June Office Session

June 5-7, 2012Brewer, Gardiner, Portland

Contents

Section Content Page

One Overview 2

Two Freedom of Access Act Statute 3

Three FOAA Frequently Asked Questions 26

Four Section Four: Certification Of Completion 34Of Freedom Of Access Training

Five Public Law 2012 Chapter 662 35

Six Rules For Disposition of Local 47Government Records

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Section One: Overview

The State of Maine maintains a website on the Freedom of Access Act (FOAA) law which includes the following information:

News & Updates How to Make a Request Frequently Asked Questions (FAQ) Training for Elected Officials Maine Freedom of Access Law Statutory Exceptions to the Freedom of Access Law State FOAA Contacts Right to Know Advisory Committee Related Websites

That site can be accessed at the following link: http://www.maine.gov/foaa/index.htm

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Section Two: Freedom of Access Act Statute

Title 1: GENERAL PROVISIONSChapter 13: PUBLIC RECORDS AND PROCEEDINGS (HEADING: PL 1975, c. 758 (rpr))

Subchapter 1: FREEDOM OF ACCESS (HEADING: PL 1975, c. 758 (rpr))§ 401. Declaration of public policy; rules of construction§ 402. Definitions§ 402-A. Public records defined (REPEALED)§ 403. Meetings to be open to public§ 404. Recorded or live broadcasts authorized§ 404-A. Decisions (REPEALED)§ 405. Executive sessions§ 405-A. Recorded or live broadcasts authorized (REPEALED)§ 405-B. Appeals (REPEALED)§ 405-C. Appeals from actions (REPEALED)§ 406. Public notice§ 407. Decisions§ 408. Public records available for public inspection and copying§ 409. Appeals§ 410. Violations§ 411. Right To Know Advisory Committee§ 412. Public records and proceedings training for certain elected officials

Subchapter 1-A: EXCEPTIONS TO PUBLIC RECORDS (HEADING: PL 2003, c. 709, @3 (new))

§ 431. Definitions§ 432. Exceptions to public records; review§ 433. Schedule for review of exceptions to public records§ 434. Review of proposed exceptions to public records

Subchapter 2: DESTRUCTION OR MISUSE OF RECORDS

§ 451. Lawful destruction of records (REPEALED)§ 452. Removal, secretion, mutilation or refusal to return state documents

Subchapter 3: PRINTING AND PURCHASE OF DOCUMENTS AND LAWS

§ 501. State agency defined§ 501-A. Publications of state agencies§ 502. Property of State§ 503. Delivery to successor in office§ 504. Source of authority to be shown§ 505. Mailing lists

Subchapter 4: EXECUTIVE ORDERS (HEADING: PL 1975, c. 360 (new))

§ 521. Executive orders

Title 1, Chapter 13: PUBLIC RECORDS AND PROCEEDINGS

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Subchapter 1: FREEDOM OF ACCESS

§401. Declaration of public policy; rules of construction

The Legislature finds and declares that public proceedings exist to aid in the conduct of the people's business. It is the intent of the Legislature that their actions be taken openly and that the records of their actions be open to public inspection and their deliberations be conducted openly. It is further the intent of the Legislature that clandestine meetings, conferences or meetings held on private property without proper notice and ample opportunity for attendance by the public not be used to defeat the purposes of this subchapter. [1975, c. 758, (RPR).]

This subchapter does not prohibit communications outside of public proceedings between members of a public body unless those communications are used to defeat the purposes of this subchapter. [2011, c. 320, Pt. B, §1 (NEW).]

This subchapter shall be liberally construed and applied to promote its underlying purposes and policies as contained in the declaration of legislative intent. [1975, c. 758, (RPR).]

§402. Definitions

1. Conditional approval. Approval of an application or granting of a license, certificate or any other type of permit upon conditions not otherwise specifically required by the statute, ordinance or regulation pursuant to which the approval or granting is issued. [ 1975, c. 758, (NEW) .]

1-A. Legislative subcommittee. "Legislative subcommittee" means 3 or more Legislators from a legislative committee appointed for the purpose of conducting legislative business on behalf of the committee. [ 1991, c. 773, §1 (NEW) .]

