An Act To Implement Recommendations of the Right To Know Advisory Committee Concerning Public Records Exceptions
Maine Legislature, Session 125, LD 1804
Committee: Judiciary
Amends: 22 MRSA §1555-D, 22 MRSA §3034, 22 MRSA §8707, 23 MRSA §63, 23 MRSA §8115, 23 MRSA §8115-A, 24 MRSA §2505, 24 MRSA §2510, 24-A MRSA §2393

Legislative Document 
No. 1804 
H.P. 1330 
House of Representatives, February 2, 2012 
An Act To Implement Recommendations of the Right To Know 
Advisory Committee Concerning Public Records Exceptions 
Reported by Representative NASS of Acton for the Joint Standing Committee on Judiciary 
pursuant to the Maine Revised Statutes, Title 1, section 411, subsection 6, paragraph G. 
Reference to the Committee on Judiciary suggested and ordered printed pursuant to Joint 
Rule 218. 
HEATHER J.R. PRIEST 
Clerk 
Be it enacted by the People of the State of Maine as follows: 
Sec. 1.  22 MRSA §1555-D, sub-§1, as enacted by PL 2003, c. 444, §2, is 
repealed. 
Sec. 2.  22 MRSA §3034, sub-§2, as enacted by PL 1991, c. 339, §5, is amended 
to read: 
2.  Confidentiality; disclosure.  All Except as provided in subsection 5, all 
information and materials gathered and retained pursuant to this section must be used 
solely for the purposes of identification of deceased persons and persons found alive who 
are unable to identify themselves because of mental or physical impairment.  The files 
and materials are confidential, except that compiled data that does not identify specific 
individuals may be disclosed to the public.  Upon the identification of a deceased person, 
those records and materials used for the identification may become part of the records of 
the Office of Chief Medical Examiner and may then be subject to public disclosure as 
pertinent law provides. 
Sec. 3.  22 MRSA §3034, sub-§5 is enacted to read: 
5.  Release to assist in search.  The Office of Chief Medical Examiner may release 
confidential information and materials about a missing person that are gathered and 
retained pursuant to this section if the Chief Medical Examiner determines that such 
release may assist in the search for the missing person. 
Sec. 4.  22 MRSA §8707, sub-§4, as amended by PL 2007, c. 466, Pt. A, §44, is 
further amended to read: 
4.  Certain confidential information.  The rules must determine to be confidential 
or privileged information all data designated or treated as confidential or privileged by 
the former Maine Health Care Finance Commission.  Information regarding discounts off 
charges, including capitation and other similar agreements, negotiated between a payor or 
purchaser and a provider of health care that was designated as confidential only for a 
limited time under the rules of the former Maine Health Care Finance Commission is 
confidential to the organization, notwithstanding the termination date for that designation 
specified under the prior rules.  The board may determine financial data submitted to the 
organization under section 8709 to be confidential information if the public disclosure of 
the data will directly result in the provider of the data being placed in a competitive 
economic disadvantage.  This section may not be construed to relieve the provider of the 
data of the requirement to disclose such information to the organization in accordance 
with this chapter and rules adopted by the board. 
Sec. 5.  23 MRSA §63, as repealed and replaced by PL 2001, c. 158, §1, is 
repealed and the following enacted in its place: 
§63.  Confidentiality of records held by the department and the Maine Turnpike 
Authority 
1.  Confidential records.  The following records in the possession of the department 
and the Maine Turnpike Authority are confidential and may not be disclosed, except as 
provided in this section: 
A.  Records and correspondence relating to negotiations for and appraisals of 
property; and 
B.  Records and data relating to engineering estimates of costs on projects to be put 
out to bid. 
2.  Engineering estimates.  Engineering estimates of total project costs are public 
records after the execution of project contracts. 
3.  Records relating to negotiations and appraisals.  The records and 
correspondence relating to negotiations for and appraisals of property are public records 
beginning 9 months after the completion date of the project according to the record of the 
department or Maine Turnpike Authority, except that records of claims that have been 
appealed to the Superior Court are public records following the award of the court. 
