insured property fund in accordance with section 24-30-1510.5. State agencies will pay $1,000 deductible. Real property damage will be paid on a replacement cost basis. Personal property claims will be paid on actual cash value basis. Value shall be determined by Division of Risk Management.

CHAPTER IV - SETTLEMENT

4-1 Documents required for settlement. A settlement is not effective until required documents are completed and presented for payment.

Such documents shall consist of:

a) claim:

b) investigative report and any other relevant documents from the investigative file including but not limited to medical and other bills, and evidence of lost income, or other losses;

c) recommendation for payment:

d) appropriate documents of release, hold harmless, and assignments of rights:

e) any other documents required by the risk manager dependent on circumstances of the specific claim.

4-2 Release forms. An approved minimal release form is attached to these rules as Appendix B. Releases shall contain the following items, although a settlement authority may require additional items when appropriate:

a) a statement of knowing and intelligent waiver and release of rights,

b) a statement releasing the state and its employees of all claims arising out of the occurrence including a claim of attorney fees,

c) a statement that no prior assignments have been given,

d) signatures of claimants or his legal representative and the proper state settlement authority.

4-3 Settlement standards. Authorities shall consider the following standards for settlement, among others:

a) the reasonable likelihood that factually and legally state liability exists,

b) the costs of defense in light of that likelihood,

c) fulfillment of requirements under the Immunity Act, d) the existence of waiver under the Immunity Act, d) the validity and nature of claims under federal law, f) the interests and general welfare of the state.

4-4 Liability Settlement Authorities. Prior to settling a claim of $50,000 or more, the settlement authority shall consult with the head of the affected state agency to determine the appropriateness of the settlement. Settlement authorities are as follows:

a) claims adjusters -- claims of $5,000 of less;

b) claims manager of the division -- claims of $25,000 or less;

c) state risk manager -- claims of $50,000 or less;

d) executive director of the Department of Administration -- claims of $100,000 or less;

e) the claims board -- $100,000 or more not to exceed the maximum liability limits of the Governmental Immunity Act.

4-5 Property Claims Settlement Authority. State property claims may be settled by the Executive Director, Department of Administration, or his designee, to the extent that funds are available in the self-insured property fund. If funds are not available in the self-insured property fund the Department of Administration will seek a special appropriation from the State Legislature.

CHAPTER V - LEGAL DEFENSE AND CONTRACT SERVICES

5-1 The Attorney General. The attorney general will defend suits filed against the state. The executive director of the Department of Administration will, if necessary, after consultation with and concurrence of the Department of Law, have the defense of suits referred to outside counsel under contract with the Department of Administration.

5-2 Consultation. In anticipation of litigation during the processing of claims through investigation, adjustment, settlement, and in the legal defense of a suit, there will be consultation between the Risk Management Division and the attorney general's office and, when appropriate, an attorney or firm under contract, on claims that may result in lawsuits against the state.

5-3 Claims file. Upon filing of a lawsuit or when a suit appears likely, the claims file including investigation materials shall be made immediately available to the assigned attorney.

5-4 Cooperation of state agencies and employees. The involved state agency and state employee shall cooperate in and participate as needed in the conduct of lawsuits.

5-5 Exchange of information. The attorney general or assigned contract lawyer or-firm will keep the Division of Risk Management, settlement authority, and agency informed of the status of the suit and positions taken in defense of the state.

5-6 Contract Services. Contractors providing legal, adjusting, and other services shall timely provide reports as requested and as provided for by contract.

5-7 Complaints. If complaints are received by the Risk Management Division on the adequacy of contracted for services, the risk manager shall review such complaints and take appropriate action as authorized under the act or under terms of the contract.

CHAPTER VI - ADMINISTRATION OF PROGRAMS

6-1 Comprehensive Risk Management Program. A comprehensive risk management program shall be developed which shall include:

a) a program identifying property and liability losses, insurance costs, and administrative costs of risk management incurred by each state agency;

b) a program to reduce property and liability losses incurred by each state agency; c) a program of inspection of state property; d) activities of authorized volunteers.

6-2 Agency Risk Management Coordinator. Each agency shall appoint a risk management coordinator to assist the risk manager's implementation and coordination of programs.

6-3 Training. The risk manager may require the agency coordinator to attend or participate in training necessary to carry out this function.

6-4 Agency Reporting. State agencies may be required to report to the Division of Risk Management on matters including but not limited to:

a) insurance costs;

b) property and liability losses;

c) administrative costs.

Such reporting shall be in the form, of such content, and within a reasonable time frame as established by the Division of Risk Management. Such time frame will be adequate to allow for necessary investigation, adjustment, and settlement of claims, which may require immediate reporting where the potential loss, nature of the evidence or other circumstance necessitate such action.

6-5 Reduction of losses. State agencies shall report to the risk manager on losses, potential claims, and foreseeable losses. Agencies shall consult with the risk manager on methods by which losses and liabilities can be reduced. The risk manager or his agents may investigate circumstances and facts of reported or known incidents.

6-6 Inspection of property. The risk manager may require agencies to inspect property and report periodically on the results of such inspections. The risk manager or his agents may inspect state property.

CHAPTER VII - HIGHER EDUCATION EXEMPTION FROM RISK MANAGEMENT PROGRAM

71-1 The rules in this chapter apply to services provided pursuant to C.R.S. 24-30-1501 through C.R.S. 24-30- 1520 (Part 15).

71-2 Risk Management Program. The Risk Management Program is a single program including three service areas: property, liability and workers’ compensation. Any higher education governing board electing to be excluded from the Risk Management Program any institution, pursuant to House Bill 04-1009, C.R.S. 24-30-1502(5), as amended, must opt out of all three services as to such institution. Each institution excluded from the Risk Management Program shall assume, or adequately provide for, all liability for claims payments payable on and after the effective date of the-opt out (i.e., both prospective and tail claims liability).

B. The Executive Director will determine the amount of excess allocations, if any, that may be due to the institution of higher education for the tail claims liability.

71-4 A. The effective date of the exclusion from the Risk Management Program shall be July 1 following written notice as provided below. Written notice must be received by the Executive Director of the DPA not later than 12 months prior to the effective date, and must provide a copy of the governing board decision. In order to ensure an orderly process consistent with budgetary and appropriation requirements, the written notice shall include an explanation of how the higher education institution intends to assume responsibility for, or adequately provide for, liabilities; if not already provided, a copy of the written report required by C.R.S. 24-30-1503.5(2) that sets forth the analysis of the higher education institution’s ability to provide worker’s compensation services, estimated property and liability losses; insurance costs and administrative costs of risk management that they expect to incur.

1-5 A copy of the report required by C.R.S. 24-30-1503.5(2) shall be provided to the Executive Director at the same time it is provided to the General Assembly.

(Effective December 1, 2004; Adopted September 21, 2004.) Notice of Proposed Rulemaking

Tracking number

2015-00157

Department

200 - Department of Revenue

Agency

207 - Division of Gaming - Rules promulgated by Gaming Commission

CCR number

1 CCR 207-1

Rule title GAMING REGULATIONS

Rulemaking Hearing

Date Time

04/16/2015 09:30 AM

Location 17301 W. Colfax Ave., Suite 135, Golden, CO 80401

Subjects and issues involved Annual Tax Hearing

Statutory authority Sections 12-47.1-201, 12-47.1-203, 12-47.1-302, 12-47.1-602, and 12-47.1-604 C.R.S.,

(1991).

Contact information

Name Title

Brenda Davis Director of Administration

Telephone Email

(303) 205-1338 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 BASIS AND PURPOSE FOR RULE 14

The purpose of Rule 14 is to establish the rate of the gaming tax on adjusted gross proceeds of gaming in compliance with section 12-47.1-601, C.R.S., to provide for security for the payment of gaming taxes to the Department, and to provide for the payment of gaming taxes by electronic fund transfer and to change method of filing monthly gaming tax returns to electronically transmitted. The statutory basis for purpose for Rule 14 is found in sections 12-47.1-201, 12-47.1-203, 12-47.1-302, 12-47.1-602, and 12-47.1-604 C.R.S., (1991).

RULE 14 GAMING TAX

47.1-1401 Gaming and Device Taxes.

Annually the Commission shall conduct rule making hearings concerning the gaming tax rate and device fee rate for the subsequent gaming year. Testimony regarding the consideration of the gaming tax shall include the following topics to be heard during the following time periods. Additional appropriate topics relating to these issues may also be considered as deemed necessary by the Commission. Furthermore, in addition to the topics outlined below, the commission may receive testimony from any member of the public during any of the following time periods on the other topics relevant to the consideration of the gaming tax and device fee rates. The following general schedule is established to provide structure to the annual consideration by the Commission, however rigid compliance is not mandatory and this regulation shall in no way be construed to limit the time periods or subject matters which the Commission may consider in determining the various tax rates. During the month of April, the commission shall receive testimony regarding the methodology to be utilized in the consideration of the gaming tax for the subsequent gaming year. In May, the commission shall receive testimony regarding the following topics: the expenditure impacts and revenue benefits from limited gaming in the cities of Black Hawk, Central City, and Cripple Creek and the counties of Gilpin and Teller; the expenditure impacts and revenue benefits from limited gaming for statutorily defined entities eligible for the Local Government Limited Gaming Impact Fund; and the expenditure impacts from limited gaming on agencies of the State of Colorado. During the month of June the Commission shall receive testimony regarding the financial conditions of licensees pertinent to the consideration of the gaming tax pursuant to the criteria expressed in part 6 of the limited gaming act of 1991. (47.1-1401(1) temp. 5/12/93. perm. 6/30/93)(47.1-1401 1/30/98 amended perm 07/30/00) Eff 07/30/2008

(1) Each retail licensee conducting or offering limited gaming to the public shall be liable for, and shall pay to the Department of Revenue, a limited gaming tax upon the adjusted gross proceeds from limited gaming. The tax imposed by Section 12-47.1-601, C.R.S.(1991), shall be determined in accordance with the following schedule: Eff 07/30/2008

If the Annual Adjusted Gross Proceeds are: The Tax is: Up to $2,000,000 (Including $2,000,000) 0.25% Over $2,000,000 to $5,000,000 2% Over $5,000,000 to $8,000,000 9% Over $8,000,000 to $10,000,000 11% Over $10,000,000 to $13,000,000 16% Over $13,000,000 20%

(47.1-1401(1) temp. 9/29/94. perm. 11/30/94)(47.1-1401(1) temp. 10/01/96, perm. 10/30/96)(47.1-1401(1) temp 07/01/99. perm. 07/30/99) Eff 07/01/2013 Notice of Proposed Rulemaking

Tracking number

2015-00161

Department

300 - Department of Education

Agency

301 - Colorado State Board of Education

CCR number

1 CCR 301-3

Rule title FOOD AND NUTRITION SERVICES

Rulemaking Hearing

Date Time

05/13/2015 01:00 PM

Location Colorado Department of Education, State Board Room, 201 E. Colfax Ave., Denver, CO 80203

Subjects and issues involved Food and Nutrition

Statutory authority 22-2-107

Contact information

Name Title

Carey Taylor Markel Director

Telephone Email

303.444.7888 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 DEPARTMENT OF EDUCATION Colorado State Board of Education FOOD AND NUTRITION SERVICES 1 CCR 3013 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] ______2202R200.00 Basis and Purpose

200.01 The basis of these rules is found is Section 222107(1)(c), C.R.S. and the purpose of these rules relating to fFood and Nnutrition sServices are:

To preserve and protect the nutritional integrity of fFood and Nnutrition sService operations in school districts, recognizing the proven link between nutrition and a child's ability to learn, as well as to foster the Declaration of Policy and Purpose set forth in the Richard B. Russell National School Lunch Act (42 U.S.C., 1751 Et. Seq.) and the Child Nutrition Act of 1966 (42 U.S.C., 1771 Et. Seq.), as amended, and;

To assist district fFood and Nnutrition sService operations in complying with federal and state law and regulations pertaining to such operations. , and;

To recognize the authority under which such programs operate, specifically:

222107(1)(C), C.R.S. State Board Powers 222108, C.R.S. Federal Financial Assistance 2232120, C.R.S. Food Services Facilities 42 U.S.C., 1751 ET. SEQ. National School Lunch Act (PL 79396), as amended 42 U.S.C., 1771 ET. SEQ. Child Nutrition Act (PL 89642), as amended

The purpose for the 2015 amendments are to streamline and consolidate these rules including incorporating the rules related to the food service fund into 1 CCR 30111 Rules for Accounting and Reporting. Additionally, the 2015 amendments include clarifications to assist school districts in complying with federal and state law and regulations pertaining to food and nutrition service operations.

2202R201.00 Agreement

201.01 Where food service is provided and reimbursement from federal Child Nutrition program funds is requested, the district shall enter into a written agreement with the Colorado Department of Education (CDE).

201.02 The Agreement between the district and CDE is for a one year period beginning July 1 and ending June 30, and must be renewed annually.

201.03 Reimbursement from federal funds may not be made to a district unless an approved current agreement is on file at CDE.

201.04 As part of the agreement, the district assures:

Meals claimed for reimbursement shall meet the requirements established by the United States Department of Agriculture (USDA) under the National School Lunch Act and/or the Child Nutrition Act, as amended.

For each school, all students will have an opportunity to be served and have reasonable time to consume their meals, in keeping with the Basis and Purpose as set forth in Section 200.01 of these rules. Free and reduced price meals shall be provided, as outlined in the Free and Reduced Policy of the district. This policy is to be incorporated by reference into the agreement.

All food service personnel shall meet all state, county and/or local health standards, as required. The district may establish written policies exceeding existing health standards.

The district shall provide adequate physical facilities for both preparation and dining areas in accordance with state, county, and local health standards, as applicable.

201.05 Each meal claimed for reimbursement must be priced as a unit. Unit prices shall be specified in the agreement, and are subject to change only upon written agreement between the district and CDE.

201.06 Failure to comply with these rules or the spirit and intent of the USDA rules and regulations will make the agreement subject to review and possible cancellation after notice.

201.07 Should there be a breach of contract, knowingly or unknowingly, the district shall be notified by CDE in writing of the areas which need correction. If after thirty days adequate corrective action has not taken place, the agreement shall be subject to cancellation.

2202R202.00 Supplemental Food Service

202.01 Supplemental (a la carte) foods and beverages are those foods and beverages offered by the district's food service program that are separate and apart from reimbursable meals.

202.02 Supplemental foods and beverages may be sold or served free of charge by the district's food service program at the same time and place as reimbursable meals, with the exception of Foods of Minimal Nutritional Value as defined by USDA.

202.03 The income from the sale of supplemental foods and beverages shall accrue to the district's food service program.

2202R2013.00 Competitive Food Service

2013.01 In those schools participating in the School Breakfast and/or National School Lunch pProgram(s), competitive food service is any food or beverage service available to students that is separate and apart from the district's nonprofit federally reimbursed food service program, and is providedoperated by a schoolapproved organizations or by a schoolapproved outside vendors. 2013.02 Such Ccompetitive food service, except as outlined in Section 201.03, shall not operate in competition with the district's food service program. , and shall be closed for a period beginning ½ hour prior to and remain closed until ½ hour after the last regular scheduled school lunch and/or school breakfast period on the campus where the school lunch and/or school breakfast is served. Such competitive foods cannot be sold 30 minutes before to 30 minutes after each scheduled meal service on any area of the school campus that is accessible to students.

2013.03 In cooperation with, and upon the approval of, the district official responsible for the operation of the district's food service program participating in the School Breakfast and/or National School Lunch program(s), tThe restriction in Section 2023.02 does not apply to may be waived for the service of competitive, mechanicallyvended beverages offered to students at the senior high level. Provided, however, that no federal rules or regulations relating to competitive food service or Foods of Minimal Nutritional Value may be waived for any grade level.

203.04 To promote the nutrition objectives of the School Breakfast and National School Lunch programs, and to preserve the fiscal integrity of the district's food service program, districts are encouraged to apply the restriction of Section 2023.02 to all grade levels at all schools.

203.04 All schools participating in the School Breakfast and/or National School Lunch pProgram(s) must also comply with any federal rules or regulations regarding competitive food service or the service of Foods of Minimal Nutritional Value, as defined by USDA.

2013.04 As stated in Section 2232136(4), C.R.S., each district’s board of education is encouraged to establish rules specifying the time and place at which competitive foods may be sold on school property in order to encourage the selection of healthful food choices by students.

2202R204.00 Audit

204.01 The district, in operating its food service program, shall conform to established state and federal audit requirements.

2202R205.00 USDA Donated Commodities

205.01 School districts may enter into written agreement with the Colorado Department of Human Services, Food Distribution Unit, for the receipt and use of USDA donated commodities.

2202R206.00 Funds

206.01 Any surplus accruing from the operation of the district's food service program shall be retained by and used for the support of the food service program, and shall not be used for any other purpose.

206.02 Any surplus accruing from the program shall be used to reduce the price of meals to the children, to improve the quality of the meals, to provide basic supplies, to replace equipment, and to make repairs to equipment. All other expenses are the responsibility of the district from other district funding sources.

206.03 A separate fund shall be maintained for the food service program, in order to identify all expenses and revenues.

206.04 Food service funds shall not be used to pay salaries or wages for dining room supervision.

206.05 For each school year, indirect costs may be recovered from the food service fund, but shall be limited to that amount established by the approved nonrestricted indirect cost rate from the prior school year’s financial data as reported to CDE. Under no circumstances may the amount recovered cause the Current Operating Resources to fall below a level of 30 percent of the totaloperating cost from the prior school year’s financial data as reported to CDE. Current Operating Resources is defined as current assets less current liabilities, except that current assets shall not include the value of USDA donated foods for the purposes of computing Current Operating Resources.

Any indirect costs recovered from the food service fund must first be reduced by any amounts directly assessed from the food service fund relating to the indirect cost areas as defined in the indirect cost rate agreement between CDE and the U.S. Department of Education.

2202R2027.00 Records

2027.01 Records must be kept in such a way as to substantiate the claims of the district and meet the requirements of the USDAUnited States Department of Agriculture. At a minimum, all records pertaining to the federal cChild nNutrition programs, including claims, financial records and supporting documentation, must be retained for a period of three years after the end of the federal fiscal year (October 1 through September 30) to which they pertain. If audit findings have not been resolved, the records shall be maintained beyond the threeyear period as long as required for resolution of issues raised by the audit.

2027.02 Records pertaining to the Public School Finance Act of 1996, including direct certification listings, applications for free and reduced price school meals, family economic data survey forms, district listings of migrant, homeless, runaway or foster students, and Head Start documented participation must be retained until audited by CDE or until five years from the certification due date whichever comes first.

2202R2038.00 Food Service Management Companies

2038.01 Districts and school food authorities may contract for the services of a fFood sService mManagement cCompany (FSMC).

20378.02 Districts School food authorities wishing to enter into a FSMC contract must comply with all federal and state rules and regulations pertaining to such FSMC contracts.

2038.03 To einsure compliance with state and federal requirements relating to contracting with FSMC's, districts school food authorities must utilize the rRequest for pProposal (RFP) and cContract prototypes and procedures as provided by CDE.

2038.04 All RFP documents must be approved by CDE prior to release of the RFP. All cContracts must be approved by CDE prior to the inception of the contract.

2038.05 The district school food authorities must maintain control of meal prices, and retain signature authority on all agreements, reimbursement claims, fFree and rReduced pPrice pPolicy implementation, and any other required forms and reports. Notice of Proposed Rulemaking

Tracking number

2015-00162

Department

300 - Department of Education

Agency

301 - Colorado State Board of Education

CCR number

1 CCR 301-11

Rule title AMENDMENTS TO THE RULES FOR ACCOUNTING AND REPORTING

Rulemaking Hearing

Date Time

05/13/2015 01:15 PM

Location Colorado Department of Education; State Board Room; 201 E. Colfax Ave; Denver, CO 80203

Subjects and issues involved Accounting and Reporting food services

Statutory authority 22-45-101 through103; 22-30.5 103 through 104; 22-30.5503; 22-2-107

Contact information

Name Title

Carey Markel Director

Telephone Email

303.866.6809 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 DEPARTMENT OF EDUCATION Colorado State Board of Education AMENDMENTS TO THE RULES FOR ACCOUNTING AND REPORTING 1 CCR 30111 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] ______Adopted: 10275, 111292, 12993, 3608 Attorney General Opinion: 112175, 121592, 121793 Statutory Authority: 2245101, 2245102, 2245103, 2230.5104, 2230.5503, 222107(l)(c), 2230.5603, 22 44206, C.R.S.

2245R1.00 Applicability.

The rules stated herein shall apply to Colorado public school districts, the charter school institute, charter schools, charter school collaboratives, and boards of cooperative educational services.

2245R2.00 No Tax Authority.

Establishment of a fund under these rules confers no authority to levy a tax for the purpose of the fund, except as otherwise established by statute.

2245R3.00 Funds and Accounts Structure.

The local board of education shall establish within the funds and accounts structure stated herein those local school district funds and accounts necessary to meet legal requirements, Colorado Department of Education (CDE) reporting requirements, and generally accepted principles of governmental accounting. In addition to the funds created in statute (Section 2245103, C.R.S.), the following funds are available for school district financial accounting and reporting.

3.01 Charter school fund. Used to track revenues and expenditures of charter schools. The district is not required to include charter school transactions in its financial database for normal day to day operations. However, charter school transactions must be included in the district’s database in the financial reporting system pursuant to Section 2244105(4)(a), C.R.S. for automated data exchange (ADE) reporting purposes.

3.02 Colorado Preschool Program (CPP) SubFund of the General Fund. An optional fund, if used, this fund allows a district to separate the Colorado Preschool Program CPP accounting, and maintain a selfbalancing set of records specific to the Colorado Preschool Program CPP requirements for allocations. Used to account for the purposes and limitations specified by Section 2228108(5.5), C.R.S.

3.03 Special Revenue Funds. The sSpecial rRevenue fFunds established by the local board of education are used to account for the proceeds of specific revenue sources, other than debt service or capital projects, that are legally restricted or committed to expenditure for specified purposes. Governmental dDesignatedpPurpose gGrants may be accounted for in special revenue funds. The general fund portion of blended component units may be accounted for in special revenue funds. 3.03(1) Food Service Funds. A separate fund shall be maintained for the food service program, in order to identify all allowable and reportable expenditures and revenues related to the federal grant program.

3.03(2) The food service fund is a special revenue fund that shall be used to account for all reportable and allowable revenues, expenditures, and other sources and uses of food service transactions funded in part or in whole through the United States Department of Agriculture programs including, but not limited to: School Breakfast Program (CFDA 10.553); National School Lunch Program (CFDA 10.555); Special Milk Program for Children (CFDA 10.556); Summer Food Service Program for Children (CFDA 10.559); and Fresh Fruit and Vegetable Program (CFDA 10.582) as well as food service transactions funded in part or in whole through the State of Colorado including, but not limited to: Start Smart Nutrition Program; Breakfast After the Bell Nutrition Program; and Child Nutrition School Lunch Protection Program.

3.03(3) A school food authority must use the food service special revenue fund for all food service transactions. A district that is not a school food authority must not use the food service special revenue fund.

3.03(4) As stated in Section 2232120, C.R.S., the food service fund shall be operated as nearly as practicable on a nonprofit basis. Districts are encouraged to consider the appropriate levels of reserves in the food service fund through the budget process in consultation with the district official responsible for the operation of the district's food service program participating in the School Breakfast and/or National School Lunch Program(s).

3.03(5) Food service funds shall not be used to pay salaries or wages for dining room supervision.

3.03(6) For each school year, indirect costs or direct charging of indirect cost items may be recovered from the food service fund, but shall be limited to that amount established by the approved nonrestricted indirect cost rate as determined by CDE under the federal indirect cost rate agreement.

3.03(7) Capital equipment purchases must be made based upon the CDE approved equipment list or prior approval process. As stated in Section 2232120(2), C.R.S., capital outlay and equipment rental costs shall not be included in computing the cost of school meals reimbursed by the School Breakfast and National School Lunch Programs. Therefore, revenue from fees charged to students for reimbursable meals shall not be used to purchase capital outlay or pay for equipment rental costs.

3.03(8) Net cash resources must be limited to three months average expenditures based upon a ninemonth operating year. Net cash resources is defined as current assets less current liabilities, except that current assets shall not include the value of inventories and prepaid expenditures for the purpose of computing net cash resources.

3.03(9) As stated in Section 2232120(1)(a), C.R.S., food service facilities shall be deemed to be an integral part of the district and shall be maintained, operated and governed in the same manner as the schools of the district. As such, expenditures including but not limited to new kitchens with new equipment related to new school construction and to major renovations of school facilities are the responsibility of the district from other district funding sources.

3.03(10) Any unexpended and unencumbered moneys remaining in the fund at the end of a fiscal year must remain in the funds, shall be used for the support of the food service program pursuant to these rules, and shall not be used for any other purpose.

3.04 Pupil Activity Funds. The Ppupil aActivity fFunds may be used to account for revenues and expenditures related to schoolsponsored pupil activities supported by revenues from pupils, gate receipts, or fundraising sources. The Ppupil aActivity fFunds are accounted for as sSpecial rRevenue fFunds or fiduciary (tTrust and aAgency) fFunds, depending on their purpose and source of funding. 3.05 Building Fund. The bBuilding fFund shall be used to account for the proceeds of bond sales, revenues from other sources, and capital expenditures for land or existing buildings, improvements of grounds, or replacement of equipment as authorized by the local board of education. The bBuilding fFund is accounted for as a cCapital pProjects fFund.

3.05(1) Proceeds from the sale of bonds remaining after the completion of the project for which such bonds were authorized may be transferred to the bBond rRedemption fFund or in the event all bonds have been redeemed, to the gGeneral fFund.

3.06 Enterprise Fund. Enterprise funds may be used to account for revenues and expenses for activities that are financed and operated in a manner similar to private business enterprises.

3.06(1) The Food Service Fund is an Enterprise Fund that shall be used to account for revenues, nonrevenue receipts, and expenses for food service transactions funded in part or in whole through the United States Department of Agriculture Programs including, but not limited to: National School Lunch Program (CFDA 10.555); Special Milk Program for Children (CFDA 10.556); Summer Food Service Program for Children (CFDA 10.559); and Nutrition Education and Training Program (CFDA 10.564.

3.07 Internal Service Fund. The iInternal sService fFunds may be used to account for the financing of goods or services provided by one department or agency to other departments or agencies of the school district, or to other school districts, on a costrecovery basis.

3.08 Fiduciary (Trust and Agency) Funds. The tTrust and aAgency fFunds may be used to account for money and property held by the school district in a trustee capacity or as an agent for individuals, private organizations, and/or other governmental units.

3.08(1) A privatepurpose trust fund may be used to report any trust arrangement under which the principal and/or income benefit individuals or organizations and the funds are not used as part of the operations of the district.

3.08(2) An agency fund may be used to account for assets held for other governments, private organizations, or individuals. Agency funds generally serve as clearing accounts.

3.09 Permanent fund. The GASB 34 permanent fund is a governmental fund type used to report resources that are legally restricted to the extent that only earnings, and not principal, may be used for purposes that support the reporting government’s programs.

3.10 Foundations. The district will report foundation activity in fund 85 for the automated date exchange in the financial reporting system pursuant to Section 2244105(4)(a), C.R.S., and will indicate that the audit reflects this activity in a specific fund based on the purpose of the foundation.

3.11 NonVoter Approved Certificate of Participation (COP) Debt Service Fund. A dDebt sService tType fFund may be was established to allow school districts to account for the accumulation of resources and payment of principal, interest, and related expenses on any nonvoter approved COP debt.

2245R4.00 Statement of Basis and Purpose.

Conforms these regulations to the Accounting and Reporting Law and the School District Budget Law, as amended through the 2007 legislative session. The basis for these rules is found in Article 2 of Title 22, Article 30.5 of Title 22 and Article 45 of Title 22.

4.01 Statement of Basis and Purpose. The basis for these rules is found in C.R.S. Article 45 of Title 22, Accounting and Reporting; Article 30.5 of Title 22, Charter Schools, as well as in Section 222107(l)(c) which relates to the duties of the state board of education. The Accounting and Reporting law identifies eight funds to be used by school districts in financial accounting and reporting and specifies conditions and requirements regarding the use of these funds. The funds are: General Fund, Bond Redemption Fund, Capital Reserve Fund, Special Building and Technology Fund, Risk Management Reserves, Transportation Fund, Preschool and Kindergarten Program Fund, and Fullday Kindergarten fund.

Article 45 allows the authorization through regulation of additional funds by the state board of education. These regulations authorize nine additional funds for use by school districts in financial management and reporting. Generally accepted principles of governmental accounting permit the use of these funds.

4.02 Statement of Basis and Purpose amendments. The 2010 changes to the rules are due to statutory amendments in HB 081388 and SB 10161, modifications to Governmental Accounting Standards (Statement No. 54), and procedural changes by the U.S. Department of Agriculture (elimination of the separate commodity coding).

The Accounting and Reporting law identifies seven funds to be used by school districts in financial accounting and reporting and specifies conditions and requirements regarding the use of these funds. The funds are: General Fund, Bond Redemption Fund, Capital Reserve Fund, Special Building and Technology Fund, Risk Management Reserves, Transportation Fund, and Fullday Kindergarten Fund.

Article 45 allows the authorization through regulation of additional funds by the state board of education. These regulations authorize ten additional funds for use by school districts in financial management and reporting. Generally accepted principles of governmental accounting permit the use of these funds.

4.03 Statement of Basis and Purpose for Amendments. The 2012 amendment to these rules are in response to recommendations from the Financial Policies and Procedures Advisory Committee to designate a Debt Service Type Fund that will allow school districts to account for the accumulation of resources and payment of principal, interest, and related expenses on any nonvoter approved debt.

4.04 Statement of Basis and Purpose for Amendments. The 2015 amendments to these rules are in response to recommendations from the Financial Policies and Procedures Advisory Committee to change the food service fund from an enterprise fund to a special revenue fund. Additionally, the 2015 amendments incorporate rules related to the food service fund which were previously included in 1 CCR 3013 Food and Nutrition Services into these rules and makes appropriate updates and clarifications to assist school districts in complying with federal and state law and regulations pertaining to food and nutrition service operations and to preserve and protect the fiscal integrity of food and nutrition service operations in school districts. Notice of Proposed Rulemaking

Tracking number

2015-00146

Department

700 - Department of Regulatory Agencies

Agency

718 - Passenger Tramway Safety Board

CCR number

3 CCR 718-1

Rule title PASSENGER TRAMWAYS

Rulemaking Hearing

Date Time

05/13/2015 10:15 AM

Location 202 Main Street, 2nd Floor, Grand Junction, CO 81501

Subjects and issues involved Adoption of Rule 2.3.2.5, Rule 2.3.2.5.1, Rule 2.3.2.5.2, Rule 2.3.2.5.3, Rule 2.3.2.5.4, Rule

2.3.2.5.5, Rule 2.3.2.5.6, Rule 2.3.2.5.7, Rule 2.3.2.5.8, Rule 2.3.2.5.9, and Rule 2.3.2.5.10

Statutory authority 25-5-704 (1) (a)

Contact information

Name Title

Nicki Cochrell Program Manager

Telephone Email

303-894-7785 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 2.3.2.5 Operational requirements

2.3.2.5.1 General

The owner and supervisor of each aerial lift shall review the requirements of Section X and referenced A nnexes of this standard to ascertain that original design and in sta lla t i o n cond i t i on s hav e no t bee n altere d i n a manner so as to violate the requirements of the standard.

2.3.2.5.2 Preoperational minimum ridership requirements

At the startup of the aerial lift and prior to any passengers riding the aerial lift, including the preoperational ride, the following steps shall be taken;

1. At least one brake and stop switch has been operated.

2. The ropeway is operated slowly for a minimum of three (3) minutes or a length of time equal to the time a carrier takes to cross the longest span on the installation; or,

3, A visual line inspection by trained personnel who shall be in communication with the operator of the ropeway. This inspection may occur while riding the aerial ropeway if the first rider is in constant communication with the operator.

Only personnel that are directly related to the opening of the aerial lift, safety related personnel (i.e. Snow Safety, Authorities Having Jurisdiction, and Law Enforcement Personnel), or lift maintenance may participate in the preoperational ride until the preoperational inspection is complete.

2.3.2.5.3 Starting

Following procedural clearances, the aerial lift shall be started by the operator or at th e directio n o f th e operator. Capability for starting from other locations may be provided for maintenance or emergency operation.

2.3.2.5.4 Loading and unloading platforms

The maze or corral, loading platform surface, breakover point, and the load/unload seat height shall be reasonably maintained according to the prevailing weather conditions and established procedures.

2.3.2.5.5 Stops

After any stop of an aerial lift, the operator shall determine the cause of the stop, and not restart until clearance has been obtained from all attended stations.

2.3.2.5.6 Termination of daily operations

Procedures shall be established for terminating daily operations in such a manner that passengers will not be left on the aerial lift after it has been shut down. Loading ramps, as required, shall be closed and so marked.

When either loading or unloading portions of an intermediate station are not in operation, it shall be so signed and the loading station shall be closed to public access.

2.3.2.5.7 Damage to carriers Should any carrier become damaged or otherwise rendered unfit for passenger transportation during normal operation, it shall be clearly and distinctively marked and not used for passengers until repaired or replaced. It shall be removed from the line as soon as feasible.

2.3.2.5.8 Hazardous conditions

When wind or icing conditions are such that operation is hazardous to passengers or equipment, according to predeterm i ne d cr it er i a base d upo n th e area’ s operational experience and the designer’s design considerations, the aerial lift shall be unloaded and the operation discontinued. If necessary under the predetermined criteria, device(s) shall be installed at appropriate location(s) to ascertain wind velocity and direction when aerial lifts are operated. No aerial lift shall operate when there is an electrical storm in the immediate vicinity. Should such conditions develop while the aerial lift is in operation, loading of passengers shall be terminated, and operation shall be continued only as long as necessary to unload all passengers. When such shutdown has been caused by an electrical storm, grounding of control circuits and haul ropes that are used as conductors in communication systems is permissible. Such grounding shall be removed prior to resumption of passenger operations.

2.3.2.5.9 B y pass requirements

The use of temporar y circuit s tha t hav e bee n installe d for the purpose of bypassing failed electrical circuit(s) (see 4.2.6) shall meet these requirements in the following order: a) The condition that the circuit indicated is in default shall be thoroughly inspected to ensure an electrica l operatin g circui t ma lf unct i on , rathe r tha n the indicated condition, actually exists; b) The bypass shall be authorized only by the ae r i a l lift supervisor or his/her designated representative; c) When a bypass is in operation, the function bypassed shall be under constant, close visual observation; d) The use of a bypass circuit shall be logged and shall indicate when, who authorized, and for what duration a bypass was used; e) The operator control panel shall indicate that a bypass is in use.

2.3.2.5.10 E v acuation

A plan for evacuation of passengers from each aerial lift shall be developed and documented. The plan shall include: a) the definition of the line of authority in the event of an evacuation. This line of authority shall list:

1) the positions responsible for determining the need for and ordering an evacuation by use of the evacuation power unit or evacuation from individual carriers;

2) the personnel responsible for performing the evacuation, for first aid, and for ground care of evacuated passengers. b) a description of the equipment necessary for evacuation and where it will be stored; c) provisions for adequate training in the functions performed in the evacuation process at least once ea ch operatin g season . Suc h drill s ar e t o b e recorded in the operational log of each aerial lift (see 4.3.5.1); d) an estimate of the time necessary for the total evacuation of each aerial lift; e) a description of unusual terrain conditions and how each of these conditions will be dealt with during an evacuation; f) an estimate of when th e evacuatio n shoul d begin in the event the aerial lift becomes inoperable; g) provisions for communications with passengers of an inoperable aerial lift, the frequency of such communication, how soon after the aerial lift becomes inoperable such communication to the passengers will start, and the frequency of communications thereafter; h) the methods of evacuation to be used for the typical passenger, incapacitated passenger, passengers using common adaptive ski equipment, and nonambulatory passengers; i) provision s fo r communicatio n wit h th e e v a c uat i o n teams; j) provisions for suspending the evacuation in the event that the aerial lift is made operable during the evacuation; k) provisions for control and assistance of evacuated persons until released; l) provisions for a postevacuation report.

All nonmetallic rope used for evacuation shall be of nylon or polyester (Dacron) fiber of either laid or braided construction. Laid rope of nylon shall be of a hard lay. These ropes shall be either of a static rescue type or a dynamic mountaineering type. Breaking strength, when new, shall be at least 15 times the maximum expected operating load but in no case less than 4000 pounds (17.8 kilonewtons). No natural fiber or polypropylene ropes shall be used.

These ropes shall be carefully stored when not in use and shall be examined after each completed aerial lift evacuation and prior to each season of operation, both summer and winter, to ascertain that they are in satisfactory condition.

Carabiners, if used, shall be of the locking type.

Notice of Proposed Rulemaking

Tracking number

2015-00148

Department

700 - Department of Regulatory Agencies

Agency

718 - Passenger Tramway Safety Board

CCR number

3 CCR 718-1

Rule title PASSENGER TRAMWAYS

Rulemaking Hearing

Date Time

05/13/2015 10:15 AM

Location 202 Main Street, 2nd Floor, Grand Junction, CO 81501

Subjects and issues involved adoption of Rule 4.3.2.5, Rule 4.3.2.5.1, Rule 4.3.2.5.2, Rule 4.3.2.5.3, Rule 4.3.2.5.4, Rule

4.3.2.5.5, Rule 4.3.2.5.6, Rule 4.3.2.5.7, Rule 4.3.2.5.8, Rule 4.3.2.5.9, and Rule 4.3.2.5.10

Statutory authority 25-5-704 (1) (a)

Contact information

Name Title

Nicki Cochrell Program Manager

Telephone Email

303-894-7785 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 4.3.2.5 Operational requirements

4.3.2.5.1 General

4.3.2.5.2 Preoperational minimum ridership requirements

At the startup of the aerial lift and prior to any passengers riding the aerial lift, including the preoperational ride, the following steps shall be taken;

1. At least one brake and stop switch has been operated.

2. The ropeway is operated slowly for a minimum of three (3) minutes or a length of time equal to the time a carrier takes to cross the longest span on the installation; or,

3. A visual line inspection by trained personnel who shall be in communication with the operator of the ropeway. This inspection may occur while riding the aerial ropeway if the first rider is in constant communication with the operator.

4.3.2.5.3 Starting

4.3.2.5.4 Loading and unloading platforms

4.3.2.5.5 Stops

After any stop of an aerial lift, the operator shall determine the cause of the stop, and not restart until clearance has been obtained from all attended stations.

4.3.2.5.6 Termination of daily operations

When either loading or unloading portions of an intermediate station are not in operation, it shall be so signed and the loading station shall be closed to public access.

4.3.2.5.7 Damage to carriers Should any carrier become damaged or otherwise rendered unfit for passenger transportation during normal operation, it shall be clearly and distinctively marked and not used for passengers until repaired or replaced. It shall be removed from the line as soon as feasible.

4.3.2.5.8 Hazardous conditions

4.3.2.5.9 B y pass requirements

4.3.2.5.10 E v acuation

1) the positions responsible for determining the need for and ordering an evacuation by use of the evacuation power unit or evacuation from individual carriers;

Carabiners, if used, shall be of the locking type.

Notice of Proposed Rulemaking

Tracking number

2015-00147

Department

700 - Department of Regulatory Agencies

Agency

718 - Passenger Tramway Safety Board

CCR number

3 CCR 718-1

Rule title PASSENGER TRAMWAYS

Rulemaking Hearing

Date Time

05/13/2015 10:15 AM

Location 202 Main Street, 2nd Floor, Grand Junction, CO 81501

Subjects and issues involved Adoption of Rule 3.3.2.5, Rule 3.3.2.5.1, Rule 3.3.2.5.2, Rule 3.3.2.5.3, Rule 3.3.2.5.4, Rule

3.3.2.5.5, Rule 3.3.2.5.6, Rule 3.3.2.5.7, Rule 3.3.2.5.8, Rule 3.3.2.5.9, and Rule 3.3.2.5.10

Statutory authority 25-5-704 (1) (a)

Contact information

Name Title

Nicki Cochrell Program Manager

Telephone Email

303-894-7785 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 3.3.2.5 Operational requirements

3.3.2.5.1 General

3.3.2.5.2 Preoperational minimum ridership requirements

At the startup of the aerial lift and prior to any passengers riding the aerial lift, including the preoperational ride, the following steps shall be taken;

1. At least one brake and stop switch has been operated.

2. The ropeway is operated slowly for a minimum of three (3) minutes or a length of time equal to the time a carrier takes to cross the longest span on the installation; or,

3.3.2.5.3 Starting

3.3.2.5.4 Loading and unloading platforms

3.3.2.5.5 Stops

After any stop of an aerial lift, the operator shall determine the cause of the stop, and not restart until clearance has been obtained from all attended stations.

3.3.2.5.6 Termination of daily operations

When either loading or unloading portions of an intermediate station are not in operation, it shall be so signed and the loading station shall be closed to public access.

3.3.2.5.7 Damage to carriers Should any carrier become damaged or otherwise rendered unfit for passenger transportation during normal operation, it shall be clearly and distinctively marked and not used for passengers until repaired or replaced. It shall be removed from the line as soon as feasible.

3.3.2.5.8 Hazardous conditions

3.3.2.5.9 B y pass requirements

3.3.2.5.10 E v acuation

1) the positions responsible for determining the need for and ordering an evacuation by use of the evacuation power unit or evacuation from individual carriers;

Carabiners, if used, shall be of the locking type.

Notice of Proposed Rulemaking

Tracking number

2015-00156

Department

2505,1305 - Department of Health Care Policy and Financing

Agency

2505 - Executive Director of Health Care Policy and Financing

CCR number

10 CCR 2505-5

Rule title Executive Director of Health Care Policy and Financing

Rulemaking Hearing

Date Time

04/22/2015 08:00 AM

Location 303 East 17th Avenue, 7th Floor, Denver, CO 80203

Subjects and issues involved see attached

Statutory authority 25.5-1-108, CRS (2014)

Contact information

Name Title

Judi Carey MSB Coordinator

Telephone Email

303-866-4416 [email protected]

Colorado Register, Vol. 38, No. 6, March 25, 2015 March 25, 2015

The Honorable Wayne W. Williams

Secretary of State

1560 Broadway, 2nd Floor

Denver, Colorado 80203

Dear Mr. Williams:

Attached is the Notice of Proposed Rules concerning Executive Director of Health Care Policy and Financing rules to be considered for permanent adoption at the April 2015 meeting of the Executive Director of the Department of Health Care Policy and Financing. The meeting will be held on Wednesday, April 22, 2015, beginning at 8:00 A.M., in the seventh floor conference room at the 303 East 17th Avenue, Denver, CO 80203.

This notice is submitted to you for publication, pursuant to § 24-4-103(3)(a) and (11)(a), C.R.S.

Respectfully,

Judi Carey, Department of Health Care Policy and Financing

1570 Grant Street, Denver, CO 80203-1818P 303.866.2993 F 303.866.4411 www.colorado.gov/hcpf March 25, 2015 Rule Notice Page 2

The Executive Director of the Colorado Department of Health Care Policy and Financing will hold a public meeting on Wednesday, April 22, 2015, beginning at 8:00 a.m., in the seventh floor conference room at 303 East 17th Avenue, Denver, CO 80203. Reasonable accommodations will be provided upon request prior to the meeting by contacting the Medical Services Board Coordinator at 303-866-4416.

A copy of the full text of these proposed rule changes is available for review from the Rules Administration Office, 1570 Grant Street, Denver, Colorado 80203, tel. (303) 866-4416, fax (303) 866-4411. Written comments may be submitted to the Rules Administration Office on or before close of business the Friday prior to the meeting. Additionally, the full text of all proposed changes will be available approximately one week prior to the meeting on the internet at the Executive Director Administrative Rules Hearing Schedule page . . ED 15-02-11-A . Revision to the Executive Director of the Department of Health Care Policy and Financing Rule Concerning All-Payers Claims Database,10 CCR 2505-5, Section 1.200.1 . Executive Director. The proposed amendment to section 1.200 All-Payers Claims Database under 10 CCR 2505-5. The specific sections to be amended are sections 1.200.1 Definitions and 1.200.3 Schedule for Mandatory Data Reporting. The rule revision is requested by the Center for Improving Value in Health Care (CIVHC) in its role as All-Payers Claims Database (APCD) Administrator.

This amendment would expand the definition of “private health care payer” under section 1.200.1to include “a self-insured employer-sponsored health plan.” Such plans would be exempted from the regulation if they are served by a third-party administrator or administrative services only organization (“TPA/ASO”) that services less than an aggregate of 1,000 enrolled lives in Colorado. Additionally, this amendment would change the Data submission guide in under section 1.200.1 to Data Submission Guide version 7, 2015. The amendment will also add Mandatory Data Reporting guidelines for sections 1.200.3.A, 1.200.3.B. and 1.200.3.C.

The proposed amendment will also add an opt out clause in section 1.200.2.B to read as: section 1.200.2.B. A private health care payer subject to the provisions of the federal Employee Retirement Income Security Act of 1974, as codified at 29 U.S.C. Chap. 18 (an “ERISA Entity”) may opt-out of the data submission otherwise required under this rule for data files related to claims data for calendar years 2015 and 2016 only. To avoid the penalties, as defined at section 1.200.6, such ERISA Entity, or a TPA/ASO acting on such ERISA Entity’s behalf, must declare that it has elected to “opt out” from (i.e., decline) data submission for calendar year 2015, calendar year 2016 or both calendar years’ claims data by submitting the opt out form identified by the administrator, or its equivalent, via certified mail sent to the administrator within 160 calendar days after the effective date of this rule. Such ERISA Entity, or a TPA/ASO acting on such ERISA Entity’s behalf, may revoke its opt out decision at any time, by providing written notice to the administrator.

The authority for this rule is contained in 25.5-1-105, C.R.S. (2014) and 25.5-1-204 C.R.S (2014).

Our mission is to improve health care access and outcomes for the people we serve while demonstrating sound stewardship of financial resources.

www.colorado.gov/hcpf Permanent Rules Adopted

Department

Department of Revenue

Agency

Division of Gaming - Rules promulgated by Gaming Commission

CCR number

1 CCR 207-1

Rule title 1 CCR 207-1 GAMING REGULATIONS 1 - eff 04/14/2015

Effective date

04/14/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 Note to publisher: Proposed changes have been highlighted in yellow to make them easier to identify. The highlighting is not intended to appear in the final permanent rules.

BASIS AND PURPOSE FOR RULE 8

The purpose of Rule 8 is to establish playing rules for blackjack and procedures for conducting blackjack games in compliance with section 12-47.1-302 (2). The statutory basis for Rule 8 is found in sections 12- 47.1-201, C.R.S., 12-47.1-203, C.R.S., 12-47.1-302, C.R.S., 12-47.1-816, C.R.S., and 12-47.1-818, C.R.S.

RULE 8 RULES OF BLACKJACK

47.1-834.11 The play – Royal Match 21.

Note to publisher: Add the following new pay table after existing pay tables in 47.1-834.11 (13). PROGRESSIVE Pay table 3 Pays Double Royal Match Suited 100% of Major Progressive Meter Double Royal Match 100% of Minor Progressive Meter Royal Match 40 for 1 Suited Blackjack 10 for 1 Suited Hand 2 for 1

BASIS AND PURPOSE FOR RULE 9

The purpose of Rule 9 is to establish procedures for the distribution of chips to blackjack, craps and roulette tables, the removal of chips and coins from blackjack, craps and roulette tables, and to establish drop and count procedures related to blackjack, craps and roulette gaming in compliance with section 12- 47.1-302(1)(q). The statutory basis for Rule 9 is found in sections 12-47.1-201, C.R.S., 12-47.1-203, C.R.S., and 12-47.1-302, C.R.S.

RULE 9 MINIMUM PROCEDURES FOR DROP, COUNT, AND DISTRIBUTION OF CHIPS AND COINS FOR BLACKJACK, CRAPS AND ROULETTE

47.1-901 Drop procedures.

At the end of a shift, all locked single-shift drop boxes must be removed from the blackjack, craps and roulette tables, unless otherwise approved by the Division of Gaming, by the drop team members who must transport them directly to the count room or other secure area for counting. If not counted immediately, the drop boxes must be locked securely until the count takes place.

At the end of a shift, the corresponding section of all multiple-shift drop boxes must be locked before the appropriate section for the new shift is enabled. At the end of each gaming day, all locked multiple-shift drop boxes must be removed from the blackjack, craps and roulette tables, unless otherwise approved by the Division of Gaming, by the drop team members who must transport them directly to the count room or other secure area for counting. If not counted immediately, the drop boxes must be locked securely until the count takes place. BASIS AND PURPOSE FOR RULE 10

The purpose of Rule 10 is to establish playing rules for authorized types of poker and management procedures for conducting poker games in compliance with section 12-47.1-302 (2). The statutory basis for Rule 10 is found in sections 12-47.1-201, C.R.S., 12-47.1-203, C.R.S., 12-47.1-302, C.R.S., and 12- 47.1-818, C.R.S.

RULE 10 RULES FOR POKER

47.1-1003 Types of poker authorized.

(49) Six Card Poker;

(50) High Card Flush Poker; and

(51) WPT Heads Up Hold’Em.

47.1-1017.57 The play – WPT Heads Up Hold’Em.

WPT Heads Up Hold’Em is a patent-pending poker variation game, the rights to which are owned by Galaxy Gaming, Inc., Las Vegas, Nevada, and which may be transferred or assigned. WPT Heads Up Hold’Em must be played according to the following rules:

(1) WPT Heads Up Hold’Em may be played only on tables displaying the WPT Heads Up Hold’Em layout. A single deck of 52 cards will be used. Each player may play only one hand following each shuffle of the deck.

(2) Before receiving cards, each player must place two mandatory wagers, the Ante wager and the Odds wager in the designated wagering area in front of the player’s position. Each player may also place two additional optional wagers, the Pocket Bonus and the Trips Plus wager. The Ante and Odds wagers must be of an equal amount and all wagers must be within the table minimum and maximum, as posted at the table, up to the $100 maximum wager limit as determined by the house and in accordance with applicable law.

(3) At the discretion of the retail licensee, players may also place a dealer tip bet on their Ante and/or Odds bet by placing the dealer tip bet next to their Ante bet. If such tip bets are accepted, winning tip bets must be paid at the same odds as the player’s winning Ante and/or Odds bet. The retail licensee may require tip bets to be in an even dollar amount, and may limit the maximum amount of such tip bets.

(4) Immediately prior to each round of play, the dealer shall shuffle the cards. Following the shuffle and cut, the dealer will deal two cards (player hole cards) to each player and to him/herself (dealer hole cards) one at a time face down starting with the player to his/her left. These two cards also represent both the player’s and the dealer’s two-card hand. The dealer will then deal five community board cards, face down, on the layout. Players are not allowed to exchange information about their hands.

(5) An incorrect number of cards dealt to a player constitutes a misdeal to that player only and that player retains his/her Ante, Odds and any other bets. Exposed cards dealt to a player do not constitute a misdeal. The dealer will turn the card(s) over and continue to deal. An incorrect number of cards and/or exposed cards dealt to the dealer constitutes a misdeal for the hand, and all players retain their Ante, Odds and any other bets. If a player’s card falls from the table, that player’s hand is dead and the player’s wagers are void. (6) Players will then examine their cards. Players will then have the option to either make a Raise wager equal to their Ante, twice their Ante, three times their Ante or to check. Players who have made a tip bet on their ante wager may also place a tip bet on their Raise wagers.

(7) The dealer will then reveal the flop by turning over the first three community cards.

(8) Players who have not made a Raise wager may now make a Raise wager equal to their Ante, twice their Ante or they may check.

(9) The dealer will then turn over the last two community cards (the turn and the river).

(10) Players who have not yet made a Raise wager now must either make a Raise wager equal to their Ante wager or fold their hand and forfeit both their Ante and Odds wagers. If a player who has folded has made the optional Pocket Bonus wager and it is a winning combination, the player will tuck his/her cards under the Pocket Bonus wager until the end of the game when the dealer pays out according to the posted pay table.

(11) After all players have acted, the dealer will then turn over the dealer cards and create the best five card poker hand from the dealer’s two cards and the five community cards and will announce the dealer’s hand to the players. The dealer must have at least a pair or better to qualify.

(a) The dealer, working right to left, combines each player’s two cards with the five community cards to make the player’s best five-card poker hand.

(b) If the dealer does not possess a qualifying hand, all remaining Ante wagers will be returned to the player by the dealer. All other wagers remain in action.

(c) If the dealer’s hand qualifies with a pair or better, and the player’s hand beats the dealer’s hand, the Ante wager is paid even money. If the dealer’s hand beats the player’s hand, the Ante wager loses and is collected by the dealer. If the dealer’s hand and the player’s hand are equal copies, the Ante wager is a push and is returned to the player by the dealer.

(d) If the player beats the dealer with a straight or better, the Raise wager is paid even money and the Odds wager is paid according to the posted pay table.

(e) If the player beats the dealer with a three-of-a-kind or less, the Raise wager wins and is paid even money and the Odds wager is a push and is returned to the player by the dealer.

(f) If the player’s hand ties or “copies” the dealer’s hand, both the Raise and Odds wagers are pushes and are returned to the player by the dealer.

(g) If the player’s hand is a three-of-a-kind or less and is beaten by the dealer, both the Raise and Odds wagers lose and are collected by the dealer.

(h) If the player’s hand is a straight or better and is beaten by the dealer, the Raise wager loses and is collected by the dealer. The Odds bet wins and is paid according to the posted Bad Beat Bonus pay table.

(12) The Pocket Bonus and the Trips Plus wagers.

(a) Players win the Trips Plus wager if their hand contains a three-of-a-kind or better and will be paid according to the posted pay table. (b) Players win the Pocket Bonus wager if their two hole cards contain a pair or an ace combined with a face card (Jack, Queen, King) and will be paid according to the posted pay table.

(13) The dealer will reconcile the Pocket Bonus and Trips Plus wagers at the same time he/she is reconciling the Ante, Raises and Odds wagers.

