An Act Regarding the Gambling Control Board
Maine Legislature, Session 122, LD 0090
Committee Amendment CA_A_S47 (Senate)
Amends: 8 MRSA §1052

COMMITTEE AMENDMENT ·A· to S.P. 32, L.D. 90, Bill, "An Act 
Regarding the Gambling Control Board" 
Amend the bill by striking out the title and substituting 
the following: 
• An Act Concerninq the Confidentiality of Records Beld by the 
Gamblinq Control Board' 
Further amend the bill by striking out everything after the 
enacting clause and before the emergency clause and inserting in 
its place the following: 
• Sec. 1. 8 MRS A §§1006, 1007 and 1008 are enacted to read: 
§I006. 
CoDtideptiality of records and information 
1. 
AP,plication and licensing records and information. 
This 
subsection applies to 
information or records 
included in an 
application or materials reguired by the board for issuance of a 
license pursuant to this chapter, including records obtained or 
developed by the board or department related to an applicant or 
licensee. 
For the purposes of Title 1, section 402, subsection 
3, 
the 
following 
records 
and 
information are 
designated 
as 
confidential and may not be disclosed except as provided: 
A. 
Trade secrets as defined in Title 10, section 1542 and 
proprietary 
information 
that 
if 
released 
could 
be 
competitively harmful to the submitter of the information; 
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to S.P. 32, L.D. 90 
B. 
Information 
that 
if 
released 
would 
constitute 
an 
unwarranted invasion of personal privacy of a key executive, 
gaming 
employee 
or 
any 
other 
individual 
included 
in 
application materials, as determined by the board. 
Upon 
request, the board shall release a summary of information 
confidential under this paragraph describing the basis for 
the 
board's 
action 
in 
granting, 
denying, 
renewing, 
suspending, revoking or failing to grant or renew a license 
issued under this chapter. 
In preparing a 
summary, 
the 
board shall maximize public access to that information while 
taking reasonable measures to protect the confidentiality of 
that information; 
C. 
Key executive or gaming employee compensation, except 
that: 
(1) 
Executive compensation reguired to be filed with 
the federal Securities and Exchange Commission or, with 
respect 
to 
applicants 
or 
licensees 
that 
are 
not 
publicly traded corporations, 
executive 
compensation 
that would be reguired to be filed with the federal 
Securities and Exchange Commission were the applicant 
or licgnsee a publicly traded corporation or controllgd 
by a publicly tradgd corporation is not confidential; 
gruj 
(2) 
Compgnsation of 
the officgrs of 
thg 
business 
gntity that 1S organized or authorized to do busingss 
in this Statg who arg rgsponsiblg for thg management of 
gaming opgrations, as detgrmingd by thg board, is not 
confidgntial; 
D. 
Financial, 
statistical 
and 
survgillancg 
information 
related to the applicant or licensee that is obtained by the 
board or departmgnt from thg central sitg monitoring system 
or survgillancg dgvicgs; 
E. 
Records that contain an assgssmgnt by a pgrson who is 
not 
gmploygd 
by 
thg 
board 
or 
the 
dgpartment 
of 
the 
creditworthingss, crgdit rating or financial condition of 
any 
person 
or 
project, 
including 
reports 
that 
detail 
spgcific 
in,ormation 
for 
prgsentation 
to 
thg 
board 
or 
dgpartmgnt. 
pgrsons retained by thg board or dgpartmgnt to 
providg 
such 
an 
assgssmgnt 
shall 
prgparg 
rgports 
that 
indicatg 
thgir 
conclusions 
and 
summarizg 
information 
revigwed by them in a way that maximizgs public access to 
that information; 
F. 
Information obtained from other jurisdictions designated 
as 
confidential 
by 
the 
jurisdiction 
from 
which it is 
obtained and that must remain confidential as a condition of 
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receipt. 
The board and the department may use information 
designated as confidential by the jurisdiction from which it 
is obtained but shall first make reasonable efforts to use 
information that is known to be publicly available from 
another source; 
G. 