Sec. 6.  23 MRSA §8115, as amended by PL 2005, c. 312, §9, is further amended 
to read: 
§8115.  Obligations of authority 
All expenses incurred in carrying out this chapter must be paid solely from funds 
provided to or obtained by the authority pursuant to this chapter.  Any notes, obligations 
or liabilities under this chapter may not be deemed to be a debt of the State or a pledge of 
the faith and credit of the State; but those notes, obligations and liabilities are payable 
exclusively from funds provided to or obtained by the authority pursuant to this chapter.  
Pecuniary liability of any kind may not be imposed upon the State or any locality, town 
or landowner in the State because of any act, agreement, contract, tort, malfeasance, 
misfeasance or nonfeasance by or on the part of the authority or its agents, servants or 
employees.  The records and correspondence relating to negotiations, trade secrets 
received by the authority, estimates of costs on projects to be put out to bid and any 
documents or records solicited or prepared in connection with employment applications 
are confidential. The authority is deemed to have a lawyer-client privilege. 
Sec. 7.  23 MRSA §8115-A is enacted to read: 
§8115-A.  Authority records 
1.  Confidential records.  The following records of the authority are confidential: 
A.  Records and correspondence relating to negotiations of agreements to which the 
authority is a party or in which the authority has a financial or other interest.  Once 
entered into, an agreement is not confidential; 
B.  Trade secrets; 
C.  Estimates prepared by or at the direction of the authority of the costs of goods or 
services to be procured by or at the expense of the authority; and 
D.  Any documents or records solicited or prepared in connection with employment 
applications, except that applications, resumes and letters and notes of reference, 
other than those letters and notes of reference expressly submitted in confidence, 
pertaining to the applicant hired are public records after the applicant is hired, except 
that personal contact information is not a public record as provided in Title 1, section 
402, subsection 3, paragraph O. 
2.  Lawyer-client privilege.  The authority may claim the lawyer-client privilege in 
the same manner and circumstances as a corporation is authorized to do so. 
Sec. 8.  24 MRSA §2505, as amended by PL 2007, c. 380, §1, is further amended 
to read: 
§2505.  Committee and other reports 
Any professional competence committee within this State and any physician licensed 
to practice or otherwise lawfully practicing within this State shall, and any other person 
may, report the relevant facts to the appropriate board relating to the acts of any physician 
in this State if, in the opinion of the committee, physician or other person, the committee 
or individual has reasonable knowledge of acts of the physician amounting to gross or 
repeated medical malpractice, habitual drunkenness, addiction to the use of drugs, 
professional incompetence, unprofessional conduct or sexual misconduct identified by 
board rule. The failure of any such professional competence committee or any such 
physician to report as required is a civil violation for which a fine of not more than 
$1,000 may be adjudged. 
Except for specific protocols developed by a board pursuant to Title 32, section 1073, 
2596-A or 3298, a physician, dentist or committee is not responsible for reporting misuse 
of alcohol or drugs or professional incompetence or malpractice as a result of physical or 
mental infirmity or by the misuse of alcohol or drugs discovered by the physician, dentist 
or committee as a result of participation or membership in a professional review 
committee or with respect to any information acquired concerning misuse of alcohol or 
drugs or professional incompetence or malpractice as a result of physical or mental 
infirmity or by the misuse of alcohol or drugs, as long as that information is reported to 
the professional review committee. Nothing in this section may prohibit an impaired 
physician or dentist from seeking alternative forms of treatment. 
The confidentiality of reports made to a board under this section is governed by this 
chapter. 
Sec. 9.  24 MRSA §2510, sub-§1, ¶¶D and E, as enacted by PL 1977, c. 492, 
§3, are amended to read: 
D.    Pursuant to an order of a court of competent jurisdiction; or 
E.    To qualified personnel for bona fide research or educational purposes, if 
personally identifiable information relating to any patient or physician is first 
deleted.; or 
Sec. 10.  24 MRSA §2510, sub-§1, ¶F is enacted to read: 
F.  To other state or federal agencies when the information contains evidence of 
possible violations of laws enforced by those agencies. 