Odds Pay Table – Player Wins Hand Pay Royal Flush 500 to 1 Straight Flush 50 to 1 Four of a Kind 10 to 1 Full House 3 to 1 Flush 1.5 to 1 Straight 1 to 1

Odds Pay Table – Player Loses Hand Pay Table 1 Pay Table 2 Pay Table 3 Pay Table 4 Straight Flush 500 to 1 500 to 1 500 to 1 500 to 1 Four of a Kind 50 to 1 50 to 1 50 to 1 25 to 1 Full House 10 to 1 10 to 1 10 to 1 6 to 1 Flush 8 to 1 6 to 1 5 to 1 5 to 1 Straight 5 to 1 5 to 1 4 to 1 4 to 1

Trips Plus Pay Table Hand Pay Table 1 Pay Table 2 Pay Table 3 Pay Table 4 Royal Flush 100 to 1 100 to 1 100 to 1 100 to 1 Straight Flush 40 to 1 40 to 1 40 to 1 40 to 1 Four of a Kind 30 to 1 30 to 1 30 to 1 30 to 1 Full House 9 to 1 8 to 1 8 to 1 7 to 1 Flush 7 to 1 6 to 1 7 to 1 6 to 1 Straight 4 to 1 5 to 1 4 to 1 5 to 1 Three of a Kind 3 to 1 3 to 1 3 to 1 3 to 1

Pocket Bonus Pay Table Hand Pay Table 1 Pay Table 2 Pay Table 3 Pair of Aces 30 to 1 25 to 1 30 to 1 Suited Ace and Face 20 to 1 20 to 1 20 to 1 Unsuited Ace and Face 10 to 1 10 to 1 10 to 1 Pair 5 to 1 5 to 1 4 to 1

BASIS AND PURPOSE FOR RULE 11

The purpose of Rule 11 is to establish procedures for the distribution of chips to poker tables, the removal of chips and coins from poker tables, and to establish drop and count procedures related to poker gaming in compliance with section 12-47.1-302(1)(q). The statutory basis for Rule 11 is found in sections 12- 47.1-201, C.R.S., 12-47.1-203, C.R.S., and 12-47.1-302, C.R.S.

RULE 11 MINIMUM PROCEDURES FOR DROP, COUNT, AND DISTRIBUTION OF CHIPS AND COINS FOR POKER 47.1-1101 Drop and count procedures.

(2) At the end of a shift for all house banked poker variation games or at the end of each gaming day for all player banked poker variation games, all locked single-shift poker drop boxes and jackpot award drop boxes must be removed from the poker tables, unless otherwise approved by the Division of Gaming, by the drop team members who must transport them directly to the count room or other secure area for counting. If one table is to be used on a single shift for two or more dissimilar poker variation games which offer jackpot awards, the jackpot award drop box must be removed, secured, and replaced between game changes. If not counted immediately, the drop boxes must be locked securely until the count takes place.

(3) At the end of a shift, the corresponding section of all multiple-shift drop boxes must be locked before the appropriate section for the new shift is enabled. At the end of each gaming day, all locked multiple-shift drop boxes must be removed from the poker tables, unless otherwise approved by the Division of Gaming, by the drop team members who must transport them directly to the count room or other secure area for counting. If not counted immediately, the drop boxes must be locked securely until the count takes place. (47.1-1101(1)-(2) amended, temp. 4/19/96; 47.1-1101(2) amended, perm. 11/30/96)

CYNTHIA H. COFFMAN RALPH L. CARR Attorney General COLORADO JUDICIAL CENTER 1300 Broadway, 10th Floor DAVID C. BLAKE Chief Deputy Attorney General Denver, Colorado 80203 MELANIE J. SNYDER Phone (720) 508-6000 Chief of Staff STATE OF COLORADO DANIEL D. DOMENICO Solicitor General DEPARTMENT OF LAW Office of the Attorney General

Tracking number: 2015-00030

Opinion of the Attorney General rendered in connection with the rules adopted by the

Division of Gaming - Rules promulgated by Gaming Commission

on 02/19/2015

1 CCR 207-1

GAMING REGULATIONS

The above-referenced rules were submitted to this office on 02/19/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 03, 2015 13:49:00 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Permanent Rules Adopted

Department

Department of Revenue

Agency

Colorado Racing Commission

CCR number

1 CCR 208-1

Rule title 1 CCR 208-1 RACING 1 - eff 05/15/2015

Effective date

05/15/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 Rulemaking Amendments 2014-2015 1 CCR 208-1

CHAPTER 1

DEFINITIONS

The following definitions are interpretations of racing, parimutuel and simulcast wagering terms and are to be considered as part of these rules and regulations.

ABANDON To abandon means to leave an animal without adequate provisions for the animal’s proper care or to forsake the animal entirely.

ADDITIONAL FACILITY Any instate wagering facility operated by and the responsibility of a licensed association, not located on the premises of a licensed racetrack site, accepting parimutuel wagers on races with the approval of the Commission.

AGE (HORSE) A horse’s age begins on the first of January in the year in which the horse is foaled.

AGE (GREYHOUND) (Deleted Effective date May 15, 2015)

ALLOWANCE An allowance is a weight allowance or other condition of a race.

ANALGESIC See STIMULANT

ANESTHETIC See STIMULANT

ANIMAL An Animal shall mean a greyhound or horse.

ANIMAL CRUELTY (Modified Effective date May 15, 2014 ) As defined in C.R.S. § 189 202

ASSISTANT TRAINER An assistant trainer is a person licensed to condition an animal for racing under the authority, supervision, or in conjunction with the trainer of record.

ASSOCIATED PERSON Associated person means the spouse of an inactive person, or a companion, family member, employer, employee, agent, partnership, partner, corporation, or other entity whose relationship, whether financial or otherwise, with an inactive person, would give the appearance that such other person or entity would care for or train a horse or perform Veterinarian services on a horse for the benefit, credit, reputation, or satisfaction of the inactive person.

1 ASSOCIATION An association is anyone conducting a licensed live race meet or approved simulcast race meet in Colorado.

AUTHORIZED AGENT An Authorized Agent is a person who is authorized in writing to act in behalf of another on specified racing matters.

AUTHORIZED MEDICATION Any medication in the quantity permitted by the Commission pursuant to the conditions set forth in these Rules and the Law to be possessed by licensees or in prerace and postrace samples shall be authorized. Any and all other medications are unauthorized.

AUTHORIZED PARIMUTUEL WAGERING ENTITY A person in or outofstate that is duly licensed by the Colorado Racing Commission to conduct parimutuel wagering on simulcast racing.

BET SOLICITATION The term “bet solicitation” in 1260507(l)(h), C.R.S., means “touting.”

BETTING INTEREST A single wager on a runner(s) designated by a single program number.

BLEEDER A horse which demonstrates visible external evidence of Exercise Induced Pulmonary Hemorrhage (EIPH) or existence of hemorrhage in the trachea post exercise upon endoscopic examination. Such examination is to be authorized by or performed in the presence of a Division Veterinarian.

BOARD The Board shall mean the Board of Judges or the Board of Stewards.

BODY FAT SCALE (Deleted Effective date May 15, 2014)

BREEDER (HORSE) (Modified Effective date May 15, 2014) A Breeder is the owner of the horse’s dam at the time of foaling for Thoroughbreds. For Quarter Horses, Appaloosas, Arabians, and Paint Horses, the Breeder is the owner of the dam at the time of service, or as defined by each individual Colorado breed association.

BREEDER (GREYHOUND) (Deleted Effective date May 15, 2015)

CITATION – A complete written notice, issued to a licensee by the division on an approved form and by means of which the division alleges the licensee has violated one or more Colorado racing laws or rules.

CITATION VIOLATION LIST AND SCHEDULE OF PENALTIES – An approved list of those particular violations of Colorado racing laws or rules, together with penalties, set according to the type of violation and, as appropriate, also according to the frequency of violation by a

2 licensee. With the approval of the commission, the director can establish the specific violations on the list together with their associated penalties and can change the violations or penalties on the list.

CLAIM CERTIFICATE A claim certificate is a form issued by the stewards to a person who desires to claim a horse but has no horses registered to race at the meet.

COGGINS TEST A test required of horses to determine exposure to Equine Infectious Anemia.

COLORADO BRED (GREYHOUND) (Deleted Effective date May 15, 2015)

COLORADO BRED HORSE (Modified Effective date May 15, 2014) A Colorado bred horse is a horse which satisfies each of the following criteria:

1) A horse which was foaled in the State of Colorado out of a mare that was, itself, at the time of the foal’s birth, an accredited Colorado broodmare registered with the relevant official Colorado breed registry; or

2) In the case of an embryo recipient, at the time the embryo is taken from the genetic dam, the embryo itself has to come from an accredited Colorado broodmare, and the recipient mare has to be domiciled in Colorado at the time of the foals birth. The foal certificates from breed registries may reflect this position; and

3) A horse which has been registered with the relevant official Colorado breed registry.

COMMISSION See C.R.S. 1260102(5).

CROSS SIMULCASTING See C.R.S. 1260102(6).

DAILY DOUBLE Requires the selection of the first place finisher in each of two consecutive races.

DAY

RACE DAY A race day is any twentyfour (24) hour period beginning at midnight during a race meet anytime live racing is conducted.

DARK DAY A dark day is any twentyfour (24) hour period beginning at midnight during a live race meet when no live racing is conducted or during a simulcast race meet when no simulcast races are received.

3 SIMULCAST RACE DAY A simulcast race day is any twentyfour (24) hour period beginning at midnight during a simulcast race meet when simulcast races are received.

CALENDAR DAY A calendar day is any twentyfour (24) hour period beginning at midnight.

DECEIT IN RACING See MISREPRESENTATION

DECLARATION A declaration is the act of withdrawing an entered ANIMAL from a race.

DEPRESSANT See STIMULANT

DIRECTOR See C.R.S. 1260102(7).

DIVISION See C.R.S. 1260102(8).

DIVISION REPRESENTATIVE An employee of the Division designated to represent the Division in matters pertaining to the operation of the Division.

ELECTRONIC ACCOUNT WAGER/ACCOUNT WAGER A wager placed by electronic means, using funds from an electronic wagering account, made by the account holder in person, via telephonic device or through other electronic means.

ELECTRONIC WAGERING ACCOUNT/ACCOUNT A formal record of all transactions (debits, wagers, deposits, withdrawals and credits) initiated by an account holder in an electronic wagering account with an authorized parimutuel wagering entity.

ELECTRONIC WAGERING ACCOUNT ACTIVITY Any deposit, withdrawal, wager or other transaction made by the account holder.

ELECTRONIC WAGERING ACCOUNT HOLDER/ACCOUNT HOLDER A natural person, authorized by an authorized parimutuel wagering entity, to place wagers via account wagering.

ELECTRONIC WAGERING CENTER A facility that has the capability of accepting electronic account wagers, utilizing wired or wireless communications devices, including but not limited to, wireline telephones, wireless telephones, and the internet, to electronically transmit the placement of wagers on races and special events.

4 ELECTRONIC WAGERING DEPOSIT Parimutuel wagering in which an individual deposits money in an account with an authorized parimutuel wagering entity, to be used for parimutuel wagering authorized by law, to be conducted by the authorized parimutuel wagering entity.

EJECTION An ejection is the act of having a person removed from the premises of a racetrack or simulcast facility.

ENGAGEMENT An engagement is an obligation of a jockey or an animal to participate in a race.

ENTRY (HORSE) An entry shall mean according to the requirement of text:

(1) A horse made eligible to run in a race. (2) A horse which has drawn into a race.

ENTRY (GREYHOUND) (Deleted Effective date May 15, 2015)

ENTRY, COUPLED Two or more horses which are entered or run in a race owned by the same ownership or interest whether trained by the same trainer or different trainers or any other combination which form a common tie. A wager on one horse in a coupled group shall constitute a wager on all horses in such coupled group. No “coupled entries” shall be allowed in greyhound racing.

EQUIPMENT Equipment shall be any paraphernalia used on or attached to an animal while racing.

EUTHANASIA Euthanasia means the act or practice of ending the life of an animal.

EXACTA Requires the selection of the first two finishers, in their exact order, for a single race.

EXCLUSION An exclusion is the act of prohibiting a person from entering or remaining upon the premises of any or all racetracks and/or simulcast facilities.

FIELD/MUTUEL FIELD When the number of horses competing in a race exceeds the numbering capacity of the totalisator, some of the horses may be grouped together and designated as the mutuel field. A wager on one horse in such field shall be a wager on all horses in such field. No “mutuel fields” shall be allowed in greyhound racing.

FINANCIAL INTEREST An interest that could result in directly or indirectly receiving a pecu niary gain or sustaining a pecuniary loss as a result of ownership or interest in an animal or business entity, or as a result of salary, gratuity or other compensation or remuneration from any person.

5 FIREARMS Any weapon listed under C.R.S. 1812101 or any other section of the Colorado Revised Statutes, or any weapon which ejects any type of projectile, including BB guns, air rifles and pellet guns.

FRAUD See MISREPRESENTATION

GAINFUL EMPLOYMENT The term “gainful employment” in 1260507(1)(v), C.R.S. is interpreted by the Commission to mean “actual employment.”

GREYHOUND Any greyhound properly tattooed and registered with the registry recognized by the Commission.

GREYHOUND ADOPTION A process whereby an organization or person assumes the responsibility for a greyhound and, in so doing, permanently transfers all rights and responsibilities from the original owner or owners.

GREYHOUND DISPOSITION Greyhound Disposition shall mean any one of the following:

a. transfer to another jurisdiction; b. retirement for breeding or convalescence for rehabilitation;

c. adoption (including release to an animal rescue group or pet animal facility);

d. euthanasia;

e. sale or donation (for medical research or other purpose); or,

f. disposition of any other kind

GREYHOUND RESCUE – Refers to responsive operations for greyhounds that usually involve the saving of life, or prevention of injury during an incident or dangerous situation.

HORSE Means an equine and includes all equine animals, i.e. filly, mare, colt, horse, gelding, or ridgling.

HOST TRACK See C.R.S. 1260102 (12).

INSTATE HOST TRACK See C.R.S. 1260102(13) and (14).

6 OUTOFSTATE HOST TRACK See C.R.S. 1260102(18) and (19).

HOUSING KENNEL (Modified Effective date May 15, 2015) For the purpose of interpreting and enforcing CRS 1260501(1)(b) which requires the Division to inspect all kennels in connection with race meet, a housing kennel shall be defined as those buildings and attached turnout pens where one or more greyhounds are kept and exercised. Additionally, where a housing kennel shares a com mon kitchen, storage or other area with a building housing animals only the common area shall be included in such inspections. If a room or area exists where food for the greyhound is prepared sepa rate from the housing kennel, then that area shall be subject to these inspections.

HOUSING STABLE For the purpose of interpreting and enforcing CRS 1260501(1)(b) which requires the Division to inspect all stables in connection with a race meet, a housing stable shall be defined as those buildings or other areas located on the racetrack property, where one or more horses registered to race at the current Colorado race meet, including pony horses, are kept and exercised, including those buildings or other areas that may temporarily house haulin horses.

HUB OR HUB SYSTEM An instate or outofstate host association, or simulcast facility which receives and/or transmits wagering information and/or calculates the wagering pools on instate and/or outofstate races to instate and/or outofstate simulcast facilities.

HUMANE MANNER Humane Manner shall mean, by means of euthanasia by lethal injection, or by such other standard of humane killing as may be established by the American Veterinary Medical Association

ILLEGAL ENTERPRISE The term “illegal enterprise” in 1260507(l)(h), C.R.S., means “a project or undertaking, or a company organized for business purposes, not authorized by Law, that is illicit, unlawful and contrary to the Law itself.”

INACTIVE PERSON – Inactive person is any person whose license has been suspended for more than 14 days; whose license has expired or been revoked; or whose license application has been denied.

INQUIRY An investigation by the Board of an occurrence(s) in a race prior to declaring the result of said race official.

7 INTERNET A computer network consisting of a worldwide network of computer networks that use the TCP/IP network protocols to facilitate data transmission and exchange.

JOCKEY A jockey is a race rider.

JUDGES The persons employed by the Division and the judge employed by the Association and approved by the Commission for a race meet, collectively to be known as the Board of Judges.

KENNEL (Modified Effective date May 15, 2015) For the purpose of interpreting and enforcing CRS 1260501(1)(b) which requires the division to inspect all kennels in connection with race meet, a housing kennel shall be defined as those buildings and attached turnout pens where one or more greyhounds are kept or exercised.

KENNEL COMPOUND A kennel compound comprises the secure and restricted facilities provided by the association for the housing of racing kennels participating in the live racing meet.

KENNEL OPERATOR a kennel operator is a duly licensed owner of a racing kennel who holds the contract with a racing association to race his/her greyhounds, as well as those leased from other properly licensed owners, during a race meet.

LAW or LAWS The law or laws shall mean the Colorado Revised Statutes and includes any interpretation, construction or application by Courts of competent jurisdiction.

LEADOUT An attendant who handles the greyhounds in the paddock and on the race course. Also may be referred to as “grooms.”

LEASE AGREEMENT – (Modified Effective date May 15, 2015) An agreement between a lessee and lessor to lease an animal.

8 LESSEE A lessee is a person who holds a contract (lease) for the racing of an animal in the lessee’s name.

LESSOR A lessor is a registered owner of an animal who enters into a contract with another for the racing of an animal.

LICENSEE See C.R.S. 1260102(17).

LOCKOUT KENNEL (Deleted Effective date May 15, 2015)

LURE (Deleted Effective date May 15, 2015)

MAIDEN (HORSE) A maiden is a horse which has never won a race on the flat in a state or country where the races are covered by the Daily Racing Form or a similar publication approved by the stewards. A maiden which has been disqualified after finishing first is still a maiden. Conditions referring to maidens apply to the status at the time of starting.

MAIDEN (GREYHOUND) (Deleted Effective date May 15, 2015)

MANUAL MERGE The process used in the event of a totalisators systems or communication failure by which the simulcast facility’s mutual manager transmits to the host track wagering information and information regarding the process by which the host track includes the simulcast facility’s wagers in the common pool for that race via facsimile machine. In the event of a facsimile machine malfunction, etc., the tote operator shall request permission from the Division Representative to use a voice communication with a subsequent facsimile verification.

MEDICATION A medication is a substance, compound, element or combination thereof which is or can be administered to a human, greyhound, horse or other animal for the purpose of preventing, curing or alleviating the effects of any disease, condition, ailment, infirmity or symptom thereof. The term medication shall include but not be limited to all narcotics, stimulants, depressants, analgesics and anesthetics.

MINUS POOL A minus pool occurs when the total amount of money to be returned to the public exceeds what is in the net pool due to the commissions deducted and the requirement that no winning parimutuel tickets shall be paid at less than $1.10 for $1.00 wagered.

MISREPRESENTATION (Modified Effective date May 15, 2014) The term “misrepresentation” in 1260507(1)(d), C.R.S., which prohibits “fraud, willful misrepresentation, or deceit in racing” prohibits the making of any substantial or willful misrepresentation concerning any aspect of the racing industry including but not limited to making any substantial or willful misrepresentation to a racing official concerning a racing matter. The term “misrepresentation” may include acts of omission as well as acts of commission

9 and may include, unless otherwise stated, behavior which is negligent, reckless or done knowingly. It also includes the giving of false statements and fraudulent documents to Division officials regarding any racing matter.

MONTH A month is a calendar month.

MUTUEL DEPARTMENT The entire system and associated areas of a licensed racetrack or approved simulcast wagering facility where wagers are placed and winning tickets are cashed. For the purpose of compliance with these rules, the mutuel department is deemed to include all employees, including the totalisator company and its employees and agents, involved with the operation of parimutuel machines and equipment, of all money rooms, accounting rooms, and sellers’ and cashiers’ windows.

MUTUEL MANAGER A licensed employee of the association, approved by the Commission, who manages the mutuel department at a licensed racetrack or an approved simulcast facility for the association.

NARCOTIC See STIMULANT

NSAID STACKING a medication violation which occurs when a postrace sample is found to contain the presence of multiple NonSteroidal AntiInflammatory Drugs in violation of the restrictions noted CRCR 5.312.

NOMINATION A nomination is the initial naming of an animal for a stakes race.

NOMINATOR A nominator is a person in whose name an animal is nominated.

OBJECTION An Objection is a formal complaint filed with the Board by a jockey and/or an owner or a trainer of an animal in a race objecting to an occurrence in the race or the Board’s decision pertaining to the race.

OFFICIAL WORKOUT A workout of a horse on the association’s racing strip with the official clocker in attendance and in accordance with these Rules. The galloping of horses or ponying of horses for exercise shall not be considered as an official workout.

OFFTRACK STABLING LOCATION Any location designated by the Division for the purpose of stabling horses registered with the Racing Secretary and intended to be raced at a racetrack under the jurisdiction of the Commission. The grounds of organization licensees in Colorado and recognized race meets in other jurisdictions shall not be considered offtrack stabling locations.

10 OVERPAYMENT An overpayment occurs when the payoff to the public is more than is actually due as a result of errors in calculating pools and/or error occurring in the communication of payoffs.

OWNER (Modified Effective date May 15, 2014) An owner is a person in whose name an animal is registered with the official registry designated by the Commission. In the case of a leased animal, both the lessor and the lessee shall be considered as the owners, for the purpose of licensure, and both shall be licensed under these rules. In addition, an owner who is licensed and has fulfilled the requirement of a trainer, can condition animals for racing. But owners, without trainers licenses shall not be the primary person who conditions the animals for racing.

PARIMUTUEL HANDLE The total amount wagered for a pool, race or an entire performance.

PARIMUTUEL WAGERING See C.R.S. 1260102(20.5).

PENALTY A penalty shall be according to the requirement of the text:

(1) Action taken against a licensee or animal by a racing official, Division or the Commission. (2) The excess weight a horse must carry in a race because of the race conditions.

PERFORMANCE A licensed or authorized schedule of races conducted on any live and/or simulcast racing day.

PERSON See C.R.S. 1260102(21).

PLACE Place shall mean a runner(s) to finish either first or second.

PLACE POOL The total amount of money wagered on all runners to finish either first or second.

POLICY A Commission statement or order regarding racing or wagering related activities throughout the state which pertain to licensees and patrons, violation of which may result in disciplinary action.

POOLSELLING The term “poolselling” in 1260507(l)(h), C.R.S., is interpreted by the Commission to mean “a form of gambling that is not authorized by Law in which chances are sold to individuals who may win a part or all of the pool depending on the outcome of the event for which the pool is made.”

POST POSITION The post position is the position assigned to an animal for the start of a race.

11 POST TIME Post time means the time set for the arrival of the animals at the starting point of a race.

PREPONDERANCE OF EVIDENCE Greater weight of evidence, or evidence which is more credible.

PROCEDURE A Commission statement or order regarding the set process to be followed in racing or wagering related activities throughout the state which pertain to licensees and patrons.

PROGRAM A program is a printed daily schedule of races conducted at a live race meet or simulcast race meet.

PROTEST (Modified Effective date May 15, 2015) A protest is a written complaint filed with the Board at least one hour prior to the running of the first race of the day which protests the participation of a, horse or jockey in a race.

QUINIELA Requires the selection of the first two finishers, in any order, in a single race.

QUINIELA DOUBLE Requires the selection of the first two finishers, in any order, in each of two consecutive specified races.

RACE (HORSE) A race is a contest among horses for a purse, stake or reward contested at a meet. “Race” includes, but is not limited to:

ALLOWANCE An allowance race is a race where there are both weight allowances and penalties, according to the race conditions, for money or races won.

CLAIMING A claiming race is a race using monetary value of the horses as the criteria for equalizing the competition.

DERBY A derby race is a race exclusively for threeyear olds.

FUTURITY A futurity race is a race exclusively for two year olds in which nominations are made in advance of the scheduled race.

HANDICAP A handicap race is a race in which the weights to be carried by the horses are determined by a handicapper for the purpose of equalizing the competition.

FREE HANDICAP A free handicap race is a race in which no liability for entrance money is incurred.

12 INVITATIONAL HANDICAP An invitational handicap race is a handicap race in which the racing secretary or handicapper has selected the contestants and assigned the weights.

MAIDEN A maiden race is a race for horses which have never won a race.

MATCH A match race is a private stakes race between horses which are the property of separate ownership interests.

MATURITY A maturity race is a stakes race for four year old horses and older.

OPTION CLAIMING An option claiming race is a race wherein horses are made eligible by previously starting for a certain claiming price and may or may not be eligible to be claimed.

OVERNIGHT An overnight race is a race for which entries close ninetysix (96) hours, or less, before the scheduled time for the first race of the day on which the race is to be run.

PURSE A purse race is a race for money or any other prize which the owners of the horses engaged to race do not contribute.

SPLIT A split race is a race in which there are so many entries that it is divided into more than one division.

STAKES A stakes race is a race in which nominators of the engaged horses contribute to a purse.

STARTER ALLOWANCE A starter allowance race is a race based upon a horse having previously started for a specified claiming race.

SUBSTITUTE A substitute race is a race which may replace a race already carded but abandoned because of insufficient entries or too many scratches.

WALKOVER A walkover race occurs when only one horse remains eligible for a race.

WEIGHT FOR AGE A weight for age race is a race wherein the weights are assigned to horses according to their age.

RACE REVIEW COMMITTEE – (Modified Effective date May 15, 2015) “Race Review Committee” shall mean a committee composed of the following members: the general manager of the association with the current race meet or his/her designee, the Division racing coordinator or his/her designee and the executive director of the horsemen or his/her designee that has a contract with the association for the current race meet.

13 RACETRACK PREMISES For the purposes of these rules, the premises of a racetrack shall be considered the entire area including but not limited to simulcast facilities, parking lots, out buildings, stable areas or kennel compounds and training facilities located on the racetrack premises or used by a licensed association to conduct a live and/or simulcast race meet in Colorado.

RACING ANIMAL For the purpose of interpreting and enforcing C.R.S. 1260507(1)(o) only which prohibits cruelty to or neglect of a racing animal, a racing animal shall be interpreted to mean any greyhound or horse who has a tattoo number identifying it with the registry recognized by the Commission or is stabled on the premises of a licensed association regardless of whether the greyhound or horse is actively racing, breeding, in training or retired. For the purpose of interpreting and enforcing Commission rules and Colorado statutes other than C.R.S. 1260507(1)(o), a racing animal shall be interpreted to mean any animal registered to race or intended to be registered to race with an association in conjunction with a race meet.

RACING CLUB “Racing Club”: Members of a group who form a partnership for a limited time, for one season claiming horses so they can understand the economics and strategy of ownership. Racing clubs have their own requirements for licensure based on level of participation by its owners.

RACING KENNEL (Deleted Effective date May 15, 2015)

RACING LAW Consolidated laws of the State of Colorado pertaining to Racing, and Pari Mutuel Wagering.

RACING OFFICIAL (GREYHOUND) (Deleted Effective date May 15, 2015)

RACING OFFICIAL (HORSE) Stewards; placing judge(s); patrol judge(s); paddock judge; identifier; racing secretary; starter; clerk of scales; clocker; jockey room custodian; outrider; stable area superintendent; track superintendent; association Veterinarian, horsemen’s bookkeeper; timer, mutuel manager, director of racing, general manager, director of security, Division employees and such other positions as determined by the Commission at the time of approval of each respective race meet application.

RACING STRIP The racing surface upon which an animal competes in an official race that is between the inside and outside rail including the chutes. RANDOM TESTING (HUMAN) A method or procedure established by the Division and ap proved by the Commission whereby the selection of individuals to be tested for drug and/or alcohol use is accomplished by chance or by lot, so that the actual identity of the persons tested is not the re

14 sult of the exercise of discretion by the Division or the associations. A method of selection shall not be considered other than “random” under this rule because it uses or names predetermined groups of licensees from which to randomly select a given individual or individuals to be tested.

REASONABLE CAUSE/REASONABLE SUSPICION TESTING (HUMAN) A strategy for testing for alcohol or controlled substances based on an official’s having good reason to believe that a licensee has alcohol or controlled substances in his/her system.

REPORT A summary of wagering activity or other record prepared, pursuant to this subchapter.

RESTRICTED AREA Shall include, but not be limited to, the following: paddock, track area, totalisator room, mutuels area, money room, kennel compound, judges’/stewards’ stand and roof, stable area, jockeys’ room, and test barn.

REVOKED Revoked is the withdrawal of a privilege or all privileges granted by any Commission through the issuance of a license and results in the cancellation of the license.

RIDING GEAR “Riding Gear” shall mean all of the following items: clothing, boots, saddle and attachments. “Riding Gear” does not include any of the following items: Equipment worn on the horse’s head, tail, or legs; a channel, breastplate, or running martingale; or any foul weather gear, which is any additional riding apparel that a jockey chooses to wear due to inclement weather.

RULE OFF A rule off is the act of barring from a racetrack and denying all racing privileges to any animal.

RULES AND REGULATIONS The rules are the rules and regulations contained herein and any amendments or additions set forth by the Commission.

RUNNER (Modified Effective date May 15, 2015)A horse entered into a race. Each runner shall be designated by a number.

SCRATCH A scratch is the act of withdrawing an entered animal from a race after the drawing for post positions.

SCRATCH TIME The scratch time is the time set by the association after which no animals may be declared or scratched unless done so by the Board or Division Veterinarians or as otherwise provided for by these Rules.

15 SELECT (n) POOL Requires the selection of the first place finisher in each of four or more consecutive specified races (n), designated by the association with prior approval of the Commission or Director.

SELECT THREE Requires the selection of the first place finisher in each of three consecutive specified races designated by the association with the prior approval of the Commission or Director.

SET WEIGHT (Deleted Effective date May 15, 2015)

SHOW Show shall mean a runner(s) to finish first, second or third.

SHOW POOL The total amount of money wagered on all runners to finish first, second or third.

SIMULCAST RACE MEET The entire consecutive period for which approval is granted by the Commission to receive and/or transmit a live broadcast at a location within Colorado using the parimutuel system of wagering.

SOURCE MARKET FEE A licensing fee assessed by the Director, pursuant to Section 1260 202(3)(h), C.R.S., in lieu of taxes and fees otherwise payable by persons outside of Colorado, who conduct parimutuel wagering on simulcast races and who accept wagers from Colorado residents at outofstate simulcast facilities.

STARTER (HORSE) A horse is a starter when the stall doors of the starting gate open in front of it at the time the starter dispatches the horses.

STARTER (GREYHOUND) (Deleted Effective date May 15, 2015)

STATE The State shall mean the State of Colorado.

STEWARDS The persons employed by the Division and the Steward employed by the Association and approved by the Commission for a meet, collectively to be known as the Board of Stewards.

STIMULANT, DEPRESSANT, ANALGESIC, ANESTHETIC, NARCOTIC Stimulant, depressant, analgesic, anesthetic and/or narcotic shall mean a substance used by the medical or veterinary professions to produce stimulating, depressing, analgesic, anesthetizing or narcotizing effects, or which is defined as a stimulant, depressant, analgesic, anesthetic or narcotic in an accepted scientific publication.

16 STORED VALUE INSTRUMENT Funds or monetary value represented in digital electronic format and stored, or capable of storage, on electronic media, in such a way as to be retrievable and transferable electronically.

SUBSCRIPTION A subscription is the nominating of an animal to a stakes race.

SUPERFECTA Requires the selection of the first four finishers, in their exact order, for a single race.

SUSPENDED The withdrawal of a privilege or all privileges granted by any Commission, racing jurisdiction, or other body empowered to regulate any aspect of racing in a jurisdiction through the issuance of a license or registration for a set period of time.

TIME OF RACE The time recorded for the first animal to cross the finish line shall be the official time of the race except as provided for in these rules.

TOTALISATOR OR TOTALISATOR SYSTEM A system or electronic device which accepts and cashes wagers, calculates the odds and prices of such wagers, and records, displays, and stores parimutuel wagering information.

TOTALISATOR COMPANY A company manufacturing, selling, leasing, servicing, maintaining or operating automated electronic computer hardware and software necessary to calculate, record, display, and store parimutuel wagering information.

TOTALISATOR STANDARDS The standards approved by the Commission and implemented by the Division setting forth the internal control standards, policies, and procedures governing the qualification and operations of the totalisator system. An official copy is kept in the Division’s main office and is available for inspection during normal business hours.

TOTE BOARD The board or video monitor used to display to the public the approximate odds and payoffs on runners, and other pertinent wagering information.

TOUTING The term “touting” in 1260507(l)(h), C.R.S., means “soliciting or providing betting tips on animals for a profit in races under the jurisdiction of the Commission, except that this will not apply to authorized tip sheets specified in the rules of racing.”

TRACTION DEVICE Is any modification or isolated device that extends below the ground bearing plane of the horseshoe (e.g. traction nails, toe grabs, turndowns, blocked heels, jar calks, stickers and Memphis bars) or restricts the natural forward slide of the hoof upon impact.

17 TRAINING TRACK A training track is a public facility approved, inspected and licensed by the Commission which is used for the training of greyhounds or horses.

TRAINER A trainer is a person licensed to condition animals for racing.

TRIFECTA Requires the selection of the first three finishers, in their exact order, in a single race.

TRISUPERFECTA Requires the selection of the first three finishers, in exact order, in the first of two designated and Commission approved races; and the first four finishers in exact order in the second of the two designated races. Each winning ticket for the first trisuperfecta race must be exchanged for a free ticket in the second trisuperfecta race to participate in the secondhalf of the trisuperfecta.

TWIN QUINIELA Requires the selection of the first two finishers, in any order, in each of two designated and Commission approved races. Each winning ticket for the first twin quiniela race must be exchanged for a free ticket in the second twin quiniela race to participate in the second half of the twin quiniela.

TWIN SUPERFECTA Requires the selection of the first four finishers, in exact order, in each of two designated and Commission approved races. Each winning ticket for the first twin superfecta race must be exchanged for a free ticket in the second twin superfecta to participate in the secondhalf of the twin superfecta.

TWIN TRIFECTA Requires the selection of the first three finishers, in exact order, in each of two designated and Commission approved races. Each winning ticket for the first twin trifecta race must be exchanged for a free ticket in the secondhalf of the twin trifecta.

UNDERPAYMENT An underpayment occurs when less money is returned to the public than is actually due, as the result of an error in calculating pools and/or errors in the communication of payoffs.

UNJUSTIFIABLY The term “unjustifiably” as used in 1260507(1)(s), C.R.S. shall include behavior which is negligent, reckless or knowing.

VOUCHER A computerized ticket acknowledging that a specified dollar amount has been deposited with the association by a patron. A voucher is the same as cash and is not part of any parimutuel pool.

WEIGHTIN (Deleted Effective date May 15, 2015)

WEIGHT LOSER (Deleted Effective date May 15, 2015)

18 WEIGHTOUT (Deleted Effective date May 15, 2015)

WHELPED (Deleted Effective date May 15, 2015)

WIN Win shall mean a runner(s) to finish first.

WIN POOL The total amount of money wagered on all runners to finish first.

WORKOUT, OFFICIAL See OFFICIAL WORKOUT

YEAR A year is a calendar year.

19 Chapter 2 – Rules of the Race Greyhound

Deletion / Amendment of Greyhound References

2.100 (Deleted Effective date May 15, 2015)

2.102 (Deleted Effective date May 15, 2015)

2.104 (Deleted Effective date May 15, 2015)

2.106 (Deleted Effective date May 15, 2015)

2.108 (Deleted Effective date May 15, 2015)

2.110 (Deleted Effective date May 15, 2015)

2.112 (Deleted Effective date May 15, 2015)

2.120 (Deleted Effective date May 15, 2015)

2.122 (Deleted Effective date May 15, 2015)

2.124 (Deleted Effective date May 15, 2015)

2.132 (Deleted Effective date May 15, 2015)

2.136 (Deleted Effective date May 15, 2015)

2.140 (Deleted Effective date May 15, 2015)

2.142 (Deleted Effective date May 15, 2015)

2.144 (Deleted Effective date May 15, 2015)

2.146 (Deleted Effective date May 15, 2015)

2.148 (Deleted Effective date May 15, 2015)

2.150 (Deleted Effective date May 15, 2015)

2.152 (Deleted Effective date May 15, 2015)

2.154 (Deleted Effective date May 15, 2015)

2.160 (Deleted Effective date May 15, 2015)

20 2.162 (Deleted Effective date May 15, 2015)

2.164 (Deleted Effective date May 15, 2015)

2.166 (Deleted Effective date May 15, 2015)

2.200 (Deleted Effective date May 15, 2015)

2.201 – (Deleted Effective date May 15, 2015

2.202 (Deleted Effective date May 15, 2015)

2.204 (Deleted Effective date May 15, 2015)

2.206 (Deleted Effective date May 15, 2015)

2.208 (Deleted Effective date May 15, 2015)

2.210 (Deleted Effective date May 15, 2015)

2.212 (Deleted Effective date May 15, 2015)

2.214 (Deleted Effective date May 15, 2015)

2.215 (Deleted Effective date May 15, 2015)

2.216 (Deleted Effective date May 15, 2015):

2.218 (Deleted Effective date May 15, 2015)

2.220 (Deleted Effective date May 15, 2015)

2.222 (Deleted Effective date May 15, 2015)

2.224 (Deleted Effective date May 15, 2015)

2.226 (Deleted Effective date May 15, 2015)

2.228 (Deleted Effective date May 15, 2015)

2.230 (Deleted Effective date May 15, 2015)

2.232 (Deleted Effective date May 15, 2015)

2.234 (Deleted Effective date May 15, 2015)

2.236 (Deleted Effective date May 15, 2015)

21 2.238 (Deleted Effective date May 15, 2015)

2.240 (Deleted Effective date May 15, 2015)

2.242 (Deleted Effective date May 15, 2015)

2.244 (Deleted Effective date May 15, 2015)

2.246 (Deleted Effective date May 15, 2015)

2.248 (Deleted Effective date May 15, 2015)

2.250 (Deleted Effective date May 15, 2015)

2.252 (Deleted Effective date May 15, 2015)

2.254 (Deleted Effective date May 15, 2015)

2.256 (Deleted Effective date May 15, 2015)

2.258 (Deleted Effective date May 15, 2015)

2.260 (Deleted Effective date May 15, 2015)

2.261 (Deleted Effective date May 15, 2015)

300’s DECLARATIONS AND SCRATCHES (Deleted Effective date May 15, 2015)

2.300 (Deleted Effective date May 15, 2015)

2.302 (Deleted Effective date May 15, 2015)

2.304 (Deleted Effective date May 15, 2015)

2.306 (Deleted Effective date May 15, 2015)

2.308 (Deleted Effective date May 15, 2015)

2.310 (Deleted Effective date May 15, 2015)

2.312 (Deleted Effective date May 15, 2015)

2.314 (Deleted Effective date May 15, 2015)

2.316 (Deleted Effective date May 15, 2015)

400’s WEIGHTS AND WEIGHING (Deleted Effective date May 15, 2015)

22 2.402 (Deleted Effective date May 15, 2015)

2.404 (Deleted Effective date May 15, 2015)

2.406 (Deleted Effective date May 15, 2015)

2.408 (Deleted Effective date May 15, 2015)

2.410 (Deleted Effective date May 15, 2015)

2.412 (Deleted Effective date May 15, 2015)

2.414 (Deleted Effective date May 15, 2015)

2.416 (Deleted Effective date May 15, 2015)

2.418 (Deleted Effective date May 15, 2015)

2.422 (Deleted Effective date May 15, 2015)

2.424 (Deleted Effective date May 15, 2015)

500’s RUNNING OF THE RACE (Deleted Effective date May 15, 2015)

2.500 (Deleted Effective date May 15, 2015)

2.502 (Deleted Effective date May 15, 2015)

2.504 (Deleted Effective date May 15, 2015)

2.506 (Deleted Effective date May 15, 2015)

2.508 (Deleted Effective date May 15, 2015)

2.510 (Deleted Effective date May 15, 2015)

2.512 (Deleted Effective date May 15, 2015)

2.514 (Deleted Effective date May 15, 2015)

2.516 (Deleted Effective date May 15, 2015)

2.518 (Deleted Effective date May 15, 2015)

2.520 (Deleted Effective date May 15, 2015)

2.522 (Deleted Effective date May 15, 2015)

23 2.524 (Deleted Effective date May 15, 2015)

2.526 (Deleted Effective date May 15, 2015)

2.528 (Deleted Effective date May 15, 2015)

2.530 (Deleted Effective date May 15, 2015)

2.532 (Deleted Effective date May 15, 2015)

2.534 (Deleted Effective date May 15, 2015)

2.536 (Deleted Effective date May 15, 2015)

2.538 (Deleted Effective date May 15, 2015)

600’s GREYHOUND DISPOSITION RULES (Deleted Effective date May 15, 2015)

2.600 (Deleted Effective date May 15, 2015)

2.602 (Deleted Effective date May 15, 2015)

2.604 (Deleted Effective date May 15, 2015)

2.606 (Deleted Effective date May 15, 2015)

2.608 (Deleted Effective date May 15, 2015)

2.610 (Deleted Effective date May 15, 2015)

2.612 (Deleted Effective date May 15, 2015)

2.614 (Deleted Effective date May 15, 2015)

2.616 (Deleted Effective date May 15, 2015)

2.618 (Deleted Effective date May 15, 2015)

2.620 (Deleted Effective date May 15, 2015)

2.622 (Deleted Effective date May 15, 2015)

2.624 (Deleted Effective date May 15, 2015)

2.626 (Deleted Effective date May 15, 2015)

2.628 (Deleted Effective date May 15, 2015)

24 2.630 (Deleted Effective date May 15, 2015)

3.208 – (Modified Effective date May 15, 2015) Any applicant for a license may be required to establish age by the presentation of a certified birth certificate. The applicant shall also be required to establish proof of lawful presence.

3.418 (Modified Effective date May 15, 2015) All licensed persons desiring to be in a restricted area of any racetrack or simulcast facility shall be required to hold and properly display a current validated license badge issued by the Division at all times while the licensee is in a restricted area. To obtain a license a person may be photographed and fingerprinted. Failure of a licensee to properly display such a license badge may constitute grounds for discipline.

Proper display of the license badge depends on the restricted area: (1) on private, public, or Association Kennel Compounds and stable areas, proper display of a license badge shall mean the badge shall be readily available and displayed upon demand by any Division representative or association official; and (2) in all other restricted areas, proper display of a license badge shall consist of wearing the badge at or above the waist, with the photo of the licensee readily visible to any observer.

3.438 (Modified Effective date May 15, 2015) It is considered contrary to these Rules for any licensed owner, trainer or assistant trainer to utilize any training track or facilities, unless the training track or facilities have been licensed and approved by the Commission. The training track or facilities will be inspected periodically by Division representatives for the purpose of observing the training and practices used. If it is determined that practices and methods used at training tracks are contrary to good training practices in conformity with requirements as set forth from time to time by the Commission, the Commission may disallow the use of the facilities by licensed owners, trainers, or assistant trainers.

3.638 (Deleted date May 15, 2015)

3.640 (Deleted date May 15, 2015)

25 3.652 (Modified Effective date May 15, 2015) When each day’s races are drawn, jockeys or their agents are required to be at the draw to determine first and second calls in each race.

3.712 (Modified Effective date May 15, 2015) All partnerships must be registered with the Division and the name and address of every person having any interest in a horse, the relative proportions of their interest and the terms of any sales with contingencies or arrangements must be signed by all parties or by their authorized agent and be filed with the racing secretary, a copy of which shall be transmitted immediately before the opening of a meet to the Division office. In case of emergency, authority to sign declarations of partnership may be given to the racing secretary by telephone promptly confirmed in writing.

3.714 (Modified Effective date May 15, 2015) An owner wishing to race under a stable name may do so by registering such name with the Division.

3.718 (Modified Effective date May 15, 2015) In applying to race under a stable name, the applicant must disclose the identity or identities behind a stable name.

3.808 (Modified Effective date May 15, 2015) Kennel operations at which racing greyhounds are bred, housed, or must be licensed and approved by the Division, unless otherwise licensed by the Colorado Department of Agriculture. Kennels license by the Division shall be subject to inspection.

CHAPTER 4

OFFICIALS HORSES

100’s GENERAL PROVISIONS

300’s FINANCIAL REQUIREMENTS (HORSE) (Modified Effective date May 15, 2015)

4.238 (Modified Effective date May 15, 2015) In determining the places of the horses at the finish of the race, the board shall consider only the relative position of the respective noses of the horses.

26 4.242 (Modified Effective date May 15, 2015) A race shall not be declared official until: In horse racing, the stewards have determined the complete order of finish.

Rule – TITLE ANNOUNCER

300’s ANNOUNCER HORSE

Rule – 400’s and 500’s

(Deleted Effective date May 15, 2015)

4.495 (Modified Effective date May 15, 2015) The Racing Secretary shall use his/her best efforts to ensure that each registration paper received carries a current vaccination certificate verified by a Division Veterinarian, and if leased, a lease agreement.

5.202 (Deleted Effective date May 15, 2015)

5.204 (Modified Effective date May 15, 2015) The Division Veterinarian shall cooperate with other State and Federal Agency Veterinarian s to insure compliance at the horse racetrack with health certificate and vaccination requirements.

5.206 (Modified Effective date May 15, 2015) When a live horse race meet is in progress, the Division Veterinarian may post in a conspicuous place rules guaranteeing approved, systematic and effective insect control against flies, mosquitoes, ticks, fleas and other insects.

5.210 (Modified Effective date May 15, 2015) Paddocks, starting gates, and other facilities and equipment at a horse racetrack which is subject to contact by animals must be kept in a clean condition and free of dangerous surfaces by the association.

5.212 (Modified Effective date May 15, 2015) Sanitary equipment at a horse racetrack must be used for collecting samples.

27 5.215 (Deleted Effective date May 15, 2015)

5.240 (Modified Effective date May 15, 2015) An animal that dies or has been euthanized shall not be removed from the track premises without the permission of the Veterinarian representing the Division of Racing Events. The Veterinarian representing the Division of Racing Events must be notified by the practicing Veterinarian in a timely manner. In the event a practicing Veterinarian is not in attendance, the trainer or his/her authorized representative shall report the death of the animal to the Veterinarian representing the Division of Racing Events within twentyfour (24) hours of the death of the animal.

5.244 (Modified Effective date May 15, 2015) Any horse entered for racing must be present on the grounds at least forty eight (48) hours prior to the scheduled post time of the first race in which the horse is entered on any given calendar day.

5.248 – (Modified Effective date May 15, 2015) No person other than a Veterinarian licensed to practice veterinary medicine in this jurisdiction and licensed by the Commission may administer a prescription or controlled medication, drug, chemical or other substance (including any medication, drug, chemical or other substance by injection, or another method) to a horse at any location under the jurisdiction of the Commission. NonVeterinarians found in possession or control of any syringe, tubing, or other apparatus that may be used to deliver unauthorized treatments to a horse may be subject to Summary Suspension and other administrative action.

5.252 – (Modified Effective date May 15, 2015) The timeframe when authorized medication treatments for a horse shall be given are as follows: (1) Prevention of exercise induced pulmonary hemorrhage (EIPH) by the administration of furosemide no less than 4 hours prior to post time in the race they are entered, and (2) The use of NSAIDS as stated in Rule # 5.312 no less than twentyfour (24) hours prior to the scheduled post time of the first race in which the horse is entered on any given calendar day.

5.300 – (Modified Effective date May 15, 2015) The following outline describes the types of substances placed in each category. This list shall be publicly posted in the offices of the Division Veterinarian and the racing secretary.

1: Class 1

Opiates, opium derivatives, synthetic opioids, psychoactive drugs, amphetamines, All United States Drug Enforcement Agency (DEA) Schedule I Drugs, and many Schedule II drugs. Also found in this Class are drugs that are potent stimulants of the central nervous system. Drugs in this Class have no generally accepted medical use in the racing horse and their pharmacological potential for altering the performance of a racing horse is very high.

2: Class 2

Drugs placed in this category have a high potential for affecting the outcome of a race. Most are not generally accepted as therapeutic agents in the racing horse. Many are products intended to alter consciousness or the psychic state of humans, and have no approved or indicated use in the horse.

28 Some, such as injectable local anesthetics, have legitimate use in equine medicine, but should not be found in a racing horse. The following groups of drugs are in this class: (A) Opiate partial agonists, or agonistantagonists;

(B) Nonopiate psychotropic drugs. These drugs may have stimulant, depressant, analgesic or neuroleptic effects;

(D) Drugs with prominent CNS depressant action;

(E) Antidepressant and antipsychotic drugs, with or without prominent CNS stimulatory or depressant effects;

(F) Muscle blocking drugs which have a direct neuromuscular blocking action;

(G) Local anesthetics that have a reasonable potential for use as nerve blocking agents (except Procaine); and

(H) Snake venoms and other biologic substances, which may be used as nerve blocking agents.

3: Class 3

Drugs placed in this Class may or may not have an accepted therapeutic use in the horse. Many are drugs that affect the cardiovascular, pulmonary and autonomic nervous systems. They all have the potential of affecting the performance of a racing horse. The following groups of drugs are in this Class:

(A) Drugs affecting the autonomic nervous system that do not have prominent CNS effects, but which do have prominent cardiovascular or respiratory system effects (Bronchodilators are included in this Class);

(B) A local anesthetic that has nerve blocking potential but also has a high potential for producing urine residue levels from a method of use not related to the anesthetic effect of the drug (Procaine);

(D) Primary vasodilating/hypotensive agents;

(E) Potent diuretics affecting renal function and body fluid composition; and

(F) Anabolic and/or androgenic steroids.

29 4: Class 4

This category is comprised primarily of therapeutic medications routinely used in racing horse. These may influence performance, but generally have a more limited ability to do so. Groups of drugs assigned to this category include the following:

(A) Nonopiate drugs that have a mild central analgesic effect;

(B) Drugs affecting the autonomic nervous system that do not have prominent CNS, cardiovascular or respiratory effects;

(I) Drugs used solely as topical vasoconstrictors or decongestants

(II) Drugs used as gastrointestinal antispasmodics

(III) Drugs used to void the urinary bladder

(IV) Drugs with a major effect on CNS vasculature or smooth muscle of visceral organs.

(V) Antihistamines which do not have a significant CNS depressant

effect (This does not include H1 blocking agents, which are listed in Class 5);

(C) Antihistamines that do not have a significant CNS depressant effect. This does not include H2 blocking agents, which are Class 5.

(D) Mineralocorticoid drugs;

(E) Skeletal muscle relaxants;

(F) Antiinflammatory drugs – These drugs may reduce pain as a consequence of their anti inflammatory action:

(I) Nonsteroidal antiinflammatory drugs (NSAIDS);

(II) Corticosteroids (Glucocorticoids); and

(III) Miscellaneous antiinflammatory agents.

(G) Less potent diuretics;

(H) Cardiac glycosides and antiarrhythmic agents including:

(I) Cardiac glycosides;

(II) Antiarrhythmic agents (exclusive of Lidocaine, Bretylium and

30 Propranolol); and

(III) Miscellaneous cardiotonic drugs.

(I) Topical anesthetics—Agents not available in injectable formulations;

(J) Antidiarrheal drugs;

(K) Miscellaneous drugs including:

(I) Expectorants with little or no other pharmacologic action;

(II) Stomachics; and

(III) Mucolytic agents.

5: Class 5

Drugs in this category are therapeutic medications for which concentration limits have been established by the racing jurisdiction as well as certain miscellaneous agents. Included specifically are agents that have very localized actions only, such as antiulcer drugs and certain antiallergenic drugs. The anticoagulant drugs are also included.

31 5.308 (Modified Effective date May 15, 2015) The following are considered prohibited practices: (4) The use of extracorporeal shock wave therapy or radial pulse wave therapy shall not be permitted. (A) Any person participating in the use of extracorporeal shock wave therapy and/or the possession of extracorporeal shock wave therapy machines in violation of this rule shall be considered to have committed a prohibited practice and is subject to disciplinary action. (B) Extracorporeal shock wave therapy is considered a prohibited practice, and thus shall be a “Class A penalty” violation as referred to on the penalty category chart under CRCR 5.441.

5.312 (Modified Effective date May 15, 2015)

Non-Steroidal Anti-Inflammatory Drugs (NSAIDs)

(a) NSAIDs listed below may only be used in a manner consistent with the restrictions herein.

(b) NSAIDs listed below shall not to be present in a racing horse biological sample at the laboratory concentration of detection. (c) The presence of more than one NSAID shall constitute a NSAID stacking violation as follows:

A. Class 1 NSAID Stacking Violation (Penalty Class B) occurs when:

I. Two nonsteroidal antiinflammatory drugs are both found at individual levels determined to exceed the following restrictions: a. Flunixin – 20 nanograms per milliliter of plasma or serum; b. Ketoprofen – 2 nanograms per milliliter of plasma or serum; c. Phenylbutazone – 2 micrograms per milliliter of plasma or serum; or d. any other nonsteroidal antiinflammatory drugs – detected at any concentration.

II. Three or more nonsteroidal antiinflammatory drugs are all found at individual levels determined to exceed the following restrictions:

a. Flunixin – 3 nanograms per milliliter of plasma or serum; b. Ketoprofen – 1 nanograms per milliliter of plasma or serum; c. Phenylbutazone – 0.3 micrograms per milliliter of plasma or serum; or d. any other nonsteroidal antiinflammatory drugs – detected at any concentration.

32 B. A Class 2 NSAID Stacking Violation (Penalty Class C) occurs when:

I. Any one substance found in excess of the restrictions listed in subsection (A)(1) above in combination with any one of the following substances at levels below, but in excess of the following levels:

a. Flunixin – 3 nanograms per milliliter of plasma or serum; b.Ketoprofen – 1 nanogram per milliliter of plasma or serum; or c. Phenylbutazone – 0.3 micrograms per milliliter of plasma or serum.

C. A Class 3 NSAID Stacking Violation (Penalty Class C, fines only) occurs when:

i. Any combination of two of the following nonsteroidal antiinflammatory drugs are found in excess of:

(2) Any horse to which a NSAID has been administered shall be subject to having a blood and/or urine sample(s) taken at the direction of the official Veterinarian to determine the quantitative NSAID level(s) and/or the presence of other drugs which may be present in the blood or urine sample(s).