Information 
that 
is 
designated 
confidential 
under 
federal law whether obtained from federal authorities or 
provided 
to 
the 
board 
or 
department 
by 
an 
applicant, 
licensee or key executive: and 
H. 
Birth dates. social security numbers. home addresses and 
telephone 
numbers. 
passport 
numbers . 
driver • s 
license 
numbers. fingerprints. marital status, family relationships 
and support information. health status, personal financial 
records and tax returns of any individuals. 
2. 
Disclosure to AP,Plicant or licensee« written consent. 
Records from an applicant or licensee may be disclosed to the 
applicant or licensee upon written request or to another person 
with 
the written consent of 
the 
applicant 
or 
licensee 
who 
provided the record. 
3. 
Central site monitoring system operator. 
Records and 
information obtained or developed by the board or the department 
as part of a suitability requirement for selecting a 3rd party to 
operate the central site monitoring system pursuant to section 
1004 are confidential for the purposes of Title L 
section 402. 
subsection 3. except that such records or information may be 
disclosed with the written consent of the person applying as the 
central site monitoring system operator. 
4. 
Monitoring and surveillance records and information. 
Financial. statistical and surveillance information obtained by 
the board or department from the central site monitoring system 
or 
surveillance 
devices 
is 
confidential 
and 
may 
not 
be 
disclosed. 
The board shall prepare and make publicly available 
monthly 
and 
annual 
reports 
on 
the 
results of slot machine 
operations using the information described in this subsection 
pursuant to section 1003. subsection 2, paragraphs 0 and R, as 
long as the board takes appropriate measures to protect the 
confidentiality 
of 
specific 
information 
designated 
as 
confidential by this section. 
5. 
Application. 
This section applies to all records and 
information in the possession of the board or the department on 
the effective date of this section, and the confidentiality of 
such information is governed by this section, not by the law in 
effect when the board or the department obtained the records or 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDME~T ·A· to S. P ~ 32, L.D. 90 
information. 
Disclosure 
of 
the 
records 
or 
information 
is 
governed by this section. 
6. 
PubliclX available records. 
Except for the information 
described in subsection I. paragraph H. nothing in this section 
may 
be construed as designating confidential 
any records or 
information that are otherwise publicly available. and the board 
and the department are not reguired to treat those records or 
that information as confidential. 
7. 
Re.port on o.perations. 
When financial 
and operating 
information. business records. business plans gnd marketing plans 
that are confidential under this section are submitted. the board 
and the applicant or licensee shall prepare a publicly available 
document that summarizes the confidential information in a manner 
that maximizes public access to that information. 
§l007. 
Intelligence Sharing, reciprocal use and restricted 
use agreements 
1. 
Agreement. 
The board or the department may enter into 
intelligence sharing. reciprocal use or restricted use agreements 
with a department or agency of the Federal Goyernment and law 
enforcement 
agencies 
and 
gaming 
enforcement 
or 
regulatory 
agencies of other jurisdictions. 
The board or the department may 
provide information or records designated as confidential under 
section 1006 only after obtaining 
a 
signed authorization to 
release the information or records from the applicant. licensee. 
owner. key executive or gaming employee to which the information 
or 
records 
relate. 
pertain 
or 
belong. 
This 
authorization 
reguirement 
does 
not 
apply 
to 
the 
sharing 
of 
information 
permitted under subsections 2 and 3. 
2. 
Re.ports 
from 
other 
jurisdictions. 
Information 
or 
records in the possession of the board or the department received 
pursuant to an intelligence sharing. reciprocal use or restricted 
use agreement entered into by the board or the department with a 
federal department or agency or a 
law enforcement agency or 
gaming enforcement or regulatory agency of any jurisdiction are 
considered records or information within the meaning of section 
1006. 
subsection 
and 
may 
be 
disseminated 
only with 
the 
permission of the person or agency providing the information or 
records. 
3. 
Investigation of violations. 
Records received by the 
board or the department as application materials or as part of an 
investigation 
related 
to 
an 
applicant 
or 
licensee 
may 
be 
disclosed to state or federal law enforcement entities when the 
Attorney 
General 
or 
the 
department 
determines 
that 
the 
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• to S.P. 32, L.D. 90 
information contains evidence of a possible violation of laws, 
rules or regulations enforced by those entities. 