Sec. 11.  24-A MRSA §2393, sub-§2, ¶D, as corrected by RR 1995, c. 2, §52, is 
amended to read: 
D.  The initial surcharges must be paid in accordance with the following provisions. 
(1)  Beginning July 1, 1995 every insurer writing workers' compensation 
insurance in the State shall collect from workers' compensation insurance 
policyholders and pay to the pool a surcharge on all surchargeable premiums 
received by the insurer for those policies.  During the initial surcharge period, the 
surcharge is at a fixed rate of 6.32% of the surchargeable premium.  The 
surcharge may be applied only to policies with an effective date on or after 12:01 
a.m., July 1, 1995.  All surcharges received by each insurer during the preceding 
calendar quarter must be remitted to the pool within 15 days following the end of 
each calendar quarter, except that servicing carriers shall remit on February 15th, 
May 15th, August 15th and November 15th of each year.  Any surcharge 
proceeds not remitted on a timely basis accrue interest at the rate of 10% per 
annum from the due date until paid in full.  The pool is entitled to reimbursement 
from any insurer failing to remit surcharge proceeds on a timely basis for the 
pool's costs of collection of those amounts, including all collection costs and fees, 
reasonable attorney's and paralegal's fees and any other professional fees and 
expenses associated with the pool's collection efforts.  The surcharges described 
in this subparagraph do not apply to reinsurance recognized by the superintendent 
pursuant to chapter Chapter 250, section 2, paragraph G or section 3, paragraph 
G, procured by an individual self-insured employer or a self-insured employer 
group. 
(2)  Self-insured employers that secured their obligation to provide workers' 
compensation benefits under the Workers' Compensation Act through issuance or 
renewal at any point during the fresh start period of an insurance policy for any 
portion of any of the policy years 1988 to 1992 are subject to a surcharge as 
provided in the following. 
(a)  During the initial surcharge period the rate of surcharge is 6.32% of the 
surchargeable premium as adjusted pursuant to this paragraph for the self-
insured employer's current plan year utilizing estimated payroll as submitted 
with the self-insured employer's renewal application for authority to self-
insure, in accordance with Chapter 250, section 2, paragraph C, subparagraph 
1, division c or Chapter 250, section 3, paragraph C, subparagraph 1, division 
g as applicable, subject to audit pursuant to division (d), subdivision (iii).  If 
the plan year in which a surcharge is collected or a credit is distributed is 
shorter than 12 months, due to a change in accounting period or termination 
of self-insurance authorization, the surcharge or credit for that plan year must 
be based upon the final audited payroll for the short plan year. 
(b)  All surcharges must be collected or distributed on a plan year basis.  In 
each plan year, the percentage of the surchargeable premium to be 
surcharged is the same percentage as is applied to an insured employer whose 
policy period coincided with the plan year. 
(c)  Except for a successor self-insured employer, each self-insured employer 
shall pay surcharges relating to only that portion of the policy years 1988 to 
1992 in which the self-insured employer insured its workers' compensation 
obligations.  The surcharge factor, as determined by the board under this 
chapter, must be adjusted to take into consideration the policy years or 
portions of policy years 1988 to 1992 in which a self-insured employer was 
self-insured. 
The self-insured employer adjustment is determined as follows.  The 
surcharge factor must be multiplied by the factor attributed to each of the 
years 1988 to 1992, as set forth in the table below.  If a self-insured employer 
was insured only during a portion of a policy year, then the factor for that 
year is prorated based on the ratio of the number of days in the policy year 
during which the self-insured employer was insured to 365 days. 
(d) The board shall administer the surcharges on self-insured employers as 
follows. 
(i) The board shall issue surcharge billings to self-insured employers, 
pursue collection of all invoiced surcharges, initiate legal proceedings as 
necessary to collect surcharges and maintain records adequate to 
administer the surcharge process. The records of the board and of the 
bureau form the basis for identifying self-insured employers who are 
subject to this paragraph. 