5.320 (Modified Effective date May 15, 2015) All practicing Veterinarian s at horse racetracks shall complete, sign, and deliver to the Veterinarian representing the Division of Racing Events at the time designated by the Division Veterinarian but by no later than 2:00 p.m. on a form provided by the Division indicating all furosemide treatments anticipated for the following day’s races. The Veterinarian, or other persons so designated by the Director, representing the Division of Racing Events shall ensure that enough furosemide and syringes are provided to or by the practicing Veterinarian. Additionally, the Division designee will schedule a Division representative that shall accompany each practicing Veterinarian, as required, while in the restricted barn area on race days. The syringe for the furosemide shall be prepared by the Division representative or by the practicing Veterinarian. All preparation and administration of any race day’s medication shall be in view of and witnessed by the Division representative. The syringes used in all administrations shall be returned to the test barn by the Division representative. In addition, the trainer or his authorized representative must be present when the furosemide is administered and sign the abovementioned form indicating they witnessed the furosemide injection. If the trainer or their authorized representative is not present and on time for the Lasix injection, the horse will not receive Lasix and may be scratched the same race week and placed on the stewards list. The race week ends Sunday after the last race. Once the dosage has been administered to a horse that is scheduled to race that day, the practicing Veterinarian shall leave the stall, and that stall shall be designated as containing an “in today" horse. The administering authority or association may

33 assess a fee on licensed owners of treated horses to recoup the reasonable cost of the furosemide injection in these rules.

34 5.356 (Modified Effective date May 15, 2015) Any person desiring to have drugs or medication anywhere where racing greyhounds are trained or kenneled, which may be used on greyhound or human, shall obtain written permission from the Division Veterinarian prior to bringing the substances onto the premises, and shall record the possession in writing with the Division Veterinarian. A kennel medication list must be posted on the premises, must bear the signature of the Division Veterinarian, and is to be renewed March 1 of each year. A new trainer must submit a new medication list within ten (10) days of assuming his duties or sign the list on file with the Division Veterinarian. Any medication possessed on the premises of a racetrack or wherever racing greyhounds are trained or kenneled for which written permission has not been obtained shall be deemed unauthorized.

5.358 (Modified Effective date May 15, 2015) A copy of the authorized drug and medication list will be posted in a conspicuous place in the kennel area where greyhounds are kenneled, so a Division representative may check the list when inspecting the kennel.

5.360 (Modified Effective date May 15, 2015) All medication and/or drugs retained in farms or kennels at which racing greyhounds are housed must be in containers that exhibit the correct manufacturer’s label or a pharmaceutical prescription label as indicated in rule #5.359. Certain treatments that are prepared in large quantities and transferred to smaller containers for easy application may be labeled by the trainer of record but only if the primary ingredients are on the medication list. Any medication and/or drugs stored or retained in a container other than that indicated by label shall be deemed unauthorized and subject to seizure regardless if such medication or drug is listed on the veterinarian medication list.

5.427 (Modified Effective date May 15, 2015) A split sample shall be removed from the split sample freezer or refrigerator by a Commission representative in the presence of a representative of the horsemen's association.

1: The owner, trainer or designee shall witness the packing of the split sample for shipment in the presence of the representative of the Commission, in accordance with the packaging procedures recommended by the Commission. A form shall be signed by both the horsemen’s representative and the Commission representative to confirm the packaging of the split sample. The exterior of the package shall be secured and identified with initialed tape, evidence tape or other means to prevent tampering with the package.

2: The package containing the split sample shall be transported in a manner prescribed by the Commission to the location where custody is transferred to the delivery carrier charged with delivery of the package to the Commission approved laboratory selected by the owner or trainer.

35 3: The owner, trainer or designee and the Commission representative shall inspect the package containing the split sample immediately prior to transfer to the delivery carrier to verify that the package is intact and has not been tampered with.

4: The split sample chain of custody verification form shall be completed and signed by the representatives of the Division and the owner or trainer. A Commission representative shall keep the original and provide a copy for the owner or trainer.

5.441 (Modified Effective date May 15, 2015)

(1) In issuing penalties against individuals found guilty of medication and drug violations, a regulatory distinction shall be made between the detection of therapeutic medications used routinely to treat racehorses and those drugs that have no reason to be found at any concentration in the test sample on race day.

(2) The Stewards, Hearing Officers, or the Commission shall use the Penalty Guideline Listing as a starting place in the penalty stage of the deliberations for a rule violation for any drug listed in the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances, available at 1881 Pierce Street, Room 108, Lakewood CO 802141494 during normal business hours.

(3) If a licensed Veterinarian is administering or prescribing a drug not listed in the RCI Uniform Classification Guide lines for Foreign Substance or shown in the Penalty Guideline Listing (provided below), the identity of the drug shall be forwarded to the official Veterinarian to be forwarded to the Racing Medication and Testing Consortium for classification.

(4) Any drug or metabolite thereof found to be presenting a pre or postrace sample which is not classified in the most current RCI Uniform Classification Guidelines for Foreign Substances shall be assumed to be a RCI Class 1 Drug and the trainer and owner shall be subject to those penalties as set forth in schedule “A” unless satisfactorily demonstrated otherwise by the Racing Medication and Testing Consortium, with a penalty category assigned.

(5) The penalty categories and their related schedules, if applicable, shall be on the following criteria:

36 (a) Whether the drug is approved by the U.S. Food and Drug Administration for use in the horse;

(b) Whether the drug is approved by the U.S. Food and Drug Administration for use in any species;

(d) Whether the drug was identified as “necessary” by the RMTC Veterinary Advisory Committee;

(e) Whether legitimate, recognized therapeutic alternatives exist,

(f) The current RCI Classification of the drug, and;

(g) Whether there are Multiple Medication Violations in accordance with the ARCI 0110020 Medications and Prohibited Substances Penalties for Multiple Medication Violations (MMV), from the Association of Racing Commissioners International (provided below).

37 PENALTY GUIDELINE LISTING

The penalty categories “A”, “B” and “C” and their related schedules for Trainers and Owners are shown in the following tables.

The following are recommended penalties for violations due to the presence of a drug carrying a Category “A” penalty and for violations of ARCI011015: Prohibited Practices:

LICENSED TRAINER:

1st offense 2nd LIFETIME offense in 3rd LIFETIME offense in any jurisdiction any jurisdiction

◦ Minimum oneyear suspension ◦ Minimum threeyear suspension ◦ Minimum fiveyear suspension absent mitigating Circumstances. absent mitigating circumstances. absent mitigating circumstances. The presence of aggravating factors The presence of aggravating factors The presence of aggravating factors could be used to impose a maximum could be used to impose a maximum could be used to impose a maximum of a threeyear suspension. of license revocation with no of license revocation with no reapplication for a threeyear period. reapplication for a fiveyear period. and and and

◦ Minimum fine of $25,000 or ◦ Minimum fine of $50,000 or ◦ Minimum fine of $10,000 or 10% 25% of total purse (greater of the 50% of total purse (greater of the of total purse (greater of the two) two) absent mitigating two) absent mitigating absent mitigating circumstances. The circumstances. The presence of circumstances. The presence of presence of aggravating factors could aggravating factors could be used to aggravating factors could be used to be used to impose a maximum of impose a maximum of $50,000 or impose a maximum of $100,000 or $25,000 or 25% of purse (greater of 50% of purse (greater of the two). 100% of purse (greater of the two). the two). and and and

◦ May be referred to the ◦ May be referred to the ◦ May be referred to the Commission for any further action Commission for any further action Commission for any further action deemed necessary by the deemed necessary by the deemed necessary by the Commission. Commission. Commission.

LICENSED OWNER:

1st offense 2nd LIFETIME offense in 3rd LIFETIME offense in owner’s stable in any owner’s stable in any jurisdiction jurisdiction

38 ◦ Loss of purse. ◦ Loss of purse. ◦ Loss of purse and $50,000 fine.

AND

◦ Referral to the Commission with a recommendation of a suspension for a minimum of 90 days. horse

1st offense 2nd LIFETIME offense in 3rd LIFETIME offense in owner’s stable in any owner’s stable in any jurisdiction jurisdiction

◦ Disqualification. ◦ Disqualification. ◦ Disqualification.

AND AND AND

◦ In accordance with CRCR ◦ In accordance with CRCR ◦ In accordance with CRCR 5.612, Horse shall be placed on 5.612, Horse shall be placed on 5.612, Horse shall be placed on the Veterinarian’s list for 90 days the Veterinarian’s list for 120 the Veterinarian’s list for 180 and must pass a Commission days and must pass a days and must pass a approved examination before Commissionapproved Commissionapproved becoming eligible to be entered. examination before becoming examination before becoming eligible to be entered. eligible to be entered.

39 PENALTY GUIDELINE LISTING The following are recommended penalties for violations due to the presence of a drug carrying Category “B” penalty, for the presence of more than one NSAID in a plasma/serum sample, subject to the provisions set forth in ARCI011020 E.(1)(c) and for violations of the established levels for total carbon dioxide. Except for those violations specified in 5.441(2)(a)*:

LICENSED TRAINER:

1st offense 2nd offense (365day period) in any 3rd offense (365day period) in any jurisdiction jurisdiction

◦ Minimum 15day suspension ◦ Minimum 30day suspension ◦ Minimum 60day suspension absent mitigating circumstances. absent mitigating circumstances. absent mitigating circumstances. The The presence of aggravating factors The presence of aggravating factors presence of aggravating factors could be used to impose a maximum could be used to impose a maximum could be used to impose a maximum of a 60day suspension. of a 180day suspension. of a oneyear suspension.

AND AND AND

◦ Minimum fine of $500 absent ◦ Minimum fine of $1,000 absent ◦ Minimum fine of $2,500 absent mitigating circumstances. The mitigating circumstances. The mitigating circumstances. The presence of aggravating factors presence of aggravating factors presence of aggravating factors could be used to impose a maximum could be used to impose a maximum could be used to impose a maximum of $1,000. of $2,500. of $5,000 or 5% of purse (greater of the two).

Minimum fine of $2,500 and a Minimum fine of $2,500 and a minimum 180 day suspension absent minimum 180 day suspension absent Minimum fine of $2,500 and a mitigating circumstances if the mitigating circumstances if the minimum 180 day suspension absent presence of a nerve blocking drug is presence of a nerve blocking drug is mitigating circumstances if the detected. detected. presence of a nerve blocking drug is detected.

◦ May be referred to the Commission for any further action deemed necessary by the Commission.

LICENSED OWNER:

1st offense 2nd offense in stable (365day 3rd offense in stable (365day period) in any jurisdiction period) in any jurisdiction

◦ Loss of purse. ◦ Loss of purse. ◦ Loss of purse, and in the absence of mitigating circumstances a $5,000 fine.

40 HORSE:

1st offense 2nd offense in stable (365day 3rd offense in stable (365day period) in any jurisdiction period) in any jurisdiction

◦ Disqualification. ◦ Disqualification. ◦ Disqualification.

AND AND AND

◦ In accordance with CRCR ◦ In accordance with CRCR ◦ In accordance with CRCR 5.612, Horse shall be placed on 5.612, Horse shall be placed on 5.612, Horse shall be placed on the Veterinarian’s list for 45 the Veterinarian’s list for 60 the Veterinarian’s list for 90 days and must pass a days and must pass a days and must pass a Commissionapproved Commissionapproved Commissionapproved examination before becoming examination before becoming examination before becoming eligible to be entered. eligible to be entered. eligible to be entered.

*Prohibited use of Nerve *Prohibited use of Nerve *Prohibited use of Nerve blocking drugs, will require a blocking drugs, will require a blocking drugs, will require a horse to be placed on the horse to be placed on the horse to be placed on the Veterinarian’s list for 180 days Veterinarian’s list for 180 days Veterinarian’s list for 180 days and must pass a Commission and must pass a Commission and must pass a Commission approved examination before approved examination before approved examination before becoming eligible to be entered. becoming eligible to be entered. becoming eligible to be entered.

41 PROPOSED AMENDMENT TO 5.441 CATEGORY C CHART

The following are recommended penalties for violations due to the presence of a drug carrying a Category “C” penalty and overages for permitted NSAIDs and furosemide: (All concentrations are for measurements in serum or plasma.)

LICENSED Phenylbutazone (2.0 5.0 mcg/ml) Phenylbutazone ( >5.0 mcg/ml) TRAINER Flunixin (2199 ng/ml) Flunxin (>100 ng/ml) Ketoprofen (2.00 50.0 ng/ml) Ketoprofen ( >50 ng/ml) and Furosemide (>100 ng/ml) and CLASS C Violations no furosemide when identified as administered* 1st Offense (365day Minimum fine of $250 absent mitigating Minimum fine of $1000 absent mitigating period) in any circumstances. circumstances. jurisdiction

2nd Offense (365 Minimum fine of $500 absent mitigating Minimum fine of $1,500 and 15day day period) in any circumstances. suspension absent mitigating circumstances. jurisdiction

3rd Offense (365day Minimum fine of $1,000 and 15day Minimum fine of $2,500 and 30day period) in any suspension absent mitigating circumstances. suspension absent mitigating circumstances. jurisdiction

LICENSED Phenylbutazone (2.0 5.0 mcg/ml) Phenylbutazone ( >5.0 mcg/ml) OWNER Flunixin (2199 ng/ml) Flunxin (>100 ng/ml) Ketoprofen (2.00 50.0 ng/ml) Ketoprofen ( >50 ng/ml) and Furosemide (>100 ng/ml) and CLASS C Violations no furosemide when identified as administered* 1st Offense (365day Horse must pass commissionapproved Loss of purse. Horse must pass period) in any examination before being eligible to run. Commissionapproved examination before jurisdiction being eligible to run.

2nd Offense (365 Loss of purse. If same horse, placed on Loss of purse. If same horse, placed on day period) in any Veterinarian’s list for 45 days, and then must Veterinarian’s list for 45 days, must pass jurisdiction pass Commissionapproved examination Commissionapproved examination before before being eligible to run. being eligible to run.

3rd Offense (365day Loss of purse. Minimum $5,000 fine. If same Loss of purse. Minimum $5,000 fine. If period) in any horse, placed on Veterinarian’s list for 60 same horse, placed on Veterinarian’s list for jurisdiction days, and then must pass Commission 60 days, must pass Commissionapproved approved examination before being eligible examination before being eligible to run. to run.

42 HORSE Phenylbutazone (2.0 5.0 mcg/ml) Phenylbutazone ( >5.0 mcg/ml) Flunixin (2199 ng/ml) Flunxin (>100 ng/ml) Ketoprofen (2.00 50.0 ng/ml) Ketoprofen ( >50 ng/ml) and Furosemide (>100 ng/ml) and CLASS C Violations no furosemide when identified as administered*

1st Offense (365 In accordance with CRCR 5.612, horse Disqualification. day period) in any required to pass Commissionapproved jurisdiction examination before being eligible to run. AND

In accordance with CRCR 5.612, horse will be placed on Veterinarian’s list for 30 days, and then must pass Commissionapproved examination before being

2nd Offense (365 Disqualification. Disqualification. day period) in any jurisdiction AND AND

In accordance with CRCR 5.612, If same In accordance with CRCR 5.612, If same horse, placed on Veterinarian’s list for 45 horse, placed on Veterinarian’s list for 45 days, must pass Commissionapproved days, must pass Commissionapproved examination before being eligible to run. examination before being eligible to run.

3rd Offense (365 Disqualification. Disqualification. day period) in any jurisdiction AND AND

In accordance with CRCR 5.612, If same In accordance with CRCR 5.612, If same horse, placed on Veterinarian’s list for 60 horse, placed on Veterinarian’s list for 60 days, must pass Commissionapproved days, must pass Commissionapproved examination before being eligible to run. examination before being eligible to run.

*If the trainer has not had more than one violation within the previous two years, the Stewards/ Judges are encouraged to issue a warning in lieu of a fine provided the reported level is below3.0 mcg/ml, absent of aggravating factors.

After a two year period, if the licensee has had no further violations, any penalty due to an overage in the 2.0 – 5.0 category will be expunged from the licensee’s record for penalty purposes.

43 44 PENALTIES

Multiple Medication Violations (MMV)

(a) A trainer who receives a penalty for a medication violation based upon a horse testing positive for a Class 15 medication with Penalty Class AD, as provided in the ARCI Uniform Classification for Foreign Substances shall be assigned points based upon the medication’s penalty guideline as follows:

Penalty Class Points If Controlled Points If Non Therapeutic Substance Controlled Substance

Class A1 N/A 6

Class B 2 4

Class C 1 2

Class D ½ 1

(b) The points assigned to a medication violation shall be included in the Stewards’ or Commission Ruling. Such Ruling shall be included in the ARCI official database and the ARCI shall assign points consistent with section (A) for advisory purposes for medication violations where points have not been assigned by regulatory action. Points assigned by such regulatory ruling or by the ARCI shall reflect, in the case of multiple positive tests as described in paragraph (d), whether they shall thereafter constitute a single violation. Points will be assessed after a ruling is rendered, and penalty enhancement shall be applied to future violations. The Stewards’ or Commission Ruling shall be posted on the official website of the Commission and within the official database of the Association of Racing Commissioners International. If an appeal is pending, that fact shall be noted in such Ruling. No points shall be applied until a final adjudication of the enforcement of any such violation.

(c) A trainer’s cumulative points for violations in all racing jurisdictions shall be maintained and certified by the Association of Racing Commissioners International. Once all appeals are waived or exhausted, the points shall immediately become part of the trainer’s official ARCI record and shall be considered by the Commission in its determination to subject the trainer to the mandatory enhanced penalties by the Stewards or Commission as provided in this regulation.

45 (d) Multiple positive tests for the same medication incurred by a trainer prior to delivery of official notice by the commission may be treated as a single violation.

(e) The official ARCI record shall constitute prima facie evidence of a trainer’s past record of violations and cumulative points. Nothing in this administrative regulation shall be construed to confer upon a licensed trainer the right to appeal a violation for which all remedies have been exhausted or for which the appeal time has expired as provided by applicable law.

(f) The Stewards or Commission shall include all points for violations in all racing jurisdictions as contained in the trainer’s official ARCI record when determining whether the mandatory enhancements provided in this regulation shall be imposed.

(g) In addition to the penalty for the underlying offense, the following enhancements shall be imposed upon a licensed trainer based upon the cumulative points contained in his/her official ARCI record:

Suspension Points in days 35.5 30 68.5 60 910.5 180 11 or more 360

MMV’s are not a substitute for the current penalty system and are intended to be an additional uniform penalty when the licensee: (i) Has more than one violation for the relevant time period, and (ii) Exceeds the permissible number of points.

(h) The suspension periods as provided above, shall run consecutive to any suspension imposed for the underlying offense.

(i) The Stewards’ or Commission Ruling shall distinguish between the penalty for the underlying offense and the enhancement based upon the trainer’s cumulative points.

(j) Any trainer who has received a medication violation may petition the ARCI to expunge the points received for the violation for the purpose of the MMV system only. The points shall be expunged as follows:

Penalty Classification Time to Expungement A Permanent B 3 years C 2 years D 1 year

46 (6) The recommended penalty for a violation involving a drug that carries a Category “D” penalty is a written warning to the trainer and owner. Multiple violations may result in fines and/or suspensions.

(7) On Multiple Medication Violation (MMV) offenses, the Division, Board of Stewards, and Hearing Officer shall consider points given in all other States, regardless of whether they have formally adopted the ARCI001020 Medications and Prohibited Substances Penalty Chart for Multiple Medication Violations (MMV). The Division shall consider all cumulative points, and such enhanced penalty shall run consecutive to the Colorado penalty assessment.

(8) Any licensee of the Commission, including veterinarians, found to be responsible for the improper or intentional administration of any drug resulting in a positive test may, after proper notice and hearing, be subject to the same penalties set forth for the licensed trainer.

(9) The licensed owner, veterinarian or any other licensed party involved in a positive laboratory finding shall be notified in writing of the hearing and any resulting action. In addition their presence may be required at any and all hearings relative to the case.

(10) Any veterinarian found to be involved in the administration of any drug carrying the penalty category of “A” shall be referred to the State Licensing Board of Veterinary Medicine for consideration of further disciplinary action and/or license revocation. This is in addition to any penalties issued by the Stewards or the Commission.

(11) Any person who the Stewards or the Commission believe may have committed acts in violation of criminal statutes may be referred to the appropriate law enforcement agency. Administrative action taken by the Stewards or the Commission in no way prohibits a prosecution for criminal acts committed.

A licensed trainer shall not benefit financially during the period for which the individual has been suspended. This includes, but is not limited to, ensuring that horses are not transferred to licensed family members.

The Commission hereby cites the following sources: (1) Version 8.00 December 2014 of the Association of Racing Commissioners International Uniform Classification Guidelines for Foreign Substances; by the Association of Racing Commissioners International, 1510 Newtown Pike, Suite 210, Lexington, Kentucky, USA 40511. This rule does not include any later Amendments or Editions of the ARCI Uniform Classification Guidelines for Foreign Substances

Certified copies of the complete text of the referenced materials are maintained at the Colorado Department of Revenue Division of Racing Events, 1881 Pierce Street, Room 108, Lakewood Colorado 802141494, and may be inspected at that address during normal business hours. Certified copies shall be provided at requestors cost.

47 5.608 – (Modified Effective date May 15, 2015) The Division Veterinarian shall maintain the Veterinarian’s list of all horses which are determined to be unfit to compete in a race due to illness, positive test or overage, physical distress, unsoundness, infirmity or any other medical condition. Horses so listed are ineligible to enter to race in any jurisdiction until released by the Division Veterinarian or their designee.

5.612 (Modified Effective date May 15, 2015) Any horse from which a positive test sample was collected and confirmed by the Commissions’ primary testing laboratory shall be placed on the Veterinarian’s list for a specified amount of time (pursuant to CRCR 5.441). In the interest of health, safety, and welfare of the racing animal, the horse will be immediately placed on the Veterinarian’s List for the minimum days specified in the Penalty Guideline Chart in CRCR 5.441 and must pass a Commissionapproved examination before becoming eligible for entry. Subsequent laboratory testing that may be required in the approved examination process shall be at the expense of the owner or trainer of the horse. Any horse from which a positive test sample was collected and confirmed by the Commissions’ primary testing laboratory in the initial sample test or in any required subsequent laboratory testing, may also be subject to disciplinary action by the stewards, a hearing officer or the Commission prior to the horse’s next entry. This shall not apply to a first offense overage of an authorized medication, where the violation would not result in a loss of purse, pursuant to rules 5.312.

In cases where a split sample comes back negative, the horse must pass a Commissionapproved examination before becoming eligible for entry, and then shall be removed from the Veterinarian’s List after passing the exam.

700’s PHYSICAL INSPECTION OF GREYHOUNDS

48 5.700 Every owner, trainer, or authorized agent shall immediately whenever requested by the Division submit their greyhound(s) to any Veterinarian designated by the Division for an examination or tests as the Veterinarian may deem advisable.

5.702 Any test or examination made by the Division Veterinarian may be witnessed by a Division representative and by the owner, trainer, or assistant trainer of the greyhound(s) being examined or tested.

5.706 (Deleted Effective date May 15, 2015)

5.708 (Deleted Effective date May 15, 2015)

5.712 (Deleted Effective date May 15, 2015)

5.714 (Deleted Effective date May 15, 2015)

5.716 (Deleted Effective date May 15, 2015)

6.120 When the Board or a Hearing Officer determines, in compliance with the provisions of these Rules, that a violation of these Rules or of the law has occurred, it has the authority to suspend a license for a period not to exceed one hundred and eighty (180) days, or to impose a fine not in excess of Two Thousand Five Hundred Dollars ($2500), or both except as described in Rule 3.437, and as it relates to the recommended minimum fine as set forth in rule 5.441 the RCI uniform classification guide lines for foreign substances or shown in the penalty guideline listing for class a, b, and c penalties for 1st, 2nd and 3rd violations where no aggravating factors are cited or except as restricted in the enforcement of citations by Rule 6.124.

In addition to the authority to conduct hearings, the Commission delegates the authority for the Board or Hearing Officer to sign and approve Settlement Stipulations proposed by the Division Director, assessment of fines and suspension terms, purse redistributions, and therefore such authority may constitute a final agency action. Licensees so suspended shall be denied all licenses and shall not be in good standing until the terms of the Board’s order have been satisfied. In addition, if the Board or a Hearing Officer believes a more severe penalty should be imposed, it may refer the case to the Commission for further action. A fine or suspension may not be rescinded by the Board or a Hearing Officer except with approval of the Commission.

6.200 (Modified Effective date May 15, 2015) Protests to a horse or jockey engaged in a race must be made to one of the Board members. Protests may be made only by a racing official or by an owner, trainer or jockey of some other animal engaged in the race.

49 6.206 (Modified Effective date May 15, 2015) Objections shall be filed with the Board in writing within fortyeight (48) hours after the running of that race except that in horse racing, objections relating to interference during the running of a race shall be filed verbally with the Board prior to the race being made official.

If an objection is declared valid against a horse or jockey which has finished in a position entitling it to a portion of the purse in a race, that horse may be disqualified.

6.330 (Modified Effective date May 15, 2014) –The Board or a hearing officer shall conduct hearings and administer oaths. The Board or a hearing officer may issue subpoenas for persons or documents and order the production of other evidence. In all proceedings before the Board or a hearing officer, the respondent shall have the right to be present and represented by counsel, and shall also have the right to crossexamine witnesses, present evidence and arguments, and have the Commission, the Board or a hearing officer issue subpoenas for witnesses or documents. All hearings shall be recorded either steno graphically or by tape recorder. After considering all the evidence, the Board by a majority vote or a decision of the hearing officer shall determine whether any violation of these Rules or of the Law has occurred, and shall issue a written ruling accordingly, a copy of which shall be mailed by firstclass mail to the respondent, addressed to the last known address furnished by the respondent to the Commission, or the ruling may be hand delivered to the respondent. The Board or Hearing Officer shall also have discretionary authority to sign and approve Settlement Stipulations, and thereby can render a final agency action regarding fine amount and suspension length.

6.401– (Modified Effective date May 15, 2015) A decision by the stewards regarding a disqualification, placement or derogatory comment of an animal during the running of the race is final and may not be appealed to the Commission, except as provided below.

1: A decision by the stewards regarding a disqualification, placement or derogatory comment of an animal during the running of the race may be appealed to the race review committee.

2: If a timely objection by a trainer concerning the disqualification, placement or derogatory comment of an animal during the running of the race is filed in accordance with the rules, the Division executive director may refer the objection to the race review committee. The Division shall issue and send, or deliver, to the objecting party a notice of hearing stating the date, time and place at which the race review committee will hear the appeal. The notice of hearing shall also be sent, or delivered, to any trainer or owner the placement of whose animal may be affected by the outcome of the appeal. The race review committee shall review the official tape or tapes of the race. Affected parties shall be given the opportunity to state their positions to the committee.

3: The objection shall be filed in writing and must clearly state the reason for disagreement and/or where the objection is lodged during the running of the race.

50 4: A nonrefundable fee of one hundred dollars ($100.00) for a horse race will be submitted to the Division with the written objection.

5: The committee shall state its conclusions as to the merits of the objection and shall make a recommendation to the Director as to whether to uphold the stewards’ determination, or to revise the derogatory comment, or to revise the disqualification or placement to the order of finish. The Commission shall then make the final determination as to the order of finish. The race review committee and the Commission may only address the issues raised in the appeal filed.

6.404 (Modified Effective date May 15, 2015) Any party who is entitled to appeal a decision of the Board or a hearing officer to the Commission and who wishes to appeal the decision must file written notice of appeal with the Commission within ten (10) days of the announcement of the Board’s or hearing officer’s order or ruling. The notice of appeal shall include a statement giving the basis and grounds for the appeal and a request for oral argument, if desired. Any party who fails to properly file a notice of appeal within the time provided in these Rules shall be deemed to have waived the right to an appeal.

6.610 (Modified Effective date May 15, 2015) On receipt of a timely notice of appeal, the Commission shall schedule an appeal hearing at which the Commission shall consider the appeal, and shall send notice of the date, time and place of the hearing, and the Commission’s decision concerning the request for oral argument, to the parties at least thirty (30) days prior to the hearing date, including but not limited to mailing the notice by firstclass mail to the last address furnished by the respondent to the Commission.

6.632 (Modified Effective date May 15, 2015) At an appeal hearing, the transcript of the proceedings before the Board or a hearing officer may be made part of the record and considered in full by the Commission. The Commission may also hear oral argument from the parties.

Any party appealing a decision of the Board or a hearing officer to the Commission shall file with the Commission a brief setting forth its arguments in support of its appeal no later than fourteen (14) days prior to the scheduled appeal hearing. The opposing party may file a response no later than seven (7) days after the filing of the appellant’s brief. Failure to file a brief in support of the appeal may result in a waiver of the right to an appeal.

6.642 (Modified Effective date May 15, 2015) In a case involving an appeal hearing before the Commission where oral argument has been granted and the respondent fails to appear, the respondent shall be deemed to have waived any right to a hearing on the matter.

7.124 (Modified Effective date May 15, 2015) Any horse that has not run at a meet in the sixty (60) days prior to the race in which it is sought to be entered shall have at least one (1) official workout before being eligible to start an official race. A horse that has never run at a meet or has not run in the six (6) months prior to the race in which it is sought to be entered must have a minimum of two (2) official workouts before being eligible to start in an official race. Workouts beyond sixty (60) days will not be accepted. All first time starters must have an approved work OUT from the starting gate prior to entry.

51 7.200 (Modified Effective date May 15, 2015) Before a horse is eligible to race, it must be duly entered into that race. The licensed owner or trainer making the entry must be license prior to race time.

8.600 – (Modified Effective date May 15, 2015) When a horse is claimed from a race, it shall be taken to the test barn after the race for delivery to the successful claimant or representative. Authorization from the stewards shall be given before the original owner delivers the horse to the successful claimant. A person shall not refuse to deliver a claimed horse to the successful claimant. In the event of refusal, both the person and the horse may be disqualified until delivery is made. The successful claimant or representative must report to the test barn immediately after the race to take possession of the horse claimed.

8.606 – (Modified Effective date May 15, 2015) When a horse is claimed it is the duty of the successful claimant to register the change with the racing secretary. The foal certificate of a claimed horse must remain in the custody of the racing secretary until the proper transfer of ownership has been completed, which shall include a copy of the Brand Inspection from the Colorado Department of Agriculture, Division of Brand Inspection. Cost of the Brand Inspection shall be paid by the seller.

9.102 (Modified Effective date May 15, 2015) The Daily Racing Form ™ charts shall be the official past performance chart for thoroughbred racing. A similar publication approved by the Commission may be considered in determining the eligibility or past performance for thoroughbred horses.

9.112 (Modified Effective date May 15, 2015) The Daily Racing form shall of the official past performance chart for Quarterhorse Racing. A similar publication approved by the Commission may be considered in determining the eligibility or past performance for Quarterhorse horses.

9.122 – (Modified Effective date May 15, 2015) The Daily Racing Form shall be the official Past performance charts for Appaloosa racing. A similar publication approved by the Commission may be considered in determining the eligibility or past performance for Appaloosa horses.

9.132 (Modified Effective date May 15, 2015) The Daily Racing Form shall be the official Past performance charts for AMERICAN PAINT HORSE racing. A similar publication approved by the Commission may be considered in determining the eligibility or past performance for PAINT horses.

9.140 (Deleted Effective date May 15, 2015)

9.142 (Deleted Effective date May 15, 2015)

52 9.150 (Modified Effective date May 15, 2015) The Official Stud Book and registry for Arabian horses shall be the Arabian Horse Registry of America, P.O. BOX 271355, LITTLETON, CO.

9.152 – (Modified Effective date May 15, 2015) The Daily Racing Form ™ shall be the official Past performance charts for Arabian racing.

9.202 (Modified Effective date May 15, 2015) The Colorado Thoroughbred Breeders Association will act as the official registry for Colorado bred thoroughbred horses. The Rocky Mountain Quarterhorse Association will act as the official registry for Colorado bred quarterhorses. The Colorado Appaloosa Racing Association will act as the official registry for Colorado bred appaloosa horses. The Rocky Mountain Paint Racing Club will act as the official registry for Colorado bred paint horses. The Colorado Owners and Breeders of Racing Arabians, Inc., will act as the official registry for Colorado bred Arabian horses.

11.342 (Deleted Effective date May 15, 2015)

11.344 (Deleted Effective date May 15, 2015)

(Modified Effective date May 15, 2015)

400’s FACILITIES AND EQUIPMENT (HORSE)

FACILITIES FOR PATRONS AND LICENSEES

11.400 (Modified Effective date May 15, 2015) Associations shall provide adequate office space and accommodations at all live tracks and simulcast facilities so as to enable Division personnel to perform their duties.

11.424 (Deleted Effective date May 15, 2015)

11.440 (Deleted Effective date May 15, 2015)

11.442 (Deleted Effective date May 15, 2015)

11.444 (Deleted Effective date May 15, 2015)

TITLE DELETION

53 KENNEL AREA

11.450 (Deleted Effective date May 15, 2015)

11.452 (Deleted Effective date May 15, 2015)

54 TITLE amendment

500’s GENERAL OPERATIONS (HORSE)

11.508 (Modified Effective date May 15, 2015) The program or form sheet must carry not less than the two most recent racing lines or official workouts/schoolings from a racetrack approved by the Commission.

11.510 (Modified Effective date May 15, 2015) The program or form sheet must also contain: animal’s name; color; sex; age (horse); breeding; rider’s name and weight (horse); number of official starts; number of times finishing first, second and third; name of the registered owner(s) and lessee(s) if any; trainer’s name; distance of the race; track record; and any other information as will enable the public to properly assess the animal’s ability.

11.516 (Modified Effective date May 15, 2015) The weight regulations provided in Chapter 2, as specified by the Commission, shall be printed in the daily program (or form sheet for outofstate races) only.

11.518 (Modified Effective date May 15, 2015) If an animal’s name is changed: its new name shall be registered with the appropriate official registry, and; its new name, together with its former name, shall be published in the official entries and program (or form sheet for outofstate races) until after the horse has started three (3) times.

11.550 (Deleted Effective date May 15, 2015)

11.552 (Deleted Effective date May 15, 2015)

11.554 (Deleted Effective date May 15, 2015)

11.556 (Modified Effective date May 15, 2015) The Commission and/or Division reserves the right to disapprove any persons or business firms who deal in raw greyhound food or greyhound food additives or supplements used by racing greyhounds if the Commission finds that the source of greyhound food products their handling thereof, method of delivery, and security in relation thereto are unsatisfactory.

11.558 (Modified Effective date May 15, 2015) All kennel facilities under the jurisdiction of the Division and Commission shall be subjected to inspections by representatives of the Division/ Commission. Failure to permit inspection may result in administrative license sanctions including fines, license suspension or revocation.

55 11.560 (Modified Effective date May 15, 2015) Public housing kennel facilities constructed after March 1, 1980 shall be subject to the following additional requirements. Further, any public housing kennel facility which changes ownership after March 1, 1980 will be subject to these same provisions unless otherwise approved by the Division. :1 Public housing kennel facilities shall mean any facility where other greyhounds besides those owned or trained by the owner of the facility are kenneled.

11.562 (Deleted Effective date May 15, 2015)

12.170 (Deleted Effective date May 15, 2015)

12.206 (Deleted Effective date May 15, 2015)

12.208 (Deleted Effective date May 15, 2015)

Tracking number: 2014-01283

Opinion of the Attorney General rendered in connection with the rules adopted by the

Colorado Racing Commission

on 02/10/2015

1 CCR 208-1

RACING

The above-referenced rules were submitted to this office on 02/24/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 02, 2015 13:56:17 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Permanent Rules Adopted

Department

Department of Revenue

Agency

Colorado Racing Commission

CCR number

1 CCR 208-2

Rule title 1 CCR 208-2 HARNESS RACING 1 - eff 05/15/2015

Effective date

05/15/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 Rulemaking Amendments 2014-2015 1 CCR 208-2

(Deleted Effective date May 15, 2015)

HARNESS RACING REGULATIONS

1CCR 208(2)

CODE OF COLORADO REGULATIONS 1

DEPARTMENT OF REVENUE

COLORADO RACING COMMISSION

Tracking number: 2014-01282

Opinion of the Attorney General rendered in connection with the rules adopted by the

Colorado Racing Commission

on 02/10/2015

1 CCR 208-2

HARNESS RACING

The above-referenced rules were submitted to this office on 02/24/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 02, 2015 13:55:51 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Permanent Rules Adopted

Department

Department of Education

Agency

Colorado State Board of Education

CCR number

1 CCR 301-51

Rule title 1 CCR 301-51 RULES FOR THE ADMINISTRATION OF THE COLORADO SCHOOL

AWARDS PROGRAM 1 - eff 04/15/2015

Effective date

04/15/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 DEPARTMENT OF EDUCATION

Colorado State Board of Education

RULES FOR THE ADMINISTRATION OF THE COLORADO SCHOOL AWARDS PROGRAM

1 CCR 301-51 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] 2207-R-1.00 Statement of Basis and Purpose. The statutory basis for these rules is found in § § 22-2-106 (1) (a) and (c), C.R.S., State Board duties; § 22-2-107 (1) (c), C.R.S., State Board powers; and § § 22-11-601 through 604, C.R.S., Colorado School Awards Program. The Colorado School Awards Program, § § 22-11-601 through 604, C.R.S., requires the State Board of Education to promulgate rules which include, but are not limited to procedures for transmitting the financial awards to schools that demonstrate outstanding performance. The modifications to the rules adopted by the State Board on February 9, 2011 were made in compliance with the requirements of the Committee on Legal Services.

Amendments to these rules were made pursuant to H.B. 14-1385, § 22-11-603.7, C.R.S., concerning the creation of High School Academic Growth Awards and authorizing the State Board to adopt rules establishing the method by which to identify the public high schools that demonstrate the highest rate of student longitudinal growth.

2207-R-2.00 Definitions.

2.01 "Classification" means the grouping of schools established biennially by the statewide association for high school activities for the sport of football.

2.02 "Colorado Growth Model" means a scientifically rigorous statistical model that the Department uses to calculate students’ annual academic growth in the subjects included in the Statewide Assessments based on students’ scores on the annual Statewide Assessments, which model is adopted by the State Board pursuant to § 22-11-202, C.R.S.

2.03 "Colorado School Awards Program" or "Program" means the Awards program administered by the Department of Education pursuant to § § 22-11- 601 through 604, C.R.S. whereby the State Board of Education annually presents financial awards to schools that demonstrate outstanding performance.

2.04 "Department" means the Department of Education created and existing pursuant to § 24-1-115, C.R.S.

2.05 "Public School" shall have the same meaning as provided in § 22-1-101, C.R.S., and includes, but is not limited to, a charter school of a public school district, an Institute charter school, and an online program, as defined in § 22-30.7- 103 (9), C.R.S.

2.06 "School Accountability Committee" means the committee established by the Public School pursuant to § 22-11-401, C.R.S. 2.07 "State Board" means the State Board of Education created pursuant to Section 1 of Article IX of the State Constitution.

2.08 "Statewide Assessments" means the assessments administered pursuant to the Colorado student assessment program created in § 22-7-409, C.R.S., or as part of the system of assessments adopted by the State Board pursuant to § 22-7- 1006, C.R.S. 2207-R-3.00 Implementation Procedures.

3.01 J oh n Ir w in S c ho o ls of E xc elle n c e A w a r ds 3.01 (A) Of the moneys available for the Colorado School Awards Program pursuant to part 6 of article 11 of title 22 and remaining after the distribution of funding under the Centers of Excellence Awards, one third shall be awarded as John Irwin Schools of Excellence Awards.

3.01 (B) These awards shall be granted to the Public Schools whose level of attainment on the performance indicator concerning student achievement levels, as calculated pursuant to § 22-11-204 (3), C.R.S., is within the top eight percent of all Public Schools in the state.

3.01 (C) Subject to available appropriations, each John Irwin Schools of Excellence Award shall be five thousand, ten thousand, or fifteen thousand dollars.

3.01 (D) These amounts shall depend on the number of pupils attending the Public School as reported in the state’s October 1 student count, pursuant to the Public School Finance Act, during the academic school year in which the school’s outstanding performance was achieved.

3.01 (D) (1) An amount of five thousand dollars shall be awarded to those schools not exceeding 200 pupils.

3.01 (D) (2) An amount of ten thousand dollars shall be awarded to those schools with more than 200 pupils but not exceeding 500 pupils.

3.01 (D) (3) An amount of fifteen thousand dollars shall be awarded to those schools with more than 500 pupils.

3.01 (D) (4) If the available appropriations are insufficient to award each school the amount specified, the Department shall reduce all awards for that year proportionately.

3.01 (D) (5) The monetary award shall be based on the total number of pupils within the school.

3.02 G o ver no r's D is t i n g u i s h e d I m p r o v e m e n t A w ar d s. 3.02 (A) Of the moneys available for the Colorado School Awards Program pursuant to part 6 of article 11 of title 22 and remaining after the distribution of funding under the Centers of Excellence Awards, two thirds shall be awarded as Governor’s Distinguished Improvement Awards.

3.02 (B) These awards shall be granted to the Public Schools in the state demonstrating the highest rates of sustained student longitudinal growth across multiple years, measured by median student growth percentiles as calculated by the Colorado Growth Model, and in a manner that appropriately considers school size.

3.02 (C) Awards shall be given to those elementary, middle and high schools with the highest sustained student growth rates as determined pursuant to subsection (B) of this section and, as appropriate, as informed by the school performance evaluation framework established pursuant to article 11 of title 22.

3.02 (D) The number of Public Schools recognized with awards shall be based on the amount of funding available.

3.03 C e n t ers of E xc elle nc e A w ar d s. 3.03 (A) Of the moneys available for the Colorado School Awards Program pursuant to part 6 of article 11 of title 22, two hundred fifty thousand dollars shall be awarded under the Centers of Excellence Awards.

3.03 (B) These awards shall be granted to the Public Schools in the state that (1) enroll a student population of which at least seventy-five (75) percent are at-risk pupils, as defined in § 22-54-103 (1.5), C.R.S., and (2) demonstrate the highest rates of sustained student longitudinal growth across multiple years, measured by median student growth percentiles as calculated by the Colorado Growth Model and in a manner that appropriately considers school size.

3.03 (C) Awards shall be given to those elementary, middle and high schools with the highest sustained student growth rates as determined pursuant to subsection (B) of this section and, as appropriate, as informed by the school performance evaluation framework established pursuant to article 11 of title 22.

3.03 (D) The number of Public Schools recognized with awards shall be based on the amount of funding available.

3.04 H igh S c hoo l A c a d e mic Gr o w t h A w ar d s.

3.04 (A) Subject to available appropriations, the State Board shall annually present an award to the public high school that demonstrates the highest levels of student academic growth within each Classification.

3.04 (B) The High School Academic Growth Awards must be in the form of trophies that resemble the trophies presented for athletic accomplishments.

3.04 (C) The following criteria will be used to identify the public high schools that demonstrate the highest rate of student longitudinal growth in one or more years, as measured by the Colorado Growth Model.

3.04 (C) (1) In order to be eligible for the high school growth award, schools must have at least 20 or more students that have growth scores in each of the growth content areas: reading, writing and math. For schools that have at least 20 or more students that have growth scores based on the most recent single year of data, award determinations will be based on a single year of data. For schools that do not have at least 20 or more students that have growth scores based on the most recent single year of data, award determinations will be based on three years of data. Schools that do not have at least 20 or more students that have growth scores based on either one or three years of data will not be considered for a growth award.

3.04 (C) (2) A single cross-content median student growth percentile will be used to determine which high schools have demonstrated the highest rates of student growth within each classification. This median will reflect growth data from all three content areas (reading, writing, and math).

3.04 (C) (3) Within each Classification, schools with the highest cross- content median growth percentiles will be identified as the highest performers. If there are ties within a given Classification, all schools with the highest ranked cross-content median growth percentile will be eligible for an award.

3.04 (D) The High School Academic Growth Awards are named for each Classification and known as the academic growth award for that Classification.

3.04 (E) Any moneys that the department may receive pursuant to § 22-11- 605, C.R.S. (1) in the form of public or private gifts, grants, or donations, in the 2014-15 budget year and each budget year thereafter, the department shall use up to one thousand five hundred dollars to award trophies pursuant to § 22-11-603.7. The department shall apportion the remainder of the moneys available for awards as provided in §§ 22-11-602, 22-11-603, and 22-11-603.5, C.R.S. 3.05 D is t ri bu t i on of A w ar d s

3.05 (A) The State Board shall award funding to Public Schools for use within the Public School as the principal, after consultation with the School Advisory Council, deems appropriate.

3.05 (B) Funding shall be distributed directly to the recipient Public School’s district or the Charter School Institute, whichever is applicable, on behalf of the recipient Public School. Funding shall only be used for the purposes identified by the Public School’s principal.

3.05 (C) These award funds shall not supplant moneys made available to the public school from funding received by the school district pursuant to Article 54 of the Colorado School Laws or pursuant to the taxing authority of the school district.

3.06 T i m e l i ne f or D i s t r i b ut i on .

3.06 (A) Within 90 days after the Department has conducted its annual review of each Public School’s performance, pursuant to § 22-11-210, C.R.S., the State Board shall notify recipients of any of the Colorado School Awards that they have been granted an award. 3.06 (B) Distribution of the award funds, pending annual appropriations, will occur as soon as final determination of award amounts is calculated and moneys become available for distribution.

3.067 S c h o ol A w ar d s P r o gram F u nd.

3.07 (A) Funds for the program shall be appropriated to the Department by the General Assembly.

3.07 (B) Any funds unexpended and unencumbered at the end of the fiscal year will remain in the program fund. However, interest from the deposit and investment of these moneys shall be credited to the General Fund.

3.07 (C) No moneys are available to the Department for administering the program.

3.07 (D) The amount allocated by the state for the program may be increased by grants, gifts, and donations from public or private sources that will be credited to the fund.

Tracking number: 2014-01187

Opinion of the Attorney General rendered in connection with the rules adopted by the

Colorado State Board of Education

on 02/18/2015

1 CCR 301-51

RULES FOR THE ADMINISTRATION OF THE COLORADO SCHOOL AWARDS PROGRAM

The above-referenced rules were submitted to this office on 02/20/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 09, 2015 15:10:49 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Permanent Rules Adopted

Department

Department of Regulatory Agencies

Agency

Division of Insurance

CCR number

3 CCR 702-4 Series 4-2

Rule title 3 CCR 702-4 Series 4-2 LIFE, ACCIDENT AND HEALTH, Series 4-2 1 - eff 04/15/2015

Effective date

04/15/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 DEPARTMENT OF REGULATORY AGENCIES

Division of Insurance

3 CCR 702-4

LIFE, ACCIDENT AND HEALTH

Amended Regulation 4-2-50

CONCERNING PEDIATRIC DENTAL COVERAGE REQUIREMENTS Section 1 Authority Section 2 Scope and Purpose Section 3 Applicability Section 4 Definitions Section 5 Rules Section 6 Notices Section 7 Severability Section 8 Enforcement Section 9 Effective Date Section 10 History

Section 1 Authority

This regulation is promulgated under the authority of §§ 10-1-109 and 10-16-103.4(7), C.R.S.

Section 2 Scope and Purpose

The purpose of this regulation is to establish a requirement that carriers cannot sell a health benefit plan in the individual or small group market inside or outside the Exchange that does not contain pediatric dental essential health benefit (EHB) coverage without obtaining reasonable assurance that such coverage has been purchased.

Section 3 Applicability

This regulation shall apply to all insurance carriers who offer individual and small group health benefit plans, and/or stand alone dental plans, issued or renewed on or after April 15, 2015, in the state of Colorado.

Section 4 Definitions

A. “Carrier” shall have the same meaning as found at § 10-16-102(8), C.R.S.

B. “Clear and conspicuous” means, for the purposes of this regulation, and with respect to a disclosure that the disclosure is reasonably understandable and designed to call attention to the nature and significance of the information it contains. A disclosure is considered designed to call attention to the nature and significance of the information in it if the carrier:

1. Uses a typeface and type size that are easy to read;

2. Provides wide margins and ample line spacing;

3. Uses boldface, italics, underscoring, or capitals for key words and phrases; and 4. In a form that combines the disclosure with other information, uses a plain-language heading to call attention to the disclosure portion of the document, and uses a type size that is greater than the type size predominantly used in the rest of the document.

C. “Essential health benefits” and “EHB” shall have the same meaning as found at § 10-16-102(22), C.R.S.

D. “Exchange” shall have the same meaning as found at § 10-16-102(26), C.R.S.

E. “Health benefit plan” shall have the same meaning as found at § 10-16-102(32), C.R.S.

F. “Patient Protection and Affordable Care Act” and “ACA” mean, for the purposes of this regulation, the Patient Protection and Affordable Care Act, Pub. L. 111-148 and the Health Care and Education Reconciliation Act of 2010, Pub. L. 111-152.

Section 5 Rules

A. Pediatric dental coverage is one of the ten (10) essential health benefits (EHB) that must be covered by health benefit plans subject to the requirements of the ACA.

B. Obtaining pediatric dental coverage.

1. Carriers selling individual and small group health benefit plans must ensure that consumers purchasing their health plans obtain pediatric dental EHB coverage.

2. Carriers shall give consumers notice if the plan they have selected for purchase does not include the required pediatric dental EHB coverage.

3. Carriers shall provide a clear and conspicuous notice to consumers on their websites or with all pediatric dental plan marketing materials describing how out-of-pocket maximums for stand-alone pediatric dental plans are treated differently than out-of-pocket maximums for dental plans that are provided with, or contained within, a health benefit plan. This notice shall also be provided to consumers as a separate document that is included with the dental plan policy documents given to policyholders.

4. Carriers must be reasonably assured that the required pediatric dental EHB coverage has been purchased through one of the following methods:

a. The purchase of a health benefit plan which contains the required pediatric dental EHB coverage;

b. The purchase of a health benefit plan which provides the required pediatric dental EHB coverage through a contractual arrangement with a dental carrier; or

c. The purchase of a stand-alone dental plan that provides the required pediatric dental EHB coverage.

C. In order for a carrier to sell an individual or small group health benefit plan that does not include coverage of the pediatric dental EHB, the carrier must be reasonably assured that a consumer has or will purchase such coverage. Reasonable assurance may be obtained by one or more of the following:

1. Obtaining a certification from the consumer that they have purchased pediatric dental EHB coverage; 2. Obtaining proof of purchase from the consumer who is a childless adult that they possess low-cost/no-cost child-only pediatric dental EHB coverage; or

3. Obtaining an attestation as supplied on the individual application that the consumer has or will purchase pediatric dental EHB coverage.

D. Supplying only the notice as required in Section 6 of this regulation does not constitute reasonable assurance.

Section 6 Notices for No-Adult-Benefit Pediatric Dental Plans

A. Carriers must provide notice to consumers purchasing pediatric-only dental EHB coverage, whether in a standalone dental policy or as part of a health benefit plan, that such coverage does not provide any dental benefits to individuals age nineteen (19) or older.

B. The required notice shall be prominently displayed on the first page of the policy form and shall be contained in all marketing materials for that policy.

C. The required notice shall consist of the following language:

“This policy does not provide any dental benefits to individuals age nineteen (19) or older. This policy is being offered so the purchaser will have pediatric dental coverage as required by the Affordable Care Act. If you want adult dental benefits, you will need to buy a plan that has adult dental benefits. This plan will not pay for any adult dental care, so you will have to pay the full price of any care you receive.”

Section 7 Severability

If any provisions of this regulation or the application thereof to any person or circumstances are for any reason held to be invalid, the remainder of the regulation shall not be affected in any way.

Section 8 Enforcement

Noncompliance with this regulation may result in the imposition of any of the sanctions made available in the Colorado statutes pertaining to the business of insurance, or other laws, which include the imposition of civil penalties, issuance of cease and desist orders, and/or suspensions or revocation of license, subject to the requirements of due process.

Section 9 Effective Date

This regulation is effective April 15, 2015.

Section 10 History

Regulation effective July 15, 2014. Amended regulation effective April 15, 2015.

Tracking number: 2015-00034

Opinion of the Attorney General rendered in connection with the rules adopted by the

Division of Insurance

on 02/26/2015

3 CCR 702-4 Series 4-2

LIFE, ACCIDENT AND HEALTH, Series 4-2

The above-referenced rules were submitted to this office on 03/02/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 11, 2015 10:18:02 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Permanent Rules Adopted

Department

Department of Regulatory Agencies

Agency

Passenger Tramway Safety Board

CCR number

3 CCR 718-1

Rule title 3 CCR 718-1 PASSENGER TRAMWAYS 1 - eff 05/01/2015

Effective date

05/01/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 2.2.9 Manual control devices

All automatic and manual stop and shutdown devices shall be of the manually reset type. An exception to this requirement is allowed for magnetic or optically operated automatic stop devices, if the operating circuit is such that it indicates that such devices initiated the stop and the circuit is of the manually reset type.

Manual stop switches (push button) shall be positively opened mechanically and their opening shall not be dependent upon springs.

Manual control devices shall be installed at all conductor and operator work positions, control rooms, machine rooms, and outofdoors in proximity to all loading and unloading areas.

As a minimum, each operator and conductor work position shall include an emergency shutdown device and a Normal Stop device. All manual control devices located in or on a control cabinet shall be mounted so that they are in the same plane or face of the cabinet.

All control devices shall be conspicuously and permanently marked with the proper function and color code.

3.2.9 Manual control devices

Manual stop switches (push button) shall be positively opened mechanically and their opening shall not be dependent upon springs.

Manual control devices shall be installed in all attendants’ and operators’ work positions, in machine rooms, and outofdoors in proximity to all loading and unloading areas. As a minimum, each of these control locations shall include an Emergency Shutdown device and a Normal Stop device. All manual control devices located in or on a control cabinet shall be mounted so that they are in the same plane or face of the cabinet. The control devices shall not be located in a position that would require the operator or attendant to pass through the path of moving carriers in order to operate the controls.

All control devices shall be conspicuously and permanently marked with the proper function and color code.

