2023 Maine Revised Statutes › TITLE 5: ADMINISTRATIVE PROCEDURES AND SERVICES › Part 20: STATE RETIREMENT SYSTEM › Chapter 421: GENERAL PROVISIONS › Subchapter 2: GENERAL POLICIES AND INTENT › 5 §17057. Information not public record

§17057. Information not public record
1.  Medical information.
Medical information of any kind in the possession of the retirement system, including information pertaining to diagnosis or treatment of mental or emotional disorders, is confidential and not open to public inspection and does not constitute "public records" as defined in Title 1, section 402, subsection 3. Records containing medical information may be examined by the employee to whom they relate or by the State or participating local district employer of the employee for any purposes related to any claim for workers' compensation or any other benefit. The employee must be advised in writing by the retirement system of any request by the employer to examine the employee's medical records. Medical information obtained pursuant to this section remains confidential, except as otherwise provided by law, and except when involved in proceedings resulting from an appeal pursuant to section 17451, subsection 2.
[PL 2017, c. 46, §1 (AMD).]
2.  Financial and personal information.
The following private financial and personal information of members, beneficiaries or participants in any of the programs of the retirement system in the possession of the retirement system is confidential and not open to public inspection and does not constitute "public records" as defined in Title 1, section 402, subsection 3:
A. Information regarding member, beneficiary or participant accounts with financial institutions, including account numbers;   [PL 2017, c. 46, §2 (NEW).]
B. Information regarding member and beneficiary election of payment methods, including elected deductions from those payments;   [PL 2017, c. 46, §2 (NEW).]
C. Information regarding participation in defined contribution or deferred compensation plans, including account numbers, investment allocations, contributions, distributions and balances;   [PL 2017, c. 46, §2 (NEW).]
D. Information regarding designated beneficiaries; and   [PL 2017, c. 46, §2 (NEW).]
E. Information regarding a participant's amount of insurance coverage or group life insurance.   [PL 2017, c. 46, §2 (NEW).]
[PL 2017, c. 46, §2 (RPR).]
3.  Home contact information.
Except as provided in this subsection, records of home contact information of members and benefit recipients of any of the programs of the retirement system and of staff members that are in the possession of the retirement system are confidential, not open to public inspection and not public records as defined in Title 1, section 402, subsection 3.
A. For purposes of this subsection, "home contact information" means a home address, home telephone number, home facsimile transmission number or home e-mail address.   [PL 2003, c. 632, §1 (NEW).]
B. [PL 2007, c. 47, §1 (RP).]
C. This subsection does not apply to the home address of a member or a benefit recipient of any of the programs of the retirement system used only for membership recruitment purposes by a nonprofit or public organization established to provide programs, services and representation to Maine public sector retirees unless the retirement system member or benefit recipient has signed a form made available by the retirement system indicating that the individual does not authorize disclosure of that individual's home address. The retirement system may not provide information under this subsection to an organization if the retirement system has determined that the organization obtained information for the purpose of membership recruitment but used the information for a purpose other than membership recruitment.   [PL 2007, c. 491, §70 (AMD).]
[PL 2007, c. 491, §70 (AMD).]
4.  Investment activity information.
Disclosure of private market investment activity of the retirement system is governed by this subsection.
A. Documentary material, data or information in the possession of the retirement system that consists of trade secrets or commercial or financial information that relates to actual or potential private market investments of the retirement system is confidential and not open to public inspection and does not constitute "public records" as defined in Title 1, section 402, subsection 3 if, in the sole discretion of the retirement system, the disclosure of the material, data or information may:
(1) Impair the retirement system's ability to obtain such material, data or information in the future;
(2) Cause substantial harm to the competitive position of the retirement system or of the person or entity from whom the information was obtained; or
(3) Result in the potential violation of state and federal laws and regulations relating to insider trading.   [PL 2011, c. 449, §1 (AMD).]
B. The following information concerning any fund in which the retirement system is invested is not exempt from disclosure:
(1) The retirement system's total commitment to the fund;
(2) The date of the commitment to the fund;
(3) Contributions and distributions made to or received from the fund;
(4) The market value of the investment;
(5) The name of the fund; and
(6) The interim internal rate of return of the fund.   [PL 2011, c. 449, §1 (AMD).]
C. For purposes of this subsection, "private market investment" means:
(1) Direct investments in land, timber, mineral rights, private company equity or private company debt;
(2) Indirect investments in limited partnerships, limited liability corporations or other entities that may invest in the investments described in subparagraph (1);
(3) Investments in unregistered securities or funds offered under exemptions provided in Section 144(A) of the Securities Act of 1933, as amended, or Section 3(c)1 or 3(c)7 of the Investment Company Act of 1940, as amended; or
(4) Investments or potential investments of the retirement system pursuant to the state innovation finance program authorized under Title 10, section 1026‑T.   [PL 2011, c. 449, §1 (NEW).]
[PL 2011, c. 449, §1 (AMD).]