(ii) Annual surcharges may be paid in a single lump sum within 30 days 
of the receipt of the pool's invoice or in quarterly installments at the self-
insured employer's option. The board shall issue a yearly invoice as soon 
as practicable after the self-insured employer's plan approval or renewal 
date and receipt of all necessary supporting information from the 
superintendent. Each invoice must contain a schedule of dates when 
quarterly installments are due and clearly state the policy year or years 
for which the surcharge is imposed, the surcharge percentage multiplied 
by the factor applicable to each policy year and the amount of the 
surchargeable premium. 
Policy Year 
Factor
1988 
28.48%
1989 
30.70%
1990 
23.26%
1991 
11.55%
1992 
6.01%
(iii) Each individual self-insured employer shall report final audited 
payrolls to the pool not later than 60 days after the end of each plan year 
and each self-insured employer that is a member of a self-insured group 
or the group's administrator, as the group may select, shall report final 
audited payrolls to the pool not later than 120 days after the end of each 
plan year and shall remit with the audit information any additional 
surcharges resulting from the audit. 
(iv) Upon the request of a self-insured employer, including a successor 
self-insured employer or an administrator of a self-insurance group, the 
board may determine whether there was a factual inaccuracy in the 
information underlying a surcharge billing issued by the board for the 
fresh start period or whether the surcharge calculated by the board is 
consistent with the provisions of this subparagraph. The request must be 
filed within 180 days from the date on which the final payment is due 
and must be in writing, including a statement of the reason for the request 
and the amount, if known, of the alleged overcharge. If an appeal based 
upon an alleged overcharge is sustained, the board shall refund the 
overcharge, together with any investment earnings on those amounts. If a 
self-insured employer is aggrieved by the final action or decision of the 
board, or if the board does not act on the written request within 60 days, 
the self-insured employer may appeal to the superintendent within 60 
days of such action or decision of the board. Notwithstanding a pending 
appeal, a self-insured employer must pay any surcharge billing issued by 
the board. 
(e) Self-insured employers have the following obligations with respect to the 
surcharge process. 
(i) As a condition of continuing authorization to self-insure, each self-
insured employer and each group self-insurance administrator shall assist 
the board and the superintendent in the calculation, billing and collection 
of any applicable surcharge. The required assistance includes 
maintaining and providing, upon request of the board or the 
superintendent, actual premium history and all payroll and experience 
information necessary to calculate self-insured employer premiums, as 
specified in this subparagraph. Information provided by the self-insured 
employer is subject to audit by the pool and the superintendent at any 
time and self-insured employers shall provide to the pool, or its designee, 
and to the superintendent full and complete access to all books and 
records relating in any way to the audit. Group self-insurance 
administrators shall give prompt notice to the superintendent of any 
changes in group membership. 
(ii) Information provided by self-insured employers to the board pursuant 
to this paragraph is confidential. The board shall protect the 
confidentiality of all self-insured employer information in its possession, 
whether the information is obtained directly from the self-insured 
employer or from the superintendent or a group administrator.  All 
information relating to a self-insured employer provided pursuant to this 
paragraph and in the possession of the board or superintendent continues 
to be confidential until that information is destroyed. 
(iii) A self-insurance group may act as the collection agent for its 
members.  Any group so electing shall notify the board.  The board shall 
bill the group on a consolidated basis. The group shall remit its entire 
quarterly payment to the board within 30 days after receiving the invoice, 
whether or not any members remain in default and notify the board and 
the superintendent of any delinquency. 
(iv) Each self-insured employer shall make provisions for possible 
surcharges in the normal course of operations and pay the full amount of 
any surcharge installment within 30 days after receiving an invoice from 
the board or the self-insured employer's self-insurance group. Late 
payments are subject to interest at the rate of 10% per annum. 
(v) The failure of any self-insured employer or self-insurance group to 
comply with its duties under this paragraph constitutes grounds for 
suspension, revocation, termination of the option to self-insure, expulsion 
from a self-insurance group or other appropriate sanctions authorized 
under section 12-A, in addition to all procedures for the collection of 
past-due accounts otherwise available by law to the board or the 
governing body of the self-insurance group. 