A full length stop cord or equivalent shall be provided adjacent to the terminal conveying equipment access ways provided for the inspection and maintenance while equipment is in operation.

4.2.9 Manual control devices

Manual stop switches (push button) shall be positively opened mechanically and their opening shall not be dependent upon springs.

All control devices shall be conspicuously and permanently marked with the proper function and color code.

5.2.9 Manual control devices

Manual stop switches (push button) shall be positively opened mechanically and their opening shall not be dependent upon springs.

Manual control devices shall be installed at all attendants’ and operators’ work positions, in machine rooms, and outofdoors in proximity to all loading and unloading areas. As a minimum, each of these control locations shall include an Emergency Shutdown device. All manual control devices located in or on a control cabinet shall be mounted so that they are in the same plane or face of the cabinet. The control devices shall not be located in a position that would require the operator or attendant to pass through the path of moving carriers in order to operate the controls.

All control devices shall be conspicuously and permanently marked with the proper function and color code.

6.2.9 Manual control devices

All control devices shall be conspicuously and permanently marked with the proper function and color code.

7.2.9 Manual control devices

Manual stop switches (push button) shall be positively opened mechanically and their opening shall not be dependent upon springs.

Manual control devices that will initiate a stop shall be installed at all attendants' and operators' work position, in machine rooms, machine compartments, access points to crawl spaces, and outofdoors in proximity to all loading and unloading areas.

All control devices shall be conspicuously and permanently marked with the proper function and color code.

Tracking number: 2014-01237

Opinion of the Attorney General rendered in connection with the rules adopted by the

Passenger Tramway Safety Board

on 02/26/2015

3 CCR 718-1

PASSENGER TRAMWAYS

The above-referenced rules were submitted to this office on 02/26/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 05, 2015 16:24:21 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Permanent Rules Adopted

Department

Department of Public Health and Environment

Agency

Division of Environmental Health and Sustainability - promulgated by Colorado Board of Health

CCR number

6 CCR 1010-6

Rule title 6 CCR 1010-6 RULES AND REGULATIONS GOVERNING SCHOOLS 1 - eff

04/14/2015

Effective date

04/14/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 [Publication Instructions: Replace entire current rule with the following text.]

COLORADO DEPARTMENT OF PUBLIC HEALTH AND ENVIRONMENT

Division of Environmental Health and Sustainability

6 CCR 10106

RULES AND REGULATIONS GOVERNING SCHOOLS IN THE STATE OF COLORADO TABLE OF CONTENTS

6.1 Authority...... 1

6.2 Scope and Purpose...... 1

6.3 Applicability...... 1

6.4 Definitions...... 2

6.5 Incorporation by Reference...... 6

6.6 Compliance Procedures...... 6

6.6.1 Inspections...... 6

6.6.2 Self-Certification...... 7

6.6.3 Compliance Assurance...... 8

6.6.4 Variance Procedures...... 9

6.7 Sanitary Facilities and Controls...... 9

6.7.1 Water Supply...... 9

6.7.2 Sewage Disposal...... 10

6.7.3 Refuse Disposal...... 11

6.7.4 Insect, Rodent Control and Classroom Animals...... 11

6.7.5 Plumbing...... 12

6.7.6 Toilet, Lavatory and Bathing Facilities...... 13

6.7.7 Diapering and Toileting...... 15

6.8 Buildings and Grounds...... 16

6.8.1 Buildings...... 16

6.8.2 Grounds...... 17

6.9 Mechanical Requirements...... 17

6.9.1 Electrical...... 17

6.9.2 Lighting...... 17

6.9.3 Ventilation...... 18 6.9.4 Heating...... 18

6.10 Equipment and Supplies...... 19

6.11 Food Service...... 19

6.12 Laboratory, Industrial, Art, and Vocational Hazards...... 20

6.12.1 Procedures...... 20

6.12.2 Safety Equipment...... 21

6.12.3 Storage Provisions...... 23

6.12.4 Ventilation...... 24

6.13 Health Service...... 25

APPENDICES...... 27

Appendix A – Prohibited Chemicals...... 28

Appendix B – Restricted Chemicals...... 45

Appendix B2 – Restricted Chemicals (Demonstration Use Only)...... 60 COLORADO DEPARTMENT OF PUBLIC HEALTH AND ENVIRONMENT

Division of Environmental Health and Sustainability

6 CCR 10106

RULES AND REGULATIONS GOVERNING SCHOOLS IN THE STATE OF COLORADO

6.1 Authority

This regulation is adopted pursuant to the authority in Sections 251108(1)(c)(I), 251.5101(1) (a),(h), (k), and (l), and 251.5102(1)(a) and (d), Colorado Revised Statute (C.R.S.), and is consistent with the requirements of the State Administrative Procedures Act, Section 244101, et seq., C.R.S.

6.2 Scope and Purpose

A. This regulation establishes provisions governing:

1. Minimum sanitation requirements for the operation and maintenance of schools;

2. Minimum standards for exposure to toxic materials and environmental conditions in order to safeguard the health of the school occupants and the general public; and

3. Investigation, control, abatement and elimination of sources causing epidemic and communicable diseases affecting school occupants and public health.

B. This regulation does not apply to:

1. Structures or facilities used by a religious, fraternal, political or social organization exclusively for worship, religious instructional or entertainment purposes pertaining to that organization;

2. Health facilities licensed by the Colorado Department of Public Health and Environment under provisions of Section 253101, C.R.S.; and

3. Child care facilities licensed by the Colorado Department of Human Services under provisions of Sections 266102(1.5), (2.5)(a), (5), (5.1), (8), (9), (10)(a), C.R.S.

6.3 Applicability

A. The provisions of this section shall be applicable to all schools, kindergarten

5 through grade twelve, in the State of Colorado.

1. Schools in operation prior to the effective date of these regulations, which would require capital expenditures to fully meet all of the design, construction and equipment requirements of these regulations, may be deemed acceptable if in good repair and capable of being maintained in a sanitary condition and posing no hazard to the health of the school occupants.

2. Any school shall have a right to challenge any rule that they feel has been too rigidly applied. All challenges must be submitted to the Department in writing, stating the rule being challenged and the reason for the challenge. The Department shall hear the challenge and make determinations pursuant to the statute.

3. These regulations shall not limit the powers and duties of local governments to issue such orders and adopt regulations as stringent as or more stringent than the provisions contained herein; as may be necessary for public health.

B. Plans and specifications shall be submitted prior to construction or extensive remodel, when required by the Department for the installation of sanitary facilities in existing schools being remodeled to increase the occupant load. Submission to the Department does not remove the requirements of the Colorado Department of Public Safety, Division of Fire Safety or local building authorities regarding submissions of plans and specifications.

C. Swimming pools shall be constructed, operated, and maintained in accordance with the Colorado Department of Public Health and Environment Swimming Pool and Mineral Bath Regulations, 5 CCR 10035, and Title 15, Chapter 106, United States Code (USC), Section 8001, et seq.

6.4 Definitions

A. For the purpose of these rules and regulations:

1. American National Standards Institute (ANSI) means an accreditation agency that certifies adherence to particular standards.

2. Approved means acceptable to the Colorado Department of Public Health and Environment or its authorized agents or employees.

3. Bacteria means organisms with a cell wall that can survive inside and outside of the body.

4. Campus means a fixed location that includes the grounds and the academic, administration, and support structures and facilities.

5. Carbon Monoxide Detector means a device that detects carbon monoxide and

6 that: (a) produces a distinct, audible alarm; (b) is listed by a nationally recognized, independent productsafety testing and certification laboratory to conform to the standards for carbon monoxide alarms issued by such laboratory or any successor standards; (c) plugs into a school's electrical outlet and has a battery backup, is wired into a school's electrical system and has a battery back up, or is connected to an electrical system via an electrical panel; and (d) may be combined with a smoke detecting device if the combined device complies with both Underwriters Laboratories, Inc. (UL) Standards 217 and 2034 regarding both smoke detecting devices and carbon monoxide alarms and that the combined unit produces an alarm, or an alarm and voice signal, in a manner that clearly differentiates between the two hazards.

6. Chemical Hygiene Plan means a written program that promotes the safe management of chemicals for students, faculty and staff and promotes a culture of safety within the school. The plan is comprised of procedures for general laboratory safety, chemical management (including procurement, storage, handling, and disposal), and spill response. The plan also includes procedures for the operation and testing of laboratory chemical hoods and other emergency and safety equipment.

7. Chemical Inventory means a listing of all hazardous chemicals, compounds, and substances present in a school and must include the name and the original amount of the chemical and the date the material entered the school. Prohibited and restricted chemicals should be designated as such in the inventory. The chemical inventory should include all hazardous chemicals, compounds, products and wastes that are used or generated in the school's maintenance, custodial, and lawn care facilities, science laboratories, vocational and industrial arts curriculum, classrooms and administrative office(s). Building materials are excluded from this requirement.

8. Chemical Waste means any chemical or laboratory waste discarded or intended to be discarded. When chemicals are spent, expired, no longer used or needed they become waste. This can also include those chemicals that are partially or wholly crystallized, solidified or otherwise changed chemically, or whose containers are damaged or leaking, and those chemicals listed as prohibited in Appendix A.

9. Classroom means any room used for instructional purposes by students and/or staff on a routine basis.

10. Clean means to be free of dust and debris or to remove dirt and debris by vacuuming or scrubbing and washing with soap and water.

11. Contamination means the presence of infectious microorganisms or chemicals at levels toxic to human health in or on the body, environmental surfaces including but not limited to table tops, chairs, desks, and laboratory working areas, articles of clothing, and/or in food or water.

7 12. Critical Violations means provisions of these rules and regulations that, if deemed in noncompliance, are more likely than other violations to contribute to illness or environmental hazards that may contribute to a disease outbreak. Critical violations include inappropriate clean up of high hazard bodily fluids, lack of handwashing, ineffective sanitization and disinfection, ill personnel preparing food, unsafe water supply or sewage disposal, pest infestation, food temperature abuse and mismanagement of toxic or hazardous materials.

13. Demonstration Use Only Chemicals means a subclass in the restricted chemical list that is limited to instructor demonstration. Students may not participate in the handling or preparation of restricted chemicals as part of a demonstration.

14. Department means the Colorado Department of Public Health and Environment and its authorized agents and employees.

15. Disinfect means to eliminate most or all pathogenic microorganisms, with the exception of bacterial spores by using effective bactericidal heat or concentration of chemicals which are registered with the U.S. Environmental Protection Agency.

16. Drinking Water means water that meets criteria as specified in Section 251.52, C.R.S., and Colorado Primary Drinking Water Regulations, 5 CCR 100211. Drinking water is traditionally known as “potable water”. Drinking water includes the term “water” except where the term used connotes that the water is not potable, such as “boiler water,” “mop water,” “rainwater,” “reclaimed water,” “wastewater,” and “nondrinking water”.

17. Easily Cleanable means materials or surfaces that are smooth, durable, and non absorbent, such that the soil, filth, and/or unseen contamination can be effectively removed by normal cleaning methods.

18. Extensively Remodeled means any structural or other premise change that requires a building or construction permit issued by the Colorado Department of Public Safety, Division of Fire Safety or the local building authority. Routine maintenance, repairs, or cosmetic changes are not defined as extensive remodeling.

19. High Hazard Body Fluids include urine, feces, saliva, blood, nasal discharge, eye discharge and injury or tissue discharge.

20. Hazard/Hazardous means a situation or condition where there is a significant potential for injury, illness or death. (e.g., use or exposure to potentially hazardous chemicals, equipment, devices).

21. Imminent Health Hazard means a substantial danger to public health or safety, or a significant threat or danger to health that is considered to exist when there is

8 evidence sufficient to show that a product, practice, circumstance, or event creates a situation that requires immediate correction or cessation of operation to prevent illness or injury based on the nature, severity, and duration of the anticipated illness or injury.

22. Immunization means the process by which a person becomes protected (immune) against a disease.

23. Infection means a condition caused by the multiplication of an infectious agent in the body.

24. Infectious means capable of causing an infection. 25. Infestation means the presence of unwanted pests such as insects, rodents, bats, birds, or parasites at levels considered to pose either an economic or health threat.

26. Inspection means an evaluation of the school to determine conformance with these rules and regulations.

a. Routine Inspection means an onsite evaluation by the Department of the school during its normal hours of operation, with school staff in attendance, to determine conformance with these rules and regulations. b. Self certification means a checklist of regulatory requirements completed by school personnel for the purpose of assessing compliance. c. Audit means a verification of a selfcertification checklist of regulatory requirements by the Department.

27. Prohibited Chemicals means those substances with greater hazardous nature than educational utility. Prohibited chemicals are those chemicals that pose an inherent, immediate and potentially life threatening risk, injury or impairment due to toxicity or other chemical properties to the students, staff, or other occupants of the school.

28. Refuse means any garbage, trash, or other forms of solid waste.

29. Restricted Chemicals means those substances with a hazardous nature, but may have potential educational utility. Restricted chemicals are listed in Appendix B to this regulation.

30. Safety Data Sheet (SDS) means written or printed material concerning a hazardous chemical that is provided by the chemical manufacturer and prepared in accordance with 29 CFR 1910.1200(g), revised July 1, 2013 and hereby incorporated by reference. Digital or other electronic versions of SDS may be approved at the discretion of the local fire authority.

31. Sanitary Facilities means toilets, urinals, lavatories, showers, drinking fountains,

9 utility sinks, and the service rooms provided for the installation and use of these units.

32. Sanitization means effective bactericidal treatment by a process that provides enough accumulative heat or concentration of chemicals, registered with the U.S. Environmental Protection Agency, for sufficient time to reduce the bacterial count, including pathogens, to a safe level.

33. Sanitize means the application of a process or bactericidal treatment, registered with the U.S. Environmental Protection Agency, for a period of time sufficient to reduce the bacterial count, including pathogens, to a safe level. (One method of demonstrating effective bactericidal treatment is by an average plate count of not more than 100 colonies, or not more than 12 ½ colonies per square inch of surface area examined. This is not intended as a routine field procedure.) 34. School Any facility (public, proprietary, parochial, denominational, or eleemosynary) which is maintained for educational purposes for six or more persons except those facilities described in Section 6.2 (B).

35. Service Animal means any dog or miniature horse that is individually trained to do work or perform tasks for the benefit of an individual with a disability, including a physical, sensory, psychiatric, intellectual, or other mental disability. Other species of animals, whether wild or domestic, trained or untrained, are not service animals for the purposes of this definition. The work or tasks performed by a service animal must be directly related to the handler's disability. Examples of work or tasks include, but are not limited to, assisting individuals who are blind or have low vision with navigation and other tasks, alerting individuals who are deaf or hard of hearing to the presence of people or sounds, providing non violent protection or rescue work, pulling a wheelchair, assisting an individual during a seizure, alerting individuals to the presence of allergens, retrieving items such as medicine or the telephone, providing physical support and assistance with balance and stability to individuals with mobility disabilities, and helping persons with psychiatric and neurological disabilities by preventing or interrupting impulsive or destructive behaviors. The crime deterrent effects of an animal's presence and the provision of emotional support, wellbeing, comfort, or companionship do not constitute work or tasks for the purposes of this definition.

36. Standards means requirements that are approved by the Department to provide for the protection of the school occupants and/or public health.

37. Toxic Materials means substances capable of causing injury, illness or death when ingested, inhaled or absorbed.

38. Virus means a microscopic organism smaller than a bacterium that may cause disease. Viruses can grow or reproduce only in living cells.

6.5 Incorporation by Reference

10 These regulations incorporate by reference (as indicated within) materials originally published elsewhere. Such incorporation does not include later amendments to or editions of the referenced material. Pursuant to Section 244103 (12.5)(a), C.R.S., the Department maintains certified copies of the complete text of any material incorporated by reference for public inspection during regular business hours and shall provide certified copies of the incorporated material at cost upon request. Information regarding how to obtain or examine the incorporated material is available from the Division Director, Division of Environmental Health & Sustainability, Colorado Department of Public Health & Environment, 4300 Cherry Creek Drive South, Denver, CO 802461530.

6.6 Compliance Procedures

6.6.1 Inspections

A. The Department shall conduct inspections to determine the condition of schools for the purpose of safeguarding the health of students, faculty and patrons of the school. 1. The Department shall be permitted to enter and inspect any school at any reasonable time to determine compliance with this regulation or to investigate unhealthy conditions or complaints.

2. All schools with laboratories, and/or engaging in industrial arts or hazardous vocational activities should be inspected a minimum of once per year. All other schools should be inspected a minimum of once per three years.

3. If a school is provided with water from a noncommunity water system, as defined in the Colorado Primary Drinking Water Regulations, 5 CCR 100211 the water supply system should be inspected at the frequency established by 5 CCR 100211.

4. School food service inspections shall be conducted at the frequency established in the Colorado Retail Food Establishment Rules and Regulations, 6 CCR 1010 2.

5. When an inspection of a school is conducted, it shall accurately reflect the sanitary conditions at the time of the inspection. Specific findings shall be recorded on an inspection report.

6. Upon completion of the inspection by the Department, a copy of the completed inspection report identifying existing violations shall be furnished to, and signed by, the school contact.

7. The completed and signed inspection report is a public document that shall be made available for public disclosure, according to law, to any person who requests it.

8. If during an inspection, or at any other time, it is determined by the Department that an imminent health hazard exists, the school shall immediately cease

11 operations unless dismissal of the students would be detrimental to their well being or unless an alternative plan for operation has been approved by the Department. Operations shall not be resumed until authorized by the Department.

6.6.2 SelfCertification

A. The Department may require schools to complete and submit a SelfCertification Checklist.

1. A SelfCertification Checklist completed, certified, and signed by an authorized school representative shall be considered equivalent to an onsite inspection performed by the Department.

2. Any school that receives a SelfCertification Checklist from the Department shall complete and return the checklist within the time specified in the instructions provided by the Department.

3. A selfcertification checklist is deemed returned on the date it is received by the Department. The Department may provide an extension of time to complete and return a checklist upon request.

4. The SelfCertification Checklist shall contain a certification in substantially the following form, which must be signed by an authorized representative of the school:

a. “I, the undersigned school representative, certify that:

(1) I have personally examined and am familiar with the information contained in this submittal;

(2) The information contained in this submittal is to the best of my knowledge, true, accurate, and complete in all respects;

(3) I am fully authorized to make this certification on behalf of this facility; and

(4) I am aware that there are significant penalties including, but not limited to, possible fines for willfully submitting false, inaccurate, or incomplete information.”

6.6.3 Compliance Assurance

A. Where a school has violated any provision of the Rules and Regulations Governing Schools in the State of Colorado, the Department may issue a compliance advisory requiring the school take actions to correct regulatory deficiencies. A compliance advisory may require the school to design, redesign, install, modify, construct or

12 reconstruct facilities or to take other such corrective action to eliminate any public health hazard.

B. All violations cited during an inspection shall be corrected as soon as possible, but in any event, by the date specified by the Department. Compliance advisories will be sent to the school contact, the Principal, and the District Superintendent.

C. Any school in receipt of a compliance advisory shall prepare and submit to the Department a Plan of Action detailing the corrective measures and timeframe required to rectify critical violations or other significant deficiencies noted during an inspection. Prior to implementation, the Plan of Action must be approved by the Department.

D. Unless provided with a written extension from the Department, a school’s failure to complete and submit the SelfCertification Checklist to the Department may result in the issuance of a compliance advisory.

E. A school’s failure to respond to a compliance advisory issued by the Department or to rectify critical violations of the Rules and Regulations Governing Schools in the State of Colorado may result in enforcement action including, but not limited to, public notification of unresolved critical violations and noncompliance with these rules and regulations.

F. Prior to the Department initiating enforcement action, an informal meeting may be scheduled by the Department with school officials and other interested persons. This meeting will be to discuss the violations and the reason(s) for noncompliance, and to agree on an appropriate and viable Plan of Action to achieve regulatory compliance.

G. A school contesting an enforcement action may request a hearing. Requests for such a hearing shall be filed in writing with the Department within 30 days after service of the action. Such requests shall state the grounds upon which the action is contested and state the amount of time the school estimates will be required for the hearing. Hearings on the enforcement action shall be held in accordance with applicable provisions of Article 4 of Title 24, C.R.S.

H. The Department shall have the power and duty to close a school and forbid the gathering of people therein to protect students, faculty, and patrons of the school from the cause of epidemic and communicable diseases or physical conditions, operations, or maintenance practices that pose an imminent health hazard.

6.6.4 Variance Procedures

Schools may apply for a variance to these rules and regulations where the regulation is too stringently applied, the intent can be met in another way, or compliance is cost prohibitive or restrictive to curriculum.

Variance requests will be considered for general provisions of the rules and regulations provided public health is protected. Such variance requests shall include the name of the school, the applicable section of the regulation and the reason for the request and supporting

13 information.

Variance requests will be considered to allow the use of prohibited chemicals and storage limitations on restricted chemicals provided the safety of students and faculty is assured. Such variance requests shall include the name of the school, chemical name (and associated SDS), and procedures for the management of the chemical, including procurement, storage, handling, disposal and spill response as well as the qualification of the person(s) responsible. Requests will be reviewed by representatives of the Department. Decisions are final and will expire upon a change of circumstances, including changes in responsible personnel or the alleviation of the initial hardship.

6.7 Sanitary Facilities and Controls

6.7.1 Water Supply

A. Adequate, uncontaminated, safe drinking water for the needs of the school shall be provided in the building housing the establishment and shall be from a source constructed, maintained, and operated according to the Colorado Primary Drinking Water Regulations, 5 CCR 100211, and regulations adopted pursuant to Title 251.5 203, C.R.S., or

1. If the school does not meet the definition of a public water system pursuant to the Colorado Primary Drinking Water Regulations, 5 CCR 100211 promulgated pursuant to 251.5101 and 251.5203, C.R.S., the school shall provide:

a. Adequate treatment on a continuous basis; and

b. Bacteriological samples at a minimum of once per quarter or at a frequency determined by the Department; and

c. An N, N diethylpphenylene diamine (DPD) colorimetric drinking water test kit capable of testing free chlorine at an accuracy of 0.1 milligrams per liter (mg/L); and

d. Free chlorine shall range from a trace amount to 4 mg/Liter (0.2 to 1.2 mg/L recommended) at any fixture; and

e. The previous twelve months of water sample reports shall be retained on file at the school and shall be available for review by the Department when request; and the school shall immediately report positive results to Department.

2. Schools with water supplies determined to be surface water or under the direct influence of surface water shall be required to filter their water to one micron absolute using National Science Foundation (NSF) approved equipment and maintain a residual disinfectant concentration to ensure inactivation and/or removal of giardia and other parasitic cysts and viruses.

14 B. The water supply system shall deliver water at normal operating pressures (20 pounds per square inch minimum) to all plumbing fixtures.

C. When a total water service interruption exceeds a period of two hours, the school shall be closed, unless dismissal of the pupils would be detrimental to their physical well being, or unless accessible alternatives for providing drinking water are available and approved by the Department prior to use.

D. Faucets on nondrinking water supply systems used for irrigation or similar purposes shall be physically separated from the drinking water supply system and the faucets on the nondrinking water system shall be clearly marked as unsafe for drinking.

E. The water storage, distribution system, treatment facilities and other mechanical equipment shall be protected from unauthorized access.

F. Where water is supplied by the school's independent water supply system, plans for the water system shall be submitted to the Department for approval prior to construction.

6.7.2 Sewage Disposal

A. Facilities, approved by the Department, shall be provided and maintained for the treatment and sanitary disposal of sewage. B. Where a public sewer system is available, all plumbing fixtures and all building sewer lines shall be connected thereto, pursuant to Section 3211006(1)(a)(I) C.R.S.

C. If a public sewer system is not available, a sewage disposal system meeting the requirements of the Department shall be provided, and all plumbing fixtures and building sewer lines shall be connected thereto, pursuant to Sections 258702(1) and/or 2510 105 C.R.S.

D. Where a total sewer service interruption exceeds a period of two hours, the school shall be closed unless dismissal of the pupils would be detrimental to their physical well being or unless accessible alternatives for the sanitary disposal of sewage are available and approved by the Department prior to use.

E. Where nonwater carriage sanitary facilities, such as vaults or privies are permitted, they shall be provided and installed in accordance with requirements of the Department.

F. In all new schools and schools modifying existing sewage disposal systems or expanding their usage beyond the design capacity of the sewage disposal system, plans shall be submitted to the Department for review and approval in accordance with provisions of Sections 258702 and/or 2510105 C.R.S. prior to construction.

6.7.3 Refuse Disposal

A. The storage, collection, transportation and disposal of refuse shall be conducted to

15 control odors, insects, rodents, accidents, or other nuisance conditions.

B. Durable nonabsorbent, cleanable refuse, recycling and composting containers shall be provided, kept in a clean condition and placed in readily accessible locations.

C. Exterior refuse, recycling and compost containers shall be easily cleanable, provided with covers, stored on a smooth surface of nonabsorbent material, such as concrete or machinelaid asphalt, and kept in a clean, sanitary condition.

D. Interior garbage containers shall be easily cleanable and shall be emptied whenever full. Refuse shall be removed from the building and premises on a regular basis, or at a minimum every seven days, and in a manner which would prevent creation of a nuisance condition.

E. Disposal or removal of hazardous materials shall be conducted in a safe manner and in accordance with state, federal, and local provisions.

6.7.4 Insect, Rodent Control and Classroom Animals

A. Insects, rodents, bats and other pests shall be managed, when they reach levels considered to pose economic or health threats, with integrated strategies for longterm pest suppression, using the most costeffective means with the least possible hazard to people, property, and the environment.

B. Animals used for instructional purposes shall be maintained in a sanitary condition and in a manner to prevent health hazards or nuisance conditions. Their enclosures or pens shall be provided with easily cleanable surfaces and maintained in good repair. Hygienic practices shall be supervised during and following contact with animals. Location and/or presence of animals shall be determined based on the protection of the health of students and staff with allergies and/or asthma.

C. Live poultry (e.g., chicks and ducklings), reptiles, and amphibians shall be prohibited from classrooms with children kindergarten age or younger or communal areas that these children use. Because infections from these animals spread via fecaloral transmission (hand to mouth behaviors), use of these animals in other classrooms where children engage in frequent hand to mouth behaviors is discouraged.

D. Service animals shall be permitted to accompany their handlers throughout the school provided it is not in food preparation areas. Schools administrators shall make reasonable accommodations wherever possible to protect the health of students with allergies and asthma from contact with classroom and service animals.

E. The use of toxic compounds to control rodents, insects, and other pests shall be implemented only after other means have been used for control, such as the elimination of harborages, cleaning food waste, and sealing of ports of entry. All pesticides shall be used in accordance with U.S Environmental Protection Agency (EPA) registered label

16 directions and stored in a safe manner in an area accessible only to authorized personnel. Application of EPA "restricted use pesticides" shall be performed only by a certified pesticide applicator.

6.7.5 Plumbing

A. In the absence of more stringent plumbing codes, all plumbing fixtures shall be installed and maintained in accordance with the 2009 International Plumbing Code, hereby incorporated by reference.

B. Plumbing fixtures shall be maintained in working order and in a clean sanitary condition. All plumbing fixtures shall be designed and maintained to be accessible by the age group being served.

C. The drinking water supply shall be installed and maintained to preclude the possibility of backflow or backsiphonage of nonpotable, used, unclean, polluted and contaminated water, or other substances, into any part of the drinking water system.

D. A properly installed approved backflow prevention device shall be provided for all drinking water supply outlets which are capable of receiving a hose connection.

E. Where chemical dispensing towers are installed without an integral air gap or break to prevent backsiphonage, an approved backflow prevention device shall be installed between the chemical tower and the water supply line.

F. Backsiphonage and backflow prevention devices shall meet American Society of Sanitary Engineering (A.S.S.E.) standards for construction, installation, maintenance, inspection and testing for that specific application and type of device. 6.7.6 Toilet, Lavatory and Bathing Facilities

A. Schools shall take active steps to ensure hand washing before eating, after restroom use, and any other time hands may be contaminated.

B. Toilet, lavatory, bathing facilities and drinking fountains shall be provided and installed in accordance 28 CFR, Part 36, Nondiscrimination On The Basis Of Disability By Public Accommodations And In Commercial Facilities, revised July 1, 2014 and hereby incorporated by reference.

C. Each hand washing and classroom sink shall be provided with hot and cold water through a mixing valve or combination faucet. Hot water at sinks accessible to children shall be at least 90°F and shall not exceed a temperature of 120°F.

D. The use of hand sanitizers in lieu of hand washing is not approved for use within the facility. Hand sanitizers may be used for staff and children only at times and in areas where hand washing facilities are not available, such as while out of doors in remote locations. Hand sanitizers shall be stored in an area where use can be monitored.

17 E. Sanitizers are to be used on surfaces that commonly come into contact with food, hands, the mouth, eyes, nose, and exposed skin of children and staff. General surfaces, chairs, desks, tables, keyboards, computer mice must be cleaned and sanitized at least once a week or whenever visibly soiled. 1. Acceptance of sanitizers shall be determined by the following requirements: a. The chemical is registered with the U.S. Environmental Protection Agency and the use of the chemical is in accordance with labeled instructions, including: (1) Concentration; (2) Contact time; (3) Method; and, (4) Surfaces. b. Sanitizers shall meet the formulation, concentration and application requirements of the Department.

F. Disinfectants are to be used on surfaces that are commonly contaminated with high hazard body fluids, such as but not limited to restroom surfaces, toilets, diaper changing areas and surfaces that have been in contact with high hazard body fluids. 1. Acceptance of disinfectants shall be determined by the following requirements: a. The chemical is registered with the U.S. Environmental Protection Agency and the use of the chemical is in accordance with labeled instructions, including: (1) Concentration; (2) Contact time; (3) Method; and, (4) Surfaces. b. Disinfectants shall meet the formulation, concentration and application requirements of the Department. G. Drinking fountains shall be conveniently located on each floor and easily accessible to all school program activities. Drinking fountains shall not be located in toilet rooms or other areas with increased potential for contamination (e.g., science, vocational, industrial, photography or art education areas).

H. Drinking fountains shall be equipped with angled jets and orifice guards located above the rim of the fountain. The pressure shall be regulated so that the water stream does not come in contact with, and passes, the orifice guard or splash onto the floor. Separate angle jet drinking fountains, when installed, shall be at an appropriate height.

I. Use of common drinking cups or vessels is prohibited.

J. Toilet rooms shall be conveniently located at a travel distance of not more than 200 feet

18 from any room to be served and in accordance with Section 6.13(F) for health care areas. All toilet rooms shall be provided with adequate lavatory facilities.

K. Detached structures and modular classrooms not provided with plumbing shall be no more than 500 feet from restrooms and drinking water fountains, accessible through an unlocked door or key access during all hours of operation, and shall be adequately ventilated.

L. Soap and single service towels shall be available for all lavatory facilities, except that mechanical warm air dryers may be used in lieu of towels.

M. Hot and cold water or tempered water under operating pressures (20 PSI minimum) shall be available for bathing and washing. Hot water delivered to showers and lavatories shall be at least 90 degrees Fahrenheit (90oF) and shall not exceed 120F. The temperature of hot water at other fixtures shall not exceed 140oF, except where necessary for sanitizing purposes.

N. Toilets shall be equipped with nonabsorbent, easily cleanable toilet seats. Toilet paper shall be available at each toilet mounted in an appropriate dispenser.

O. Floors, walls, and ceilings of all toilet and locker rooms shall be smooth, easily cleanable, nonabsorbent and shall be maintained in good repair and in a clean, sanitary condition.

P. A floor drain and a keyed hose bib with a vacuum breaker shall be available for all toilet rooms having a total combination of two or more water closets or urinals. The floors in these rooms shall slope to the floor drains.

Q. Showers shall be installed in accordance with the 2009 International Plumbing Code, hereby incorporated by reference, or as approved by the Department. Showers shall be constructed to prevent water flow into the drying or dressing room space and shall slope to the floor drains. Shower floors, ceilings, and walls shall be easily cleanable and shower floors shall have a nonskid surface.

R. Functional hose bibs shall be available, where necessary, at designated refuse, compost and recycling storage areas and at high density student common use areas within 50 feet of the building where heavy accumulations of refuse are generated to minimize hazards and to maintain such areas in a clean, safe condition.

6.7.7 Diapering and Toileting

A. Where diapering or bowel/bladder hygiene care is necessary, a separate changing area with privacy shall be available with a cleanable impervious surface large enough to accommodate the individual in care.

1. This changing area shall be located:

19 a. Away from any food preparation, storage and servicing areas.

b. Nearby a handwashing sink with soap and hot and cold running water.

c. Adjacent to a washable, covered container lined with a plastic bag, inaccessible to children, and used for disposal of soiled diapers, wipes and gloves.

d. Items unrelated to diaper changing shall not be placed on the changing tables or wallhung changing stations.

2. If a changing mat is used it shall be kept clean and in good repair and shall be cleaned and disinfected after each use.

3. The following procedure shall be conducted each time bowel or bladder hygiene is provided:

a. Whenever bowel or bladder hygiene is conducted, individuals shall wear a new pair of disposable gloves prior to beginning.

b. The student shall be cleaned wherever necessary.

c. Soiled diapers/underwear and clothing shall be replaced with clean diapers/underwear and clothing.

d. Soiled clothes shall be placed in a plastic bag for parents or guardians to take home. Soiled diapers shall be placed in a covered, impervious plastic lined receptacle.

e. The student’s hands shall be washed.

(1) Any contaminated surfaces should be cleaned and disinfected.

f. The staff member shall then thoroughly wash his/her hands.

20 6.8 Buildings and Grounds

6.8.1 Buildings

A. The school campus and accessory buildings shall be maintained in a clean and sanitary condition and in a manner that minimizes health and safety hazards to building occupants.

B. Adequate space shall be provided for each person in classrooms, libraries, shops, laboratories, vocational training rooms, dining rooms, and other related activity rooms or areas to lessen the possibility of health hazards, and disease transmission. Adequate space is required in accordance with the 2006 International Building Code, hereby incorporated by reference.

C. Where necessary, classroom and health room windows shall be equipped with blinds, shades, or other effective means to prevent glare, to control natural light, and provide appropriate privacy.

D. Windows, when opened, shall not create a hazard such as noise, dust, fumes or extreme temperatures or hazard that may result in physical injury.

E. Exposure to noise, dusts, toxic chemicals, or other hazards shall be controlled at all times including when the building or portion thereof is occupied during construction or remodeling.

1. An asbestos management plan complying with the provisions of the Colorado Air Quality Control Commission, 5 CCR 100110, Regulation No. 8 shall be developed and maintained on file at each school and available for review. Prior to remodeling any portion of the school building, the asbestos management plan must be reviewed and any necessary constructionspecific inspections for the identification of asbestos containing materials must be conducted in accordance with Colorado Air Quality Control Commission, 5 CCR 100110, Regulation No. 8.

2. Radon testing shall be completed by each school and conducted pursuant to the procedures described in the American Association of Radon Scientists and Technologists (AARST) Protocol for Conducting Measurements of Radon and Radon Decay Products In Schools and Large Buildings, 2015, hereby incorporated by reference. The results of these tests shall be on file at each school and available for review. Schools constructed after the effective date of these rules and regulations shall complete radon tests within 19 months of the date of occupancy. Schools remodeled after the effective date of these rules and regulations shall notify the Department of such remodeling in order that the Department may assess the need for any additional radon testing.

F. When there is a change in classroom use, the design and construction of the classroom facilities shall be appropriate for the new use, including safety provisions required by

21 Section 6.12 of this regulation, where applicable.

G. The school campus shall be maintained in a manner that prevents fire hazards. Fire control methods shall conform to state and local fire prevention regulations.

H. School buses shall be operated and maintained to avoid health and safety hazards.

6.8.2 Grounds

A. The ground shall be self draining and free from depressions in which water may stand and be allowed to stagnate. The grounds shall be kept free from refuse, unused equipment, weed overgrowth, and other hazards. All outdoor areas shall be maintained in a sanitary condition and be free of insect and rodent harborages, open or accessible wells, grease traps, cisterns, cesspools, septic tanks, and/or utility equipment.

B. Raw agricultural products grown onsite shall be permitted in school cafeterias provided school gardens and greenhouses conform to U.S. Department of Agriculture Good Agricultural Practices.

C. Livestock or poultry shall be located more than 50 feet from food service areas, offices, or classrooms except those offices and classrooms associated with animal husbandry activities.

6.9 Mechanical Requirements

6.9.1 Electrical

A. Schools shall be provided with operational electrical service and artificial lighting at all times when occupied.

B. The electrical system shall be maintained in good repair and shall not present a hazard to health and safety. In the absence of more stringent electrical codes, installation, maintenance and use of the electrical system shall adhere to the 2014 National Electrical Code, hereby incorporated by reference.

C. When an electrical service interruption exceeds a period of two hours, the school shall be closed, unless dismissal of the pupils would be detrimental to their physical well being, or unless accessible approved alternatives for providing lighting, temperature control, and hot water are available that meet the requirements of the Department.

6.9.2 Lighting

A. The electrical lighting system shall provide the following average light level intensities: 35 foot candles for classrooms, libraries, offices, laboratories and shops; 20 foot candles for reception rooms, restrooms, gymnasiums, service rooms, swimming areas and dining areas; 10 foot candles for auditoriums, locker rooms and stairways; and 5 foot candles

22 for corridors, hallways, storage and utility areas. Light level intensities shall be measured at the work surface or 30 inches from the floor.

B. Extreme brightness ratios (glare and shadow) shall be minimized by avoiding glossy surfaces, by use of diffused lighting, by use of easily cleanable high light reflectance paints or other finishes for ceilings, walls, and floors, by use of window shades, routine cleaning and maintenance of electrical fixtures, and/or other measures necessary to prevent undue glare and maintain a high level of light effectiveness.

C. Appropriate measures shall be taken to assure that persons are not exposed to harsh lighting, which may be harmful to the eyes, such as ultraviolet light.

6.9.3 Ventilation

A. Ventilation, mechanical or natural, shall be installed and maintained in accordance with the 2013 American Society of Heating, Refrigeration and Air Conditioning Engineers Standard 62.12013, Ventilation for Acceptable Indoor Air Quality, hereby incorporated by reference, and to minimize health hazards including excessive drafts, extreme temperatures, humidity, and temperature fluctuations.

B. Ventilation system filters shall be cleaned or replaced regularly or according to manufacturer’s recommendations to prevent excessive accumulation of dust or debris.

C. Restrooms shall be equipped with mechanical exhaust to remove bioaerosols and noxious odors.

D. Each room provided with an exhaust system shall have air supplied to the room equal to the amount to be exhausted. Windows shall not be used for the purpose of providing makeup air.

E. Unvented combustion heaters, kitchen stoves, or hot plates shall be prohibited for space heating purposes. Portable electric heaters with exposed elements shall not be used in any student activity area.

F. Hot plates, skillets, or similar type cooking appliances shall be used for food preparation only in kitchen, home economics room, or in rooms specifically designated and equipped for such use.

G. Operational carbon monoxide alarms shall be installed in areas where fossil fuelfired heaters and appliances are used such as in boiler rooms and kitchens. Maintenance and installation of carbon monoxide detectors shall comply with manufacturer’s instructions. Carbon monoxide alarms must be tested at least annually with documentation available upon request. Carbon monoxide detectors that are only batterypowered shall be tested monthly and the batteries shall be replaced at least annually.

6.9.4 Heating

23 The heating system provided shall be properly maintained and provide, in all occupied rooms, minimum room temperatures of 60o F at sixty 60 inches above the floor in shops and gymnasiums and 65o F at thirty 30 inches above the floor in elementary, secondary, and higher educational school classrooms, and at floor level in kindergarten. A plan that addresses operating during periods of extreme temperature, as it relates to indoor air, shall be developed. A current boiler inspection certificate shall be posted and available upon request. 6.10 Equipment and Supplies

A. Instructional, athletic, recreational or other equipment used in or out of the classroom shall be maintained in a clean, safe condition.

B. Toys and equipment shall meet the current requirements of the Colorado Hazardous Substance Act, Section 255501 and Section 255508, et. seq., C.R.S.

C. Gym equipment shall be kept clean and in good repair. Body contact equipment surfaces shall be routinely cleaned and sanitized.

D. Equipment used in physical therapy and special education shall be cleaned and sanitized after each use.

E. Facilities shall be available for the proper storage of clean clothing, and of athletic, instructional, and recreational equipment and supplies to minimize health hazards and to facilitate cleaning.

F. Cleaning materials, tools, and maintenance equipment shall be provided and shall be safely stored and secured in a locked area. Safety Data Sheets (SDS) for pesticides, toxic or hazardous cleaning and maintenance chemicals and materials shall be maintained and organized to be easy to locate in the event of a spill or accidental exposure.

G. Pesticides, toxic or hazardous cleaning and maintenance chemicals and materials shall be stored separately in a ventilated and locked cabinet or area accessible only to authorized personnel. The ventilation requirement of this section may not be required in areas where minimum quantities of the above mentioned materials are stored for daily use. In the absence of more stringent requirements flammable or combustible materials shall be stored in accordance with the 2015 National Fire Protection Association Code 30 Flammable and Combustible Liquids Code, hereby incorporated by reference.

H. Kindergartens, health service rooms, or other areas, where sleeping is permitted shall be provided with sleeping facilities including cots or pads, with washable or disposable covers. These sleeping facilities shall be maintained in good repair and provided in a clean condition for each new user.

I. Towels and wash cloths, and other linens, where provided, shall be laundered in water at least 140oF or shall reach at least 140°F in a heat drying cycle. Such linens, towels, and wash cloths shall be issued clean, used by only one person and shall be laundered after each use.

24 6.11 Food Service

A. Food service activities shall be conducted in accordance with the requirements of the Colorado Retail Food Establishment Rules and Regulations, 6 CCR 10102.

1. Schools preparing or serving food other than prepackaged, nonpotentially hazardous food or raw, unprocessed produce shall obtain a Retail Food Establishment License or Certificate of License as required by the Colorado Retail Food Establishment Rules and Regulations, 6 CCR 10102, Sections 11 102 and 11103.

B. Establishments serving food at the school but not prepared by school staff shall be licensed, inspected and approved by the Department. The food shall be transported, stored and served in a manner to prevent contamination, time and temperature abuse or adulteration.

C. Dining activities shall be confined to rooms or areas designated by the school administrator. The dining area shall be maintained clean, and in a sanitary condition.

D. Plans and specifications for construction or alteration of food service facilities shall be submitted in accordance with the requirements of the Colorado Retail Food Establishment Rules and Regulations, 6 CCR 10102, Section 114.

6.12 Laboratory, Industrial, Art, and Vocational Hazards

6.12.1 Procedures

A. Provisions shall be made for the protection of students and staff engaging in arts, crafts, industrial arts, physical and biological sciences, vocational, educational or any activities where potentially hazardous chemicals, hazardous devices or hazardous equipment are used. These provisions include the development and posting of operating instructions, regulations, procedures, and a chemical hygiene plan. All potentially hazardous chemicals, hazardous devices or hazardous equipment including those used in art, industrial art and vocational art areas shall be used only in accordance with the product labeling. If available, specific manufacturer’s instructions and warnings for safe use of the product or equipment shall be followed. When available, products with the safest materials shall be used (e.g., those with few or no cautionary/warning labels). Additional guidance regarding potential hazards and health and safety provisions associated with industrial and vocational arts and crafts is provided in the U.S. Consumer Product Safety Commission’s Publication No. 5015, Art and Craft Safety Guide. Schools may rely on this guidance.

B. Exposure to noise, or toxic liquids, dusts, gases, mists, fumes or vapors or other hazards shall be controlled to avoid health hazards.

C. A current SDS shall be provided in an organized and easily searchable format (e.g.,

25 alphabetically filed) for all toxic or hazardous substances and shall be available for review upon request. A copy of the SDS shall be kept on file in a location away from the areas where the aforementioned chemicals are stored. Digital or other electronic versions of SDS may be approved at the discretion of the local fire authority.

D. In the absence of more stringent standards the 2015 National Fire Protection Association Code 30 Flammable and Combustible Liquids Code and 2015 National Fire Protection Association Code 45 Fire Protection for Laboratories Using Chemicals are hereby incorporated by reference and shall be used as standards for the proper storage, handling and use of chemicals in the school.

E. A chemical hygiene plan which addresses all areas of the school where toxic or hazardous substances are used or stored shall be provided. All restricted chemicals present in the school, including those stored in laboratory, vocational, arts, and custodial areas, shall be individually addressed in the plan. A copy of the plan shall be kept on file in a location away from the areas where chemicals are stored. The chemical hygiene plan shall be reviewed and updated, as necessary, at least once annually. All schools must develop a Chemical Hygiene Plan by January 1, 2016. A copy of the Chemical Hygiene Plan shall be provided to the local fire department and local emergency planning committee upon request.

F. Procedures shall be established for the management of chemical waste and shall be addressed in the chemical hygiene plan. All containers of chemical waste shall be labeled to their contents and with the words "not for use" or "waste", maintained in good condition and separated by reactive group. Chemical waste shall be stored in a designated area away from normal classroom operations and away from sinks and floor drains. Chemical waste shall be handled and stored in a manner that minimizes the possibility of a fire, explosion, or release. A hazardous waste determination shall be made for all waste chemicals in accordance with 6 CCR 10073 Section 262 of the Colorado Hazardous Waste Regulations. Hazardous waste chemicals must be properly disposed of at a permitted facility and shall not be disposed of onsite. All other chemical waste shall be disposed of using an appropriate method as provided on the chemical SDS, or as indicated by the manufacturer.

G. A current list of emergency services with telephone numbers, including the name, address and telephone number of the school, shall be posted in one or more prominent place(s) in each school.

H. Aspirators or suction bulbs shall be used for drawing liquids into pipettes. The mouth must not be used directly on the pipettes.

6.12.2 Safety Equipment

A. Protective clothing, that meets the ANSI Z49.12014 Standard Safety in Welding, Cutting, and Allied Processes, hereby incorporated by reference, shall be worn by all students participating in, observing, or in close proximity to welding or other such activities that could result in sparks contacting clothing. Welding helmets, that meet the

26 requirements of ANSI Z49.12014 Standard Safety in Welding, Cutting, and Allied Processes, hereby incorporated by reference, shall be worn by all students participating in, observing, or in close proximity to welding. Protective clothing shall be maintained clean and in good repair.

B. Eye protection, that meets the ANSI Z87.12010 Standard for Occupational and Educational Personal Eye and Face Protection Devices, hereby incorporated by reference, must be worn by all students participating in, observing, or in close proximity to any experiment or activity which could result in eye injury. Eye protection glasses, goggles, face shields, and similar eye protection devices shall be issued clean, in good repair and properly sanitized between students and stored in a protected place. Sanitization of eye protection can be accomplished using an ultraviolet light case, a chemical sanitizer in accordance with Section 6.7.6, or other effective means approved by the Department.

C. An easily accessible fire blanket must be provided in all areas where an open flame is used.

D. Where there is potential for exposure to skin with toxic, infectious or irritating materials, a hand washing facility shall be available.

E. An easily accessible operational eye wash fountain that meets the ANSI Z358.12009 Standard, hereby incorporated by reference, must be provided in each laboratory or other areas where corrosives or irritating materials are used. The eye wash fountain shall be maintained clean, permanently plumbed, and provide a handsfree continuous flow of water capable of flushing both eyes simultaneously. The use of portable eye wash bottles as substitutes is not permitted. Easily accessible means no more than 55 feet from the storage or use of corrosive or irritating materials so that it can be reached with impaired vision within 10 seconds or less. Eye wash fountains shall be tested annually with documentation available upon request.

F. An easily accessible operational safety shower that meets the ANSI Z358.12009 Standard, hereby incorporated by reference, capable of providing continuous flowing water, shall be provided for each laboratory or other areas where corrosive or irritating chemicals are used. The safety shower can be centrally located so as to serve more than one area provided that it is within 55 feet from the storage or use of corrosive or irritating materials and can be reached with impaired vision within 10 seconds or less. The safety shower shall be tested annually with documentation available upon request.

G. A master gas control valve (MGCV), is required on gas supply lines to vocational areas and science laboratories. The MGCV shall stop the flow of gas to all appliances/ equipment located in the room and must function as a manually operated emergency gas shutoff. One MGCV shall be provided for each room and made easily accessible. Electric shutoff switches shall be provided in areas where power equipment is used. Master gas valves and electric shutoff switches shall be labeled for high visibility and tested annually with documentation available upon request.

27 H. Adequately stocked first aids kits shall be stored in all laboratories, vocational education, industrial arts, set design, and art classrooms.

I. Fire extinguishers are required in accordance with the 2015 National Fire Protection Association Code 45 Standard on Fire Protection for Laboratories Using Chemicals, hereby incorporated by reference. Dry chemical Class ABC extinguishers are recommended for laboratory use. If combustible metals (e.g., Mg, Na, K) are present, laboratories must have a class D extinguisher or those agents shown to be effective in controlling combustible metal fires as well.

J. All emergency and safety equipment shall be tested annually with documentation available upon request and labeled for high visibility.

K. Radioactive materials and equipment shall conform to the Colorado Department of Public Health and Environment Rules and Regulations Pertaining to Radiation Control, 6 CCR 10071.

6.12.3 Storage Provisions

A. Toxic or hazardous materials shall be stored in safe and appropriate containers, separated by reactive group and stored in a ventilated, locked area or appropriate cabinet. The ventilation requirement of this section may not be required where minimum quantities of such materials are stored for daily use. Toxic or hazardous materials must be stored according to the chemical manufacturer's storage temperature requirements at all times including during school holidays and breaks.

B. All containers of chemicals shall be clearly labeled with the name, original quantity of the material, and the date the material entered the school. Secondary containers and/or prepared solutions intended for storage shall be labeled with chemical name and, if applicable, the formula (including solvent), date of preparation, disposal date, and concentration.

C. Schools shall not purchase or accept donations of prohibited chemicals. These chemicals are prohibited from use and/or storage at the school unless a variance from this regulation is requested in writing by the school and approved by Department. If prohibited chemicals are found in the school, they shall be identified on the container label as “not for use” or “waste” and segregated from the chemical inventory. Unless a variance has been granted by the Department, all schools must dispose of prohibited chemicals. Prohibited chemicals are listed in Appendix A to this regulation.

D. Restricted chemicals shall be removed from the schools if alternatives can be used. If restricted chemicals are present at the school, each chemical shall be identified in the school’s chemical inventory and addressed in the chemical hygiene plan as required by in Sections 6.12.1(E) and (F) of these regulations. Containers of restricted chemicals shall be labeled as such. The amount of restricted chemical shall be no more than what can be used in one school year. Restricted chemicals are listed in Appendix B of this regulation.

28 E. Restricted chemicals (demonstration use only) are a subclass in the restricted chemical lists that are limited to instructor demonstration. Students may not participate in the handling or preparation of restricted chemicals as part of a demonstration. If restricted chemicals (demonstration use only) are present at the school, each chemical shall be addressed in the school’s written emergency plan as addressed in sections 6.13(K) and (L) of these regulations. Demonstration only chemicals are listed in Appendix B2 to this regulation.

F. All chemicals, compounds, and hazardous substances shall be inventoried by the school a minimum of once a year. The inventory shall include the name of the compound, the amount, and the year it entered the school. If restricted or prohibited chemicals are present in the school, they shall be designated as such in the chemical inventory. A copy of the inventory shall be kept in the area of use and on file in a location away from the areas where chemicals are stored. The updated inventory shall be provided to the local fire department and local emergency planning committee upon request.

G. Refrigerators used for flammable compounds shall be prominently marked to indicate they meet the appropriate design requirements for safe storage of flammable liquids. Food for consumption shall not be stored in refrigerators used for flammable or any other laboratory related materials. Food and food containers for experimentation shall be labeled as “not for consumption” and segregated from foods intended for consumption.

H. The storage, preparation, and consumption of food and drink are prohibited in any area where there are toxic or hazardous substances. A personal water bottle is allowed when there are no toxic or hazardous substances in use. When a student’s individual health care needs (e.g., health care plan, 504 Plan) require food to be readily available, it shall be allowed in these areas as long as it is protected from contamination and not available for general consumption.

I. Glassware shall be properly constructed and designed for its intended use and shall be handled and stored in a safe manner.

6.12.4 Ventilation

A. All areas shall be adequately ventilated through mechanical means so that exposures to hazardous or toxic materials are maintained to a safe level. Additional guidance in determining safe levels is provided in the American Conference of Governmental Industrial Hygienists, Threshold Limit Values and Biological Exposures Indices. Schools may rely on this guidance.

B. Local exhaust ventilation shall be provided so that contaminants are exhausted away from the student and not through the breathing zone.

1. Air flow of local exhaust ventilation must be tested annually with documentation available upon request.

29 C. Sufficient fume hood capacity ventilation shall be provided and shall be used for any activity producing hazardous toxic or noxious gases, mists, vapors, or dusts.

1. Hoods must exhaust directly to the outside and shall be located a minimum of 10 feet from any building airintakes or building openings.

2. Discharges of any reportable air pollutant from any exhaust hood must meet applicable Colorado Air Pollution Standards.

3. In the absence of other applicable standards, a minimum face velocity of 100 feet per minute (fpm) and a maximum of 120 fpm for general laboratory hoods must be provided.

4. Air flow of fume hoods must be tested annually with documentation available upon request.

D. Spray booths and finishing rooms where flammable or combustible materials are used shall be constructed in accordance with 29 CFR 1910.107, revised July 1, 2011 and hereby incorporated by reference.

30 6.13 Health Service

A. Children in care shall be immunized as required by 6 CCR 10092, Rules Pertaining to the Infant Immunization Program, the Vaccines for Children Program, and the Immunization of Students Attending School. The official Certificate of Immunization, official Exemption form or written documentation of the student being InProcess shall be on file for each enrolled student. Upon request of state or local health agencies, schools are responsible for providing records with identifiers removed if the school is subject to the Family Educational Rights and Privacy Act (FERPA).

B. Basic first aid equipment and medical supplies including: gauze pads and roller gauze, adhesive tape, cold pack, plastic bags, disposable gloves, bandaids, hand cleaner, small flashlight and extra batteries, scissors, and blanket shall be provided and kept conveniently available for emergency use.