5.  Personnel records of Maine Public Employees Retirement System staff.
The following records are confidential and not open to public inspection and are not public records as defined in Title 1, section 402, subsection 3:
A. Papers relating to applications, examinations or evaluations of applicants. Except as provided in this subsection, applications, resumes, letters and notes of reference, working papers, research materials, records, examinations and any other documents or records and the information they contain, solicited or prepared either by the applicant or the retirement system for use in the examination or evaluation of applicants for positions as retirement system employees, are confidential.
(1) Notwithstanding any confidentiality provision to the contrary, 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) Telephone numbers are not public records if they are designated as "unlisted" or "unpublished" in an application, resume or letter or note of reference.
(3) This paragraph does not preclude a union representative from access to personnel records, consistent with paragraph D, that may be necessary for the bargaining agent to carry out collective bargaining responsibilities. Any records available to union representatives that are otherwise covered by this paragraph remain confidential and are not open to public inspection;   [PL 2011, c. 449, §2 (NEW).]
B. Personal information. Records containing the following information are confidential, except that the records may be examined by the employee to whom they relate when the examination is permitted or required by law:
(1) Medical information of any kind, including information pertaining to diagnosis or treatment of mental or emotional disorders;
(2) Performance evaluations and personal references submitted in confidence;
(3) Information pertaining to the creditworthiness of a named employee;
(4) Information pertaining to the personal history, general character or conduct of members of the employee's immediate family;
(5) Personal information pertaining to the employee's race, color, religion, sex, national origin, ancestry, age, physical disability, mental disability, marital status, sexual orientation and gender identity; social security number; personal contact information as provided in Title 1, section 402, subsection 3, paragraph O; and personal employment choices pertaining to elected payroll deductions, deferred compensation, savings plans, pension plans, health insurance and life insurance; and
(6) Complaints, charges or accusations of misconduct, replies to those complaints, charges or accusations and any other information or materials that may result in disciplinary action. If disciplinary action is taken, the final written decision relating to that action is no longer confidential after the decision is completed if it imposes or upholds discipline. If an arbitrator completely overturns or removes disciplinary action from an employee personnel file, the final written decision is public except that the employee's name must be deleted from the final written decision and kept confidential. If the employee whose name was deleted from the final written decision discloses that the employee is the person who is the subject of the final written decision, the entire final written decision, with regard to that employee, is public.
For purposes of this subparagraph, "final written decision" means:
(a) The final written administrative decision that is not appealed pursuant to a grievance arbitration procedure; or
(b) If the final written administrative decision is appealed to arbitration, the final written decision of a neutral arbitrator.
A final written administrative decision that is appealed to arbitration is no longer confidential 120 days after a written request for the decision is made to the employer if the final written decision of the neutral arbitrator is not issued and released before the expiration of the 120 days.
This paragraph does not preclude a union representative from having access to personnel records that are necessary for the bargaining agent to carry out collective bargaining responsibilities. Any records available to union representatives that are otherwise covered by this paragraph remain confidential and are not open for public inspection;   [PL 2021, c. 366, §24 (AMD).]
C. Other information to which access by the general public is prohibited by law; and   [PL 2011, c. 449, §2 (NEW).]
D. Certain information for grievance and other proceedings. The retirement system may release specific information designated confidential by this paragraph to be used in negotiations, mediation, fact finding, arbitration, grievance proceedings and other proceedings in which the retirement system is a party. For the purpose of this paragraph, "other proceedings" means unemployment compensation proceedings, workers' compensation proceedings, human rights proceedings and labor relations proceedings.   [PL 2011, c. 449, §2 (NEW).]
[PL 2021, c. 366, §24 (AMD).]
6.  Treatment of confidential information.
Confidential information provided under subsection 5 is governed by the following.
A. Only the information that is necessary and directly related to the proceeding may be released.   [PL 2011, c. 449, §2 (NEW).]
B. The proceeding for which the confidential information is provided must be private and not open to the public if possible. If the proceeding is open to the public, the confidential information may not be disclosed except exclusively in the presence of the fact finder, the parties and counsel of record and the employee who is the subject of the proceeding and provisions are made to ensure that there is no public access to the confidential information.   [PL 2011, c. 449, §2 (NEW).]
C. The retirement system may use this confidential information in proceedings and provide copies to an employee organization if that organization is a party to the proceedings and the information is directly related to those proceedings as defined by the applicable collective bargaining agreement. Confidential personnel records in the possession of the retirement system are not open to public inspection and are not public records.   [PL 2011, c. 449, §2 (NEW).]
[PL 2011, c. 449, §2 (NEW).]
SECTION HISTORY
PL 1989, c. 76 (NEW). PL 1991, c. 480, §2 (RPR). PL 1991, c. 580, §2 (AMD). PL 1991, c. 824, §A7 (RPR). PL 2003, c. 632, §1 (AMD). PL 2005, c. 149, §§1,2 (AMD). PL 2007, c. 47, §§1, 2 (AMD). PL 2007, c. 491, §70 (AMD). RR 2009, c. 2, §3 (COR). PL 2009, c. 633, §1 (AMD). PL 2011, c. 449, §§1, 2 (AMD). PL 2017, c. 46, §§1, 2 (AMD). PL 2021, c. 366, §24 (AMD).