 (f) The superintendent has the following responsibilities with respect to the 
surcharge process. 
 (i) The superintendent shall furnish to the board, on a monthly basis, a 
list of all self-insurance plan approvals, renewals and anniversaries that 
have occurred since the last report or for any other reason were not 
included in any previous report, including all approvals, terminations and 
membership changes for group self-insurers. For each employer listed, 
the superintendent shall provide all available information necessary for 
the board's imputed calculations under this paragraph, including: the date 
the new plan year began; the self-insurance group, if any, to which the 
self-insured employer belongs; the dates of coverage under each policy 
issued or renewed in policy years 1988 to 1992; the rating information 
for the current plan year, including estimated payroll by classification, 
premium rate for each classification, experience modification and other 
applicable rating adjustments; information relating to changes of 
ownership or control, changes of operations, changes of name or 
organizational structure; and other information necessary to determine 
successorship. 
(ii) The superintendent shall supplement promptly the initial report as 
necessary, including any revision to the self-insured employer's rating 
information on audit, any other additions or corrections to incomplete or 
inaccurate information provided in the initial report and the length of the 
plan year, if shorter than 12 months. 
(g) A successor self-insured employer is subject to surcharge on the same 
basis as the predecessor employer would be if still actively doing business 
and self-insured. If a self-insured employer is the successor to more than one 
employer, then the successor employer's self-insured employer adjustment is 
the sum of each predecessor employer's self-insured employer adjustment 
multiplied by the ratio of the employer's surchargeable premium for the 
12-month period immediately preceding the succession transaction to the 
combined surchargeable premium of all predecessor employers for that 
12-month period. 
(i) If one or more of the predecessor employers was insured at the time of 
the succession transaction, its self-insured employer adjustment is 
calculated pursuant to division (c), (h) or (i) as if it had become self-
insured at the time of the succession transaction. 
(ii) If business operations that were covered under a single workers' 
compensation policy or certificate of self-insurance authority are 
subsequently separately owned by virtue of any succession transaction, 
dissolution, reincorporation or other transaction or series of transactions, 
for purposes of this subparagraph each business is treated as a distinct 
employer, subject to surcharge as either an insured employer or a self-
insured employer. 
(iii) If substantial changes in operations during the 12-month period 
immediately preceding the succession transaction make the 12-month 
surchargeable premium an inappropriate measure of a predecessor 
employer's workers' compensation exposure prior to the transaction, the 
board may adopt procedures for calculating an annualized premium in a 
manner consistent with the intent of this subparagraph. 
(h) A self-insured employer that secured its obligation to provide workers' 
compensation benefits under the Workers' Compensation Act through a self-
insurance program approved by the superintendent for the entirety of that 
self-insured employer's policy years 1988 to 1992, in which the self-insured 
employer actually had an obligation to secure benefits under the Workers' 
Compensation Act is not subject to the surcharge. 
(i) Except for any successor self-insured employer, self-insured employers 
that commence operations in the State on or after July 1, 1995 are subject to 
surcharge under this subparagraph on the same basis as self-insured 
employers that secured compensation under the Workers' Compensation Act 
by the purchase of an insurance policy throughout the entire fresh start 
period. 
(3)  An employer may, as specified in this subparagraph, prepay all of its 
surcharges for a period of 10 consecutive policy years or plan years.  The 10-year 
period starts with the employer's first renewal date or plan year following July 1, 
1995.  Within 30 days after the inception of the first plan year or first policy 
renewal date following July 1, 1995, if the employer intends to exercise this 
option, the employer must file with the pool written notice electing to make a 
lump-sum payment of surcharges and shall include with the notice the employer's 
full lump-sum payment.  If the election is not made within 30 days after the first 
day of the first plan year or policy year following July 1, 1995, the option expires 
and is no longer available.  The pool shall implement such procedures for 
administering this option as the board determines necessary.  An employer that 
elects this option shall reimburse the pool for its expenses of administering this 
option for that employer, including the cost of individually allocating those costs 
to individual employers, in accordance with billing procedures developed and 
implemented by the board.  This subparagraph does not eliminate or limit the 
employer's liability to pay adjusted surcharges or supplemental surcharges 
pursuant to paragraph E or section 2394. 