1. First aid supplies and equipment with an expiration date shall be discarded and replaced once that date has passed.

C. At all times during the school day and during school sponsored events, including those offsite, at least one staff member shall be on duty in each school who has a current certification from a nationally recognized course in Standard First Aid and Cardio Pulmonary Resuscitation (CPR) certification course. A list of persons currently certified, as described above, shall be maintained in each school office.

D. Schools that acquire Automated External Defibrillators (AEDs) shall ensure public health and safety in accordance with C.R.S. 1321108.1.

E. Separate rooms or areas shall be available in every school for emergency use in providing care for persons who are ill, or suspected of having communicable diseases.

F. Every health care room or area must have an easily accessible restroom within 50 feet and shall be provided with at least one cot for each 400 students or part thereof. Each cot and pillow shall have an easily cleanable, nonabsorbent surface or cover which is sanitized after each use. A sink with hot and cold running water shall be located in the health care room or area. Unless prohibited by local code, in new and extensively remodeled schools, a restroom directly adjoining the health office is required. This restroom is for the exclusive use of health services.

G. In accordance with the Nurse Practice Act, C.R.S. 1238132, medication administered by trained school personnel with oversight by a registered nurse shall be inaccessible to children and shall be stored in the original container in a controlled area separated from food, cleaning compounds and other toxic substances. Emergency medications such as epinephrine shall be inaccessible to students, immediately available to trained school personnel and in an unlocked location (e.g., emergency kit or bag, cabinet). If refrigeration is required, the medication shall be stored:

1. In a separate refrigerator maintained for that purpose only, or

31 2. In an impervious secondary container in a designated area of a food storage refrigerator, separated from food and inaccessible to children

H. Medications acquired by the school or abandoned by parents shall be disposed of in accordance with 6 CCR 10072, Part 1, Regulations Pertaining to Solid Waste Sites and Facilities and 6 CCR 10073, Parts 260268, and Parts 99 and 100.

I. Medical oxygen shall not be used by students or staff in areas with open flames. Signage shall be posted in the school that oxygen is in use.

J. Telephone or radio communications shall be provided and kept available in each school for emergency purposes.

K. A written plan with common procedures for handling medical emergencies shall be kept and made available for review. A current list of emergency services with telephone numbers, including the address and telephone number of the school, shall be posted in one or more prominent place(s) in each school.

L. A written all hazards plan for handling disasters, including large outbreaks, shall be available at each school. Disaster training and review will be conducted each year at each school. Principals, school personnel and students will periodically review and test each disaster plan.

M. Schools should follow the Department’s Infectious Disease Guidelines for Schools and Child Care, including reporting requirements to LPHA and the Department.

32 APPENDICES

33 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* may form explosive 2Butanol C2H5CH(OH)CH3 78922 peroxides upon (secButyl Alcohol) concentration may form explosive Acetal C6H14O2 105577 peroxides upon (1,1Diethoxyethane) concentration; toxic may form explosive peroxides upon Acetaldehyde concentration; CH3CHO 75070 (Ethanal) possibly carcinogenic to humans; highly flammable respiratory irritant, Acetyl Halides (e.g., Acetyl toxic; violent reaction Fluoride, Acetyl Chloride, Acetyl with water; dangerous Bromide, Acetyl Iodide) fire risk

Acetyl Nitrate CH3CONO3 591093 shock sensitive flammable and reactive; may be fatal

Acrolein CH2CHCHO 107028 if ingested, inhaled, or absorbed through the skin may form explosive

Acrylic Acid (Propenoic Acid) H2CCHCO2H 79107 peroxides; reactive; corrosive may form explosive peroxides; possibly

Acrylonitrile CH2CHCN 107131 carcinogenic to humans; flammable; reactive

34 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* Alcohols (Allylic, Benzylic) Note: Alcohols are referred to as allylic or benzylic if the hydroxyl group is bonded to an allylic carbon atom (adjacent to a C=C double bond) or a benzylic carbon may form explosive atom (next to a benzene ring), peroxides upon respectively. (e.g., 3penten2ol; concentration 2propen1ol (allyl alcohol), 1 phenylethanol, phenylmethanol (benzyl alcohol), diphenylmethanol (diphenylcarbinol), triphenylmethanol (triphenylcarbinol)). AlkylSubstituted Cycloaliphatics Note: Methyl, ethyl, propyl, butyl are common alkyl may form explosive substituents. A cycloaliphatic is a peroxides upon cyclic hydrocarbon such as concentration cyclopropane, cyclobutane, or cyclohexane (e.g., tert butylcycloheptane or 1cyclobutyl 4methylpentane). waterreactive; generates poisonous Aluminum Phosphide AlP 20859738 and explosive gas when in contact with air or moisture Amatol (TNT and Ammonium explosive Nitrate mixture) Ammonal (TNT, Ammonium Nitrate, and Aluminum Powder explosive Mixture)

Ammonium Bromate NH4BrO3 13843599 shock sensitive strong oxidizer; Ammonium Chlorate NH4ClO3 10192297 explosive Ammonium NH3Co(NO2)6 13600981 explosive Hexanitrocobaltate

35 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard*

Ammonium Nitrite NH4NO2 13446485 explosive strong oxidizer; Ammonium Perchlorate NH4ClO4 7790989 explosive; irritant strong oxidizer;

Ammonium Periodate NH4IO4 13446112 explosive; irritant; inhalation hazard

Ammonium Permanganate NH4MnO4 13446101 explosive Ammonium (NH4)3CrO8 explosive Tetraperoxychromate dust fire and explosion hazard; Antimony Compounds (e.g., poison; corrosive; triethyl stibine, tripropyl stibine, reactive; some trivinyl stibine, antimony antimony compounds trichloride, antimony are possibly pentachloride, nickel antimonide) carcinogenic to humans Arsenic and Arsenic Compounds (e.g., lead arsenate, sodium carcinogenic to arsenate, sodium arsenite, Trisilyl humans; poison Arsine, arsine, arsenic trioxide) Azide Compounds (e.g., hydrogen acutely toxic; shock azide, sodium azide, copper azide, sensitive; explosive lead (dinitride) azide) shock sensitive, Azidocarbonyl Guanidine C2H4N6O 54567247 explosive waterreactive; may ignite on contact with Barium Ba 7440393 water or moist air; acutely toxic explosive; strong Barium Chlorate Ba(ClO3)2∙H2O 13477004 oxidizer; toxic Barium Oxide (Anhydrous) BaO 1304285 poison; waterreactive poison; water Barium Peroxide BaO2 1304296 reactive; oxidizer

36 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* carcinogenic to Benzene C6H6 71432 humans; flammable Benzene Diazonium C6H5ClN2 100345 explosive Chloride

Benzotriazole C6H5N3 95147 explosive flammable; explosive; oxidizer; sensitizer; Benzoyl Peroxide (C6H5CO)2O2 94360 allergen; reacts violently with bases reacts violently with oxidants; may form Benzyl Alcohol C6H5CH2OH 100516 explosive peroxides upon concentration strong oxidizer; contact with other Bismuth Nitrate Bi(NO3)3∙5H2O 10035060 material may cause fire; toxic Boranes and Diboranes (e.g., borane, tribromoborane, poison; flammable; trifluoroborane, diborane, waterreactive pentaborane, methyldiborane) oxidizer; poison; inhalation hazard;

Bromine Pentafluoride BrF5 7789302 corrosive; reacts with water with explosive force oxidizer; poison; inhalation hazard;

Bromine Trifluoride BrF3 7787715 corrosive; reacts with water with explosive force may for explosive peroxides; Butadiene C4H6 106990 carcinogenic to humans

Butanetriol Trinitrate (BTTN) C4H7N3O9 6659605 explosive

37 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* Cadmium and Cadmium Compounds (e.g., cadmium carcinogenic to hydroxide, cadmium oxide, humans; highly toxic cadmium sulfide) strong oxidizer; may

Calcium Nitrate, Anhydrous Ca(NO3)2 10124375 explode if shocked or heated

Calcium Permanganate Ca(MnO4)2 10118760 strong oxidizer possibly carcinogenic

Carbon Tetrachloride CCl4 56235 to humans; acutely toxic controlled barbiturate;

Chloral Hydrate CCl3CH(OH)2 302170 probably carcinogenic to humans oxidizer, corrosive, Chlorine Cl2 7782505 may be fatal if inhaled oxidizer; flammable

Chlorine Dioxide ClO2 10049044 and reactive; shock sensitive; explosive powerful oxidizer; explosive reaction Chlorine Trifluoride ClF3 7790912 with water and acids; poisonous if inhaled shock sensitive; Chlorine Trioxide ClO3 13932100 explosive shock sensitive; air Chloroacetylene C2HCl 593635 reactive poison; possibly

Chloroform CHCl3 67663 carcinogenic to humans shock sensitive;

Chloropicrin CCl3NO2 76062 explosive; poison; inhalation hazard

38 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* may form explosive peroxides; possibly Chloroprene C4H5Cl 126998 carcinogenic to humans may form explosive Chlorotrifluoroethylene C2F3Cl 79389 peroxides Chromic Chloride (Chromium (III) acutely toxic; fatal if CrCl3∙6H2O 10060125 Chloride) inhaled Chromium (Powder) Cr 7440473 flammable; toxic waterreactive; chromium (VI)

Chromyl Chloride CrO2Cl2 14977618 compounds are carcinogenic to humans possibly carcinogenic Cobalt (Powder) Co 7440484 to humans

Colchicine C22H25NO6 64868 acutely toxic

Copper Acetylide Cu2C2 1117948 explosive may form explosive peroxides upon

Cumene (Isopropylbenzene) C6H5CH(CH3)2 98828 concentration; possibly carcinogenic to humans may form explosive

Cycloheptanone C7H12O 502421 peroxides; flammable; corrosive; toxic may form explosive

Cyclohexanol C6H11OH 108930 peroxides upon concentration may form explosive

Cyclopentene C5H8 142290 peroxides upon concentration may form explosive peroxides upon Diacetylene (Butadiyne) C4H2 460128 concentration; highly flammable; explosive

39 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard*

Diazidoethane C2H4N6 629130 explosive

Diazodinitrophenol (DDNP) C6H2N4O5 4682035 explosive poisonous and Diazomethane CH2N2 334883 flammable gas may form explosive peroxides upon

Dicyclopentadiene C10H12 77736 concentration; acutely toxic; fatal if inhaled; flammable may form explosive Diisopropyl Ether C6H14O 108203 peroxides

Dinitrophenol C6H3OH(NO2)2 51285 explosive may form explosive peroxides upon

Dioxane C4H802 123911 concentration; possibly carcinogenic to humans Dipentaerythritol Hexanitrate C10H16N6O19 13184800 explosive (DPEHN)

Disulfur Dinitride S2N2 25474924 explosive may form explosive peroxides; acutely Divinyl Acetylene C6H6 821089 toxic; highly flammable may form explosive

Divinyl Ether C4H6O2 109933 peroxides; highly flammable may form explosive

Ethyl Ether (diethyl ether) (C2H5)2O 60297 peroxides upon concentration

Ethyl Nitrite C2H5NO2 109955 explosive may form explosive Ethylene Glycol Dimethyl Ether C4H10O2 28923399 peroxides upon (Glyme or 1,2Dimethoxyethane) concentration

40 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard*

Ethylene Glycol Dinitrate (EGDN C2H4N2O6 628966 explosive or 1,2Dinitroxyethane) carcinogenic to humans; flammable; explosive; may be Ethylene Oxide C2H4O 75218 fatal if inhaled or absorbed through the skin carcinogenic to humans; Formaldehyde CH2O 50000 poison; may cause allergic reaction possibly carcinogenic to humans; may form Furan C4H4O 110009 explosive peroxides upon concentration Glycerol Monolactate Trinitrate C6H9N3O11 explosive (GLTN) Both the Grignard Grignard Reagents and their Reagent and the solvents solvents are Note: a Grignard Reagent has a hazardous. The formula RMgX where X is a Grignard Reagents halogen and R is an alkyl or aryl can be highly (based on a benzene ring) group. reactive, corrosive, An example is CH3CH2MgBr pyrophoric, and toxic. (ethylmagnesium bromide). They The solvents are are typically found in solution with highly flammable and tetrahydrofuran or ether as the may form explosive solvent. peroxides. Guanyl Nitrosamino Guanylidene explosive; strong Hydrazine oxidizer highly flammable; Hexyl Alcohol CH3(CH2)4CH2OH 111273 poison

HMX C4H8N8O8 2691410 explosive

41 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* corrosive; may be fatal if inhaled or ingested; liquid and vapor can cause Hydrofluoric Acid HF 7664393 severe burns not always immediately painful or visible, but possibly fatal fire and explosion risk, severely Hydrogen Peroxide (>30%) H2O2 7722841 corrosive; strong oxidizer highly flammable; exposure to very high concentrations causes immediate

Hydrogen Sulfide H2S 7783064 death; death or permanent injury may occur after very short exposure to small quantities highly flammable; Isopropyl Ether C6H14O 108203 may form explosive (Diisopropyl Ether) peroxides explosive; probably Lead Dinitroresorcinate (LDNR) PbC6H2(NO2)2(OH)2 carcinogenic to humans toxic; probably carcinogenic to humans; will Lead Dioxide PbO2 1309600 accelerate burning in (Lead (IV) Oxide or Lead Brown) fire; may explode from heat or contamination explosive; shock Lead Mononitroresorcinate sensitive; probably PbC6H3NO2(OH)2 51317249 (LMNR) carcinogenic to humans

42 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* explosive; probably Lead Trinitroresorcinate PbC6H(NO2)3(OH)2 15245440 carcinogenic to (Lead Styphnate) humans oxidizer; shock Lithium Nitrate LiNO3 7790694 sensitive highly flammable; powder is easily ignited and burns with Lithium Nitride Li3N 26134623 intense heat; may ignite spontaneously in moist air oxidizer; toxic; Lithium Peroxide Li2O2 12031800 explosive reacts with water to Magnesium liberate hydrogen Mg 7439954 (except Mg ribbon & turnings) gas; flammable solid; easily ignited

Magnesium Peroxide MgO2 14452574 strong oxidizer explosive; strong Mannitol Hexanitrate C6H8N6O18 15825704 oxidizer corrosive; poison; Mercury Hg 7439976 severely and subtly (except in sealed devices) toxic Mercury Compounds (e.g., Nessler's Reagent, mercuric poison; severely and chloride, mercuric potassium subtly toxic iodide, mercuric fluoride) highly flammable; may form explosive Methyl Acetylene C3H4 74997 peroxides upon concentration

Methyl Cyclopentane C6H12 96377 highly flammable waterreactive; highly

Methyl Isocyanate CH3NCO 624839 flammable; polymerizable

43 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* may form explosive

Methyl MethacrylateMonomer C5H8O2 80626 peroxides; flammable; explosive (vapor) metaTrinitrocresol explosive; strong C7H5N3O7 602993 (3Methyl2,4,6trinitrophenol) oxidizer Nessler's Reagent (Mercuric Potassium Iodide and Hg+KI+NaOH 7783337 Sodium Hydroxide)

Nicotine C10H14N2 54115 poison; acutely toxic explosive; strong Nitroglycerin C3H5N3O9 55630 oxidizer explosive; highly flammable; water

Nitrosoguanidine C2H5N5O3 70257 reactive; decomposes at elevated temperatures acutely toxic; may be

Osmic Acid (Osmium Tetroxide) OsO4 20816120 fatal if inhaled or ingested orthoToluidine (e.g., Toluidine carcinogenic to C7H9N 95534 Blue) humans; poison Pentaerythrite Tetranitrate explosive; strong C5H8N4O12 78115 (PETN) oxidizer strong oxidizing agent; corrosive; contact with organics

Perchloric Acid HClO4 7601903 may result in explosion; can cause serious or permanent injury combustible; corrosive; may be

Phenol C6H6O 108952 fatal if inhaled, ingested, or absorbed through skin

44 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* extremely toxic;

Phenyl Thiourea C7H8N2S 103855 poison; emits toxic fumes when heated flammable solid; self ignition possible; Phosphorus (yellow or white) P 7723140 evolves dangerous gas if burned Phosphorus Halides and Oxides (e.g., phosphorus waterreactive; trichloride, phosphorus trioxide, corrosive; toxic phosphorus, pentabromide) Phosphides (e.g., magnesium aluminum phosphide, potassium poison; waterreactive phosphide, sodium phosphide) explosive; water Phthalic Anhydride C8H4O3 85449 reactive explosive; strong Picramide C6H4N4O6 489985 oxidizing agent Picrates and Picryl Compounds (e.g.,ammonium picrate, lead explosive picrate, potassium picrate, picryl sulfonic acid, picryl chloride)

extremely reactive; Picric Acid (2,4,6Trinitrophenol) C6H3N3O7 88891 explosive when dry paraNitrophenol poison; forms NO2C6H4OH 100027 (4Nitrophenol) explosive mixtures Polyvinyl Nitrate explosive; shock (C2H3NO3)n (PVN or polyethenyl nitrate) sensitive may form explosive Potassium Amide KNH2 17242523 peroxides Potassium Cyanide KCN 151508 acutely toxic Potassium Dinitrobenzofuroxan KC6H2N4O6 29267752 explosive (KDNBF)

Potassium Nitrite KNO2 7758090 strong oxidizer

45 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard*

Potassium Perchlorate KClO4 7778747 explosive

Potassium Periodate KIO4 7790218 strong oxidizer waterreactive; strong Potassium Peroxide K2O2 17014710 oxidizer waterreactive; strong Potassium Superoxide KO2 12030885 oxidizer

RDX C3H6N6O6 121824 explosive Silanes and Chlorosilanes flammable; reactive; (e.g., silane; dichlorosilane; highly toxic tetramethylsilane; trichlorosilane) air and water Silicon Tetrachloride SiCl4 10026047 reactive; corrosive explosive; shock Silver Acetylide Ag2C2 13092756 sensitive acutely toxic; may be fatal if inhaled, Silver Cyanide AgCN 506649 ingested, or absorbed through skin Silver Dinitroresorcinate reactive; ignitable; Ag2C6H(NO3)2(OH)2 (Silver Styphnate) shock sensitive

Silver Fulminate AgCNO 5610593 explosive

Silver Cyanate AgOCN 3315160 toxic shock sensitive; Silver Nitride Ag3N 20737024 explosive

Silver Oxalate Ag2C2O4 533517 shock sensitive Silver Tetrazene shock sensitive may form explosive peroxides; water Sodium Amide NaNH2 7782925 reactive; highly flammable

Sodium Chlorate NaClO3 7775099 oxidizer; explosive

Sodium Chlorite NaClO2 7758192 oxidizer; explosive

46 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* Sodium Cyanide NaCN 143339 acutely toxic spontaneously Sodium Dithionite (Sodium Na2S2O4 7775146 combustible; water Hydrosulfite) reactive; pyrophoric spontaneously

Sodium Methylate NaCH3O 124414 combustible; water reactive; pyrophoric air and water Sodium Perborate NaBO3 7632044 reactive; explosive oxidizer; water Sodium Perchlorate NaClO4 7601890 reactive; explosive

Sodium Permanganate NaMnO4 10101505 oxidizer; explosive oxidizer; water reactive; toxic; explosion and fire risk Sodium Peroxide Na2O2 1313606 in combination with powdered metals and organics

Strontium Perchlorate SrCl2O8 13450970 shock sensitive highly flammable; may form explosive Styrene Monomer C8H8 100425 peroxides; polymerizable air and water reactive; corrosive; Sulfur Trioxide SO3 7446119 poison; inhalation hazard air and water Sulfuryl Chloride reactive; corrosive; Cl2O2S 7791255 (Sulfonyl Chloride) poison; inhalation hazard poison; water Sulfuryl Chloride Fluoride ClFO2S 13637848 reactive; corrosive

47 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* spontaneously combustible; pyrophoric; fire will tertbutyl Hypochlorite C4H9ClO 507404 produce irritating, corrosive, and/or toxic gases may form explosive peroxides; highly

Tetrafluoroethylene C2F4 116143 flammable; probably carcinogenic to humans highly flammable;

Tetrahydrofuran C4H8O 109999 oxidizes in air to form explosive peroxides highly flammable; vapors may form explosive mixtures Tetrahydronaphthalene C10H12 119642 with air; may form explosive peroxides upon concentration oxidizer; poison; possibly carcinogenic Tetranitromethane CN4O8 509148 to humans; inhalation hazard; explosive

Tetraselenium Tetranitride Se4N4 12033884 shock sensitive Tetrazene shock sensitive; (tetrazolyl guanyltetrazene C2H6N10∙H2O 31330639 explosive hydrate) Tetryl (2,4,6 C7H5N5O8 479458 oxidizer; explosive trinitrophenylmethylnitroamine)

Thallium Nitride Tl3N 12033679 shock sensitive Thermit (example: could be a flammable solid; mixture of aluminum powder, iron dangerous fire risk; oxide, ferro managanese, and once started, reaction ferro vanadium) is very difficult to stop

48 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* Thermite Igniting Mixture becomes a fire (example: could be a mixture of hazard if exposed to a aluminum, barium nitrate, iron flame or high oxide and a binder such as dextrin temperatures on a copper stick)

poison; inhalation Thiocarbonyl Tetrachloride CCl4S 594423 hazard (Perchloromethyl Mercaptan) violently water

Thionyl Chloride SOCl2 7719097 reactive; lachrymator; highly corrosive; toxic spontaneously combustible; may Titanium (Powder) Ti 7440326 ignite on contact with moist air or moisture waterreactive; corrosive; acutely Titanium Tetrachloride TiCl4 7550450 toxic; may be fatal if inhaled spontaneously combustible;

Triethyl Aluminum (C2H5)3Al 97938 flammable gas is produced on contact with water spontaneously combustible; reacts

Triisobutyl Aluminum (C4H9)3Al 100992 violently with water producing flammable gas spontaneously combustible;

Trimethyl Aluminum (CH3)3Al 75241 flammable gas is produced on contact with water explosive; strong Trinitroanisole C7H5N3O7 606359 oxidizer explosive; flammable Trinitrobenzene C6H3N3O6 99354 solid; strong oxidizer

49 Appendix A – Prohibited Chemicals Name Formula CAS # Hazard* explosive; highly 129668 or Trinitrobenzoic Acid C7H3N3O8 flammable; strong 35860505 oxidizer Trinitronaphthalene explosive; strong C10H5N3O6 2243949 (1,3,5Trinitronaphthalene) oxidizer explosive; strong Trinitroresorcinol C6H3N308 82713 oxidizer Trinitrotoluene (TNT or 2,4,6 explosive; strong C7H5N3O6 118967 Trinitrotoluene) oxidizer Uranium and Uranium Compounds (e.g., uranium oxide, toxic by inhalation or Uranyl Acetate, Uranyl Nitrate, ingestion uranium hexafluoride, uranium tetrafluoride) explosive; strong Urea Nitrate CH4N2O.HNO3 124470 oxidizer may form explosive peroxides; possibly Vinyl Acetate C4H6O2 108054 carcinogenic to humans; reactive may form explosive Vinyl Acetylene C4H4 689974 peroxides; reactive carcinogenic to humans; may form Vinyl Chloride C2H3Cl 75014 explosive peroxides; reactive Vinyl Ethers (e.g., divinyl ether; 2 may form explosive chloroethylvinyl ether; butyl vinyl peroxides upon ether) concentration Vinylidene Chloride may form explosive C2H2Cl2 75354 (1,1Dichloroethene or 1,1DCE) peroxides oxidizer; used as an

Zinc Peroxide ZnO2 1314223 oxidant in explosives; toxic

* The hazard information provided for the listed chemicals is not intended to address all safety concerns. Before attempting to work with any chemical, review and comply with information

50 provided on the SDS.

Appendix B – Restricted Chemicals Name Formula CAS # Hazard* 2Butanone highly flammable; may

(Methyl Ethyl Ketone or CH3COC2H5 78933 form explosive MEK) peroxides possibly carcinogenic to Acetamide CH3CONH2 60355 humans Acetanilide

(nPhenylacetamide or CH3CONHC6H5 103844 combustible; irritant Acetamidobenzene)

Acetic Acid CH3COOH 64197 flammable; corrosive waterreactive; Acetic Anhydride (CH3CO)2O 108247 corrosive; flammable highly flammable; Acetone CH3COCH3 67641 inhalation hazard

Acetylcholine Bromide C7H16BrNO2 66239 toxic; irritant

Acridine Orange C17H19N3 10127023 irritant

Adipoyl Chloride ClOC(CH2)4COCl 111502 corrosive

Alizarin Red C14H7NaO7S 130223 toxic Alkyl Aluminum Chloride Unavailable Unavailable water reactive waterreactive; strong Aluminum (Powder) Al 7429905 reducing agent; pyrophoric

Aluminum Acetate Al(C2H3O2)2OH 142030 toxic air and waterreactive; Aluminum Bromide AlBr3 7727153 corrosive Aluminum Chloride waterreactive; AlCl3∙6H2O 7784136 Hexahydrate corrosive

51 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* waterreactive;

Aluminum Fluoride AlF3 7784181 corrosive; inhalation hazard

Aluminum Hydroxide Al(OH)3 21645512 possibly toxic

Aluminum Nitrate Al(NO3)3∙9H2O 7784272 strong oxidizer Aluminum poison; air and water– Tetrahydroborate Al(BH4)3 16962075 reactive; pyrophoric; (Aluminum Borohyrdide) strong reducing agent poison; waterreactive;

Ammonia, Anhydrous NH3 7664417 inhalation hazard; corrosive Ammonia Solutions in NH3 7664417 corrosive; reactive; toxic Water inhalation hazard; Ammonium Acetate NH4C2H3O2 631618 irritant inhalation hazard; Ammonium Bicarbonate NH4HCO3 1066337 irritant chromium (VI) compounds are Ammonium Dichromate (NH4)2Cr2O7 7789095 carcinogenic to humans; strong oxidizer; poison inhalation hazard; Ammonium Bromide NH4Br 12124979 irritant inhalation hazard; Ammonium Carbonate NH4CO3 10361292 irritant toxic; inhalation hazard; Ammonium Chloride NH4Cl 12125029 irritant chromium (VI) compounds are Ammonium Chromate (NH4)2CrO4 7788989 carcinogenic to humans; strong oxidizer; poison

Ammonium Fluoride NH4F 12125018 corrosive; toxic inhalation hazard; Ammonium Hydroxide NH4OH 1336216 severely corrosive

Ammonium Iodide NH4I 12027064 inhalation hazard

52 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* Ammonium Molybdate (NH4)6Mo7O24∙4H2O 12054852 toxic Tetrahydrate Ammonium Nitrate NH4NO3 6484522 shock sensitive; oxidizer (500 g limit) Ammonium Oxalate (NH4)2C2O4∙H2O 6009707 corrosive; toxic Monohydrate Ammonium Phosphate, respiratory hazard;

Dibasic (Diammonium (NH4)2HPO4 7783280 potential for skin and Hydrogen Phosphate eye damage Ammonium Phosphate, respiratory hazard;

Monobasic (Ammonium NH4H2PO4 7722761 potential for skin and Dihydrogen Phosphate) eye damage

Ammonium Sulfate (NH4)2SO4 7783202 respiratory hazard respiratory hazard;

Ammonium Sulfide (NH4)2S 12135761 corrosive; poison; flammable

Ammonium Tartrate (NH4)2C4H4O6 3164292 irritant inhalation hazard; Ammonium Thiocyanate NH4SCN 1762954 strong reducing agent

Amyl Acetate CH3COOC5H11 628637 flammable; toxic

Aniline C6H5NH2 62533 acutely toxic

Aniline Hydrochloride C6H5NH2∙HCl 142041 corrosive; acutely toxic Anisoyl Chloride air and water reactive; (Methyoxybenzoyl C8H7ClO2 100072 corrosive; Chloride)

Barium Acetate Ba(C2H3O2)2 543806 acutely toxic

Barium Carbide BaC2 50813655 water–reactive; toxic

Barium Chloride, Dihydrate BaCl2∙2H2O 10326279 poison; acutely toxic

Barium Nitrate Ba(NO3)2 10022318 oxidizer; toxic

Benzaldehyde C6H5CHO 100527 combustible Benzene Phosphorus airand waterreactive; C6H5PCl2 644973 Dichloride fumes in air; corrosive

53 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* concentrated dust may Benzoic Acid C6H5COOH 65850 form explosive mixture probably carcinogenic to humans; poison; corrosive; toxic; Benzyl Chloride C6H5CH2Cl 100447 lachrymator; releases toxic fumes when heated

water reactive; ignites Benzylsodium C7H7Na 1121535 spontaneously in air;

Benzylamine corrosive; poison; C6H5CH2NH2 100469 (Benzenemethanamine) combustible violently air and water reactive; beryllium Beryllium Tetrahydroborate Be(BH4)2 17440856 compounds are carcinogenic to humans

Biphenyl (Diphenyl) C6H5C6H5 92524 irritant; combustible

Bismuth Pentafluoride BiF5 7787624 water–reactive; toxic

Boric Acid H3BO3 10043353 harmful if swallowed

Boron Bromide Diiodide BBrI2 14355216 violently waterreactive

Boron Dibromoiodide BBr2I unavailable violently waterreactive Boron Phosphide BP 20205918 waterreactive

Boron Trichloride BCl3 13517107 waterreactive; toxic Bromine Fluoride BrF 13863597 waterreactive corrosive; irritating Bromine Water Br2 + H2O 7726956 fumes; toxic

Bromobenzene C6H5Br 108861 highly flammable; toxic

Bromodiethylaluminum C4H10AlBr 760190 waterreactive

Bromoform CHBr3 75252 poison; lachrymator Butanol CH3(CH2)3OH 71363 highly flammable; toxic (nButyl Alcohol)

Butyric Acid CH3CH2CH2COOH 107926 corrosive; combustible; stench agent;

54 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* lachrymator waterreactive; Calcium (100 g limit) Ca 7440702 flammable solid

Calcium Bromide CaBr2 7789415 toxic strong oxidizer; reactive; Calcium Hypochlorite Ca(ClO)2 7778543 toxic Calcium Nitrate strong oxidizer; shock Ca(NO3)2∙4H2O 13477344 Tetrahydrate sensitive violently air and water Calcium Phosphide Ca3P2 1305993 reactive; strong (CP) reducing agent; poison toxic; flammable solid; Camphor C10H16O 76222 combustible Carbon Disulfide (Carbon highly flammable; CS2 75150 Bisulfide) poison; severe fire risk Cerium (IV) Sulfate strong oxidizer; Ce(SO4)2 13590824 (Ceric Sulfate) corrosive; irritant

Cesium Amide CsH2N 22205578 waterreactive

Cesium Phosphide Cs3P 113737023 waterreactive strong oxidizer; water Chlorine Fluoride ClF 7790898 reactive

Chlorine Pentafluoride CIF5 13637633 waterreactive

Chloroacetic Acid C2H3ClO2 79118 acutely toxic; corrosive air and waterreactive;

Chloroacetyl Chloride C2H2Cl2O 79049 corrosive; poison; inhalation hazard

highly flammable; Chlorobenzene C6H5Cl 108907 inhalation hazard

Chlorodiisobutyl Aluminum waterreactive; highly (Diisobutylaluminum C8H18AlCl 1779255 flammable Chloride) poison; highly 2Chlorophenyl Isocyanate C7H4ClNO 3320830 flammable

55 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* chromium (VI) compounds are Chromic Acid CrO3 1333820 carcinogenic to humans; strong oxidizer; poison Chromium (III) Nitrate

Nonahydrate (Chromium Cr(NO3)3∙9H2O 7789028 oxidizer; toxic Trinitrate) Chromium (III) Sulfate Cr2(SO4)3∙nH2O 10101538 corrosive; toxic (Chromic Sulfate) chromium (VI) compounds are Chromium Trioxide CrO3 1333820 carcinogenic to humans; strong oxidizer; poison cobalt and cobalt Cobalt (II) Nitrate compounds are possibly Hexahydrate (Cobaltous Co(NO3)2∙6H2O 10026229 carcinogenic to humans; Nitrate) acutely toxic Copper (II) Bromide

(Cupric Bromide, CuBr2 7789459 toxic; irritant Anhydrous) highly flammable; Cyclohexane CH2(CH2)4CH2 110827 poison Dichloromethane probably carcinogenic to CH2Cl2 75092 (Methylene Dichloride) humans; poison waterreactive; highly

Diethyl Aluminum Chloride C4H10AlCl 96106 flammable; inhalation hazard air and waterreactive; Diethyl Zinc (DEZ) C4H10Zn 557200 highly flammable waterreactive; beryllium

Diisopropyl Beryllium C6H14Be 15721332 compounds are carcinogenic to humans air and waterreactive;

Dimethyl Magnesium C2H6Mg 2999748 spontaneously flammable in air

56 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* Diphenylmethane4,4 C15H10N2O2 101688 Poison Diisocyanate

Diphenylamine (C6H5)2NH 122394 Poison

Ethanol (Ethyl Alcohol) C2H5OH 64175 highly flammable highly flammable; toxic;

Ethyl Acetate CH3COOC2H5 141786 may form explosive peroxides highly flammable; Ethyl Methacrylate CH2CCH3COOC2 97632 polymerizable highly flammable; possibly carcinogenic to Ethylene Dichloride C2H4Cl2 107062 humans; poison; emits (1,2Dichloroethane) toxic gases if heated or burned highly flammable;air Ethylenediamine NH2CH2CH2NH2 107153 reactive; corrosive FAA Solution flammable; acutely (FormalinAcetoAlcohol toxic; carcinogenic to Solution) humans Fehlings Solution A (Copper (II) Sulfate and acutely toxic Water) Fehlings Solution B (Sodium Hydroxide; caustic; toxic Potassium Sodium Tartrate; and Water) Ferric Chloride, Anhydrous corrosive; inhalation FeCl3 7705080 (Iron (III) Chloride) hazard Ferric Nitrate Nonahydrate strong oxidizer; irritant;

(Iron (III) Nitrate Fe(NO3)3∙9H2O 7782618 explosion hazard with Nonahydrate) heat strong oxidizer; air and Fluorine Monoxide F2O 7783417 waterreactive; poison; (Oxygen Difluoride) corrosive corrosive; air and Fluorosulfonic Acid HSO3F 7789211 waterreactive

57 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* toxic; corrosive; Formalin CH2O 50000 carcinogenic to humans Formic Acid HCOOH 64186 flammable; corrosive highly flammable; 8006619 or Gasoline UNDEFINED possibly carcinogenic to 86290815 humans

Glutaraldehyde OCH(CH2)3CHO 111308 waterreactive; toxic explosive; shock Gold Acetylide C2Au2 70950004 sensitive; water reactive

Hematoxylin C16H14O6 517282 toxic nHeptane CH3(CH2)5CH3 142825 highly flammable; toxic Hexamethylene C8H12N2O2 822060 waterreactive; toxic Diisocyanate (HDI) Hexamethylenediamine H2N(CH2)6NH2 124094 corrosive; toxic (1, 6Diaminohexane) nHexane CH3(CH2)4CH3 110543 highly flammable; toxic Hydriodic Acid HI 10034852 acutely toxic; corrosive acutely toxic; water Hydrobromic Acid HBr 10035106 reactive; corrosive Hydrochloric Acid (Muriatic HCl 7647010 toxic; severely corrosive Acid) readily decomposes with almost anything; Hydrogen Peroxide (30% H2O2 7722841 strong oxidizer; or less) explosion hazard; corrosive Hydroquinone (Benzene1, C6H4(OH)2 123319 toxic 4diol) Hydroxylamine toxic; strong reducing NH2OH∙HCl 5470111 Hydrochloride agent poison; strong oxidizing Iodine I2 7553562 agent

58 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* toxic; waterand air Iodine Monochloride reactive; strong ICl 7790990 (Chlorine Iodide) oxidizing agent; corrosive metal dust may present Iron (powder) Fe 7439896 a fire hazard and a health hazard Isoamyl Alcohol (3Methyl

1butanol or Isopentyl (CH3)2CHCH2CHOH 123513 highly flammable; toxic Alcohol)

Isobutyl Alcohol (CH3)2CHCH2OH 78831 highly flammable; toxic highly flammable; toxic;

Isopropyl Alcohol (CH3)2CHOH 67630 may form explosive peroxides Kerosene UNDEFINED 8008206 highly flammable; toxic oxidizer; toxic; probably Lead Nitrate Pb(NO3)2 10099748 carcinogenic to humans oxidizer; acutely toxic; Lead Tetraoxide, (Red Pb3O4 1314416 probably carcinogenic to Lead Oxide) humans waterreactive; toxic; flammable; dangerous Lithium Amide LiNH2 7782890 fire and explosion hazard Lithium Bromide LiBr 7550358 acutely toxic waterreactive; acutely Lithium Ferrosilicon FeSi∙Li 70399132 toxic; highly flammable waterand airreactive; Lithium Silicon Li∙Si 68848646 acutely toxic; strong reducing agent

Lithium Sulfate Li2SO4∙H2O 10102257 toxic flammable solid; water Magnesium (ribbon) Mg 7439954 reactive Magnesium Nitrate Mg(NO3)2∙6H2O 13446189 oxidizer; toxic Hexahydrate

59 Appendix B – Restricted Chemicals Name Formula CAS # Hazard*

Manganese Carbonate MnCO3 598629 toxic Manganese Dioxide (Manganese Black;

Manganese Oxide; MnO2 1313139 toxic Manganese Peroxide; Manganese Superoxide) Manganese (II) Nitrate

Hexahydrate (Manganous Mn(NO3)2∙6H2O 10377669 strong oxidizer; toxic Nitrate Hexahydrate)

Methyl Alcohol (Methanol) CH3OH 67561 highly flammable; toxic waterand airreactive; Methyl Aluminum C3H9Al2Br3 12263853 toxic; dangerous fire Sesquibromide and explosion hazard waterand airreactive; Methyl Aluminum C3H9Al2Cl3 12542857 toxic; dangerous fire Sesquichloride and explosion hazard Methyl Chloride CH3CI highly flammable; toxic (Chloromethane) 74873 possibly carcinogenic to Naphthalene (Moth Balls, C10H8 91203 humans; highly Moth Flakes) flammable 1Naphthol (alpha C10H7OH 90153 toxic Naphthol) spontaneously nButyllithium C4H9Li 109728 flammable in air; toxic nickel compounds are Nickel (II) Nitrate Ni(NO3)2∙6H2O 13478007 carcinogenic to humans; Hexahydrate oxidizer Nickel (II) Sulfate nickel compounds are NiSO4∙6H2O 10101970 Hexahydrate carcinogenic to humans acutely toxic; strong

Nitric Acid HNO3 7697372 oxidizer; waterand air reactive possibly carcinogenic to

Nitrobenzene C6H5NO2 98953 humans; acutely toxic; flammable

60 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* may displace oxygen, which could cause asphyxiation;

Nitrogen N2 7727379 compressed gas cylinder hazards; liquid nitrogen presents a low temperature hazards Octyl Alcohol (Octanol or CH3(CH2)6CH2OH 111875 flammable; toxic Caprylic Alcohol) orthoDichlorobenzene (1, C6H4Cl2 95501 flammable; toxic 2Dichlorobenzene) Oxalic Acid, Dihydrate H2C2O4∙2H2O 6153566 acutely toxic (Ethanedioic Acid) strong oxidizer; fire and explosion hazard; Oxygen O2 7782447 compressed gas cylinder hazards paraDichlorobenzene (1, possibly carcinogenic to C6H4Cl2 106467 4Dichlorobenzene humans; flammable Pentyl Alcohol (Amyl CH3(CH2)4OH 71410 highly flammable; toxic Alcohol or Pentanol) Petroleum Ether UNDEFINED Unavailable highly flammable; toxic (500 mL limit)

Phosphoric Acid H3PO4 7664382 toxic; corrosive Phthalic Acid (1, 2 C6H4(COOH)2 88993 combustible; toxic Benzenedicarboxylic Acid) Polymethylene Polyphenyl Isocyanate (Polymeric (C8H5NO)n 9016879 water reactive; toxic Diphenylmethane Diisocyanate or MDI)

Polyvinyl Alcohol CH2CH(OH) 9002895 combustible; toxic possibly carcinogenic to Potassium Bromate KBrO3 7758012 humans

61 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* chromium (VI) compounds are Potassium Chromate K2CrO4 7789006 carcinogenic to humans; strong oxidizer; poison chromium (VI) Potassium Dichromate compounds are K2Cr2O7 7778509 (Potassium Bichromate) carcinogenic to humans; strong oxidizer; poison Potassium Ferricyanide contact with acids K3Fe(CN)6 13746662 (Red Prussiate) liberates toxic gas Potassium Ferrocyanide (Tetrapotassium toxic; contact with acids K4Fe(CN)6∙3H2O 14459951 Hexacyanoferrate or liberates toxic gas Yellow Prussiate) Potassium Hydroxide KOH 1310583 corrosive; toxic (Potash Lye)

Potassium Iodate KIO3 7758056 oxidizer; toxic

Potassium Nitrate KNO3 7757791 strong oxidizer strong oxidizer;

Potassium Permanganate KMnO4 7722647 explodes on sudden heating

Potassium Persulfate K2S2O8 7727211 strong oxidizer; toxic pyrophoric; spontaneously

Potassium Sulfide K2S 1312738 combustible; strong reducing agent; acutely toxic highly flammable; compressed gas cylinder hazards; vaporizing liquid may Propane CH3CH2CH3 74986 cause frostbite; toxic; will displace oxygen, which may cause asphyxiation corrosive; flammable; Propionic Acid C3H6O2 79094 toxic

62 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* Propyl Alcohol (nPropanol C3H8O 71238 highly flammable; toxic or Propanol) Pyridine (Azine or C5H5N 110861 highly flammable; toxic Azabenzene) Pyrosulfuryl Chloride water and airreactive; Cl2O5S2 7791277 (Sulfur Pentoxydichloride) corrosive; toxic strong oxidizer; Silver Nitrate AgNO3 7761888 corrosive; toxic

Silver Sulfate Ag2SO4 10294265 toxic strong reducing agent; Sodium Bisulfite NaHSO3 7631905 corrosive; toxic chromium (VI) compounds are Sodium Chromate Na2CrO4 7775113 carcinogenic to humans; strong oxidizer; poison cobalt and cobalt Sodium Cobaltinitrite compounds are possibly (Sodium Na3Co(NO2)6 13600981 carcinogenic to humans; Hexanitrocobaltate) toxic chromium (VI) Sodium Dichromate compounds are Na2Cr2O7∙2H2O 7789120 Dihydrate carcinogenic to humans; strong oxidizer; poison Sodium Fluoride NaF 7681494 corrosive; poison waterreactive; Sodium Hydroxide (Lye) NaOH 1310732 corrosive; toxic strong oxidizer; Sodium Hypochlorite NaClO 7681529 corrosive; toxic

Sodium Iodate NaIO3 7681552 strong oxidizer; toxic Sodium Iodide NaI 7681825 toxic strong reducing agent; Sodium Metabisulfite Na2S2O5 7681574 corrosive; toxic

Sodium Nitrate NaNO3 7631994 strong oxidizer; toxic

Sodium Nitrite NaNO2 7632000 strong oxidizer; poison

63 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* Sodium PhosphateTribasic Na3PO4∙12H2O 10101890 corrosive; toxic Dodecahydrate waterreactive; in contact with water releases flammable Sodium Potassium Alloy K2Na 11135812 gases which may ignite spontaneously; corrosive explosive; flammable Sodium Sulfide Na2S∙9H2O 1313844 solid; strong reducing Nonahydrate agent; corrosive; toxic strong reducing agent; Sodium Thiocyanate NaSCN 540727 toxic Sodium Thiosulfate Na2S2O3∙5H2O 10102177 toxic Pentahydrate air and waterreactive; Stannic Chloride SnCl4 7646788 corrosive; toxic

Strontium Nitrate Sr(NO3)2 10042769 strong oxidizer Sulfur Chloride (Sulfur waterreactive; Cl2S2 10025679 Dichloride) corrosive; toxic

Sulfur Pentafluoride S2F10 5714227 waterreactive; poison strong oxidizer; severely

Sulfuric Acid (<10%) H2SO4 7664939 corrosive; water reactive; toxic strong oxidizer; severely Sulfuric Acid (>10%) H2SO4 7664939 corrosive; water (2.5 L limit) reactive; toxic tertButyl Alcohol (t highly flammable;

Butanol or 1,1Dimethyl (CH3)3COH 75650 irritating vapor and Ethanol) liquid Terpineol (Terpene C10H17OH 98555 flammable; toxic Alcohol) air and water reactive; Thiophosphoryl Chloride Cl3SP 3982910 corrosive; toxic

64 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* metal dust may present Tin Sn 7440315 a fire hazard and a health hazard

Toluene (Methyl Benzene) C7H8 108883 highly flammable; toxic Toluene Diisocyanate waterreactive; acutely C9H6N2O2 584849 (TDI) toxic Trichloroethane1,1,1 C2H3Cl3 71556 poison; flammable (Methyl Chloroform) Trichloroethylene carcinogenic to humans; C2HCl3 79016 (Acetylene Trichloride) poison; flammable

Triethanolamine C6H15NO3 102716 toxic

2,2,4Trimethylpentane C8H18 540841 highly flammable; toxic air and water reactive;

TrinButylaluminum C12H27Al 1116707 strong reducing agent; pyrophoric; toxic waterreactive; acutely Trioctyl Aluminum (CH3(CH2)7)3Al 1070004 toxic; flammable Triphenyltetrazolium

Chloride (Red Tetrazolium C19H15N4Cl 298964 toxic or Vitastain) Trisodium Phosphate Na3PO4 7601549 toxic (Sodium Phosphate) Metal dust may present Tungsten W 7440337 a fire hazard and a health hazard.

Turpentine C10H16 8006642 Highly flammable; toxic Toxic; air and water Vanadium Trichloride VCl3 7718981 reactive; corrosive Highly flammable; toxic

Xylene C8H10 1330207 by inhalation or absorption through skin. Zinc (Powder) Zn 7440666 Strong reducing agent; waterreactive; pyrophoric; metal dust may present a fire

65 Appendix B – Restricted Chemicals Name Formula CAS # Hazard* hazard and a health hazard shock sensitive; water Zinc Acetylide reactive Zinc Nitrate Hexahydrate Zn(NO3)2∙6H2O 10196186 Strong oxidizer (500 g limit) Strong reducing agent; Zinc Phosphide Zn3P2 1314847 water reactive; toxic

* The hazard information provided for the listed chemicals is not intended to address all safety concerns. Before attempting to work with any chemical, review and comply with information provided on the SDS.

Appendix B2 – Restricted Chemicals (Demonstration Use Only) Name Formula CAS # Hazard* airand waterreactive; Aluminum Chloride, AlCl3 7446700 fumes in moist air form Anhydrous (25 g limit) toxic gas oxidizer; chromium (VI) Ammonium Dichromate compounds (NH4)2Cr2O7 7789095 (100 g limit) arecarcinogenic to humans Ammonium Persulfate strong oxidizer; (NH4)2S2O8 7727540 (100 g limit) explosion hazard poison; combustible Antimony Metal Sb 7440360 powder; strong reducing (50 g limit) agent strong oxidizer; reacts Bromine violently with organics; Br2 7726956 (3 1 g ampules limit) acutely toxic by inhalation and ingestion

66 Appendix B2 – Restricted Chemicals (Demonstration Use Only) Name Formula CAS # Hazard* waterreactive; reacts Calcium Carbide violently with water to CaC2 75207 (100 g limit) generate acetylene gas; serious fire risk Chromium Oxide strong oxidizer; poison; (Chromic Oxide) Cr2O3 1308389 corrosive (20 g limit) Collodion (a solution of pyroxylin in C25H33O13(NO3)7 9004700 highly flammable ether and alcohol) (100 mL limit) highly flammable; vapors may travel a Cyclohexanone C6H10O 108941 considerable distance (100 mL limit) and ignite; may form explosive peroxides highly flammable; vapors may travel a Cyclohexene C6H10 110838 considerable distance (100 mL limit) and ignite; may form explosive peroxides highly flammable; vapors may travel a Cyclopentanone C5H8O 120923 considerable distance (100 mL limit) and ignite; may form explosive peroxides Diglyme combustible; oxidizes (Diethylene Glycol (CH3O)CH2 111966 readily in air to form Dimethyl Ether) explosive peroxides (500 mL limit) Dinitrophenylhydrazine flammable solid; C6H6N4O4 119266 (100 g limit) explosive when dry

67 Appendix B2 – Restricted Chemicals (Demonstration Use Only) Name Formula CAS # Hazard* Hydrides, Borohydrides (e.g., aluminum borohydride, aluminum hydride, magnesium strong reducing agents; Unavailable lauminum hydride, airand waterreactive phosphorous hydride, sodium borohydride)(100 g limit) flammable gas; burns with a pale blue, almost invisible flame; may Hydrogen displace oxygen, which (limited to lecture bottle of H2 13333740 could cause 4 cu. ft. or less) asphyxiation; compressed gas cylinder hazards waterreactive; highly flammable solid; readily Lithium Li 7439932 ignited by and reacts (20 g limit) with man y extinguishing agents waterreactive; Magnesium (turnings) Mg 7439954 flammable solid; strong (100 g limit) reducing agent highly flammable; vapors may travel a Methyl Isobutyl Ketone (4 considerable distance Methyl2Pentanone or CH3COCH2CH(CH) 108101 and ignite; may form MIBK) explosive peroxides; (250 mL limit) possibly carcinogenic to humans

Pentane (100 mL limit) C5H12 109660 highly flammable waterreactive; flammable solid; can Phosphorus, Red change to white (Amorphous) P 7723140 phosphorus if heated; (50 g limit) strong reducing agent; acutely toxic

68 Appendix B2 – Restricted Chemicals (Demonstration Use Only) Name Formula CAS # Hazard* violently waterreactive; may form explosive Potassium peroxides; combustible; (1container with 5 K 7440097 flammable solid; ignites demonstrationsize pieces) when exposed to water or moisture; may ignite spontaneously in air; Potassium Chlorate explosive; strong KClO3 3811049 (100 g limit) oxidizer strong oxidizer; contact Silver Oxide Ag2O 20667123 with other material may (100 g limit) cause fire violently waterreactive; strong reducing agent; Sodium Na 7440235 flammable solid; may (100 g limit) ignite spontaneously in air Wright's Stain contains mercury; (Hg Containing) UNDEFINED 68988921 poison; acutely toxic (100 mL limit)

Tracking number: 2014-01288

Opinion of the Attorney General rendered in connection with the rules adopted by the

Division of Environmental Health and Sustainability - promulgated by Colorado Board of Health

on 02/18/2015

6 CCR 1010-6

RULES AND REGULATIONS GOVERNING SCHOOLS

The above-referenced rules were submitted to this office on 02/23/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 03, 2015 13:50:26 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Emergency Rules Adopted

Department

Department of Regulatory Agencies

Agency

Public Utilities Commission

CCR number

4 CCR 723-2

Rule title 4 CCR 723-2 RULES REGULATING TELECOMMUNICATIONS PROVIDERS, SERVICES, AND PRODUCTS 1 - eff 02/23/2015

Effective date

02/23/2015

Colorado Register, Vol. 38, No. 6, March 25, 2015 Attachment B- Temporary Rules in Final Format Decision No. C15-0179 PROCEEDING NO. 15R-0110T Page 1 of 4 COLORADO DEPARTMENT OF REGULATORY AGENCIES

Public Utilities Commission

4 CODE OF COLORADO REGULATIONS (CCR) 723-2

PART 2 RULES REGULATING TELECOMMUNICATIONS PROVIDERS, SERVICES, AND PRODUCTS

***

[indicates omission of unaffected rules]

2131. Definitions.

The following definitions apply only in the context of rules 2130 through 2159:

(a) "9-1-1" means a three-digit abbreviated dialing code used to report an emergency situation requiring a response by a public agency such as a fire department or police department.

(b) "9-1-1 facilities" means the facilities (e.g., trunks or transmission paths) that connect from the central office serving the individual telephone that originates a 9-1-1 call to the 9-1-1 tandem and subsequently connect the tandem to a Public Safety Answering Point (PSAP). These may include, but are not limited to, point-to-point private line facilities and E9-1-1 facilities owned, leased or otherwise acquired by a BESP. Common or shared facilities also may be used. These facilities may include private network facilities and governmental facilities (if available) obtained for alternative routing of E9-1-1 calls for temporary use during service interruptions.

(c) "9-1-1 failure" or "9-1-1 outage" means a situation in which 9-1-1 calls cannot be transported from the end users to the PSAP responsible for answering the 9-1-1 emergency calls. 9-1-1 failures also include the inability to deliver location information to the PSAP from the 9-1-1 Automatic Location Identification (ALI) database or a loss of the 9-1-1 ALI functionality.

(d) "9-1-1 tandem" or "9-1-1 tandem switch" means the telecommunications switch dedicated to aggregation of 9-1-1 call traffic from public networks and proper routing of 9-1-1 call traffic to PSAPs.

(e) "ALI database provider" means any person or entity that, on a for-profit or not-for-profit basis, provides ALI to basic emergency service providers and the governing body for a specific geographic area.

(f) “ALI service” means all the services, features, and functionalities of elements and components used to provide ALI, including the applications, databases, management processes and services, selective routing, aggregation, and transport, without regard to the technology used. Attachment B- Temporary Rules in Final Format Decision No. C15-0179 PROCEEDING NO. 15R-0110T Page 2 of 4

(g) "Automatic Location Identification" (ALI) means the automatic display, on equipment at the PSAP, of the telephone number and other information concerning the location of the caller. The ALI database includes non-listed and non-published numbers and addresses, and other information about the caller’s location.

(h) "Automatic Number Identification" (ANI) means the process used on customer-dialed calls to automatically identify the calling station, and the automatic display of the caller’s telephone number on telephone answering equipment used by operators at the PSAP.

(i) "Basic emergency service" means the Part II telecommunications service (§ 40-15-201(2), C.R.S.) permitting the use of the basic local exchange network and the 9-1-1 abbreviated dialing code for reporting police, fire, medical, or other emergency situations to a PSAP and referral to a public agency. The offering or providing of ALI service to a PSAP or governing body by any person is a basic emergency service.