§1008. 
Hearings and proceedings 
Notwithstanding section 1006, the confidentiality of records 
and information used or produced in connection with hearings, 
proceedings or appeals under subchapter 5 regarding noncompliance 
with or violation of this chapter are governed by the provisions 
of section 1052. 
Sec. 2. 8 MRSA §1052, first " as enacted by PL 2003, c. 687, 
Pt. A, §5 and affected by Pt. B, §ll, is amended to read: 
All reports, information or records compiled by the board or 
the 
department 
pursuant 
to 
this 
subchapter 
regarding 
noncompliance with or violation of this chapter by an applicant, 
licensee, owner or key executive are confidential, except that 
the board may disclose any confidential information as follows. 
Sec. 3. 8 MRSA §1052, sub-§3, as enacted by PL 2003, c. 687, 
Pt. A, §5 and affected by Pt. B, §ll, is amended to read: 
3. 
Durinq investigation. 
All complaints and investigative 
records of the board are confidential during the pendency of an 
investigation. ~aese Notwithstanding section 1006, the complaints 
2nd records become public records upon the conclusion of an 
investigation unless confidentiality is required by some other 
provl.Sl.on 
of 
law. 
For 
purposes 
of 
this 
subsection, 
an 
investigation is concluded when: 
A. 
A notice of an adjudicatory hearing as defined under 
Title 5, chapter 375, subchapter 1 has been issued; 
B. 
A consent agreement has been executed; or 
C. 
A 
letter 
of 
dismissal 
has 
been 
issued 
or 
the 
investigation has otherwise been closed. • 
SUMMARY 
This 
amendment 
replaces the bill. 
This 
amendment 
makes 
certain records confidential as an exception to the law that 
provides for public access to records used in the course of 
government. 
Records that are designated confidential under this 
amendment 
are 
those 
that 
are 
included 
in 
application 
and 
licensing materials and contain the following: 
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COMMITTEE 
to S.P. 32, L.D. 90 
1. 
Trade 
secrets 
and 
proprietary 
information 
that if 
released would be competitively harmful to the submitter of the 
information; 
2. 
Information that the Gambling Control Board determines 
is an unwarranted invasion of personal privacy. 
The board may 
release a summary of that information if the board determines it 
is necessary to describe the basis of an action taken by the 
board; 
3. 
Financial, statistical and surveillance information from 
the central site monitoring system, except that the board shall 
use this information to publicly report on money credited to 
players and distributed to the State; 
4. 
Independent reports of creditworthiness or financial 
condition of any person or project, except that the conclusion 
and a summary of that assessment will be publicly available; 
5. 
Records used to determine suitability of a 3rd-party 
operator of the central site monitoring system; 
6. 
Information 
obtained 
from 
another 
state 
that 
is 
confidential in that state; 
7. 
Information designated confidential by federal law; and 
8. 
Personally identifying information. 
The amendment specifies that information that is otherwise 
public will remain public. 
The amendment allows for relevant 
confidential 
information to 
be 
shared 
among 
law enforcement 
agencies in the course of investigating violations of law in this 
State and other jurisdictions and allows for some confidential 
records 
to be 
shared with the 
consent of 
the 
licensee or 
applicant. 
The amendment requires the board and the applicant or 
licensee to summarize certain business records that are otherwise 
confidential in a 
way that 
max~m~zes public access to that 
information. 
This amendment designates as confidential records 
in possession of the Gambling Control Board or the Department of 
Public Safety prior to the effective date of this amendment 
whether or not those records were confidential upon receipt. 
Current law governing the enforcement of the laws relative to 
slot machine facilities at commercial racetracks prescribes that 
some confidential information becomes public when a proceeding is 
complete. 
This amendment specifies that the records designated 
confidential by this amendment would be subject to that public 
disclosure when 
a 
proceeding regarding noncompliance with or 
violation 
of 
the 
law 
governing 
slot machine 
operations 
is 
complete. 
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