For purposes of this subparagraph, "lump-sum payment" is the surcharge for the 
first year multiplied by 10 and discounted to net present value using: 
(a)  A 5% discount rate; 
(b)  The first day of the first plan year or policy year starting on or after July 
1, 1995; and 
(c)  An assumption that the surcharge for each of the 10 plan years or policy 
years would have been paid on the first day of each subsequent plan year or 
policy year. 
SUMMARY 
This bill is reported out by the Joint Standing Committee on Judiciary pursuant to the 
Maine Revised Statutes, Title 1, section 411, subsection 6, paragraph G.  This bill 
incorporates recommendations of the Right To Know Advisory Committee. 
The Joint Standing Committee on Judiciary has not taken a position on the substance 
of the recommendations or the bill, and by, reporting out this bill, the committee is not 
suggesting and does not intend to suggest that it agrees or disagrees with any aspect of the 
Right To Know Advisory Committee’s recommendations or this bill.  The committee is 
reporting the bill out for the sole purpose of turning the Right To Know Advisory 
Committee’s proposal into a printed bill that can be referred to the committee for a public 
hearing and subsequent processing.  The committee is taking this action to ensure clarity 
and transparency in the legislative review of the Right To Know Advisory Committee’s 
proposal. 
This bill incorporates recommendations of the Right To Know Advisory Committee 
relating to its review of existing public records exceptions in the Maine Revised Statutes, 
Titles 22 to 25.  The bill does the following. 
It repeals the provision that designates as confidential lists maintained by the 
Attorney General's office of known unlicensed tobacco retailers. The Attorney General no 
longer maintains such lists as a result of a United States Supreme Court decision that state 
law is preempted by federal law. 
It gives the Department of the Attorney General, Office of Chief Medical Examiner 
the discretion to release confidential information and materials about a missing person if 
the Chief Medical Examiner determines that releasing the information or materials may 
assist in the search for the missing person. 
It removes language related to confidentiality of data held by the former Maine 
Health Care Finance Commission. The bill retains language authorizing the Board of 
Directors of the Maine Health Data Organization to determine certain financial data 
submitted to the organization by health care providers to be confidential if disclosure of 
the data will place the provider at a competitive economic disadvantage. 
It provides that engineering estimates are public after the execution of project 
contracts and applies the public records provisions to all Department of Transportation 
and Maine Turnpike Authority records. 
It removes the confidentiality provisions in current law that apply to the records of 
the Northern New England Passenger Rail Authority.  It places the confidentiality 
provisions applying to the records of the Northern New England Passenger Rail Authority 
in a new section and clarifies what records are not subject to public access.  The bill 
provides that records and correspondence relating to negotiations of agreements are 
confidential, although the final agreements are not designated confidential by this 
language.  The bill also clarifies that estimates of costs of goods or services to be 
procured by or at the expense of the authority are confidential if the estimates are 
prepared by the authority or at the direction of the authority.  The bill also revises the 
employment application confidentiality to be consistent with that of state, county and 
municipal employee applicants.  All documents relating to applicants are confidential, 
except for records pertaining to the applicant who is hired, most of which become public.  
Personal contact information of a public employee is not a public record. The bill also 
clarifies the language concerning the lawyer-client privilege; it allows the authority to 
claim the lawyer-client privilege in the same manner and circumstances as a corporation 
is authorized to do so. 
It amends current law to clarify that the confidentiality provisions of the Maine 
Health Security Act govern the confidentiality of reports to appropriate medical licensing 
boards. 
It amends current law to authorize medical licensing boards to share confidential 
information with state and federal agencies when the information contains evidence of 
possible violations of laws enforced by those agencies. 
It clarifies that information provided by self-insurers to the governing board of the 
Maine Workers' Compensation Residual Market Pool or the Superintendent of Insurance 
related to payment of workers' compensation residual market surcharges continues to be 
confidential until that information is destroyed.