(j) "Basic Emergency Service Provider" (BESP) means any person certificated by the Commission to aggregate and transport 9-1-1 calls from the basic LEC, wireless carrier, or other telecommunications provider to a PSAP.

(k) "E9-1-1 facilities" means the facilities provided by a BESP that interconnects to basic local exchange carriers, wireless carriers, and other telecommunications providers that are used to transport 9-1-1 calls to the PSAP. The facilities may include the use of 9-1-1 tandem switches or direct trunks connecting 9-1-1 calls to the PSAPs and E9-1-1 facilities owned, leased, or otherwise acquired by a BESP. These facilities may include private network facilities and governmental facilities (if available) obtained for alternative routing of E9-1-1 calls for temporary use during service interruptions.

(l) "E9-1-1 features" means the ANI, ALI database and selective routing capabilities and all other components of an E9-1-1 system, not including the transport and switching facilities.

(m) "E9-1-1 tandem" means the switch that receives E9-1-1 calls from the originating local exchange central offices, wireless switch, or any other telecommunications provider's switch, employs the ANI information associated with such calls, determines the correct destination of the call, and forwards the call and the ANI information to that destination.

(n) "Emergency notification service" (ENS) means a service in which, upon activation by a public safety agency:

(I) The 9-1-1 database or database derived from the 9-1-1 database is searched to identify all stations located within a geographic area;

(II) A call is placed to all such stations or all of a certain class of stations within the geographic area (e.g., to exclude calls to facsimile machines, Internet/data access lines, etc.); and

(III) A recorded message is played upon answer to alert the public to a hazardous condition or emergency event in the area (e.g., flood, fire, hazardous material incident, etc.).

(o) "Emergency telephone charge" means a charge to pay for the equipment costs, the installation costs, and the directly-related costs of the continued operation of an emergency telephone service according to the rates and schedules filed with the Colorado Public Utilities Commission. Attachment B- Temporary Rules in Final Format Decision No. C15-0179 PROCEEDING NO. 15R-0110T Page 3 of 4

(p) "Emergency telephone service" (ETS) means a telephone system using the abbreviated dialing code 9-1-1 to report police, fire, medical, or other emergency situations.

(q) "Enhanced 9-1-1" (E9-1-1) means a basic emergency telephone service that includes the association of information such as ANI and ALI (including non-listed and non-published numbers and addresses), and (optionally) selective routing, to facilitate public safety response.

(r) "Geographic area" means the area such as a city, municipality, county, multiple counties or other areas defined by a governing body or other governmental entity for the purpose of providing public agency response to 9-1-1 calls.

(s) "Governing body" means a representative organization responsible for the oversight of 9-1-1 response activities in a specific geographic area. A governing body may be comprised of a board of county commissioners, a board of directors of a special district, a city council or other governing body of a city and/or county, or a separate legal entity established under § 29-1-201,, C.R.S., et seq.

(t) "Multi-line telephone system" (MLTS) means a system comprised of common control units, telephones, and control hardware and software providing local telephone service to multiple customers in businesses, apartments, townhouses, condominiums, schools, dormitories, hotels, motels, resorts, extended care facilities, or similar entities, facilities, or structures. Multi-line telephone system includes:

(I) Network and premises-based systems such as Centrex, PBX, and hybrid-key telephone systems; and

(II) Systems owned or leased by governmental agencies, nonprofit entities, and for-profit businesses.

(u) "Multiple-line telephone system operator" means the person that operates an MLTS from which an end user may place a 9-1-1 call through the public switched network.

(v) "National Emergency Number Association" (NENA) means the international not-for-profit organization whose purpose is to lead, assist, and provide for the development, availability, implementation and enhancement of a universal emergency telephone number or system common to all jurisdictions through research, planning, publications, training and education.

(w) "Other telecommunications providers" means any provider of exchange service, regardless of the types of technology used.

(x) "Public Safety Answering Point" (PSAP) means a facility equipped and staffed to receive and process 9-1-1 calls from a BESP on a 24-hour basis. PSAPs are responsible to direct the disposition of 9-1-1 calls.

(y) "Routing" means the central office programming required to transport a 9-1-1 call to the correct 9- 1-1 tandem.

(z) "Selective routing" means the capability of routing a 9-1-1 call to a designated PSAP based upon the seven digit or ten-digit telephone number of the subscriber dialing 9-1-1.

(aa) "Telecommunications device for the deaf" (TDD) or "text phone" means an instrument defined by the Communications Act of 1934 as a device that employs graphic communication in the transmission of coded signals through a wire or radio communication system. Attachment B- Temporary Rules in Final Format Decision No. C15-0179 PROCEEDING NO. 15R-0110T Page 4 of 4

(bb) "Telecommunications device for the deaf emergency access" or "text phone access" mean the provision of 9-1-1 access to individuals that use TDDs and computer modems.

***

[indicates omission of unaffected rules]

2148. ALI Service.

If any person provides an ALI service to a PSAP or governing body as a separate service or in combination with other components or functionalities of a 9-1-1 service, or if any BESP transitions to or uses an ALI database system or ALI service, including self-provisioning, different from any ALI database system or ALI service used by the BESP in the providing of 9-1-1 services to any PSAP or governing body as of June 1, 2014, then that person or BESP must file an application for and obtain prior authorization from the Commission. The authorization may be subject to terms and conditions as the Commission may prescribe to promote the public interest and will be based upon the following criteria:

(a) accuracy of the ALI database during the provisioning of the ALI service;

(b) reliability of the ALI service, including, without limitation, compliance with the obligations placed upon BESPs in rule 2143;

(d) processes and mechanisms required by service providers for the furnishing and management of the names, addresses, telephone numbers, and other necessary information for all customers for the ALI database;

(e) adequacy of information exchanged with the PSAP or governing body;

(f) adequacy of information exchanged and sufficient testing with other service providers to ensure the accuracy and reliability of the ALI service;

(g) adequacy of the testing of the ALI service, including testing of the delivery of ALI service to each subscribing PSAP; and

(h) any other matter affecting public safety, reliability, pricing, and the public interest.

Commission authorization under this rule is not required for a BESP to continue providing a PSAP or governing body the same ALI service, database, database management service, connectivity, and functionality, and using the same subcontractors as part of an integrated E9-1-1 service as of June 1, 2014, or for the updating of the ALI database in the normal course of business.

2149. – 2159. [Reserved].

***

[indicates omission of unaffected rules] Decision No. C15-0179

BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF COLORADO

PROCEEDING NO. 15R-0110T

IN THE MATTER OF THE TEMPORARY RULES REGARDING COLORADO E9-1-1 AUTOMATIC LOCATION IDENTIFICATION (ALI).

DECISION ADOPTING TEMPORARY RULES GOVERNING AUTOMATIC LOCATION IDENTIFICATION SERVICE

Mailed Date: February 23, 2015 Adopted Date: February 19, 2015

TABLE OF CONTENTS I. BY THE COMMISSION ...... 1 A. A. Statement ...... 1 B. Technical Background ...... 2 1. 911, E911, and ALI Services...... 2 2. ALI Communication ...... 3 3. Tariffed ALI Services ...... 4 C. Commission Authority to Regulate Basic Emergency Services, Including ALI Using Any Form of Technology...... 5 D. Facts Demonstrating Need for Temporary Rules ...... 9 E. Adoption of Temporary Rules ...... 14 II. ORDER ...... 20

I. BY THE COMMISSION A. A. Statement 1. In this Decision, we adopt temporary rules to ensure the continued reliability and

affordability of a critical component of 911 communication services: the location of the caller

requesting urgent assistance from police, fire, ambulance, and other emergency responders. Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

Currently, Qwest Corporation, doing business as CenturyLink QC (CenturyLink), as a certified

Basic Emergency Service Provider (BESP), provides this integral component, known as

Automatic Location Information (ALI) service, as part of its tariffed enhanced 911 (E911) service delivered to public safety answering points. CenturyLink has subcontracted with Intrado

Communications, Inc. (Intrado), to provide location information through Intrado’s ALI database and database management processes.

2. Through ongoing investigations conducted by Staff of the Colorado Public

Utilities Commission (Staff), we are aware that ALI services, including those provided over

Internet Protocol (IP), could be offered and provided to local 911 authorities in a manner not yet reviewed or approved by the Commission. To ensure the continued safety of Colorado citizens and visitors to our state, we find it necessary to issue temporary rules that require Commission approval of the offering or provision by any provider of new or different ALI services in

Colorado. ALI services of the type currently provided by CenturyLink through its vender,

Intrado, do not need to obtain additional approval from the Commission to offer service pursuant to these temporary rules.

B. Technical Background 1. 911, E911, and ALI Services 3. When a caller dials 9-1-1, communications carriers transmit the call to the local public safety answering points (PSAPs), which in turn forwards the caller’s request for emergency assistance to police, fire, ambulance, and other first responders. Legacy 911 services allowed only voice communications between the caller and the PSAP, thus requiring the caller to inform the PSAP of his or her location. Relying upon the caller to provide location information orally increases the risk emergency personnel may not be able to respond.

2 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

Verbalizing one’s location consumes time, is subject to human error, and simply may not occur due to the inability of the caller or the exigency of the circumstances. “Enhanced 911,” known as “E911,” resolves these problems by automatically providing the PSAP with the caller’s location and other critical information. The PSAP is connected to an ALI database, which has been populated with the caller’s address and other information. Another E911 feature is the

Automatic Numbering Identification (ANI) service, which provides the PSAP with the caller’s telephone number and allows the PSAP to place a return call.

4. In 1993, the Commission authorized the provisioning of E911 services through the state’s BESP tariff and in conjunction with our rules governing ALI and other components of

E911 services. All Colorado PSAPs and 911 governing bodies currently receive E911 services.

2. ALI Communication 5. The delivery of ALI information is a communication between the caller and the

PSAP of the caller’s location. The ALI service enables a caller dialing 911 to communicate automatically his or her location to the PSAP and emergency responders. Location information is not simply a feature or accessary to the voice component of a 911 call; rather, the caller’s location is critical to the caller’s request for an emergency response. Due to the circumstances, such as the caller’s inability to speak, the caller’s location may be the only information he or she is able or intends to impart to the emergency responder.

6. It is the actual, or at least reasonable, expectation of customers and callers that the act of dialing 9-1-1 communicates location information to the PSAP. When subscribing for voice service, generally, a customer provides residential or business address information to the service provider. One of the purposes of a customer providing location information is to have it placed in the ALI database to enable a PSAP to know the caller’s location simply through the

3 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

dialing of 9-1-1. A customer may not understand the engineering complexities of how location

information is transmitted among carriers, stored in the ALI database, or communicated and

accessed during a 911 call; however, it is a reasonable expectation that a caller is communicating

her location to emergency responders when dialing 9-1-1. For the purposes of these temporary

rules, the transmittal of location information between the caller and the PSAP is the

communication at issue.

3. Tariffed ALI Services 7. To ensure reliability, safety, and affordability, ALI services are tarrifed in

Colorado. CenturyLink is the statewide BESP and, through its tariff approved by the

Commission, provides E911 services to governing bodies, 911 authorities, and PSAPs.

CenturyLink provides an integrated E911 service, which includes the aggregation of calls from

any point within the state and transport of 911 calls to the correct PSAP corresponding with the

location of the caller dialing 911.

8. CenturyLink’s E911 services include ALI services. CenturyLink’s tariff defines

ALI and the ALI Database as features and services related to E911 that store information to assist

in identifying and forwarding the originating caller’s address and other information to the PSAP.1

The CenturyLink Tariff also establishes the terms and conditions of ALI services,2 and the rates

for ALI3 in Section 9.2.1.E.9. Historically, CenturyLink has delivered ALI services to PSAPs

through its subcontract with Intrado.4

1 Qwest Corporation, Exchange and Network Services Tariff, Colo. P.U.C. No 23, Section 9.2.1.B, Sheet 2, and Section 9.2.1.D.1.a.(1), Original Sheet 19. 2 Id., Section 9.2.1.D.1.b 3 Id., Section 9.2.1.E.9 4 See Reporter’s Transcript, Commissioner Information Meeting, 9-1-1 ALI Data Provisioning, February 26, 2014 (“Transcript”) at 8.

4 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

9. Intrado also has an approved tariff on file with the Commission. Intrado’s tariff

supports our finding that the caller and the PSAP are the parties engaged in the ALI

communication: “The Company does not transmit messages but offers the use of its facilities,

when available, for communications between parties, each of whom is present at a telephone or

communications device.”5

C. Commission Authority to Regulate Basic Emergency Services, Including ALI Using Any Form of Technology. 10. The Commission has broad constitutional and statutory authority to regulate

public utilities. Unless the General Assembly restricts Commission regulation through statute, the PUC has as much authority over public utilities as did the Legislature prior to the adoption of

Article XXV of the Colorado Constitution. Miller Brothers, Inc. v. Pub. Utils. Comm’n, 525 P.2d

443, 451 (Colo. 1974); O’Bryant v. Pub. Utils. Comm’n, 778 P.2d 648, 655 (Colo. 1989).

“Article XXV effectuates a broad delegation of legislative power to the PUC….” Mountain

States Tel.& Tel. Co. v. Pub. Utils. Comm’n, 763 P.2d 1020 (Colo. 1988), (citing Miller Bros.,

Inc. v. Pub. Utils. Comm’n, 525 P.2d 443, 451 (1974)). “[T]he PUC's authority under article

XXV is not narrowly confined but extends to incidental powers which are necessary to enable it to regulate public utilities.” Id. “Article XXV of the Colorado Constitution vests in such agency as the General Assembly may designate all power to regulate the facilities, service, rates, and charges of every public utility operating within Colorado.” Pub. Serv. Co. v. Trigen-Nations

Energy Co., 982 P.2d 316, 322 (Colo. 1999).

11. Telephone corporations are defined as public utilities under § 40-1-103(1)(a)(I),

C.R.S. The current providers of ALI in Colorado, CenturyLink and Intrado, are telephone

5 Intrado Communications, Inc., Emergency Services Tariff, Colorado P.U.C. No. 2; Section 2.4.1.2.1, filed May 15, 2003.

5 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

corporations and thus are subject to the PUC’s constitutional authority. Indeed, Intrado’s

application for a CPCN to operate in Colorado defined E911 as “[a]n emergency telephone

service that includes ANI, ALI (including non-listed and non-published numbers and addresses),

and (optionally) selective routing, to facilitate public safety response.” Application of SCC

Communications Corp., Docket No 00A-468T, filed August 14, 2000, Exhibit I, Original Sheet 5

(emphasis added). The General Assembly also has declared “basic emergency service” to be

subject to regulation under part 2 of article 15, title 40. § 40-15-201(2), C.R.S. (2014).

12. The Commission historically has regulated ALI through its rules. “ALI” and

“ALI database provider” are defined within the Commission’s rules, and “‘E911 features’ means

the ANI, ALI, and selective routing capabilities and all other components of an E911 system, not

including the transport and switching facilities.” Rule 3121, (e), (f), (k). Under our rules,

“ALI database service is integral to the provision of E9-1-1 services.” Rule 2133(b).

The Commission also has regulated terms, conditions, and statewide averaged rates of E911 and

its components through tariffs. Rule 2136(c).

13. The recent legislation amending Colorado’s telecommunications statutes

expressly maintained the Commission’s authority over emergency services. This legislation

reformed regulation of telephone companies in several areas, the most relevant of which was to

define “information services” in accordance with the Federal Communications Act and place

those and other services, including basic local exchange services, into deregulated status under

part 4. § 40-15-401(1)(b) and (i), C.R.S.6 The bill, however, expressly reserved Commission

jurisdiction over 911 and ALI services: “Nothing in this part 4 shall be construed to affect,

6 The legislation provided for several exceptions to the deregulated status of basic local exchange services, thus allowing for Commission regulation under specified circumstances. See § 40-15-401(1)(b), C.R.S.

6 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

modify, limit, or expand the Commission’s authority to regulate basic emergency service.”

§ 40-15-401(4), C.R.S. (2014)

14. In addition to this unambiguous statutory language, the amendments’ legislative

history leaves no doubt of the General Assembly’s intent to maintain Commission authority over

911 services, without regard to the technology used by a service provider. The Honorable

Angela Williams, lead sponsor of the bill in the House of Representatives, stated during the key

House Committee meeting:

Committee, if you look in the IP bill, on page 5, it's clear there that nothing in Part 4 shall be construed to affect, modify, limit, or expand the Commission's authority to regulate Basic Emergency Service. As we have talked about, how do we maintain the status quo. The intent there is also, regardless of technology, we have had conversations with the AG's office, the PUC, the Gov's office, and we have talked to some professionals, who have been in the telecommunications industry for over 30 years. And we believe that the language in House Bill 1329 maintains that status quo, and the PUC will still have authority over 9-1-1, regardless of technology.7

Senator Kerr also stated before the Senate Business and Labor Committee “that the intent of the

legislation is to maintain the PUC's regulatory oversight of Basic Emergency Service, regardless

of technology.”8 The Governor’s signing letter echoed the statements of Representative

Williams and Senator Kerr.9

15. All basic emergency services, including ALI, are regulated by the Commission

regardless of technology. The General Assembly in H.B. 14-1329 affirmed the Commission’s regulatory oversight of basic emergency services regardless of the deregulated status of any

7 Transcript of Testimony of Representative Williams before the House Business, Labor, Economic and Workforce Development Committee, March 25, 2014 (attached as Exhibit 1). 8 Testimony of Senator Kerr before Senate Business Labor Committee, April 16, 2014 (attached as Exhibit 1). 9 See Letter of John W. Hickenlooper, Governor, dated May 9, 2014 (“Testimony in both chambers by the sponsors of this bill reinforce that the intent of this legislation is to maintain the PUC’s authority to regulate basic emergency services, regardless of technology.”) (attached as Exhibit 2) .

7 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

service under part 4. § 40-15-401(4), C.R.S. (2014). Thus, to the extent any of the services or

products listed in § 40-15-401(1), C.R.S., including an information service, is used to provide basic emergency service, it is within the Commission’s regulatory authority.

16. This Commission may presume that the Legislature passed HB 14-1329 with deliberation and full knowledge of all existing law dealing with the same subject. See In Re

Questions Submitted by the United States District Court, 499 P.2d 1169, 1171 (Colo. 1972)

(quoting Cooper Motors, Inc. v. Board of County Commissioners, 279 P.2d 685, 688 (Colo.

1955)) (Citations omitted) (applying this presumption to analysis of whether a statute is

constitutional). The Legislature thus was aware of the Commission’s historic regulation of E911

and ALI services when it passed the statutory provision stating that the PUC’s regulatory

authority over basic emergency service was unaffected, without regard to the technology used.

17. ALI is an intrastate component of basic emergency service and therefore subject

to state oversight. The end to end geographic locations of a communication determine whether it

is intrastate or interstate in nature. Minnesota Pub. Utils. Comm’n v. Federal Comm. Comm’n,

483 F.3d 570, 574 (8th Cir. 2007). Because the E9-1-1 calls and their ALI component over which

we assert jurisdiction in this temporary rulemaking are placed by persons located within the state

and delivered locally to a PSAP or an emergency service provider also located within Colorado,

this Commission may excise its intrastate regulatory jurisdiction over such calls.

18. Further, in-state funding supports the provisioning of E911 and ALI services.

Colorado law authorizes cities, towns, counties, and other localities to impose an emergency telephone charge upon service users located within the jurisdiction providing emergency telephone service. § 29-11-102(1), and (3), C.R.S. These charges pay for the localities’

equipment, installation, and other directly related costs of the continued operation of an

8 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

emergency telephone service. § 29-11-104(2), C.R.S. The local governing bodies use these

funds to pay basic emergency service providers such as CenturyLink for its provisioning of

voice, ANI, and ALI services to the PSAPs. § 29-11-104(2)(a)(I)(B), C.R.S. Surcharges greater

than seventy cents are subject to approval from the Commission. § 29-11-102(2)(b), C.R.S.

Thus, emergency services providers such as CenturyLink and Intrado derive their revenues from

intrastate surcharges.

D. Facts Demonstrating Need for Temporary Rules 19. On February 11, 2014, Intrado informed Commission Staff of the possibility that

its then-existing contract with CenturyLink may terminate, that Intrado intended to offer its own

ALI service directly to PSAPs and 911 authorities, and that CenturyLink intended to self- provision ALI services after the contract terminated. The contract was due to expire as soon as

February 28, 2014.

20. The Commission conducted a Commission Information Meeting (CIM) on

February 24, 2014, and explained the manner in which E911 and ALI services would be provided to PSAPs and the public. After the CIM, to gather additional information of the reliability and affordability of CenturyLink’s self-provisioned and Intrado’s separate ALI service, Staff issued

audit requests to CenturyLink and Intrado May 8, 2014.10

21. Based upon the information gathered by Staff, the Commission opened a

proceeding to adopt rules to ensure the reliability of ALI services (2014 ALI Rule Decision).11

We found that CenturyLink’s self-provisioning of ALI and Intrado’s separate ALI offering

created an unreasonable risk to the health and safety of the public, absent a formal showing to the

10 Pursuant to § 40-15-107(2)(a), C.R.S., all information and documents provided by CenturyLink or Intrado to the Commission in connection with audit shall be given confidential treatment, subject to their consent to disclose or a court order under § 24-72-204(5), C.R.S. 11 Decision No. C14-0893, Proceeding No. 14R-0804T, issued July 28, 2014.

9 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

satisfaction of the Commission of the services’ reliability, statewide availability, and

affordability.12

22. The Commission found an immediate risk of unreliable ALI services, and a threat

to our current statewide average pricing mechanism guaranteeing affordable ALI services to urban and rural PSAPs if the status quo were to change and CenturyLink self-provisioned its ALI component or Intrado offered and provides a standalone ALI service. If CenturyLink, Intrado, or

any other services provider offered an ALI service other than that currently provided in

Colorado, the Commission required an application, and certain showings from the provider to

ensure reliability of the basic emergency service network.

23. CenturyLink filed application for rehearing, reargument or reconsideration (RRR)

to the 2014 ALI Rule Decision on August 18, 2014. Although CenturyLink requested a RRR,

it “does not object to demonstrating its reliability and experience in managing ALI databases:

CenturyLink has transitioned from external to internal ALI database management before, with no

failures. CenturyLink looks forward to quickly proving its case to the Commission.”13

24. In a letter dated August 25, 2014, to the Director of the Commission,

Doug Dean,14 Intrado addressed what it believed were allegations against Intrado in

CenturyLink’s application for RRR. Intrado also stated that it “looks forward to demonstrating

the reliability and affordability of its ALI Management Service to the satisfaction of the

Commission.”

12 2014 ALI Rule Decision, ¶ 22. 13Id. at 3 (emphasis added). 14 This letter was filed in Proceeding No. 14R-0804T.

10 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

25. Through its decision, issued September 16, 2014,15 the Commission denied

CenturyLink’s application for RRR and upheld its 2014 ALI Rule Decision.

The Commission’s approval of new, different or untested ALI offerings without deliberation might not ensure the safety and reliability of ALI services in the state.16

26. Based on the statements of both Intrado and CenturyLink, the Commission anticipated filings from both parties and planned to consider applications of new ALI services

other than those currently provided in Colorado.

27. In October of 2014, ALI service outages in Colorado demonstrated the importance

of regulatory oversight of ALI services. In a letter dated October 16, 2014, Chairman Epel noted

these outages and the need for remedial measures to Chairman Wheeler of the Federal

Communications Commission.17 Chairman Epel explained that the companies involved, both

Intrado and CenturyLink, moved quickly to restore 911 capabilities, but that the breadth and

frequency of these and previous outages necessitated further inquiry of the cause so that it could

be determined whether remedial actions were necessary to prevent recurrences.

The Chairman further explained the Commission’s actions, proceedings, and the clear need for

continued state and federal vigilance on 911 issues, including critical information provided

through ALI services, as evidenced from these outages.

28. Since the Commission adopted the 2014 ALI Rule Decision, neither CenturyLink

nor Intrado filed an application with the Commission for approval to offer new ALI services,

15 Decision No. C14-1127, Proceeding No. 14R-0804T. 16 Decision No. C14-1127, Proceeding No. 14R-0804T, ¶ 11. 17 Ex Parte Letter of Chairman Epel e-filed with the Federal Communications Commission re: Reliability of the 911 Network, dated October 16, 2015 (filed in the proceeding captioned: Improving 911 reliability, PS Docket No. 13-75, Reliability and Continuity of Communications Networks, Including Broadband Technologies, PS Docket No. 11-60, and Inquiry into Circumstances of Major 911 Outage Centered in Washington State on April 9-10, 2014, PS Docket No. 14-72) (attached as Exhibit 4).

11 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

contrary to the Commission’s expectations. On January 9, 2015, CenturyLink provided a letter

addressed to Chairman Epel stating that Intrado would remain the chosen ALI database vendor

for 911 and E911 service. 18 CenturyLink also stated that:

The term of the new agreement will be for an additional five years. As a result of this new contract, CenturyLink will not be pursuing an in-house ALI database management solution for Colorado at this time.

29. In response to the letter, in January of 2015, Staff issued audit questions inquiring about the contract’s terms and conditions. The responses to the audit are confidential pursuant to

§ 40-15-107(2)(a), C.R.S.

30. Staff continues to work with public safety stakeholders through the Colorado 911

Advisory Task Force19 to monitor the provisioning of 911 services through new or different

technologies, such as wireless and voice over internet protocol (Vo IP ). Through this work and based on other available information, Staff has become aware of 911 operational changes that

may alter the current methods and functionalities by which ALI is provided, including the

immediate availability of new IP-based location services. Staff is currently investigating what

services are being offered or provided and whether a provider may have offered or provided new

or different ALI services without Commission approval as required by the 2014 ALI Rule

Decision. Staff will provide recommendations for the Commission once its investigations have

concluded.

18 A copy of the letter is attached to this decision as Exhibit 5. 19 Rule 2145, of the Commission Rules Regulating Telecommunications Providers, Services, and Products, 4 CCR 723-2, establishes the 911 Advisory Task Force for the purpose of providing oversight of the statewide implementation of basic emergency service and includes, without limitation, representatives from customer groups, governing bodies, basic local exchange service providers, wireless service providers, providers of basic emergency services, customers of basic emergency service, ALI database providers, and other telecommunications providers. Commission Staff is responsible for administering the 911 Advisory Task Force and facilitating its meetings and agendas. Among other duties, the 911 Advisory Task Force evaluates alternative technologies, services, and pricing issues related to implementing statewide 911 services in a cost effective fashion.

12 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

31. Based upon these facts and the possibility that providers may attempt to offer

untested ALI services to PSAPs and 911 authorities, the Commission finds that it is imperatively

necessary to establish rules requiring the approval of new or different types of ALI services.

As demonstrated in our investigations leading to the 2014 ALI Rule Decision, safety and

reliability are dependent upon several elements, including testing, verification, and collaboration

with PSAPs and 911 authorities. Reliable ALI services require providers of new or different

functionalities to communicate, interact, and cooperate with other carriers, PSAPs, and 911

authorities in the provision of ALI services.20 In addition, any provider of ALI service must

offer: conversion of trunk switching; notification to other service providers to transmit subscriber

data to a new location, communications with PSAPs and 911 authorities, and testing of the

system.21 Communications with PSAPs are necessary to ensure proper connections to new or

different databases, correct formatting of ALI records and coordination of the transition plan.22

Any offering of new service to PSAPs must include critical components: accuracy of ALI

databases, operational reliability of different ALI services and connections; pricing and

affordability for less populated jurisdictions; coordination among service providers to allow input of customers’ names and addresses into the databases; adequacy of communications among the ALI provider, PSAPs and 911 authorities for the operational transition to a different ALI database or ALI provider; and, adequacy of testing of new or transitioned systems.

20 See Transcript, at 19-20. 21 See Transcript, at 19-20, 24-25. 22 See Transcript, at 20, 25.

13 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

E. Adoption of Temporary Rules 32. The Commission may adopt emergency or temporary rules “if the agency finds

that immediate adoption of the rule is imperatively necessary to comply with a state or federal

law or federal regulation or for the preservation of public health, safety, or welfare and

compliance with the requirements of this section [to complete a permanent rulemaking] would be

contrary to the public interest and makes such a finding on the record.”23

33. As noted when we initially adopted ALI rules,24 the Commission is also mandated

by statute to ensure safe and adequate utility services: “Whenever the commission…finds that

the…equipment, facilities, or service of any public utility…are unjust, unreasonable, unsafe,

improper, inadequate, or insufficient, the commission shall determine the just, reasonable, safe,

proper, adequate, or sufficient…practices, equipment, facilities, service, or methods to be

observed, furnished, constructed, enforced, or employed and shall fix the same by its order, rule,

or regulation.” §40-4-101(1), C.R.S. (Emphasis added). Section 40-3-101(2), C.R.S., imposes

upon every utility the requirement to ensure public safety: “Every public utility shall furnish, provide, and maintain such service, instrumentalities, equipment, and facilities as shall promote the safety, health, comfort, and convenience of its patrons, employees and the public, and as shall in all respects be adequate, efficient, just, and reasonable.”

34. In support of invoking § 24-4-103(6), C.R.S., we find that the potential for any provider to offer new or different ALI services prior to ensuring that the service is safe, reliable, and affordable creates an unreasonable risk to the health and safety of the public.

Rules requiring Commission approval are necessary to ensure ALI technologies and services are

23§24-4-103(6), C.R.S. 242014 ALI Rule Decision, ¶ 20.

14 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

affordable, available, and reliable, and thus to protect public health, safety, and welfare.

New ALI services must prove to the Commission that:

a) The databases contains accurate and updated location information;

b) The provider has coordinated and communicated with other service

providers to ensure input of accurate location information into the ALI database;

c) The provider has ensured that connections and other operational functions

necessary for the provisioning of Ali services to PSAPs are reliable;

d) The offering of separate ALI services to highly-populated jurisdictions,

the revenues from which have subsidized E911 services, will not damage the current

statewide-average pricing structure for E911 services or result in unreasonably high rates

to rural and less-populated jurisdictions;

e) The provider has communicated and provided adequate instructions to

PSAPs and 911 authorities to ensure operational transition to a different ALI database or

ALI provider; and,

f) The provider has tested adequately and demonstrated a sufficient level of

reliability of the new or different ALI systems and connections.

35. Services provided by CenturyLink through its vendor, Intrado, have proven reliable, safe, and affordable. Under the rules adopted in the 2014 ALI Rule Decision, we anticipated that Intrado and CenturyLink would file applications for expedited review.

Instead, Intrado and CenturyLink continued negotiations and made the Commission aware of a resolution to continue providing services in January 2015. We do not require CenturyLink and

15 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

Intrado to request further approval for the same ALI services and functionalities that

CenturyLink and Intrado provided as of June 1, 2014.

36. However, recent and ongoing investigations from Staff indicate that competitive and alternative offerings of ALI services, including offerings over IP technologies, are not theoretical possibilities, and could be offered in Colorado at any time. Providers are capable of offering services that replace and compete with current ALI offerings.25 The investigation and inquiries of Commission Staff confirm that, absent regulatory oversight of ALI, there is immediate risk that providers offering services in Colorado will not meet the standards required to ensure public safety, and the immediacy of this risk demonstrates the necessity of enforceable rules before the Commission is able to complete a permanent rulemaking under § 24-4-103,

C.R.S.

37. While we find that the rules we adopt today are necessary due to new circumstances and potential competitive offerings of ALI services, the rules from our 2014 ALI

Rule Decision address the same reliability issues facing us today if a provider intends to offer

ALI services other than those currently provided. For clarity, we discuss the rules we adopt by this decision below, though no changes are made from the rules adopted in the 2014 ALI Rule

Decision.

38. The temporary rules define “ALI service” and revise the definition of

“basic emergency service” to include “ALI service.” As we found in the 2014 ALI Rule

Decision, adoption of these definitional rules does not represent any change to our oversight of

ALI service as a component of basic emergency service or result in any new incursion into a

25By way of example, TeleCommunications Systems, Inc., has tariffedE911 services on file with Minnesota, including the provision of location database data services. See Minnesota Telecommunications Tariff for Telecommunications Systems, Inc., issued February 1, 2008, p. 12-14, ¶¶ C(1)(h) and (o) (describing database information and routing criteria furnished to the 911 authority, including address and location information).

16 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

previously unregulated area; the Commission historically has regulated ALI services through its rules and through CenturyLink’s integrated E911 tariff. Thus, we add to and amend Rule 2131 as follows:

(e)(I) “ALI service” means providing ALI to a PSAP or governing body and all the services, features, and functionalities of elements and components used to provide ALI, including the applications, databases , management processes and services, selective routing, aggregation, and transport, without regard to the technology used. * * * (h) "Basic emergency service" includesmeans the Part II telecommunications service (§ 40-15-201(2)(b), C.R.S., (2014)) permitting the use of the basic local exchange network and the 9-1-1 abbreviated dialing code for reporting police, fire, medical, or other emergency situations to a PSAP and referral to a public agency. The offering or providing by any person of ALI service to a PSAP or governing body is a basic emergency service.

39. We also adopt a temporary rule to require any provider deploying an ALI service as part of its integrated E911 service, or any provider offering a standalone ALI service, to show the Commission through evidence that its ALI service will be reliable and affordable statewide.

Thus, Rule 2147 states as follows:

2147. ALI Service.

If any person provides an ALI service to a PSAP or governing body as a separate service or in combination with other components or functionalities of a 9-1-1 service, or if any BESP transitions to or uses an ALI database system or ALI service, including self- provisioning, different from any ALI database system or ALI service used by the BESP in the providing of 9-1-1 services to any PSAP or governing body as of June 1, 2014, then that person or BESP must file an application for and obtain prior authorization from the Commission. The authorization may be subject to terms and conditions as the Commission may prescribe to promote the public interest and will be based upon the following criteria:

(a) accuracy of the ALI database during the provisioning of the ALI service;

(b) reliability of the ALI service, including, without limitation, compliance with the obligations placed upon BESPs in rule 2143;

17 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

(d) processes and mechanisms required by service providers for the furnishing and management of the names, addresses, and telephone numbers for all customers for the ALI database;

(e) adequacy of information exchanged with the PSAP or governing body;

(f) adequacy of information exchanged and sufficient testing with other service providers to ensure the accuracy and reliability of the ALI service;

(g) adequacy of the testing of the ALI service, including testing of the delivery of ALI service to each subscribing PSAP; and

(h) any other matter affecting public safety, reliability, pricing, and the public interest.

40. The current ALI systems, connectivity, and functionality serving PSAPs through

CenturyLink’s integrated E911 services tariff, which uses Intrado’s ALI database and other services through a subcontract, have demonstrated their reliability and affordability over the past several years. Commission approval to maintain the status quo is not required. We add,

therefore, the following to new Rule 2147:

Commission authorization is not required for a BESP to continue providing a PSAP or governing body the same ALI service, database, database management service, connectivity, and functionality, and using the same subcontractors provided as part of an integrated E9-1-1 service as of June 1, 2014, or the updating of the ALI database in the normal course of business.

41. CenturyLink and Intrado do not need additional Commission approval, so long as

services are provided as they have been in Colorado prior to issuance of this decision.

If any provider, including CenturyLink or Intrado, intends to offer a new product or ALI service

or functionality not currently provided, the provider must comply with the application

requirements adopted by these Commission rules.

42. The public interest demands that the Commission regulate ALI as a critical 911

service to ensure, among other concerns, accurate location information, coordination with

18 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

various emergency service stakeholders, affordability through statewide-average pricing structures, and adequate testing of services prior to use by Colorado citizens and visitors to our state. The Commission continues to obtain stakeholder input through 911 Task Force meetings and other venues and is finalizing its proposal for a comprehensive permanent rulemaking regarding basic emergency services, including ALI services.

43. The public policies underlying basic emergency service support our adoption today of temporary rules. It is of the utmost importance to ensure continuity in the provision of

911 basic emergency service for all citizens in, and visitors to, Colorado. This includes ensuring no disruptions of reliable service due to any revision or termination of contractual relationships

or different technologies used to provide basic emergency service. “[P]ublic safety agencies increasingly rely on enhanced 9-1-1 to provide dependable and precise information about the

9-1-1 caller’s location and an accurate telephone number to reach the caller.” § 29-11-100.5(2),

C.R.S. “Inadequate location information can be life threatening if the caller is unable to verbalize the correct location. Not knowing an accurate location for a caller can result in a delay in service.” Id.

44. The temporary rules adopted today shall be effective on the mailed date of this

Decision and shall remain in effect until permanent rules become effective or for 210 days, whichever period is less.

45. The temporary rules in legislative and final version format are attached to this

decision as Attachments A and B, and are available through the Commission’s E-Filings system at: https://www.dora.state.co.us/pls/efi/EFI.Show_Docket?p_session_id=&p_docket_id=15R-0110T

19 Before the Public Utilities Commission of the State of Colorado Decision No. C15-0179 PROCEEDING NO. 15R-0110T

II. ORDER A. The Commission Orders That: 1. The rules in final version format available in this proceeding through the

Commission’s E-Filings system are hereby adopted as temporary rules consistent with the above

discussion.

2. The temporary rules shall be effective on the mailed date of this Decision.

3. The 20-day period provided in § 40-6-114, C.R.S., within which to file applications for rehearing, reargument, or reconsideration, begins on the first day following the effective date of this Decision.

4. This Decision is effective upon its Mailed Date.

B. ADOPTED IN COMMISSIONERS’ WEEKLY MEETING February 19, 2015.

(S E A L) THE PUBLIC UTILITIES COMMISSION OF THE STATE OF COLORADO

PAMELA J. PATTON ______

GLENN A. VAAD ATTEST: A TRUE COPY ______Commissioners

CHAIRMAN JOSHUA B. EPEL ABSENT. Doug Dean, Director

Tracking number: 2015-00130

Opinion of the Attorney General rendered in connection with the rules adopted by the

Public Utilities Commission

on 02/23/2015

4 CCR 723-2

RULES REGULATING TELECOMMUNICATIONS PROVIDERS, SERVICES, AND PRODUCTS

The above-referenced rules were submitted to this office on 02/23/2015 as required by section 24-4-103,

C.R.S. This office has reviewed them and finds no apparent constitutional or legal deficiency in their form or substance.

March 09, 2015 15:13:20 Cynthia H. Coffman Attorney General by Daniel D. Domenico Solicitor General Nonrulemaking Public Notices and other Miscellaneous Rulemaking Notices

Department

Department of Health Care Policy and Financing

Agency

Medical Services Board (Volume 8; Medical Assistance, Children's Health Plan)

Colorado Register, Vol. 38, No. 6, March 25, 2015

PUBLIC NOTICE

March 25, 2015

State Plan Amendment Regarding Premiums for Buy-In Programs – Adults and Children

Effective April 1, 2015, The Department of Health Care Policy and Financing intends to submit a State Plan Amendment (SPA) to amend the Working Adults and Children’s Buy-In premium hardship provisions to charge premiums prospectively from date of approval and allow benefits from date of application. This change is to ensure clients are not caught unaware of premiums due prior to being notified of eligibility and are prepared to pay premiums in an informed and fair process.

The Department is requesting authority from the Centers for Medicare and Medicaid Services (CMS) to make this change effective April 1, 2015.

General Information

A link to this notice will be posted for 60 days on the Department’s web site (www.colorado.gov/hcpf) starting on March 25, 2015. Written comments may be addressed to: Director, Health Programs Office, Department of Health Care Policy and Financing, 1570 Grant Street, Denver, CO 80203.

The mission of the Department of Health Care Policy and Financing is to improve health care access and outcomes for the people we serve while demonstrating sound stewardship of financial resources. www.colorado.gov/hcpf Nonrulemaking Public Notices and other Miscellaneous Rulemaking Notices

Department

Department of Health Care Policy and Financing

Agency

Medical Services Board (Volume 8; Medical Assistance, Children's Health Plan)

Colorado Register, Vol. 38, No. 6, March 25, 2015

PUBLIC NOTICE

March 25, 2015

State Plan Amendment Regarding Payment to Rural Health Clinics for Contraception Devices

Effective April 1, 2015, the Colorado Department of Health Care Policy and Financing intends to submit a State Plan Amendment (SPA) to amend the reimbursement method for Rural Health Clinics for long-acting reversible contraceptives (LARC) which include: implantable and intrauterine contraceptive devices and non-surgical transcervical permanent female contraceptive devices. This reimbursement shall be separate from any encounter payment the RHC’s may receive for the insertion procedures. Reimbursement for LARCs and for the permanent non-surgical transcervical contraceptive devices shall be at the actual acquisition cost (such as with 340B drug discount pricing) or the rate on the Department’s practitioner fee schedule, whichever is applicable.

The Department is requesting authority from the Centers for Medicare and Medicaid Services (CMS) to make this change effective April 1, 2015.

General Information

Department

Department of State

Agency

Secretary of State

Colorado Register, Vol. 38, No. 6, March 25, 2015

STATE OF Wayne W. Williams COLORADO Secretary of State Department of State 1700 Broadway Suzanne Staiert Suite 200 Deputy Secretary of State Denver, CO 80290

Notice of Mandatory Rule Review Written Comment Period Rules Concerning Conflict of Interest Disclosures [8 CCR 1505-14] March 25, 2015

What is this about?

Secretary Williams is reviewing the Rules Concerning General Policies and Administration in accordance with section 24-4-103.3, C.R.S. We invite you to participate in this effort by submitting written comments. The most helpful comments will reference issues within the scope of the rule review criteria outlined below, cite specific sections of the rules, and explain the reason for a recommended change.

For the rule review, the Secretary of State will consider:

1. Whether the rule is necessary; 2. Whether the rule overlaps or duplicates other rules of the agency or with other federal, state, or local government rules; 3. Whether the rule is written in plain language and is easy to understand; 4. Whether the rule has achieved the desired intent and whether more or less regulation is necessary; 5. Whether the rule can be amended to give more flexibility, reduce regulatory burdens, or reduce unnecessary paperwork or steps while maintaining its benefits; 6. Whether the rule is implemented in an efficient and effective manner, including the requirements for the issuance of permits and licenses; 7. Whether a cost-benefit analysis was performed by the applicable rule-making agency or official in the principal department pursuant to section 24-4-103 (2.5), C.R.S.; and 8. Whether the rule is adequate for the protection of the safety, health, and welfare of the state or its residents

A current copy of the rules is available online at:

http://www.sos.state.co.us/CCR/GenerateRulePdf.do?ruleVersionId=2741&fileName=8%20CC R%201505-14.

Main Number (303) 894-2200 TDD (303) 869-4867 Administration (303) 860-6900 Web Site www.sos.state.co.us Fax (303) 869-4860 E-mail [email protected]

How do I submit my comments and what is the deadline?

You may email your comments to [email protected]. To ensure consideration of your comments, please submit your comments by 5:00 p.m. on April 8, 2015.

Will my comments appear online?

Yes. To promote transparency and help generate discussion, our office will post a copy of your comments on the Secretary of State’s website. We will also incorporate your comments into a report of our review findings that will appear in the Secretary of State’s annual departmental regulatory agenda.

To view the comments that we receive, please visit: http://www.sos.state.co.us/pubs/rule_making/ruleReviews.html.

Page 2 of 2

Nonrulemaking Public Notices and other Miscellaneous Rulemaking Notices

Department

Department of State

Agency

Secretary of State

Colorado Register, Vol. 38, No. 6, March 25, 2015

STATE OF Wayne W. Williams COLORADO Secretary of State Department of State 1700 Broadway Suzanne Staiert Suite 200 Deputy Secretary of State Denver, CO 80290

Help Shape Colorado’s Rules for the Administration of the Colorado Charitable Solicitations Act Topic: Rules to implement legislative changes and clean up revisions March 25, 2015

What is this about? The Secretary of State is considering permanent rulemaking to implement House Bill 14-1206. Other proposed changes to the rules concerning Rules for the Administration of the Colorado Charitable Solicitations Act1 are intended to improve the administration and enforcement of the Colorado Charitable Solicitations Act2. We invite you to share your thoughts and recommendations as we develop a preliminary draft of proposed rules.

Please see the attached working draft rules. The following highlights the primary aims of the proposed draft rules: • Clarify the definition of “agent”. • Repeal the annotation concerning expired Rule 1.17. • Clarify the definition of “State Elections Commission”. • Repeal the rule defining “street address”. • Clarify the rules concerning amending previously filed financial estimates. • Repeal as unnecessary the rule concerning the assessment of late fees in addition to regular filing fees. • Repeal as unnecessary the rule concerning filing past due documents in sequence. • Set fines for paid solicitors by rule in accordance with HB 14-1206. • Change existing references from “late fees” to “fines” to conform to the Colorado Charitable Solicitations Act. • Make non-substantive changes to simplify or clarify words or phrases and other technical revisions as is necessary for consistency with Department rulemaking format and style.

1 8 CCR 1505-9. 2 Article 16, Title 6 of the Colorado Revised Statutes.

Main Number (303) 894-2200 TDD (303) 869-4867 Administration (303) 860-6900 Web Site www.sos.state.co.us Fax (303) 869-4860 E-mail [email protected]

constructive and comprehensive draft rules for consideration during the formal rulemaking proceeding. Overall, your opinions and recommendations will help shape Colorado’s Rules for the Administration of the Colorado Charitable Solicitations Act.

How do I submit my comments and what is the deadline? You may email your written comments to [email protected]. To ensure consideration of your comments before the proposed draft is issued, please submit your comments by 5:00 p.m. on April 1, 2015.

Will my comment become part of the official record for the anticipated rulemaking? Yes, we will incorporate your comment into the official record when we commence with formal rulemaking. Our office will identify your comment as information received in anticipation of rulemaking to support the development of the proposed draft rule. Please note that you will have an additional opportunity to provide testimony and/or written comments regarding the proposed rule during the rulemaking proceeding.

Will my comment appear on the Secretary of State website? Yes, to promote transparency and to help generate discussion, our office will post a copy of your comment on the Secretary of State’s website. You are not obligated to provide personal contact information with your submission. If it appears that you provided this information, we will redact your personal contact information prior to posting (including your home address, personal email address, and telephone number). To view the comments that we receive, please visit: www.sos.state.co.us/pubs/rule_making/CCSARuleComments.html.

Page 2 of 2

Working Draft of Proposed Rules

Office of the Colorado Secretary of State Rules for the Administration of the Colorado Charitable Solicitations Act 8 CCR 1505-9

March 25, 2015

Please note the following formatting key: Font effect Meaning Sentence case Retained/modified current rule language SMALL CAPS New language Strikethrough Deletions [Italic blue font text] Annotations

1 [Current 8 CCR 1505-9 is amended as follows:]

2 Amendments to Rule 1.2 concerning the definition of “agent”:

3 1.2 “Agent” means an individual who, by the PRINCIPAL’S written authority, and on the 4 account of the principal, transacts business or manages affairs for the principal, and who 5 is required to render an account of the business or affair PROVIDES AN ACCOUNTING to the 6 principal. “agent” “AGENT” includes “subcontractors.”

7 Repeal annotation concerning expired Rule 1.17:

8 1.17 [Expired 05/15/2014 per House Bill 14-1123]

9 Renumbering and amendments to Rule 1.18 defining “State Elections Commission:

10 1.18 1.17 "State Elections Commission" means,INCLUDES, for the purposes of section 6-16- 11 104(6)(b), C.R.S., the Secretary of State’s Campaign and Political Finance Program.

12 Repeal Rule 1.18 defining “street address” and renumber Rule 1.20:

13 1.19 "Street Address" has the same meaning as in section 7-90-102(62), C.R.S.

14 1.20 1.18 "Subcontractor,", as used in these rules, includes the agent (but not employee) of a 15 paid solicitor who solicits on behalf of the paid solicitor for the benefit of a charitable 16 organization that contracted with the paid solicitor.

17 Amendments to the title of Rule 5.2 concerning amending financial estimates in initial 18 registrations:

19 5.2 Filing registration amendments TO FINANCIAL ESTIMATES.

Page 1 of 4 1 Amendments to Rule 5.2.1 concerning amending good faith estimates when organization does 2 not have an IRS extension:

3 5.2.1 If aA charitable organization does notTHAT FAILED TO file a deadline extension 4 with the IRS, a charitable organization thatBUT reported estimated financial 5 information on its initial registration STATEMENT must amend its registration 6 STATEMENT withAND PROVIDE its actual financial information by the 15th day of 7 the fifth calendar month after the close of the fiscal year reported on the initial 8 registration statement.

9 Amendments to Rule 5.2.2 concerning amending good faith estimates when organization has an 10 IRS extension:

11 5.2.2 If a A charitable organization THAT files a deadline extension with the IRS AND 12 REPORTED ESTIMATED FINANCIAL INFORMATION ON ITS INITIAL REGISTRATION 13 STATEMENT, it must file necessary amendments to AMEND ITS REGISTRATION 14 STATEMENT AND PROVIDE its ACTUAL financial information by the 15th day of the 15 eighth calendar month after the close of each THE fiscal year in which the 16 charitable organization solicited in Colorado REPORTED IN THE INITIAL 17 REGISTRATION STATEMENT.

18 Amendments to Rule 5.4 and subrule 5.4.1 concerning fines:

19 5.4 The Secretary may impose a late fee FINE on a charitable organization that fails to timely 20 request an extension.

21 5.4.1 To avoid incurring late fees FINES, charitable organizations must:

22 (a) Replace initial estimated financial information with actual financial 23 information;

24 (b) File a registration renewal; or

25 (c) File an extension on or before the filing deadline.

26 Amendment to Rule 5.5 concerning fines:

27 5.5 If a charitable organization, at the time of initial registration, reports financial information 28 outside of the most recently completed fiscal year, the Secretary of State will approve the 29 initial registration but the organization must file a renewal or extension request within 30 five days from the initial registration approval. If the organization fails to file a renewal 31 or extension within the five day period, the Secretary will mark the organization’s status 32 as “delinquent” and notify the organization that it must update the information or it will 33 be subject to late fees FINES and possible suspension OR REVOCATION.

34 Amendment to Rule 5.7 concerning fines for professional fundraising consultants and paid 35 solicitors:

Page 2 of 4 1 5.7 Professional fundraising consultant or paid solicitor registration is valid for one year. The 2 fundraising consultant or paid solicitor may MUST annually renew registration by filing 3 FILE a registration renewal by the anniversary date. The anniversary date each year will 4 be IS the day and month the initial registration was approved, or the day and month the 5 most recent reinstatement was approved. A professional fundraising consultant or paid 6 solicitor who fails FAILURE to renew a registration on or before the anniversary date is 7 subject to a late fee WILL RESULT IN A FINE AND POSSIBLE SUSPENSION OR REVOCATION.

8 Amendments to Rule 5.9 concerning paid solicitors:

9 5.9 A paid solicitor must file a completed solicitation notice no later than 15 days before a 10 solicitation campaign starts. Failure to file will subject the paid solicitor to a late fee and 11 up to RESULT IN A FINE AND POSSIBLE SUSPENSION OR revocation.

12 Amendments to Rule 6.1 and its subrules 6.1.1 and 6.1.2 concerning fines for registrants:

13 6.1 The Secretary will assess a late fee if a charitable organization, professional fundraising 14 consultant, or paid solicitor who fails to properly renew or update a registration, file a 15 solicitation notice, or file a financial report of a solicitation campaign after being sent at 16 least two notices. The Secretary will assess the late fee for an overdue solicitation 17 campaign financial report against the paid solicitor and not the charitable organization in 18 accordance with section 6-16-114, C.R.S.THE FOLLOWING FINES:

19 6.1.1 The late fee FINE for a charitable organization is $60 per overdue report.

20 6.1.2 The late fee FINE for a professional fundraising consultant or paid solicitor is $200 21 per overdue report and applies to an overdue renewal or, OVERDUE SOLICITATION 22 NOTICE, AND overdue campaign report.

23 Repeal Rule 6.1.3:

24 6.1.3 If a charitable organization, professional fundraising consultant, or paid solicitor 25 is assessed a late fee, the late fee is in addition to the regular filing fee.

26 Repeal Rule 6.1.4:

27 6.1.4 To become compliant, and to avoid additional late fees or other possible penalties, 28 a charitable organization, professional fundraising consultant, or paid solicitor 29 must file all past due documents in sequence from oldest to newest.

30 Amendments to Rule 8.2 concerning fines and waivers for registrants:

31 8.2 A charitable organization, professional fundraising consultant, or paid solicitor that incurs 32 a late fee for failure FAILS to TIMELY file a document on time must either pay the 33 outstanding late fee FINE or obtain a waiver of late fee as described in Rule 6, 6.5 before 34 the Secretary of State will approve a registration withdrawal.

35 Amendments to Rule 9.2.2 concerning fines for organizations not exemption from registration:

Page 3 of 4 1 9.2.2 If the A NON-EXEMPT organization was not exempt from registration for all fiscal 2 years since its registration was withdrawn, it must pay any applicable late fees for 3 all years during which it was delinquent or suspended and MUST retroactively 4 renew its registration AND PAY ALL APPLICABLE FINES FOR EACH FISCAL YEAR THAT 5 IT WAS DELINQUENT OR SUSPENDED.

6 Rules 9.3 and 9.4 concerning fines for suspended registrants are consolidated into Rule 9.3 and 7 amended:

8 9.3 REINSTATEMENT REQUIREMENTS

9 9.3.1 Before reinstatement, a A suspended charitable organization, professional 10 fundraising consultant, or paid solicitor must:

11 (A) correct CURE the deficiency for which it was suspended,; and,

12 (B) if it was subject to the registration requirements of the CCSA during the 13 suspension period, it must retroactively renew its registration and pay PAY 14 ALL applicable late fees FINES for all years during which THAT it was 15 delinquent or suspended AND SUBJECT TO CCSA REGISTRATION 16 REQUIREMENTS.

17 9.4 9.3.2 Before reinstatement, a A paid solicitor must file solicitation notices and 18 campaign reports and pay all applicable late fees FINES for solicitation campaigns 19 conducted while registration was suspended DURING SUSPENSION.

Page 4 of 4 Nonrulemaking Public Notices and other Miscellaneous Rulemaking Notices

Department

Department of State

Agency

Secretary of State

Colorado Register, Vol. 38, No. 6, March 25, 2015

STATE OF Wayne W. Williams COLORADO Secretary of State Department of State 1700 Broadway Suzanne Staiert Suite 200 Deputy Secretary of State Denver, CO 80290

Help Shape Colorado’s Campaign and Political Finance Rules Topic: Rules Concerning Campaign and Political Finance March 25, 2015

What is this about? Secretary Williams is considering recodification of Colorado’s Rules Concerning Campaign and Political Finance (8 CCR 1505-6). The amendments are intended to achieve the uniform and proper administration and enforcement of Colorado campaign and political finance laws.1 We invite you to share your thoughts and recommendations as we develop a preliminary draft of the proposed rules.

Please review the attached working draft. The following highlights the primary goals of the proposed rulemaking:

• Ensure proper administration of legislation recently passed by the Colorado General Assembly; • Establish uniformity in the administration of current law; • Eliminate obsolete provisions; • Remove rules stricken by the courts; • Remove references to repealed statutory provisions; • Simplify the language of existing rules; and • Remove language that is duplicative of statute or constitutional provisions.

Why does the Secretary need my help? The Secretary values your feedback and we would very much like to hear your thoughts. We need your help to identify necessary revisions or additional guidance in order to propose a constructive and comprehensive draft rule for consideration during the rulemaking proceedings. Overall, we invite your opinions and recommendations to help shape Colorado’s Campaign and Political Finance Rules.

How do I submit my comments and what is the deadline? You may email your comments to [email protected]. To ensure consideration of your comments before we issue the proposed draft, please submit your comments by 5:00 p.m. on April 8, 2015.

1 Article XXVIII of the Colorado Constitution and Article 45, Title 1 of the Colorado Revised Statutes.

Main Number (303) 894-2200 TDD (303) 869-4867 Administration (303) 860-6900 Web Site www.sos.state.co.us Fax (303) 869-4860 E-mail [email protected]

Will my comments become part of the official record for the anticipated rulemaking? Yes, we will incorporate your comments into the official record when we commence with formal rulemaking. Our office will identify your comments as information received in anticipation of rulemaking to support the development of the proposed draft rule. Please note that you will have an additional opportunity to provide testimony and/or written comments regarding the proposed rule during the rulemaking proceeding.

To promote transparency and to help generate discussion, our office will post a copy of your comments on the Secretary of State’s website. We appreciate privacy concerns and will redact personal contact information that may appear in your comments prior to posting (including your home address, personal email address, and telephone number). To view the comments that we receive, please visit: www.sos.state.co.us/pubs/rule_making/CPFRuleComments.html.

2 Working Draft of Proposed Rules

Office of the Colorado Secretary of State Rules Concerning Campaign and Political Finance 8 CCR 1505-6

March 25, 2015

Disclaimer: The following is a working draft concerning the recodification of the Rules Concerning Campaign and Political Finance. The Secretary values your input and is seeking feedback about the proposed revisions before a formal notice of rulemaking.

Please send your feedback by April 8, 2015. Please reference the specific page and line number in your comments. We will consider all comments submitted by this date for inclusion in the official rulemaking draft.

Please note the following formatting key: Font effect Meaning Sentence case Retained/modified current rule language SMALL CAPS New language Strikethrough Deletions Italic blue font text Annotations

1 8 CCR 1505-6 is recodified as follows:

2 Rule 1. Definitions

3 1.1 BALLOT MEASURE MEANS BALLOT ISSUE OR BALLOT QUESTION.

4 1.1 1.2 “Business Activities”. For the FOR purposes of COLO. CONST. Article XXVIII:

5 1.1.1 1.2.1 “Business activities” means any provision of PROVIDING goods or services 6 that results RESULT in income or any other revenue-generating activity not 7 expressly for political purposes.

8 1.1.2 1.2.2 “Cannot engage in business activities,” means that the articles of 9 incorporation and bylaws, either expressly or implicitly, prohibit the corporation 10 from engaging in any business activities.

11 [McConnell v. Federal Elections Commission, 540 U.S. 93 (2003)]

12 1.2 1.3 “Committee”. Unless otherwise specified, the term “committee” as used GENERALLY in 13 these rules includes candidate committees, political committees, small donor committees, 14 issue committees, independent expenditure committees, political parties, Federal PACs, 15 and political organizations CANDIDATE COMMITTEE, POLITICAL COMMITTEE, SMALL DONOR

Page 1 of 44 1 COMMITTEE, ISSUE COMMITTEE, INDEPENDENT EXPENDITURE COMMITTEE, POLITICAL 2 PARTY, AND POLITICAL ORGANIZATION.

3 1.3 1.4 “Contribution” HAS THE SAME MEANING AS SET FORTH IN COLO. CONST. ARTICLE XXVIII, 4 SECTION 2(5)(E), AND SECTION 1-45-103(6), C.R.S. A CONTRIBUTION

5 1.3.1 “Contribution” does not include an endorsement of a candidate or an issue by any 6 person., OR

7 1.3.2 “Contribution does not include interest earned in an interest-bearing bank 8 account, dividend income from invested committee funds, earned income from 9 commercially reasonable transactions, or transfers of money within a political 10 party.

11 1.3.3 The exception stated in Article XXVIII, Section 2(5)(b) that “'Contribution' does 12 not include services

13 1.4.1 SERVICES provided without compensation by individuals volunteering their time” 14 AS OUTLINED IN COLO. CONST. ARTICLE XXVIII, SECTION 2(5)(B), includes time- 15 based services volunteered by an individual as a member of any firm, association, 16 or other business entity, including a corporation, if the individual receives no 17 direct or indirect compensation for the time volunteered. Any unpaid services that 18 create a thing of value are exempted. If volunteer services yield a thing of value, 19 “contribution” only includes the reasonable value of the materials involved, 20 unless the value is de minimis.

21 1.3.4 1.4.2 “Contribution in support of the candidacy” AS OUTLINED IN COLO. CONST. 22 ARTICLE XXVIII, SECTION 2(2), includes all contributions given directly to, or 23 coordinated with, a candidate for a specific public office, including those to a 24 person who maintains a candidate committee after an election cycle. [Article 25 XXVIII, Section 2(2)]

26 [Current Rule 1.4 is amended and recodified as New Rule 21]

27 1.5 “Corporation”, as used in Article XXVIII, has the same meaning as in section 1-45- 28 103(7), C.R.S.

29 1.6 1.5 “Designated filing agent”, for purposes of these rules, means any NATURAL person 30 appointed by a committee who is responsible for timely filing campaign finance reports.

31 1.6 “EXPENDITURES MADE, AND OBLIGATIONS ENTERED INTO” AS USED IN SECTION 1-45- 32 108(1)(A)(I), C.R.S., MEANS ALL COMMITTEE-RELATED DISBURSEMENTS, INCLUDING ANY 33 AGREEMENT OR ACKNOWLEDGEMENT OF A LIABILITY TO PAY A CERTAIN AMOUNT.

34 1.7 “Electioneering communication” is any communication that (1) meets the definition of 35 electioneering communication in Article XXVIII, Section 2(7), and (2) is the functional 36 equivalent of express advocacy. When determining whether a communication is the 37 functional equivalent of express advocacy:

Page 2 of 44 1 1.7.1 A communication is the functional equivalent of express advocacy only if it is 2 subject to no reasonable interpretation other than an appeal to vote for or against a 3 specific candidate.

4 1.7.2 In determining whether a communication is the functional equivalent of express 5 advocacy, it shall be judged by its plain language, not by an “intent and effect” 6 test, or other contextual factors.

7 1.7.3 A communication is not the functional equivalent of express advocacy if it:

8 (a) Does not mention any election, candidacy, political party, opposing 9 candidate, or voting by the general public,

10 (b) Does not take a position on any candidate's or officeholder's character, 11 qualifications, or fitness for office, and

12 (c) Merely urges a candidate to take a position with respect to an issue or 13 urges the public to adopt a position and contact a candidate with respect to 14 an issue.

15 [Federal Election Commission v. Wisconsin Right to Life, 551 U.S. 449 (2007)]

16 1.8 “Foreign corporation”, as used in Article XXVIII, Section 3(12)(c), means a corporation 17 organized under the laws of another country. The term does not apply to a corporation 18 organized under the laws of another state. “Foreign Corporation,” as used in Article 45 of 19 Title 1, C.R.S., has the same meaning as set forth in section 1-45-103(10.5), C.R.S.

20 1.9 “Frequent” and “Infrequent” filing schedules.

21 1.9.1 Unless otherwise specified, the term “frequent” filing schedule

22 1.7 “FREQUENT FILING SCHEDULE” as used in these rules means:

23 (a) 1.7.1 For state candidates and committees, the filing schedule outlined in 24 section SECTIONS 1-45-108 (2)(a)(I)(B), (2)(a)(I)(C), (2)(a)(I)(D), and (2)(a)(I)(E), 25 C.R.S.; and

26 (b) 1.7.2 For A county, and municipal, AND SPECIAL DISTRICT candidates and 27 committees CANDIDATE OR COMMITTEE, the filing schedule outlined in section 1- 28 45-108 (2)(a)(II), C.R.S.

29 1.9.2 Unless otherwise specified, the term “infrequent

30 1.8 “INFREQUENT filing schedule” as used in these rules means:

31 (a) 1.8.1 For A state candidates and committees CANDIDATE OR COMMITTEE, the 32 quarterly filing schedule outlined in section 1-45-108(2)(a)(I)(A), C.R.S.; and

Page 3 of 44 1 (b) 1.8.2 For A county, and municipal, candidates and committees OR SPECIAL 2 DISTRICT CANDIDATE OR COMMITTEE, the annual filing schedule outlined in 3 section 1-45-108(2)(a)(II), C.R.S.

4 1.10 “Influencing or attempting to influence”, for purposes of political organizations as 5 defined in section 1-45-103(14.5), C.R.S., means making expenditures for 6 communications that expressly advocate the election or defeat of a clearly identified 7 candidate or candidates. [Buckley v. Valeo, 424 U.S. 1 (1976)]

8 1.11 “Infrequent filing schedule”. See Rule 1.9.

9 1.12 1.9 “Issue committee” MEANS A PERSON OR A GROUP OF PEOPLE THAT MEETS BOTH OF 10 THE CONDITIONS IN COLO. CONST. ARTICLE XXVIII, SECTION 2(10)(A)(I) AND 11 2(10)(A)(II). AN “ISSUE COMMITTEE” DOES NOT INCLUDE A MARRIED COUPLE.

12 1.12.1 “Issue committee” does not include a married couple.

13 1.12.2 A person or group of persons is an issue committee only if it meets both of the 14 conditions in Article XXVIII, Section 2(10)(a)(I) and 2(10)(a)(II).

15 1.12.3 For purposes of determining whether an issue committee has “a major purpose” 16 under Article XXVIII, Section 2(10)(a)(I) and section 1-45-103(12)(b)(II)(A), 17 C.R.S., a demonstrated pattern of conduct is established by:

18 (a) Annual expenditures in support of or opposition to ballot issues or ballot 19 questions that exceed 30% of the organization’s total spending during the 20 same period; or

21 (b) Production or funding of written or broadcast communications in support 22 of or opposition to a ballot issue or ballot question, where the production 23 or funding comprises more than 30% of the organization’s total spending 24 during a calendar year.

25 1.10 “LIMITED LIABILITY COMPANY” OR “LLC” INCLUDES A GENERAL PARTNERSHIP, LIMITED 26 LIABILITY COMPANY, LIMITED PARTNERSHIP, DOMESTIC LIMITED PARTNERSHIP 27 ASSOCIATION, FOREIGN GENERAL PARTNERSHIP, FOREIGN LIMITED LIABILITY PARTNERSHIP, 28 FOREIGN LIMITED LIABILITY COMPANY, FOREIGN LIMITED PARTNERSHIP, FOREIGN LIMITED 29 LIABILITY LIMITED PARTNERSHIP, AND FOREIGN LIMITED PARTNERSHIP ASSOCIATION.

30 1.13 1.11 “Member”, as used in COLO. CONST. Article XXVIII, Sections 2(5)(b), 31 2(8)(b)(IV), and 2(14)(a) only, means a person who pays membership dues.

32 1.14 1.12 “Non-public information” means confidential material in any form that is not 33 available to the general public, including a non-public campaign plan, communications 34 plan, campaign budget, specification of unmet and potentially unmet campaign needs, 35 proposed or actual media buy, list or description of households or voters who will receive 36 or have received materials under a mailing or other distribution program, polling or focus 37 group results, or other proprietary material. 1.14.1 “Non-public information,” however,

Page 4 of 44 1 does not include communications dealing solely with candidate positions on legislative or 2 policy issues.

3 1.15 1.13 “Person”,. 1.15.1 For FOR the purpose of COLO. CONST. Article XXVIII, 4 Section 7, “person” means any natural person.

5 1.15.2 1.12.2 A “natural person” is a human being.

6 1.16 1.14 “Per day” means “per calendar day” unless otherwise indicated.

7 1.17 1.15 “Per year” means “per calendar year” unless otherwise indicated.

8 1.18 1.16 “Political committee”. HAS THE SAME MEANING AS SET FORTH IN COLO. CONST. 9 ARTICLE XXVIII, SECTION 2(12), AND 1.18.1 “Political committee” does not include a 10 married couple.

11 1.18.2 “Political committee” includes only a person or group of persons that support or 12 oppose the nomination or election of one or more candidates as its major purpose. 13 For purposes of this Rule, major purpose means:

14 (a) The organization specifically identifies supporting or opposing the 15 nomination of one or more candidates for state or local public office as a 16 primary objective in its organizing documents; or

17 (b) Annual expenditures made to support or oppose the nomination or election 18 of one or more candidates for state or local public office are a majority of 19 the organization’s total spending during the same period.

20 [Alliance for Colorado’s Families v. Gilbert, 172 P.3d 964, 970 (Colo. App. 21 2007)]

22 1.19 1.17 “Public office” means any office voted for in this state at any election. “Public 23 office” does not include the office of president or vice president of the United States, the 24 office of senator or representative in the Congress of the United States, or any office in 25 WITHIN a political party.

26 1.20 1.18 “Publicly announced an intention to seek election to public office or retention of a 27 judicial office” means:

28 1.18.1 REGISTERING A CANDIDATE COMMITTEE; OR

29 1.20.1 1.18.2 A person has made a statement signifying an interest in, OR EXPLORING 30 THE POSSIBILITY OF SEEKING the office;

31 1.20.2 1.18.3 The statement is made by means of a speech, advertisement, or other 32 communication reported or appearing in public media or in any place accessible 33 to the public; AND

Page 5 of 44 1 1.20.3 1.18.4 A reasonable person would expect the statement to become public.; and

2 1.20.4 The statement includes a stated intention to explore the possibility of seeking an 3 office.

4 The registration of a candidate committee also constitutes a public announcement of an 5 intention to seek election or retention.

6 [COLO. CONST. Article XXVIII, Section 2(2)]

7 1.21 1.19 “Registered agent” For the purposes of Article 45 of Title 1, C.R.S., a registered 8 agent or a committee treasurer, is an individual A NATURAL PERSON or candidate 9 designated to receive mailings and to address concerns and questions regarding the A 10 committee. [Sections 1-45-108(3)(b) and 1-45-109(4)(b), C.R.S.]

11 1.22 “Signature”. For purposes of any report filed electronically with the Secretary of State, 12 “signature” means the designated representative has electronically submitted the report 13 through the online filing system.

14 1.20 “STANDALONE CANDIDATE” MEANS A CANDIDATE WITHOUT A COMMITTEE WHO DOES NOT 15 ACCEPT CONTRIBUTIONS.

16 [New Rule 1.20 includes language from current Rule 2.1.1.]

17 [Rules 1.23 and 1.24 are amended and recodified as New Rule 10.1]

18 Rule 2. Candidates and Candidate Committees

19 2.1 Candidates without committees STANDALONE CANDIDATES

20 2.1.1 A STANDALONE candidate who does not accept contributions but who expends 21 money for campaign purposes shall not be required to form NEED NOT REGISTER a 22 candidate committee.

23 2.1.2 A STANDALONE candidate without a committee shall MUST file disclosure reports 24 for all reporting periods during IN which expenditures are made HE OR SHE MAKES 25 EXPENDITURES. [Sections 1-45-108 and 1-45-109, C.R.S.]

26 2.2 Candidate committees

27 2.2.1 A candidate may serve as the candidate committee’s registered agent or appoint 28 another NATURAL person to be the registered agent. The candidate and the 29 registered agent shall sign the candidate committee registration form. Only the 30 registered agent, the designated filing agent, or the candidate may sign FILE the 31 contribution and expenditure report. [Section 1-45-108(3)(b), C.R.S.]

Page 6 of 44 1 2.2.2 Once ASSIGNED a candidate has been assigned a frequent filing schedule, the 2 candidate shall COMMITTEE MUST follow the frequent filing schedule for the 3 remainder of the year.

4 2.2.3 If a primary election is cancelled in accordance with UNDER section 1-4-104.5(1), 5 C.R.S., a A candidate committee may accept the contribution limit specified in 6 COLO. CONST. Article XXVIII, Section 3(1) for the primary election EVEN IF THE 7 PRIMARY ELECTION IS CANCELED UNDER SECTION 1-4-104.5(1), C.R.S. as long as 8 the candidate was eligible to be on the primary election ballot. In accordance with 9 section 1-45-103.7(3), C.R.S., these contributions may be accepted at any time 10 before or after the primary election was cancelled.

11 2.2.4 Managing unexpended campaign contributions

12 (a) The A CANDIDATE COMMITTEE MUST REPORT ITS unexpended balance shall 13 be reported as the ending balance throughout the election cycle. 14 Unexpended balances A CANDIDATE COMMITTEE MUST REPORT ITS 15 UNEXPENDED BALANCE from the final report filed 30 days after the 16 applicable MAJOR election shall be reported as the beginning balance in the 17 next election cycle.

18 (b) Candidates seeking re-election to the same office

19 (1) Campaign contributions may be retained by the candidate 20 committee for A CANDIDATE COMMITTEE MAY RETAIN 21 CONTRIBUTIONS TO use in a subsequent election cycle for the same 22 public office, in an amount not to exceed the limit in COLO. CONST. 23 Article XXVIII, Section 3(3) (as adjusted by Rule 10.14 10.16).

24 (2) A candidate committee shall MAY not list unexpended campaign 25 contributions retained for use in a subsequent election cycle 26 expressly on disclosure reports as “contributions from a political 27 party” or as contributions from any specific political party. [COLO. 28 CONST. Article XXVIII, Section 3(3)(e)]

29 (3) The IF A CANDIDATE COMMITTEE RETAINS CONTRIBUTIONS TO USE 30 IN A SUBSEQUENT ELECTION CYCLE FOR THE SAME OFFICE, THE 31 amount retained by a candidate for use in a subsequent election for 32 the same office counts toward the limit on contributions from a 33 political party. If the amount retained plus any political party 34 contributions to the candidate committee during the subsequent 35 election cycle exceeds the limit on political party contributions, 36 any amount A CANDIDATE COMMITTEE MUST RETURN 37 CONTRIBUTIONS IT RECEIVES in excess of the POLITICAL PARTY limit 38 accepted by the candidate committee shall constitute a violation of 39 Article XXVIII, Section 3(3)(d), unless returned to the contributor 40 within 30 days.

Page 7 of 44 1 (c) Candidates seeking election to a new DIFFERENT office

2 (1) Campaign contributions to a A candidate committee may be 3 transferred TRANSFER FUNDS to a candidate committee established 4 by the same candidate for a different public office, subject to the 5 limitations set forth in Article XXVIII, Section 3(3)(e) for political 6 party contributions CONTRIBUTION LIMIT, only if the new office to 7 be sought has contribution limits that are equal to or greater than 8 the current office, or the new office sought has no contribution 9 limits. [COLO. CONST. Article XXVIII, Section 3]

10 (2) If a A candidate committee transfers money TRANSFERRING FUNDS 11 to a new candidate committee for a new DIFFERENT office, the 12 existing candidate committee shall be affirmatively closed by the 13 candidate MUST TERMINATE within ten days of registering the new 14 candidate committee.

15 (d) Candidates not NOT seeking re-election or election to a new office

16 (1) Campaign contributions held by a A candidate committee that 17 wishes to terminate and will not transfer funds to a new candidate 18 committee may be GIVE REMAINING CONTRIBUTIONS TO:

19 (A) Contributed to a A political party, in an amount not to 20 exceed the limit in COLO. CONST. Article XXVIII Section 21 3(3) (as adjusted by Rule 10.14 10.16);

22 (B) Donated to a A charitable organization recognized by the 23 I.R.S.;

24 (C) Returned to THE ORIGINAL contributors; or

25 (D) For candidates IF elected to office, funds THE CANDIDATE 26 may be used USE THE REMAINING CONTRIBUTIONS for voter 27 registration, political issue education, postsecondary 28 educational scholarships, to communicate COMMUNICATION 29 with constituents, or for expenses directly related to the 30 officeholder’s official duties.

31 [Section 1-45-106(1)(a)(I) and (b), C.R.S.]

32 2.2.5 Disposition of debt in anticipation of committee termination

33 (a) All contributions received by a A candidate committee in the current 34 election cycle shall be subject to the limits on MUST REPORT ALL 35 contributions for the current RECEIVED DURING THE election cycle and shall 36 be reported as THOSE contributions for the current election cycle, 37 regardless of any ARE SUBJECT TO THE CONTRIBUTION LIMIT, REGARDLESS

Page 8 of 44 1 OF debt carried over from a prior election cycle. a candidate committee 2 may not count contributions that are earmarked for debt retirement against 3 contribution limits for the past election cycle.

4 (b) Any financial FINANCIAL obligations incurred by a candidate committee in 5 an election cycle that are not paid within a commercially reasonable 6 period of time, not to exceed six months after the close of that election 7 cycle, shall be treated as ARE “contributions” from the service provider or 8 vendor PERSON extending credit.

9 2.3 Candidate affidavits

10 2.3.1 An affidavit that must be filed with the Secretary of State shall be filed A 11 CANDIDATE REQUIRED TO FILE WITH THE SECRETARY OF STATE MUST FILE A 12 CANDIDATE AFFIDAVIT electronically using the Secretary of State’s online 13 campaign finance filing system. [Sections 1-45-110(1) and 24-21-111, C.R.S.]

14 2.3.2 Candidates A CANDIDATE running for a Junior College Board of Trustees are 15 NEED not required to file a candidate affidavit. [COLO. CONST. Article XXVIII, 16 Section 2(2) and section 23-71-110, C.R.S. See also Rule 14.]

17 2.4 Personal financial disclosures [Article XXVIII, Section 10(2); Sections 1-45-110 and 24- 18 6-202, C.R.S.]

19 2.4.1 A candidate shall NEED not be required to file a NEW PERSONAL FINANCIAL 20 disclosure statement if the candidate filed either a complete FULL or amended 21 disclosure statement less than 90 days before filing a candidate affidavit. [Section 22 1-45-110(2)(a) and (b), C.R.S.]

23 2.4.2 Personal financial disclosure update forms (amended statements). An amended OR 24 UPDATED disclosure statement will satisfy SATISFIES the FULL disclosure 25 STATEMENT requirement if:

26 (a) A candidate files an affidavit 90 days or more after filing a disclosure;

27 (b) An individual files a candidate affidavit for a new office sought, if all 28 necessary REQUIRED amended statements have been filed since the filing 29 of the original FULL disclosure statement.; or [SECTIONS 1-45-110 AND 24- 30 6-202, C.R.S.]

31 (c) An incumbent has maintained current updates on file since filing an 32 original, complete personal financial disclosure.

33 2.4.3 If a candidate withdraws from his or her candidacy by submitting appropriate 34 documentation before filing the disclosure statement required in section 1-45- 35 110(2)(a), C.R.S., the candidate is not required to NEED NOT file a disclosure 36 statement., but any ANY fines that the candidate accrued for failure to file a 37 disclosure statement prior to BEFORE withdrawing shall WILL remain in effect.

Page 9 of 44 1 Rule 3. Political Committees and Small Donor Committees

2 3.1 Political committees A POLITICAL COMMITTEE and OR small donor committees 3 COMMITTEE shall MAY not make contributions to AN issue committees COMMITTEE, except 4 to the extent that a contribution is for the purchase of ITEMS SUCH AS event tickets, 5 merchandise, or services. [COLO. CONST. Article XXVIII, Section 2(12)(a)]

6 3.2 A political committee may change status ITS REGISTRATION to a small donor committee 7 without terminating the political committee if it has never accepted contributions of more 8 than $50 per natural person per year.

9 3.3 A committee that raises money solely for the purpose of making independent 10 expenditures, and which does not make contributions to candidates for any office, shall 11 be an independent expenditure committee and shall not be considered a political 12 committee. An independent expenditure committee is not subject to the restrictions in 13 Article XXVIII, Section 3(5). [Section 1-45-103.7(2.5)]

14 Rule 4. Issue Committees

15 4.1 An issue committee shall not be subject to any of the requirements of Article XXVIII or 16 Article 45 of Title 1, C.R.S., until the issue committee has accepted $5,000 or more in 17 contributions or made expenditures of $5,000 or more during an election cycle. An issue 18 committee that accepts $5,000 or more in contributions or makes expenditures of $5,000 19 or more during an election cycle shall register with the appropriate officer within ten 20 calendar days of accepting or making such contributions and expenditures.

21 4.1.1 Contributions received and expenditures made before reaching the $5,000 22 threshold are not required to be reported. Contributions received and expenditures 23 made after reaching the $5,000 threshold shall be reported in accordance with the 24 reporting schedule specified in section 1-45-108(2)(a), C.R.S.

25 4.1.2 4.1 An issue committee shall MUST provide the committee’s FUND balance on the date 26 of committee registration as a “beginning balance” on the committee’s initial Report of 27 Contributions and Expenditures.

28 4.1.3 For purposes of this Rule, an election cycle is the two-year house of 29 representatives election cycle.

30 [Sampson v. Buescher, 625 F.3d 1247 (10th Cir. 2010)]

31 The Denver District Court declared Rule 4.27, the predecessor to Rule 4.1, invalid in 32 Common Cause et. al v. Gessler, 2011 CV 4164. The Secretary has appealed the 33 decision, and accordingly will not enforce Rule 4.1 unless or until the Colorado appellate 34 courts reverse the District Court’s decision. The Secretary will revive Rule 4.1 if the 35 appellate courts reverse the decision.

36 4.2 An issue committee may support or oppose more than one issue BALLOT MEASURE if the 37 following conditions are met:

Page 10 of 44 1 4.2.1 The specific issues are included on the committee registration form STATES EACH 2 MEASURE, DESCRIBES EACH MEASURE, AND STATES WHETHER THE COMMITTEE 3 SUPPORTS OR OPPOSES THE MEASURE. when each issue meets the requirements of 4 section 1-45-108(7), C.R.S.;

5 4.2.2 Each issue is described on the committee registration form; and

6 4.2.3 The registration form states whether the committee will be supporting or opposing 7 those issues.

8 [COLO. CONST. Article XXVIII, Section 2(10)(a)(I) and (2)(10)(a)(II)]

9 4.3 An issue committee must file on a frequent filing schedule once it has spent money to 10 support or oppose ballot issues or ballot questions, or potential ballot issues or ballot 11 questions on an upcoming ballot. IF AN ISSUE COMMITTEE SUPPORTS OR OPPOSES A 12 BALLOT MEASURE ON AN UPCOMING BALLOT, THE ISSUE COMMITTEE MUST FILE ON A 13 FREQUENT FILING SCHEDULE. See Rule 17.2.3.

14 4.4 Disclosure.

15 4.4.1 An issue committee is only required to report those contributions accepted, 16 expenditures made, and obligations entered into for the purpose of supporting or 17 opposing ballot issues or ballot questions.

18 4.4.2 Contributions accepted for the purpose of supporting or opposing ballot issues or 19 ballot questions shall be deposited in an account separate from other funds of the 20 issue committee in accordance with Article XXVIII, Section 3(9).

21 4.5 4.4 Termination. An issue committee may terminate by filing FILE a termination report with 22 the appropriate filing officer. In accordance with Rule 12.3, a termination report may be 23 filed at any time if the following conditions are met:

24 4.5.1 4.4.1 The committee no longer has a major purpose of supporting or opposing 25 any ballot issue or ballot question A BALLOT MEASURE and no longer intends to 26 accept or make contributions or expenditures to support or oppose a ballot issue 27 or ballot question; and

28 4.5.2 4.4.2 The committee's separate account maintained in accordance with Article 29 XXVIII, Section 3(9) has TRACER ACCOUNT REFLECTS no cash on hand and no 30 outstanding debts, or obligations, OR PENALTIES.

31 Rule 5. Independent Expenditures and Independent Expenditure Committees

32 5.1 Disclaimer requirement for nonbroadcast independent expenditure communications.

33 5.1.1 Any UNDER SECTION 1-45-107.5(5), C.R.S., ANY nonbroadcast communication 34 that constitutes an independent expenditure and is subject to the requirements of 35 section 1-45-107.5(5), C.R.S., shall MUST contain a clear and conspicuous

Page 11 of 44 1 disclaimer including THAT IS CLEARLY READABLE, PRINTED IN TEXT THAT IS NO 2 LESS THAN 15 PERCENT OF THE SIZE OF THE LARGEST FONT USED IN THE 3 COMMUNICATION, OR AT LEAST EIGHT-POINT FONT, AND INCLUDES:

4 (a) The name of the person that paid for the communication; and

5 (b) The specific A statement that the communication is not authorized by any 6 candidate.

7 The disclaimer shall be clearly readable, and shall be printed in text that is no less 8 than fifteen percent of the size of the largest font used in the communication, or at 9 least eight-point font.

10 5.1.2 These requirements do not apply to bumper stickers, pins, buttons, pens, and 11 similar small items upon which the disclaimer cannot be reasonably printed.

12 5.2 A committee that raises money solely for the purpose of making independent 13 expenditures, and which does not make contributions to candidates, shall be an 14 independent expenditure committee and shall not be considered a political committee. An 15 independent expenditure committee is not subject to the political committee restrictions 16 in Article XXVIII, Section 3(5). [Section 1-45-103.7(2.5), C.R.S.]

17 5.2 AN INDEPENDENT EXPENDITURE COMMITTEE MUST REPORT DONATIONS OVER TWENTY 18 DOLLARS GIVEN FOR THE PURPOSE OF MAKING AN INDEPENDENT EXPENDITURE.

19 5.2.1 AN INDEPENDENT EXPENDITURE COMMITTEE MUST ITEMIZE DONATIONS OF $250 OR 20 MORE PER YEAR GIVEN FOR THE PURPOSE OF MAKING AN INDEPENDENT 21 EXPENDITURE AND INCLUDE THE NAME AND ADDRESS OF THE DONOR.

22 5.2.2 IF THE COMMITTEE IS UNABLE TO GATHER THE INFORMATION REQUIRED BY 23 SECTION 1-45-107.5(4)(B)(II), OR (III), C.R.S., WITHIN 30 DAYS AFTER RECEIPT OF 24 THE DONATION, THE COMMITTEE MUST RETURN THE DONATION TO THE DONOR NO 25 LATER THAN THE 31ST DAY AFTER RECEIPT.

26 5.2.3 AN INDEPENDENT EXPENDITURE COMMITTEE MUST ITEMIZE INDEPENDENT 27 EXPENDITURES MADE IN AN AGGREGATE AMOUNT OF $1,000 IN ANY ONE CALENDAR 28 YEAR AND INCLUDE THE INFORMATION REQUIRED BY SECTION 1-45-107.5, C.R.S.

29 Rule 6. Political Parties

30 6.1 The appropriate filing officer for a state or county political party is the Secretary of State. 31 Therefore, state and county political parties are subject to the requirements of section 1- 32 45-109(1)(c), C.R.S., and must file reports with the Secretary of State. [Article XXVIII 33 Section 2(1); section 1-45-109(1)(c), C.R.S. [SECTION 1-45-108(1)(A)(I), C.R.S.]

34 6.1.1 Repealed.

35 6.2 Transfers of money within a party

Page 12 of 44 1 6.2.1 A party may transfer money from one level of the organization to another WITHIN 2 THE PARTY without limit.

3 6.2.2 Transfers of money within a party must be disclosed THE PARTY MUST DISCLOSE 4 TRANSFERS as “other income” in accordance with Rule 10.12 10.14.

5 6.3 Home rule jurisdictions

6 6.3.1 A political party in a home rule jurisdiction that maintains a separate account in 7 accordance with Rule 14.4 14.3 may not include contributions to, or expenditures, 8 from that separate account in reports filed with the Secretary of State.

9 6.3.2 If a political party receives contributions into a separate account in accordance 10 with Rule 14.4 14.3, the party may not transfer funds from that account to other 11 county parties or to a state party.

12 Rule 7. Federal PACs and 527 Political Organizations

13 7.1 Federal PACs

14 7.1.1 A FEDERAL PAC THAT QUALIFIES AS A political committee UNDER COLO. CONST. 15 ARTICLE XXVIII, SECTION 2(12), that is subject to reporting under both section 1- 16 45-108, C.R.S., and the “Federal Election Commission Act of 1971” (a “Federal 17 PAC”) shall MUST register with the Secretary of State’s office as a “Federal 18 PAC.” SEPARATE STATE POLITICAL COMMITTEE AND FOLLOW ALL REQUIREMENTS 19 FOR STATE POLITICAL COMMITTEES. A Federal PAC shall file disclosure reports 20 electronically with the Secretary of State. In accordance with the requirement of 21 section 1-45-108 (3.5), C.R.S., that Federal PACs are subject to “all other legal 22 requirements”, a Federal PAC must:

23 (a) Identify the contributions the Federal PAC received that were used to 24 support or oppose candidates in Colorado and disclose all such 25 contributions on reports filed with the Secretary of State.

26 (b) Itemize on the Colorado report all contributions of $20 or more identified 27 by the Federal PAC as making up the funds used to support or oppose 28 candidates in Colorado, and list the occupation and employer of any 29 person who has made a contribution of $100 or more.

30 (c) Use only contributions received by the Federal PAC that are within source 31 and contribution limits established by Colorado law to support or oppose 32 state or local candidates. Contributions received by the PAC that the 33 organization has not designated for use to support or oppose candidates in 34 Colorado do not have to be disclosed on reports filed in Colorado and are 35 not subject to the Colorado source and amount limits and prohibitions.

Page 13 of 44 1 (d) Itemize all expenditures in the state of $20 or more, and list any 2 expenditures of less than $20 made in Colorado as non-itemized 3 expenditures.

4 (e) Deposit Federal PAC funds into a separate account that is used for the 5 Federal PAC exclusively, in accordance with Article XXVIII, Section 3(9) 6 and Rule 10.11. The Federal PAC may, but is not required to, segregate 7 funds intended to support or oppose state or local candidates in Colorado.

8 7.1.2 Federal PACs shall file reports in every reporting period as long as the Federal 9 PAC remains in “active” status with the Secretary of State’s office. Reports filed 10 by a Federal PAC are filed on the schedule outlined for political committees in 11 section 1-45-108(2)(a)(I), C.R.S.

12 7.1.3 If the Federal PAC is registered as a Colorado political committee rather than as a 13 Federal PAC, the committee must follow the requirements applicable to state 14 political committees, and not those outlined in this Rule.

15 7.1.4 Any Federal PAC registered with the Secretary of State may terminate its active 16 status by filing a termination report.

17 7.2 Political organizations. In the case of political organizations as defined in section 1-45- 18 103(14.5), C.R.S.:

19 7.2.1 For purposes of section 1-45-108.5, C.R.S., an entity is considered a political 20 organization only if:

21 (a) Has as its major purpose influencing or attempting to influence elections 22 as defined in Rule 1.10; and

23 (b) Is exempt, or intends to seek exemption, from taxation by the Internal 24 Revenue Service.

25 [I.R.C. § 527(i)(5)(B) (2010)]

26 7.2.2 7.2.1 Political organizations shall A POLITICAL ORGANIZATION MUST file on the 27 frequent filing schedule for a political committee in an even-numbered year, and 28 on the infrequent filing schedule in an odd-numbered year, according to the filing 29 schedules set forth in section 1-45-108(2), C.R.S.

30 (a) For the purposes of this Rule, “off-election year” for a political 31 organization shall mean MEANS every odd-numbered year.

32 (b) For the purposes of this Rule, “major election” shall mean an election held 33 in November of an even-numbered year.

34 7.2.3 7.2.2 Political organizations are A POLITICAL ORGANIZATION THAT RECEIVES NO 35 CONTRIBUTIONS AND SPENDS LESS THAN $20 DURING A REPORTING PERIOD IS not

Page 14 of 44 1 required to file A disclosure reports REPORT for THAT reporting periods PERIOD 2 when no contributions were received and spending was less than $20. [Section 1- 3 45-108.5(1)(b), C.R.S.]

4 7.2.4 7.2.3 Political organizations shall A POLITICAL ORGANIZATION MUST file all 5 applicable disclosure reports required by section 1-45-108.5, C.R.S., with the 6 appropriate filing officer. For the purposes of this rule, the appropriate filing 7 officer shall be IS the same for political organizations as for political committees. 8 as outlined in section 1-45-109, C.R.S.

9 Rule 8. Registering a Committee

10 8.1 The COMMITTEE REGISTRATION MUST INCLUDE THE purpose or nature of interest of the 11 committee or party shall be included in the committee registration.

12 8.1.1 A candidate committee shall MUST identify the name of the candidate and the 13 specific PUBLIC office sought.

14 8.1.2 A political committee, independent expenditure committee, small donor 15 committee, Federal PAC, or political organization shall MUST identify the types of 16 candidates being supported IT SUPPORTS or opposed OPPOSES, including party 17 affiliation and, AS APPLICABLE, office(s) sought or public policy position(s).

18 8.1.3 An issue committee must identify the ballot measures to be supported or opposed 19 MEASURE IT WILL SUPPORT OR OPPOSE, if known. If particular ballot measures are 20 not known, an THE issue committee must identify THE policy positions to be 21 supported or opposed POSITION IT WILL SUPPORT OR OPPOSE.

22 8.2 When a committee registration form is received and deemed complete by the appropriate 23 filing officer, an identification number will be assigned and a letter or email of 24 acknowledgement will be sent by the appropriate filing officer to the registered agent on 25 file.

26 Rule 9. Registered Agents

27 9.1 The registered agent or a designated filing agent for any committee shall sign the 28 committee’s registration form and all disclosure reports. For registration forms and 29 reports filed by a candidate or candidate committee, the candidate may sign. THE 30 CANDIDATE, REGISTERED AGENT, AND DESIGNATED FILING AGENT MUST SIGN THE INITIAL 31 REGISTRATION FORM. THE CANDIDATE, REGISTERED AGENT, OR DESIGNATED FILING AGENT 32 MAY SIGN ANY SUBSEQUENT AMENDED REGISTRATION FORM OR DISCLOSURE REPORT. 33 [Sections 1-45-108(3), (5), and (6), C.R.S.]

34 9.2 For a candidate committee, the candidate may serve as the registered agent, or the 35 candidate may appoint another person.

36 9.3 9.2 Resignation of THE registered agent

Page 15 of 44 1 9.3.1 9.2.1 A committee may assign a new registered agent by filing an amended 2 committee registration. using the online campaign finance filing system. The 3 Secretary of State’s office will maintain a A registered agent’s name REMAINS on 4 file until the committee assigns a new registered agent.

5 9.3.2 9.2.2 In accordance with Rule 12.1, the A committee or party shall MUST file an 6 amended committee registration form within five TEN days after the resignation of 7 a registered agent or the appointment of a new registered agent. The A committee 8 or party must have an active registered agent at all times. [Section 1-45-108(3)(b), 9 C.R.S.; RULE 12.1]

10 Rule 10. Managing Contributions and Expenditures

11 [Current Rules 1.23 and 1.24 are amended are recodified as New Rule 10.1 as follows:]

12 1.23 10.1 “Unexpended campaign contributions”. UNEXPENDED CAMPAIGN CONTRIBUTIONS.

13 10.1.1 For purposes of section 1-45-106(1), C.R.S., contributions to a candidate 14 committee become unexpended campaign contributions at the earliest of the 15 following:

16 1.23.1 (A) The end of the election cycle; or

17 1.23.2 (B) When the candidate withdraws from the political race and intends 18 to terminate his or her candidate committee.

19 1.24 10.1.2 “Unexpended contributions”. 1.24.1 For purposes of section 1-45-106(3), 20 C.R.S., contributions to an issue committee become unexpended contributions at 21 the end of the election cycle in which the committee supported or opposed an 22 issue on the ballot A BALLOT MEASURE, or one that attempted access to the ballot. 23 Funds do not become unexpended contributions if the issue committee supports or 24 opposes, or intends to support or oppose, another issue or issues BALLOT MEASURE 25 OR MEASURES.

26 10.1 10.2 Contributions – how reported EXCEPT FOR INDEPENDENT EXPENDITURE 27 COMMITTEES, COMMITTEES MUST REPORT CONTRIBUTIONS AS FOLLOWS:

28 10.1.1 10.2.1 All COMMITTEES MUST INDIVIDUALLY LIST ALL contributions received of 29 $20 or more RECEIVED during a reporting period shall MUST be listed individually 30 on the contribution and expenditure report, including names and addresses of the 31 contributors. If a contributor gives $20 or more in the aggregate during the 32 reporting period, the COMMITTEE MUST INDIVIDUALLY LIST THE contributor must 33 be listed individually on the report, regardless of the amount of each contribution. 34 [Section 1-45-108(1), C.R.S.]

35 10.1.2 10.2.2 All A COMMITTEE MAY REPORT ALL other receipts and contributions less 36 than $20 may be reported in total as non-itemized contributions for the reporting 37 period, except for contributions from an LLC.

Page 16 of 44 1 10.1.3 Contributions A COMMITTEE MUST ITEMIZE ALL CONTRIBUTIONS from an LLC, 2 must be itemized regardless of amount. [Section 1-45-103.7(5)(d), C.R.S.]

3 10.1.4 10.2.3 Disclosure of occupation and employer

4 (a) The requirement to disclose the occupation and employer of a contributor 5 in COLO. CONST. Article XXVIII, Section 7 and section 1-45-108, C.R.S., 6 applies to any one-time contribution of $100 or more, and not to aggregate 7 contributions totaling $100 or more.

8 (b) If A COMMITTEE DOES NOT REPORT occupation and employer information is 9 not provided for contributions A CONTRIBUTION of $100 or more, and the 10 committee is unable to gather the information within 30 days after receipt 11 from OF the contribution, the COMMITTEE MUST RETURN THE contribution 12 shall be returned to the contributor no later than the 31st day after receipt. 13 [COLO. CONST. Article XXVIII, Section 7]

14 10.2 10.3 Expenditures– how reported EXCEPT FOR INDEPENDENT EXPENDITURE 15 COMMITTEES, COMMITTEES MUST REPORT EXPENDITURES AS FOLLOWS:

16 10.2.1 10.3.1 All A COMMITTEE MUST LIST ALL expenditures made AND OBLIGATIONS 17 ENTERED INTO by a committee of $20 or more during a reporting period shall be 18 listed individually on the contribution and expenditure report, including THE 19 names NAME and addresses ADDRESS of payees.

20 10.2.2 10.3.2 Individual A COMMITTEE MUST LIST INDIVIDUAL expenditures MADE AND 21 OBLIGATIONS ENTERED INTO in amounts less than $20 that aggregate to total $20 22 or more to the same payee during the reporting period shall be listed individually 23 on the contribution and expenditure report.

24 10.2.3 10.3.3 All A COMMITTEE MAY REPORT ALL other expenditures MADE AND 25 OBLIGATIONS ENTERED INTO less than $20 during a reporting period may be 26 reported in total as non-itemized expenditures.

27 [Section 1-45-108(1), C.R.S.]

28 10.3 10.4 Contributions and donations – when counted. 10.3.1 A contribution or donation is 29 considered made or received as of ON the date that it is accepted by the committee or 30 party.

31 (a) 10.4.1 A contribution or donation by check is considered accepted, at the latest, 32 on the date that the contribution or donation is deposited by the committee into 33 THE COMMITTEE account. Any contribution or donation in the form of a IF A 34 COMMITTEE RECEIVES A DONATION BY check received by a committee at least five 35 business days before the end of a reporting period, THE COMMITTEE must be 36 deposited or returned DEPOSIT THE CHECK OR RETURN to the contributor by the 37 close of BEFORE that reporting period CLOSES.

Page 17 of 44 1 (b) 10.4.2 A cash contribution or donation is received as of ACCEPTED the date the 2 cash is transferred to IN the committee’s possession.

3 (c) 10.4.3 A contribution or donation made by credit card, PayPal, or other payment 4 intermediary service is received as of ACCEPTED ON the date the contributor or 5 donor authorizes the payment to be made.

6 (d) 10.4.4 A non-monetary (in-kind) A NON-MONETARY OR IN-KIND contribution or 7 donation is received as of ACCEPTED ON the date on which the committee takes 8 possession of the item, or has the right to possess or use the item.

9 10.3.2 10.4.5 For purposes of section 1-45-105.5, C.R.S., concerning contributions by 10 lobbyists to certain state officers and candidates when legislation is under 11 consideration, a contribution is considered made or promised ACCEPTED when the 12 pledge is made or possession of the check is transferred to any person not under 13 the control of the issuer, whichever is sooner.

14 10.4 10.5 All committees shall A COMMITTEE MUST maintain all financial records for 180 15 days after any general election CYCLE in which the committee received contributions. If a 16 complaint is filed against the committee, the committee shall MUST maintain financial 17 records until final disposition of the complaint and any consequent litigation. THE 18 COMMITTEE MUST MAINTAIN LLC affirmations must be maintained for one year after the 19 end of the election cycle. [COLO. CONST. Article XXVIII, Section 3(9)]

20 10.5 10.6 For any contribution received in excess of contribution limits, neither the 21 contributor nor the receiving committee shall be IS liable for exceeding the contribution 22 limit if the excess amount is returned to the contributor IF A COMMITTEE RECEIVES A 23 DONATION IN EXCESS OF THE CONTRIBUTION LIMIT, THE COMMITTEE MUST RETURN THE 24 EXCESS TO THE DONOR within ten days of receipt or within three days after receiving 25 notification from the Secretary of State that the contribution violates the limits, 26 whichever is sooner.

27 10.6 10.7 Contributions where the identity of the BY ANONYMOUS contributor is unknown 28 (anonymous contributions or donations)

29 10.6.1 10.7.1 Committees cannot A COMMITTEE MAY NOT keep anonymous contributions 30 or donations of $20 or more.

31 10.7.2 An anonymous contribution or donation is one ANONYMOUS CONTRIBUTIONS ARE 32 CONTRIBUTIONS where the identity of the contributor or donor is unknown.

33 10.7.3 Anonymous A COMMITTEE MUST DONATE AN ANONYMOUS CONTRIBUTION 34 contributions or donations of $20 or more must be donated to any A charitable 35 organization recognized by the Internal Revenue Service, or transmitted 36 TRANSMIT THE CONTRIBUTION to the State Treasurer for deposit into the unclaimed 37 property fund or such other fund as the State Treasurer may direct, within 30 days 38 after receipt. [Section 1-45-108(1)(a), C.R.S.]

Page 18 of 44 1 10.7 10.8 Contributions by candidate – voluntary spending limits – loans. REPORTING 2 CONTRIBUTIONS AND LOANS:

3 10.7.1 10.8.1 If a candidate does not accept voluntary spending limits, the candidate 4 may make unlimited contributions from his or her personal funds to his or her 5 candidate committee. SUCH CONTRIBUTIONS

6 10.7.2 Contributions to a candidate’s own committee by a candidate who does accept 7 voluntary spending limits shall be counted COUNT toward the limit on political 8 party contributions in COLO. CONST. Article XXVIII, Section 3(3)(d), and Section 9 4(2).

10 10.7.3 10.8.2 A candidate who accepts voluntary spending limits may make a loan to his 11 or her candidate committee in any amount, so long as the unpaid balance of any 12 loan does not exceed the contribution limit in COLO. CONST. Article XXVIII, 13 Sections 3 and 4(2) at any time.

14 10.9 IF ALL CANDIDATES WHO DECLINED VOLUNTARY SPENDING LIMITS HAVE WITHDRAWN 15 FROM THE RACE OR LOST IN THE PRIMARY ELECTION, A CANDIDATE WHO ACCEPTED 16 VOLUNTARY SPENDING LIMITS MAY NOT CONTINUE TO ACCEPT CONTRIBUTIONS DOUBLE 17 THE STANDARD LIMITS.

18 10.8 10.10 Cost-sharing by candidates

19 10.8.1 Candidate committees may share the cost of brochures, offices, office equipment, 20 etc. that are produced or used jointly if each candidate committee pays for its 21 proportionate share of the expense.

22 10.8.2 Any reimbursement by one candidate committee to another for shared costs must 23 be made within 30 days of the original expenditure. Reimbursement is not a 24 “contribution” from one committee to the other; it shall be reported as an 25 expenditure by the reimbursing committee and as a returned expenditure by the 26 reimbursed committee. If sharing expenditures results in a price discount based on 27 volume or quantity, the discount is not considered a “contribution” from the 28 vendor. EACH CANDIDATE COMMITTEE THAT SHARES THE COST OF BROCHURES, 29 OFFICE SPACE, OR OTHER OVERHEAD MUST PAY ITS PROPORTIONATE SHARE OF THE 30 COST WITHIN 30 DAYS OF THE EXPENDITURE. THE REIMBURSING COMMITTEE MUST 31 REPORT THE PAYMENT AS AN EXPENDITURE AND THE REIMBURSED COMMITTEE 32 MUST REPORT IT AS A RETURNED EXPENDITURE. A COMMITTEE NEED NOT REPORT 33 DISCOUNTS RESULTING FROM SHARED EXPENSES AS CONTRIBUTIONS.

34 10.9 10.11 Reimbursement of expenditures – payments by credit card or payment 35 intermediary service

36 10.9.1 10.11.1 When reporting a reimbursement to a candidate or to any other person, the 37 A committee or party shall separately disclose each expenditure MUST REPORT A 38 REIMBURSEMENT of $20 or more, including AND INCLUDE the purpose, payee, and

Page 19 of 44 1 amount of each expenditure as of the date of the expenditure, regardless of the 2 date of THE reimbursement.

3 10.9.2 10.11.2 For the purpose of reporting an expenditure, simply disclosing that a 4 payment was made to a credit card company or a payment intermediary service 5 such as PayPal is not adequate. THE COMMITTEE MUST ITEMIZE ALL PAYMENTS All 6 expenditures of $20 or more made by WITH A credit card or THROUGH A payment 7 intermediary service must be itemized, including the name and address of the 8 original payee, amount, original date of expenditure, and purpose of the 9 expenditure.

10 10.9.3 Nothing in this Rule permits contributions or reimbursements of contributions 11 prohibited by Article XXVIII, Section 3(11).

12 10.9.4 A reimbursement not considered a contribution to the person being reimbursed for 13 purposes of Article XXVIII, Section 2(5).

14 10.11.3 AN IMMEDIATE REIMBURSEMENT FOR COMMITTEE EXPENSES IS NOT A 15 CONTRIBUTION.

16 [Section 1-45-108(1)(e), C.R.S.]

17 10.10 10.12 Loans received by TO a candidate committee

18 10.10.1 All loans received by a candidate committee must be reported 19 continuously until repaid. [Article XXVIII, Section 3(8)]

20 10.10.2 10.12.1 Loans made from a financial FINANCIAL institution LOANS to a 21 candidate committee under COLO. CONST. Article XXVIII, Section 3(8) shall MAY 22 not be forgiven.

23 10.10.3 10.12.2 Loans made by a candidate CANDIDATE LOANS to his or her 24 committee

25 (a) A candidate may make an interest-free loan to his or her candidate 26 committee. Any foregone interest is not a contribution to the committee.

27 (b) Any repayment of a loan shall be considered a loan payment, except that 28 A COMMITTEE MUST REPORT THE interest repaid for a loan made under 29 COLO. CONST. Article XXVIII, Section 3(8) shall be reported as an 30 expenditure by the committee.

31 (c) A CANDIDATE MAY FORGIVE A loan made by a candidate to the candidate’s 32 HE OR SHE LOANED TO HIS OR HER own committee may be forgiven by the 33 candidate. The amount of unpaid debt forgiven by the candidate remains a 34 contribution and is not considered a returned contribution.

Page 20 of 44 1 10.11 10.13 The requirement that committee funds be deposited into “a financial institution” 2 does not require that all committee funds must be deposited A COMMITTEE MAY DEPOSIT 3 COMMITTEE MONEY in MORE THAN one single bank, credit union, or other commercial 4 financial institution. [COLO. CONST. Article XXVIII, Section 3(9)]

5 10.12 10.14 Other income

6 10.12.1 10.14.1 A committee’s COMMITTEE MAY INVEST ITS funds may be invested 7 in any type of account or instrument of a government regulated financial 8 institution.

9 10.12.2 10.14.2 Any A COMMITTEE MUST DISCLOSE ALL interest or dividends earned 10 on a committee’s ITS BANK account, earned income from a commercially 11 reasonable transaction, or transfers of money within a political party shall 12 be disclosed as other income on the committee’s reports. This “other 13 income” is not subject to contribution limits.

14 10.13 10.15 Disclosure of contributions by limited liability companies (LLCs) [Section 1-45- 15 103.7(5), (6), (7), and (8), C.R.S.]

16 10.13.1 10.15.1 The written affirmation provided by an LLC in accordance with 17 section 1-45-103.7, C.R.S., shall MUST include the names and addresses of 18 all LLC members and describe how the contribution is to be attributed to 19 the LLC members.

20 10.13.2 10.15.2 The affirmation shall MUST include the occupation and employer of 21 any member ATTRIBUTED WITH CONTRIBUTING to whom a contribution of 22 $100 or more is attributed.

23 10.13.3 10.15.3 A committee that receives a contribution from an THE 24 AFFIRMATION PROVIDED BY AN LLC UNDER SECTION 1-45-103.7, C.R.S., 25 shall report the contribution as having been received from contributor type 26 “LLC,” and shall then list MUST INCLUDE THE NAME AND ADDRESS OF each 27 LLC member, and the amount attributed to each member, (as determined 28 by the pro-rata ownership held by each). Disclosure shall include the name 29 and address of the LLC and the name and address of each member. 30 [Section 1-45-108(1)(a)(IV), C.R.S.] AND, IF MORE THAN $100 IS 31 ATTRIBUTED TO A MEMBER, THE OCCUPATION AND EMPLOYER OF THAT 32 MEMBER. WHEN REPORTING THE CONTRIBUTION, THE COMMITTEE MUST 33 SELECT THE “LLC” CONTRIBUTOR TYPE AND INCLUDE THE NAME AND 34 ADDRESS OF THE LLC, THE NAME AND ADDRESS OF EACH MEMBER, AND THE 35 AMOUNT ATTRIBUTED TO EACH MEMBER. ATTRIBUTION IS DETERMINED BY 36 THE PRO-RATA SHARE OF OWNERSHIP.

37 10.13.4 10.15.4 Any A COMMITTEE MUST RETURN ANY contribution received by a 38 committee from an LLC that does not comply with the affirmation 39 requirements in section 1-45-103.7, C.R.S., and this Rule shall be returned 40 RULE to the contributor within 30 days.

Page 21 of 44 1 10.13.5 10.15.5 Each A COMMITTEE MUST ITEMIZE EACH contribution received from 2 an LLC shall be itemized on disclosure reports, regardless of the dollar 3 amount.

4 10.13.6 10.15.6 Any contribution from an LLC is counted COUNTS against 5 contribution limits for both the individual member(s) MEMBERS to whom 6 the contribution is attributed and the LLC itself. [COLO. CONST. Article 7 XXVIII, Section 3(9)]

8 (a) No AN LLC shall be permitted to MAY NOT make a contribution that 9 exceeds the limit for a “person” established in COLO. CONST. Article 10 XXVIII, Section 3, as adjusted by Rule 10, regardless of the amount 11 attributed to each individual member.

12 10.14 10.16 Inflationary adjustments to contribution and voluntary spending limits CURRENT 13 ADJUSTED LIMITS

14 10.14.1 Calculation of adjustments

15 (a) In accordance with Article XXVIII, Sections 3(13) and 4(7), limits on 16 contributions in Section 2(14) and Section 3, subsections (1), (2), (3), and 17 (5) and the voluntary limits on spending in Section 4(1), are adjusted 18 every four years based on the percentage change in the consumer price 19 index for the Denver-Boulder-Greeley area, over the four year period 20 immediately preceding the adjustment.

21 (b) In determining the adjusted amount, the percentage change in the 22 consumer price index is rounded to the nearest whole percentage point. In 23 accordance with Article XXVIII, Sections 3(13) and 4(7), the adjusted 24 limits are rounded to the nearest, lowest $25.

25 10.14.2 10.16.1 Adjusted limits made in the first quarter of 2011 2015 and 26 effective until the next adjustment is made in 2015 2019:

27 (a) There is no adjustment to the contribution limits on individual donations 28 to small donor committees outlined in Article XXVIII, Section 2(14).

29 (b) The aggregate limits on contributions from any person for a primary or a 30 general election, described in COLO. CONST. Article XXVIII, Section 3(1), 31 are adjusted as follows:

32 (1) $550 $575 to any one:

33 (A) Governor candidate committee for the primary election, 34 and Governor and Governor and Lieutenant Governor 35 candidate committee, as joint candidates under section 1-1- 36 104, C.R.S., or any successor section, for the general 37 election;

Page 22 of 44 1 (B) Secretary of State, State Treasurer, or Attorney General 2 candidate committee.

3 (2) There is no adjustment to the limits on contributions to any one 4 State Senate, State House of Representatives, State Board of 5 Education, Regent of the University of Colorado, or any District 6 Attorney candidate committee.

7 (c) The aggregate limits on contributions from a small donor committee for a 8 primary or a general election, described in COLO. CONST. Article XXVIII, 9 Section 3(2), are adjusted as follows:

10 (1) $5,675 $6,125 to any one:

11 (A) Governor candidate committee for the primary election, 12 and Governor and Lieutenant Governor candidate 13 committee, as joint candidates under section 1-1-104, 14 C.R.S., or any successor section, for the general election;

15 (B) Secretary of State, State Treasurer, or Attorney General 16 candidate committee; and

17 (2) $2,250 $2,425 to any one State Senate, State House of 18 Representatives, State Board of Education, Regent of the 19 University of Colorado, or any District Attorney candidate 20 committee.

21 (d) The aggregate limits on contributions from any person to a political party, 22 described in COLO. CONST. Article XXVIII, Section 3(3)(a), are adjusted 23 as follows:

24 (1) $3,400 $3,650 per year at the state, county, district, and local level 25 combined; and

26 (2) Of such, no more than $2,825 $3,050 at the state level.

27 (e) The aggregate limits on contributions from a small donor committee to a 28 political party, described in COLO. CONST. Article XXVIII, Section 29 3(3)(b), are adjusted as follows:

30 (1) $17,075 $18,425 per year at the state, county, district, and local 31 level combined; and

32 (2) Of such, no more than $14,225 $15,350 at the state level.

33 (f) The aggregate limits on pro-rata contributions or dues made to political 34 committees, described in COLO. CONST. Article XXVIII, Section 3(5), are 35 adjusted to $550 $575 per house of representatives election cycle.

Page 23 of 44 1 (g) This table contains the contribution limits listed in subsections i-vi (A)-(G).

2 Contributor: Recipient Natural Person, Political Small donor Political Person other than a committee committee party natural person Political $550 $550 $575 $550 $575 $550 $575 $550 $575 committee $575 per per election per election per election per election election cycle cycle cycle cycle cycle Small donor $50 per Prohibited Prohibited Prohibited Prohibited committee year Governor $550 $550 $575 $550 $575 $5,675 $569,530 (governor & lt. $575 per per election per election $6,125 per $615,075 governor) election cycle* cycle* election per election cycle* cycle* cycle Secretary of state, $550 $550 $575 $550 $575 $5,675 $113,905 state treasurer, $575 per per election per election $6,125 per $123,000 attorney general election cycle* cycle* election per election cycle* cycle* cycle State senate $200 per $200 per $200 per $2,250 $20,500 election election election $2,425 per $22,125 per cycle* cycle* cycle* election election cycle* cycle State house of $200 per $200 per $200 per $2,250 $14,805 representatives, election election election $2,425 per $15,975 per state board of cycle* cycle* cycle* election election education, regent cycle* cycle of the University of Colorado, district attorney Political party $3,400 $3,400 $3,400 $17,075 Transfers $3,650 $3,650 $3,650 $18,425 within a ($2,825 ($2,825 ($2,825 ($14,225 party may $3,050 at $3,050 at $3,050 at $15,350 at be made the state the state the state the state without level) per level) per level) per level) per limitation. year year year year

3 * All major party candidates A CANDIDATE may accept the contribution limit for BOTH the 4 primary election and the general election. Minor party candidates who appear on a primary 5 election ballot may accept contributions for the primary and general elections. Unaffiliated and 6 minor party candidates who do not appear on a primary election ballot may accept contributions 7 only for the general election.

Page 24 of 44 1 (h) The voluntary spending limits for a candidate described in COLO. CONST. 2 Article XXVIII, Section 4(1), are adjusted as follows:

3 (1) The spending limit for Governor, and Governor and Lieutenant 4 Governor as joint candidates under section 1-1-104, C.R.S., or any 5 successor section shall be IS adjusted to $2,847,650 $3,075,450.

6 (2) The spending limit for a candidate for Secretary of State, Attorney 7 General, or Treasurer shall be IS adjusted to $569,525 $615,075.

8 (3) The spending limit for a candidate for State Senate shall be IS 9 adjusted to $102,500 $110,700.

10 (4) The spending limit for a candidate for State House of 11 Representatives, State Board of Education, Regent of the 12 University of Colorado, or any District Attorney shall be IS 13 adjusted to $74,025 $79,925.

14 Candidate Voluntary Spending Limit Governor, and Governor and Lieutenant Governor as $2,847,650 $3,075,450 joint candidates Secretary of State, Attorney General, or State $569,525 $615,075 Treasurer State Senate $102,500 $110,700 State House of Representatives, State Board of $74,025 $79,925 Education, Regent of the University of Colorado, or District Attorney

15 10.14.3 Adjusted limits made in the first quarter of 2007 and effective through the 16 first quarter of 2011:

17 (a) There is no adjustment to the contribution limit on individual donations to 18 small donor committees outlined in Article XXVIII, Section 2(14).

19 (b) The aggregate limits on contributions from any person for a primary or a 20 general election, described in Article XXVIII, Section 3(1), are adjusted as 21 follows:

22 (1) $525 to any one:

23 (A) Governor candidate committee for the primary election, 24 and Governor and Lieutenant Governor candidate 25 committee, as joint candidates under section 1-1-104, 26 C.R.S., or any successor section, for the general election;

Page 25 of 44 1 (B) Secretary of State, State Treasurer, or Attorney General, 2 candidate committee.

7 (c) The aggregate limits on contributions from a small donor committee for a 8 primary or a general election, described in Article XXVIII, Section 3(2), 9 are adjusted as follows:

10 (1) $5,300 to any one:

15 (B) Secretary of State, State Treasurer, or Attorney General, 16 candidate committee; and

17 (2) $2,125 to any one State Senate, State House of Representatives, 18 State Board of Education, Regent of the University of Colorado, or 19 any District Attorney candidate committee.

20 (d) The aggregate limits on contributions from any person to a political party, 21 described in Article XXVIII, Section 3(3)(a), are adjusted as follows:

22 (1) $3,175 per year at the state, county, district, and local level 23 combined; and

24 (2) Of such, no more than $2,650 at the state level.

25 (e) The aggregate limits on contributions from a small donor committee to a 26 political party, described in Article XXVIII, Section 3(3)(b), are adjusted 27 as follows:

28 (1) $15,900 per year at the state, county, district, and local level 29 combined; and

30 (2) Of such, no more than $13,250 at the state level.

31 (f) The aggregate limits on pro-rata contributions or dues made to political 32 committees, described in Section 3(5), Article XXVIII of the Colorado 33 Constitution, are adjusted to $525 per house of representatives election 34 cycle.

Page 26 of 44 1 (g) The voluntary spending limits for a candidate described in Article 2 XXVIII, Section 4(1), are adjusted as follows:

3 (1) The spending limit for Governor, and Governor and Lieutenant 4 Governor as joint candidates under section 1-1-104, C.R.S., or any 5 successor section shall be adjusted to $2,650,000.

6 (2) The spending limit for a candidate for Secretary of State, Attorney 7 General, or Treasurer shall be adjusted to $530,000.

8 (3) The spending limit for a candidate for State Senate shall be 9 adjusted to $95,400.

14 Current Rule 18.1.8 is amended and recodified as New Rule 10.17 as follows:

15 18.1.8 10.17 Major Contributor Reports

16 (a) Penalties assessed for failure to timely file a Major Contributor Report 17 under section 1-45-108(2.5), C.R.S., stop accruing on the date that the 18 contribution is first disclosed, either on the Major Contributor Report or 19 the regularly-scheduled Report of Contributions and Expenditures. 20 Penalties will not accrue beyond the date of the general election. [Section 21 1-45-108(2.5) C.R.S.]

22 (b) The date of deposit is considered the “received” date for contributions that 23 require a major contributor report. [Section 1-45-108(2.5), C.R.S.]

24 (c) For purposes of determining contributions and expenditures received 25 during the reporting period, the contribution that was required to be 26 disclosed on the major contributor report shall be IS the amount 27 considered.

28 10.17.1 A POLITICAL COMMITTEE OR SMALL DONOR COMMITTEE MAY NOT RECEIVE 29 CONTRIBUTIONS IN EXCESS OF THE APPLICABLE CONTRIBUTION LIMIT, AND ARE 30 THEREFORE EXEMPT FROM FILING MAJOR CONTRIBUTION REPORTS UNDER SECTION 31 1-45-108(2.5), C.R.S.

32 10.17.2 AN ISSUE COMMITTEE NEED NOT FILE MAJOR CONTRIBUTION REPORTS 33 WITHIN 30 DAYS PRECEDING THE DATE OF THE PRIMARY ELECTION.

34 10.17.3 MUNICIPAL COMMITTEES REQUIRED TO FILE MAJOR CONTRIBUTOR REPORTS 35 UNDER SECTION 1-45-108(2.5) MUST FILE WITH THE MUNICIPAL CLERK.

Page 27 of 44 1 Rule 11. Electioneering Communications

2 11.1 If a person spending money for electioneering communications is a corporation or labor 3 organization, disclosure of the names and addresses of persons contributing $250 or more 4 used to make electioneering communications shall only be required if the money is 5 specifically earmarked for electioneering communications. [Section 1-45-108(1)(a)(III), 6 C.R.S.]

7 11.2 All contributions of $250 or more received for electioneering communications during a 8 reporting period, including non-monetary contributions, shall MUST be listed individually 9 on the electioneering report. [Article XXVIII, Section 6(1)]

10 11.3 11.1 All spending of $1,000 or more per calendar year shall be listed individually on 11 the electioneering report, including name, address, and method of communication. 12 [Article XXVIII, Section 6(1)] ANY PERSON WHO EXPENDS $1,000 OR MORE PER 13 CALENDAR YEAR ON ELECTIONEERING COMMUNICATION MUST INCLUDE THE METHOD OF 14 COMMUNICATION ON THE ELECTIONEERING REPORT.

15 11.4 11.2 Entities PERSONS making electioneering communications shall MUST maintain all 16 financial records for 180 days after any THE general election in which the entity received 17 contributions. If a complaint is filed against the entity PERSON making electioneering 18 communications, the entity shall PERSON MUST maintain financial records until final 19 disposition of the complaint and any consequent RESULTING litigation.

20 11.5 11.3 The ELECTIONEERING COMMUNICATION REPORTS MUST INCLUDE THE name of the 21 candidate(s) unambiguously referred to in the electioneering communication shall be 22 included in the electioneering report. [COLO. CONST. Article XXVIII, Section 2(7)(I) 23 2(7)(A)(I)]

24 11.6 11.4 Submission of electioneering communication disclosure reports. 11.6.1 25 Committees are not required to A COMMITTEE NEED NOT file electioneering 26 communication reports separate from regularly filed independent expenditure disclosure 27 reports so long as any IF THE expenditure or spending subject to COLO. CONST. Article 28 XXVIII, Section 6 and Rule 11.5 11.3 is identified as an electioneering communication. 29 The disclosure of electioneering COMMUNICATION expenditures or spending on a 30 regularly filed report shall MUST include the name of the candidate CANDIDATE(S) referred 31 to in the electioneering communication.

32 Rule 12. Changing or Closing a Committee

33 12.1 Changes A COMMITTEE MUST REPORT ANY CHANGE to any information disclosed on the 34 ITS committee registration statement must be reported to the appropriate filing officer 35 within ten days. [Section 1-45-108(3), C.R.S.]

36 12.2 A candidate that changes SEEKING A DIFFERENT PUBLIC office sought shall MUST terminate 37 his or her existing candidate committee and register a new candidate committee within 38 ten days of the change. See Rule 2.2.

Page 28 of 44 1 12.3 A committee may terminate FILE A TERMINATION REPORT TERMINATING THE COMMITTEE 2 if the following conditions are met:

3 12.3.1 The committee no longer intends to receive contributions or make expenditures; 4 AND

5 12.3.2 The committee COMMITTEE’S TRACER ACCOUNT has a zero balance because, 6 INDICATING it has no cash or assets on hand and THERE ARE no outstanding debts, 7 PENALTIES, or obligations.; and

8 12.3.3 The candidate or committee files a termination report of contributions and 9 expenditures.

10 12.3.3 A committee may dispose of assets remaining in its possession before termination 11 in the same manner as allowed for unexpended contributions. A termination 12 report may be filed at any time. [Article XXVIII, Section 2(3) and section 1-45- 13 106, C.R.S.]

14 12.4 Unexpended contributions

15 12.4.1 Unexpended campaign contributions held by a candidate committee. See Rule 16 2.2.

17 12.4.2 An issue committee may donate unexpended contributions to a charitable 18 organization recognized by the I.R.S. or return unexpended contributions to the 19 contributor. [Section 1-45-106(3), C.R.S.]

20 12.4.3 Political committees, small donor committees, independent expenditure 21 committees, political parties, Federal PACs, and political organizations are not 22 covered by statute. [Section 1-45-106, C.R.S.]

23 12.5 12.4 Administrative committee terminations.

24 12.5.1 In accordance with the procedures set out in the “State Administrative Procedure 25 Act” (Article 4 of Title 24, C.R.S.), the Secretary of State may close an inactive 26 committee after six missed reports or 18 months of non-reporting, whichever 27 happens first.

28 12.5.2 A committee shall be deemed inactive for the purpose of this rule after failing THE 29 APPROPRIATE OFFICER MAY TERMINATE A STANDALONE CANDIDATE OR COMMITTEE 30 IF THE STANDALONE CANDIDATE OR COMMITTEE FAILS to file any REQUIRED reports 31 with the appropriate filing officer for six consecutive reporting periods or 18 32 months, whichever is shorter, IN ACCORDANCE WITH THE PROCEDURES SET OUT IN 33 THE STATE ADMINISTRATIVE PROCEDURE ACT. [COLO. CONST. Article XXVIII, 34 Section 2(3), and section 24-4-105, C.R.S.]

35 Rule 13. Corporations and Membership Organizations

Page 29 of 44 1 13.1 A corporation or labor organization may establish a political committee, an independent 2 expenditure committee, and a small donor committee. Each committee is subject to the 3 applicable individual contribution and expenditure limits for that committee. A 4 corporation or labor organization may pay for the costs of establishing, administering, 5 and soliciting funds from its own employees or members for a political committee, a 6 small donor committee, or an independent expenditure committee. [COLO. CONST. Article 7 XXVIII, Sections 2(5)(b) and 2(14)(b)]

8 13.2 Membership TRANSFERRING MEMBERSHIP dues transferred to A small donor committees 9 COMMITTEE, independent expenditure committees COMMITTEE, and political committees 10 COMMITTEE.

11 13.2.1 Membership organizations A MEMBERSHIP ORGANIZATION transferring a portion 12 of a member’s dues to a small donor committee, independent expenditure 13 committee, or political committee shall MUST provide the respective committee 14 with the member’s name, address, amount of dues transferred, and the date of the 15 dues transfer.

16 13.2.2 Each small donor committee, independent expenditure committee, and political 17 committee shall MUST keep records of all contributions or donations received in 18 the form of membership dues transferred by a membership organization to the 19 committee. The records shall include each contributing or donating member’s 20 INCLUDING THE name, address, and amount of the dues transferred. [Section 1-45- 21 108(1)(a)(I), C.R.S.]

22 13.2.3 Each small donor committee and political committee shall MUST itemize and 23 report the name and address of each person who has contributed CONTRIBUTING 24 $20 or more in a reporting period, including but not limited to contributions 25 received in the form of membership dues transferred by a membership 26 organization to the committee. [COLO. CONST. Article XXVIII, Section 2(14)(a); 27 section 1-45-108(1)(a), C.R.S.]

28 13.2.4 On each disclosure report, the candidate or registered agent of a committee shall 29 MUST certify and declare, under penalty of perjury, that to the best of his or her 30 knowledge or belief all contributions or donations received in a reporting period, 31 including contributions or donations received in the form of membership dues 32 transferred by a membership organization, are from permissible sources. [COLO. 33 CONST. Article XXVIII, Section 3]

34 Rule 14. Local Offices and Home Rule

35 14.1 The requirements of COLO. CONST. Article XXVIII and of Article 45 of Title 1, C.R.S., 36 do not apply to home rule counties or home rule municipalities that have adopted 37 charters, ordinances, or resolutions that address any of the matters covered by COLO. 38 CONST. Article XXVIII or Article 45 of Title 1.

39 14.2 The provisions of Article XXVIII, Section 3(4) relating to contributions of corporations 40 and labor unions apply to elections to every state and local public office, except local

Page 30 of 44 1 public offices in home rule counties or home rule municipalities that have adopted 2 charters, ordinances, or resolutions that address any of the matters covered by Article 3 XXVIII or Title 1, Article 45.

4 14.3 14.2 The provisions of section 1-45-105.5, C.R.S., relating to a prohibition on lobbyist 5 contributions to members of the General Assembly during legislative sessions, apply to 6 members DURING THE LEGISLATIVE SESSION, A LOBBYIST MAY NOT CONTRIBUTE TO A 7 MEMBER of the General Assembly who are candidates WHO IS A CANDIDATE for any state 8 or local office, including any office in A home rule municipalities MUNICIPALITY that have 9 HAS adopted charters, ordinances, or resolutions that address any of the matters covered 10 by COLO. CONST. Article XXVIII or Article 45 of Title 1.

11 14.4 14.3 A political party, as defined in Article XXVIII, Section 2(13) at the level of a 12 home rule county or home rule municipality that has adopted a charter, ordinance, or 13 resolution that addresses ADDRESSING any of the matters covered by Article XXVIII or 14 Article 45 of Title 1, may establish a separate account that is used solely for contributions 15 made to the party, and FOR CONTRIBUTIONS AND expenditures made by the party, for the 16 purpose of supporting the party’s county or municipal candidates for offices within the 17 county or municipality. Contributions to and expenditures from such account shall not be 18 DO NOT COUNT AGAINST included for purposes of any limitations PARTY LIMITS or 19 reporting contained in REPORTED UNDER COLO. CONST. Article XXVIII or Article 45 of 20 Title 1, C.R.S.

21 14.5 14.4 The provisions of section SECTION 1-45-117, C.R.S., relating to the use of public 22 funds for political purposes, apply APPLIES to home rule counties or home rule 23 municipalities. that have adopted charters, ordinances, or resolutions that address any of 24 the matters covered by Article XXVIII or Title 1, Article 45.

25 14.6 Junior College Boards of Trustees. A person seeking election to a junior college board of 26 trustees is not subject to the provisions of Article XXVIII or Article 45 of Title 1, C.R.S. 27 [Article XXVIII, Section 2(2); section 23-71-110, C.R.S.]

28 Rule 15. Recall Elections

29 15.1 The RECALL election cycle for a recall election shall be from BEGINS ON the date the recall 30 petition is approved for circulation by the designated election official through 30 days 31 AND ENDS ON THE LAST DAY OF THE FINAL REPORTING PERIOD following the date of the 32 recall election AS DEFINED IN RULE 15.2.2.

33 15.1.1 In the event that no IF A recall election is held because the petition is determined 34 to be insufficient, the recall election cycle ends 30 days after the final 35 determination of insufficiency, including passage of the time for protest and final 36 disposition of any protest or appeal of such determination.

37 15.2.2 15.1.2 In the event that no IF A recall election is held CANCELED for any other 38 reason, the recall election cycle ends 30 days after the deadline for filing the recall 39 election petition, OR 30 DAYS AFTER THE EVENT THAT CAUSED THE DESIGNATED 40 ELECTION OFFICIAL TO CANCEL THE ELECTION, WHICHEVER IS LATER.

Page 31 of 44 1 15.1.3 IF A RECALL ELECTION IS CANCELED, A COMMITTEE THAT WAS PARTICIPATING IN 2 THE RECALL ELECTION MUST FILE A REPORT FIVE DAYS AFTER THE END OF THE 3 RECALL ELECTION CYCLE. THE END OF CYCLE BEGINS ON THE FIRST DAY OF THE 4 MONTH IN WHICH THE ELECTION CYCLE ENDS AND ENDS ON THE LAST DAY OF THE 5 ELECTION CYCLE.

6 15.2 Committees participating in a recall election shall MUST file reports on the fifth day of 7 every month until disclosure as set forth in UNDER section 1-45-108(2.7), C.R.S., begins.

8 15.2.1 The initial reporting period for committees participating in FORMED FOR THE 9 PURPOSE OF the recall election shall begin BEGINS on the date the committee 10 registers with the appropriate filing office.

11 15.2.2 Subsequent reporting periods shall FOR A COMMITTEE PARTICIPATING IN THE 12 RECALL ELECTION begin on the first day of each month, and end on the last day of 13 that month, EXCEPT THAT THE FINAL REPORTING PERIOD ENDS 25 DAYS FOLLOWING 14 THE DATE THE RECALL ELECTION WAS HELD.

15 15.2.3 ALL OTHER COMMITTEES PARTICIPATING IN THE RECALL ELECTION MUST NOTIFY 16 THE APPROPRIATE OFFICER WITHIN TEN DAYS AFTER DECIDING THEY WILL SUPPORT 17 OR OPPOSE THE RECALL OR SUPPORT OR OPPOSE A SUCCESSOR CANDIDATE. ONCE 18 NOTIFIED, THE APPROPRIATE OFFICER WILL PLACE THE COMMITTEE ON THE RECALL 19 FILING CALENDAR UNTIL THE END OF THE RECALL ELECTION CYCLE.

20 15.3 The incumbent in a recall election is not a candidate for the successor election according 21 to section 1-12-117, C.R.S.; therefore, the incumbent AND may open an issue committee 22 to oppose the recall.

23 15.4 The aggregate contribution limits specified for a general election in COLO. CONST. Article 24 XXVIII, Section 3, shall apply to the recall election with respect to each successor 25 candidate.

26 15.5 Any political A committee supporting or opposing any A candidate in a recall election 27 shall MUST file disclosure reports:

28 15.5.1 14 days before the recall election;

29 15.5.2 Seven days before the recall election; and

30 15.5.3 30 days after the recall election.

31 [Section 1-45-108 (2.7), C.R.S.]

32 15.6 An issue committee supporting or opposing a recall election is not required to register 33 with the appropriate officer until the committee has accepted $5,000 or more in 34 contributions or made expenditures of $5,000 or more in support of or opposition to the 35 recall.

Page 32 of 44 1 15.6 UNDER COLO. CONST. ARTICLE XXVIII, SECTION 2(3), A SUCCESSOR CANDIDATE MUST 2 TERMINATE ANY OTHER ACTIVE CANDIDATE COMMITTEE FOR THE CANDIDATE AND OPEN A 3 NEW CANDIDATE COMMITTEE FOR THE PURPOSE OF RUNNING IN THE RECALL ELECTION. 4 TRANSFER OF FUNDS FROM A PREVIOUSLY ACTIVE CANDIDATE COMMITTEE ARE SUBJECT TO 5 RULE 2.2.4.

6 15.7 AN ISSUE COMMITTEE REMAINING OPEN AT THE END OF THE RECALL ELECTION CYCLE MUST 7 FILE REPORTS ACCORDING TO THE INFREQUENT FILING SCHEDULE IN RULE 17.2.3(B).

8 Rule 16. Special Districts

9 16.1 See Rule 17.4 for reporting periods and report due dates for special district elections.

10 16.2 16.1 A special district designated election official or director candidate shall MUST file 11 a copy of the self-nomination and acceptance form described in Rule 16.3 16.2 with the 12 Secretary of State no later than 60 days before the special district election. This rule does 13 not apply if the special district cancels the election.

14 16.3 16.2 Self-nomination and acceptance forms and affidavits of intent to be a write-in 15 candidate.

16 16.3.1 16.2.1 The self-nomination and acceptance forms FORM and letters LETTER, and 17 affidavits of intent to be a write-in candidate must include the following 18 information:

19 (a) The candidate’s full name;

20 (b) The name of the special district in which the candidate is seeking to be 21 elected to the board AND THE SPECIAL DISTRICT DIRECTOR OFFICE SOUGHT;

22 (c) The year in which the election will occur DATE OF THE ELECTION;

23 (d) The county in which the district court that authorized the creation of the 24 special district is located;

25 (e) The candidate’s physical RESIDENCE and mailing addresses;

26 (f) A THE CANDIDATE’S telephone number for the candidate;

27 (g) The candidate’s email address;

28 (h) The date on which the form, letter, or affidavit was filed by the candidate;

29 (i) The candidate’s signature; and

30 (j) The signature of a registered elector acting as a witness.

31 [Sections 1-45-110, 32-1-804.3(1) 1-13.5-303, C.R.S.]

Page 33 of 44 1 16.4 16.3 If a candidate for a special district office fails to file a candidate affidavit, or the 2 filed self-nomination and acceptance form or letter, or the affidavit of intent to be a write- 3 in candidate does not contain the statement required by section 1-45-110(1), C.R.S., the 4 Secretary of State will mail the special district a copy of the notification to the candidate 5 regarding pending disqualification sent according to UNDER section 1-45-110(3), C.R.S.

6 16.5 A document filed according to Rule 16.3 is considered to be filed when received by the 7 Secretary of State. This Rule does not relieve any candidate of any obligation to file any 8 document required by the fair campaign practices act, article XXVIII, or other law, nor 9 does it impose a requirement on a designated election official, presiding officer, or the 10 Secretary to file any document on behalf of any candidate.

11 16.6 16.4 A special district candidate is not required to file disclosure reports if:

12 16.6.1 16.4.1 The special district candidate affidavit, the filed self-nomination and 13 acceptance form or letter, or the affidavit of intent to be a write-in candidate 14 contains a statement substantially stating, “I will not, in my campaign for this 15 office, receive contributions or make expenditures exceeding $200 in the 16 aggregate during the election cycle, however, if I do so, I will thereafter REGISTER 17 AND file all disclosure reports required under the fair campaign practices act FAIR 18 CAMPAIGN PRACTICES ACT;” and

19 16.6.2 16.4.2 The candidate does not accept contributions or make expenditures 20 exceeding $200 in the aggregate during the election cycle.

21 [COLO. CONST. Article XXVIII, Section 2(2) and section 1-45-108(1), C.R.S.]

22 Rule 17. Filing Calendars and Reporting periods

23 17.1 Until terminated in accordance with these rules, a A committee other than a political 24 organization shall MUST file a disclosure report for every reporting period, even if the 25 committee has no activity (contributions, donations, SPENDING, or expenditures) to report 26 during the reporting period.

27 17.2 Filing schedules.

28 17.2.1 A candidate committee shall file FILES on:

29 (a) A frequent filing schedule during the year in which the office to which 30 candidate seeks to be elected is up for election.

31 (b) An infrequent filing schedule during any year in which the office to which 32 candidate seeks to be elected is not up for election.

33 (C) For purposes of this rule, the office to which the candidate seeks to be 34 elected is the office named in the candidate’s most recent candidate 35 affidavit.

Page 34 of 44 1 17.2.2 A political committee, small donor committee, political party, independent 2 expenditure committee, Federal PAC, or political organization shall file FILES on:

3 (a) A frequent filing schedule during any year in which a general election 4 occurs.

5 (b) An infrequent filing schedule during any year in which no general election 6 occurs., notwithstanding any activity by the committee to support or 7 oppose candidates.

8 17.2.3 An issue committee shall file FILES on:

9 (a) A frequent filing schedule during any year in which an issue that the 10 committee supports or opposes appears on, or seeks access to, the ballot.

11 (b) An infrequent filing schedule during any year in which the committee 12 does not support or oppose any issues appearing on, or which seek access 13 to, any ballot.

14 17.2.4 An issue committee must notify the Secretary of State within ten days after 15 deciding that it will support or oppose ballot issues or ballot questions, or 16 potential ballot issues or ballot questions A BALLOT MEASURE on an upcoming 17 ballot.

18 (a) Once an issue committee notifies the Secretary of State of its active status 19 under this Rule, the Secretary will place the committee on a frequent filing 20 calendar SCHEDULE.

21 (b) Once an issue committee has declared its committee filing status as 22 frequent or infrequent in a particular year, the committee must follow the 23 appropriate filing schedule for the remainder of that election cycle, except 24 that an inactive committee may change its status to active at any time.

25 17.3 Report periods

26 17.3.1 The reporting period for any report begins on the first day following the last day 27 of the reporting period for the previous report filed with the appropriate officer. 28 The reporting period for any report that is required to be filed under section 1-45- 29 109(1)(a)(II) and (1)(c), C.R.S., ANY REPORT, EXCEPT A QUARTERLY REPORT OR 30 POST-ELECTION REPORT, closes five calendar days before the date that the report is 31 due. [Section 1-45-108(2)(c), C.R.S.]

32 17.3.2 Quarterly reporting periods close on the last day of the month. The report is due 33 on or before April 15th, July 15th, October 15th, and January 15th following each 34 calendar quarter. If the filing deadline falls on a Saturday, Sunday, or legal 35 holiday, the filing deadline is the next business day. [Section 1-45-108(2)(a), 36 C.R.S.]

Page 35 of 44 1 17.3.3 Monthly reporting periods close five calendar days before the last day of the 2 month. Monthly reports are due on or before the first calendar day of the 3 following month. If the filing deadline falls on a Saturday, Sunday, or legal 4 holiday, the filing deadline is the next business day. When the filing deadline for a 5 monthly report approximates the filing deadline for a biweekly report, no separate 6 monthly report shall MUST be filed, and the biweekly report shall serve SERVES as 7 the monthly report. [Section 1-45-108(2)(a) and (c), C.R.S.]

8 17.3.4 The reporting period for biweekly reports required by section 1-45- 9 108(2)(a)(I)(B) and (D) closes on the Wednesday before the due date. If the filing 10 deadline falls on a Saturday, Sunday, or legal holiday, the filing deadline is the 11 next business day. [Section 1-45-108(2)(a) C.R.S.]

12 17.3.5 17.3.4 The EXCEPT IN THE CASE OF A RECALL ELECTION, THE post-election 13 reporting period closes on the last day of the calendar month in which the election 14 was held. The report is due on or before the 30th day following the election. If the 15 filing deadline falls on a Saturday, Sunday, or legal holiday, the filing deadline is 16 the next business day. [Section 1-45-108(2)(a), C.R.S.]

17 17.3.6 Each year, the Secretary of State will publish a filing calendar for each committee 18 type, and will make the calendars available on the Secretary of State website.

19 17.4 Special district reporting.

20 17.4.1 Reports relating to special district elections are due:

21 (a) On the 21st day before;

22 (b) On the Friday before; and

23 (c) On the 30th day after the date of the regular election.

24 [Section 1-45-109(1)(a)(II) and (1)(c), C.R.S.]

25 17.5 Reports for former officeholders or persons not elected to office

26 17.5.1 Annual reporting

27 (a) A candidate committee for a candidate not elected to office, or who was 28 formerly in office, may elect SUBMIT A WRITTEN REQUEST to file only an 29 annual report for each calendar year.

30 (1) State STATEWIDE candidate committees shall MUST file an annual 31 report not later than January 15th of the following year.

32 (2) All other candidate committees shall MUST file an annual report on 33 the first day of the month in which the anniversary of the major

Page 36 of 44 1 election occurs, in accordance with section 1-45-108(2)(a)(II), 2 C.R.S.

3 (b) A change in the balance of funds resulting solely from the accrual of 4 interest or dividends to the account and/or the automatic deduction of 5 periodic service fees does not subject a candidate committee to the 6 reporting requirements of section 1-45-108, C.R.S. At a minimum, a 7 candidate committee must file AN annual report as set forth in subsection 8 (a) of this Rule.

9 [Sections 1-45-108(2)(c) and (2)(d), C.R.S.]

10 17.5.2 The reporting exemption in section 1-45-108(2)(d), C.R.S., applies only to reports 11 for which WHERE the entire reporting period occurs after the election in which the 12 candidate’s name appeared on the ballot.

13 17.6 THE FOLLOWING MUST FILE WITH THE MUNICIPAL CLERK: A CANDIDATE IN A MUNICIPAL 14 ELECTION, A CANDIDATE COMMITTEE, A POLITICAL COMMITTEE SUPPORTING OR OPPOSING 15 A MUNICIPAL CANDIDATE, AN ISSUE COMMITTEE SUPPORTING OR OPPOSING A MUNICIPAL 16 BALLOT ISSUE OR BALLOT QUESTION, AN INDEPENDENT EXPENDITURE COMMITTEE 17 SUPPORTING OR OPPOSING A MUNICIPAL CANDIDATE, AND A SMALL DONOR COMMITTEE 18 MAKING CONTRIBUTIONS TO A MUNICIPAL CANDIDATE. [SECTION 1-45-109(1)(B), C.R.S.]

19 Rule 18. Penalties, Violations, and Complaints

20 18.1 Requests for waiver or reduction of campaign finance penalties

21 18.1.1 A request for waiver or reduction of campaign finance penalties imposed under 22 COLO. CONST. Article XXVIII, Section 10(2) must state the reason for the 23 delinquency.

24 (A) The filer should provide an explanation that includes all relevant factors 25 relating to the delinquency and any mitigating circumstances, including 26 measures taken to avoid future delinquencies.

27 (B) Before the Secretary of State APPROPRIATE OFFICER will consider a 28 request, the report must be filed, and a request including the REQUIRED 29 information required by this paragraph must be submitted.

30 18.1.2 Requests for waiver or reduction of campaign finance penalties imposed under 31 COLO. CONST. Article XXVIII, Sections 9(2) or 10(2) must be considered by the 32 Secretary of State APPROPRIATE OFFICER and Administrative Law Judges 33 according to the following rules:

34 Scenario - applied in numerical order (i.e. if #1 Result doesn't apply, move to #2) #1 A waiver is requested and establishes good Waive penalty in full. A waiver will be

Page 37 of 44 cause that made timely filing impracticable granted without consideration of previous (For example, was in the hospital, got in a delinquencies. car accident, was stranded by a blizzard, etc.). The event or events that made timely filing impracticable must occur within a reasonable time of the date on which the report was filed. #2 A waiver is requested but does not present circumstances that made timely filing impracticable (For example, forgot, was out of town, electronic calendar crashed), and: (a) Filer had contributions and/or First delinquency in 24 months: The expenditures during the reporting period. penalty will be reduced to $50. The penalty imposed is $100 or more. Second delinquency in 24 months: The penalty will be reduced by 50%.

Third (or subsequent) delinquency in 24 months: A reduction in penalty will not be granted.

Penalties imposed under this Section are capped at the higher of the contributions or expenditures made during the reporting period. If a delinquency is found to be willful, the penalty cap may be increased to two to five times the higher of the contributions or expenditures made during the reporting period.

For purposes of this analysis, previous delinquencies exclude those for which a waiver under scenario #1 was granted. (b) Filer has no activity (contributions OR The penalty will be reduced to $50. expenditures) during the reporting period and the committee balance is zero. The penalty imposed is $100 or more.

Page 38 of 44 (c) Filer has a fund balance greater than First delinquency in 24 months: The zero and filer has no activity (contributions penalty will be reduced to $50. OR expenditures) during the reporting period. The penalty imposed is $100 or Second delinquency in 24 months: The more. penalty will be reduced by 50%, subject to a cap of 10% of the fund balance (but not less than $100).

Third (or subsequent) delinquency in 24 months: The penalty is capped at 10% of the fund balance, and a minimum penalty of $100 will be imposed.

If a delinquency is found to be willful, the penalty cap may be increased to 20% to 50% of the fund balance.

For purposes of this analysis, previous delinquencies exclude those for which a waiver under scenario #1 was granted. (d) Filer seeks to terminate active status, Penalties are subject to a cap equal to the has a fund balance of $1,000 or less, and total amount of the filer’s fund balance as has no activity (contributions OR of the date on which the delinquent report expenditures) during the reporting was filed, if the committee is promptly period(s) in question. terminated. #3 A waiver is requested, but submitted more A request will not be considered unless than 30 days after the date of penalty good cause has been shown for failure to imposition. For purposes of this analysis, a meet the 30-day waiver filing filer has 30 days after the date on which the requirement. final notice of penalty imposition is issued following the filing of the delinquent report. Until an outstanding report is filed, penalties shall continue to accrue at a rate of $50 per day and no request for waiver will be considered.

1 18.1.3 The Secretary of State APPROPRIATE OFFICER or Administrative Law Judge may 2 consider any additional factors that establish good cause or may otherwise be 3 relevant to the request for waiver or reduction of campaign finance penalties. In 4 considering a request, The Secretary of State APPROPRIATE OFFICER or 5 Administrative Law Judge may request additional information, including but not 6 limited to financial or other records maintained by the filer.

7 18.1.4 For waiver requests that apply to more than one penalty, the guidelines will be 8 applied separately to each penalty in chronological order using the single request 9 as the basis for each.

Page 39 of 44 1 18.1.5 Filers may request that the Secretary of State APPROPRIATE OFFICER reconsider a 2 request for waiver or reduction of campaign finance penalties. A FILER MUST 3 SUBMIT, IN WRITING ANY Any request for reconsideration WITHIN 30 DAYS OF THE 4 DATE ON WHICH THE WAIVER DECISION WAS MAILED. THE FILER must present 5 additional material facts that are significantly different than those alleged in the 6 original request for reduction or waiver, and must be submitted to the Secretary of 7 State, in writing, within 30 days of the date on which the waiver decision was 8 mailed.

9 18.1.6 The Secretary of State APPROPRIATE OFFICER will respond to requests for waiver 10 or reduction of campaign finance penalties within 60 days. Failure to respond 11 within 60 days, however, will not constitute an approval of the request.

12 18.1.7 When reduced, penalties are rounded to the highest $25. THE APPROPRIATE 13 OFFICER WILL NOT REDUCE A PENALTY No penalty will be reduced to an amount 14 less than $25, unless a full waiver has been granted.

15 18.1.8 WHEN APPLYING RULE 18.1.2(2)(D), ALL OUTSTANDING PENALTIES MUST BE 16 CONSIDERED.

17 [Current Rule 18.1.8 is amended and recodified as New Rule 10.17.]

18 18.2 Cure period for violations discovered by the appropriate officer

19 18.2.1 If the appropriate officer, as defined in COLO. CONST. Article XXVIII, Section 20 2(1), discovers in the ordinary course of his or her duties in maintaining a 21 campaign finance filing system a possible violation of COLO. CONST. Article 22 XXVIII or Article 45 of Title 1, C.R.S., and no complaint alleging such violation 23 has been filed with the Secretary of State under COLO. CONST. Article XXVIII, 24 Section 9(2)(a), then the appropriate officer shall MAY:

25 (a) Provide the person believed to have committed the violation with written 26 notice of the facts or conduct that constitute the possible violation, and

27 (b) Allow 15 business days to correct the violation or to submit written 28 statements explaining the reasons that support a conclusion that a violation 29 was not committed.

30 18.2.2 No cure period under this rule applies to late filings of campaign finance reports 31 subject to penalties under COLO. CONST. Article XXVIII, Section 10(2)(a).

32 18.3 If, within the time allotted under Rule 18.2, the person fails to correct the violation or to 33 offer a satisfactory explanation, then the appropriate officer may file a complaint under 34 COLO. CONST. Article XXVIII, Section 9(2)(a).

35 18.4 Written complaints.

Page 40 of 44 1 18.4.1 A written complaint filed with the Secretary of State under COLO. CONST. Article 2 XXVIII, Section 9(2)(a) shall MUST include the Secretary of State’s complaint 3 cover sheet, which AND must include the following information:

4 (a) The name, address, and signature of the complainant (if the complainant is 5 represented by counsel, include the counsel’s name, address, and signature 6 along with the name, address, and signature of the complainant);

7 (b) The name and address of each person alleged to have committed a 8 violation; and

9 (c) The particulars of the violation.

10 18.4.2 If an incomplete complaint is received, the date on which the originally filed 11 complaint was received is considered the filed date for purposes of COLO. CONST. 12 Article XXVIII, Section 9(2)(a), if a complete copy is received within ten days of 13 notification from the Secretary of State that the complaint was incomplete.

14 18.4.3 A ANY PERSON MAY SUBMIT A complaint may be submitted by fax or electronic 15 mail if a signed original is received by the Secretary of State no later than five 16 calendar days thereafter. If the complaint is complete, the Secretary of State will 17 promptly transmit the complaint to the Office of Administrative Courts in the 18 Department of Personnel and Administration for consideration by an 19 administrative law judge ADMINISTRATIVE LAW JUDGE, which will notify the 20 respondents of the filing of the complaint and which will issue all other 21 appropriate notices to the parties. [COLO. CONST. Article XXVIII, Section 9(2)(a)]

22 18.5 No report shall be subject to penalties of more than $50 per day for any late filing or 23 incomplete report violation(s).

24 18.6 Payments for penalties imposed by an Administrative Law Judge shall be remitted to the 25 Secretary of State’s office, to the attention of Campaign Finance.

26 18.5 THE SECRETARY OF STATE MAY ENFORCE THE DECISION OF THE ADMINISTRATIVE LAW 27 JUDGE. THE SECRETARY OF STATE WILL NOT ENFORCE THE DECISION OF THE 28 ADMINISTRATIVE LAW JUDGE DURING THE PENDENCY OF ANY APPEAL OF THE DECISION, 29 UNLESS OR UNTIL THE APPEAL IS EXHAUSTED OR THE DECISION IS UPHELD BY THE COURT OF 30 APPEALS. [COLO. CONST. ARTICLE XXVIII, SECTION 9(2)(A).]

31 Rule 19. Electronic Filing

32 19.1 All disclosure reports filed with the Secretary of State under COLO. CONST. Article 33 XXVIII and Article 45 of Title 1 Statutes, C.R.S., shall MUST be filed electronically ON 34 THE SECRETARY OF STATE’S TRACER SYSTEM, except as provided below IN RULE 19.2. 35 Reports required to be filed electronically with the Secretary of State under this rule that 36 are presented for manual filing shall PAPER REPORTS WILL not be accepted. This Rule 37 RULE does not apply to personal financial disclosure reports required by section 1-45-110, 38 C.R.S.

Page 41 of 44 1 19.2 In accordance with section 24-21-111, C.R.S., reports are not required to be filed 2 electronically in either of the following circumstances:

3 19.2.1 The Secretary of State has granted an exception to the electronic filing 4 requirement after written application based on hardship or other good cause 5 shown.

6 (a) All applications for an exception shall MUST include a brief statement of 7 the hardship or good cause. Applications must be received by the 8 Secretary of State THE SECRETARY OF STATE MUST RECEIVE THE 9 APPLICATION at least 15 calendar days before the applicable filing 10 deadline, unless the exception is based on emergency circumstance. For 11 applications made under emergency circumstances after the deadline, the 12 nature of the emergency shall MUST be described in the application.

13 (b) The filing of an application for exception based on emergency 14 circumstances does not delay any reporting deadlines. If a penalty is 15 imposed for failure to file a report on the date due, the penalty may be set 16 aside or reduced in accordance with COLO. CONST. Article XXVIII, 17 Section 10(2).

18 (c) The Secretary of State shall WILL review and respond in writing to all 19 applications for an exception within three business days.

20 19.2.2 The report is filed using the Secretary of State’s Electronic Data Interface (EDI) 21 upon approval of the Secretary of State.

22 19.3 For the purposes of this Rule 19, “electronic filing” is defined as the filing of reports 23 required by Article XXVIII and Article 45 of Title 1, C.R.S., using the TRACER internet 24 filing system created by the Secretary of State under section 1-45-109(6), C.R.S.

25 19.4 The Secretary of State’s online campaign finance filing system will attempt to identify 26 potential violations by displaying warning messages when contributions or expenditures 27 appear to violate Article XXVIII or Article 45 of Title 1, C.R.S. Filers remain responsible 28 for compliance with the law and these rules regardless of whether the system identifies or 29 fails to identify a potential violation.

30 19.5 19.3 For the purpose of section 1-45-109(2)(a), C.R.S., “close of business” for 31 electronic filing means 11:59 p.m. MT.

32 19.6 19.4 If the electronic filing system is unavailable for a total of more than one hour on 33 the due date for filing a report, the Secretary of State may extend the due date for an 34 additional day for electronically filed reports. [Sections 1-45-108(2.3) and 1-45-109(6), 35 C.R.S.]

36 Rule 20. Redaction of Sensitive Information

Page 42 of 44 1 20.1 Any person who believes their safety or the safety of an immediate family member may 2 be in jeopardy as a result of information disclosed on any campaign finance 3 REGISTRATION OR report filed with the Secretary of State under Article 45 of Title 1, 4 C.R.S., may apply to the Secretary of State to redact sensitive personal information from 5 the online versions of such report(s).

6 20.1.1 The Secretary of State, upon a finding of good cause, may redact the minimum 7 amount of sensitive information necessary to protect the safety of such person or 8 his or her immediate family.

9 20.1.2 If the Secretary of State redacts sensitive information disclosed on a campaign 10 finance report, the original unredacted report shall remain REMAINS a public 11 record under Article 72 of Title 24 C.R.S.

12 20.2 Applications for redaction of sensitive information shall MUST be submitted in writing 13 and shall include the requestor’s name, the identified entry(s) of concern, a justification 14 for the application, and the committee to whom the contribution(s) was made or 15 expenditure(s) received.

16 20.3 Applications for redaction of sensitive personal information are not subject to disclosure 17 under the Colorado Open Records Act. [Section 24-72-201 et. seq., C.R.S.]

18 [Current rule 1.4 is amended and recodified as New Rule 21 as follows:]

19 RULE 21. COORDINATION

20 1.4 21.1 “Coordination”. Expenditures or spending are coordinated with a candidate 21 committee or political party if:

22 1.4.1 21.1.1 A person makes an expenditure or engages in spending at the request, 23 suggestion, or direction of, in consultation with, or under the control of that 24 candidate committee or political party; or

25 1.4.2 21.1.2 An independent expenditure or electioneering communication is created, 26 produced, or distributed:

27 (a) After one or more substantial discussion(s) between the candidate or 28 political committee and the person making the expenditure or engaging in 29 the spending,

30 (1) In which the person making the expenditure or engaging in the 31 spending received non-public information about the candidate or 32 political party's plans, projects, activities, or needs; and

33 (2) The information is material to the creation, production, or 34 dissemination of an independent expenditure or electioneering 35 communication; or

Page 43 of 44 1 (b) By a common consultant who provides, or has provided during the 2 election cycle, professional services to the candidate committee or 3 political party as well as to the person making the expenditure or engaging 4 in the spending; and

5 (1) In which the person making the expenditure or engaging in the 6 spending received non-public information about the candidate or 7 political party's plans, projects, activities, or needs; and

8 (2) The information is material to the creation, production, or 9 dissemination of an independent expenditure or electioneering 10 communication.

11 1.4.3 21.1.3 This rule does not apply to an attorney, accountant, bookkeeper, or 12 registered agent who provides services within the scope of his or her profession.

13 1.4.4 21.1.4 If A candidate committee or political party and the person making the 14 expenditure or engaging in spending use a common consultant, an independent 15 expenditure or electioneering communication is not coordinated if the consultant 16 places effective barriers (i.e., “firewalls”) to the transmission of non-public 17 information between:

18 (a) The candidate committee or political party; and

19 (b) The person making an independent expenditure or engaging in spending.

20 Such firewalls shall be physical PHYSICAL or technological BARRIERS, or both, 21 include appropriate security measures, and MUST be set forth in a written policy 22 that is distributed to all affected agents, employees, board members, directors, 23 officers, and consultants. A firewall is not effective if non-public material 24 information is nonetheless directly or indirectly transmitted to the person making 25 an expenditure or engaging in spending.

26 1.4.5 21.1.5 For the purposes of this Rule:

27 (a) Candidate committee or political party includes any agent, employee, 28 board member, director, or officer of that candidate committee or political 29 party.

30 (b) The person making the expenditure or engaging in the spending includes 31 any agent, employee, board member, director, or officer of the person 32 making the expenditure or engaging in the spending.

Page 44 of 44 Calendar of Hearings Hearing Date/Time Agency Location 04/10/2015 09:00 AM Medical Services Board (Volume 8; Medical Assistance, 303 East 17th Avenue, 7th Floor Conference Room, Denver, Children's Health Plan) CO 80203 04/13/2015 09:30 AM Water Quality Control Commission (1002 Series) Sabin Conference Room, CDPHE, 4300 Cherry Creek Drive South, Denver, CO 80246 04/13/2015 09:30 AM Water Quality Control Commission (1002 Series) Sabin Conference Room, CDPHE, 4300 Cherry Creek Drive South, Denver, CO 80246 04/13/2015 01:30 PM Water Quality Control Commission (1002 Series) Sabin Conference Room, CDPHE, 4300 Cherry Creek Drive South, Denver, CO 80246 04/15/2015 10:00 AM Disease Control and Environmental Epidemiology Division - Sabin-Cleere Conference Room, Colorado Department of promulgated by Colo Bd of Health Public Health and Environment, Bldg. A, 4300 Cherry Creek Drive, South, Denver, CO. 80246 04/15/2015 10:00 AM Health Facilities and Emergency Medical Services Division Sabin-Cleere Conference Room, Colorado Department of (1011, 1015 Series) - by Colo Bd of Health Public Health and Environment, Bldg. A, 4300 Cherry Creek Drive, South, Denver, CO. 80246 04/16/2015 09:30 AM Division of Gaming - Rules promulgated by Gaming 17301 W. Colfax Ave., Suite 135, Golden, CO 80401 Commission 04/16/2015 10:00 AM Division of Risk Management 1525 Sherman St. Room 217, Denver, CO m80203 04/22/2015 08:00 AM Executive Director of Health Care Policy and Financing 303 East 17th Avenue, 7th Floor, Denver, CO 80203 05/13/2015 10:15 AM Passenger Tramway Safety Board 202 Main Street, 2nd Floor, Grand Junction, CO 81501 05/13/2015 10:15 AM Passenger Tramway Safety Board 202 Main Street, 2nd Floor, Grand Junction, CO 81501 05/13/2015 10:15 AM Passenger Tramway Safety Board 202 Main Street, 2nd Floor, Grand Junction, CO 81501 05/13/2015 01:00 PM Colorado State Board of Education Colorado Department of Education, State Board Room, 201 E. Colfax Ave., Denver, CO 80203 05/13/2015 01:15 PM Colorado State Board of Education Colorado Department of Education; State Board Room; 201 E. Colfax Ave; Denver, CO 80203 06/08/2015 10:00 AM Water Quality Control Commission (1002 Series) Florence Sabin Conference Room, CDPHE, 4300 Cherry Creek Drive South, Denver, CO 80246 06/30/2015 09:30 AM Water Quality Control Commission (1003 Series) Sabin Conference Room, CDPHE, 4300 Cherry Creek Drive South, Denver, CO 80246