2. Public proceedings. The term "public proceedings" as used in this subchapter means the transactions of any functions affecting any or all citizens of the State by any of the following:

A. The Legislature of Maine and its committees and subcommittees; [1975, c. 758, (NEW).]B. Any board or commission of any state agency or authority, the Board of Trustees of the

University of Maine System and any of its committees and subcommittees, the Board of Trustees of the Maine Maritime Academy and any of its committees and subcommittees, the Board of Trustees of the Maine Community College System and any of its committees and subcommittees; [1989, c. 358, §1 (AMD); 1989, c. 443, §1 (AMD); 1989, c. 878, Pt. A, §1 (RPR); 2003, c. 20, Pt. OO, §2 (AMD); 2003, c. 20, Pt. OO, §4 (AFF).]

C. Any board, commission, agency or authority of any county, municipality, school district or any regional or other political or administrative subdivision; [1991, c. 848, §1 (AMD).]

D. The full membership meetings of any association, the membership of which is composed exclusively of counties, municipalities, school administrative units or other political or administrative subdivisions; of boards, commissions, agencies or authorities of any such subdivisions; or of any combination of any of these entities; [1995, c. 608, §1 (AMD).]

E. The board of directors of a nonprofit, nonstock private corporation that provides statewide noncommercial public broadcasting services and any of its committees and subcommittees; [2009, c. 334, §1 (AMD).]

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F. Any advisory organization, including any authority, board, commission, committee, council, task force or similar organization of an advisory nature, established, authorized or organized by law or resolve or by Executive Order issued by the Governor and not otherwise covered by this subsection, unless the law, resolve or Executive Order establishing, authorizing or organizing the advisory organization specifically exempts the organization from the application of this subchapter; and [2009, c. 334, §2 (AMD).]

G. The committee meetings, subcommittee meetings and full membership meetings of any association that:

(1) Promotes, organizes or regulates statewide interscholastic activities in public schools or in both public and private schools; and (2) Receives its funding from the public and private school members, either through membership dues or fees collected from those schools based on the number of participants of those schools in interscholastic activities. This paragraph applies to only those meetings pertaining to interscholastic sports and does not

apply to any meeting or any portion of any meeting the subject of which is limited to personnel issues, allegations of interscholastic athletic rule violations by member schools, administrators, coaches or student athletes or the eligibility of an individual student athlete or coach. [2009, c. 334, §3 (NEW).][ 2009, c. 334, §§1-3 (AMD) .]

3. Public records. The term "public records" means any written, printed or graphic matter or any mechanical or electronic data compilation from which information can be obtained, directly or after translation into a form susceptible of visual or aural comprehension, that is in the possession or custody of an agency or public official of this State or any of its political subdivisions, or is in the possession or custody of an association, the membership of which is composed exclusively of one or more of any of these entities, and has been received or prepared for use in connection with the transaction of public or governmental business or contains information relating to the transaction of public or governmental business, except:

A. Records that have been designated confidential by statute; [1975, c. 758, (NEW).]B. Records that would be within the scope of a privilege against discovery or use as evidence

recognized by the courts of this State in civil or criminal trials if the records or inspection thereof were sought in the course of a court proceeding; [1975, c. 758, (NEW).]

C. Legislative papers and reports until signed and publicly distributed in accordance with legislative rules, and records, working papers, drafts and interoffice and intraoffice memoranda used or maintained by any Legislator, legislative agency or legislative employee to prepare proposed Senate or House papers or reports for consideration by the Legislature or any of its committees during the legislative session or sessions in which the papers or reports are prepared or considered or to which the paper or report is carried over; [1991, c. 773, §2 (AMD).]

C-1. Information contained in a communication between a constituent and an elected official if the information:

(1) Is of a personal nature, consisting of:(a) An individual's medical information of any kind, including information pertaining to diagnosis or treatment of mental or emotional disorders; (b) Credit or financial information;(c) Information pertaining to the personal history, general character or conduct of the constituent or any member of the constituent's immediate family; (d) Complaints, charges of misconduct, replies to complaints or charges of misconduct or memoranda or other materials pertaining to disciplinary action; or (e) An individual's social security number; or

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(2) Would be confidential if it were in the possession of another public agency or official; [2011, c. 264, §1 (NEW).]D. Material prepared for and used specifically and exclusively in preparation for negotiations,

including the development of bargaining proposals to be made and the analysis of proposals received, by a public employer in collective bargaining with its employees and their designated representatives; [1989, c. 358, §4 (AMD).]

E. Records, working papers, interoffice and intraoffice memoranda used by or prepared for faculty and administrative committees of the Maine Maritime Academy, the Maine Community College System and the University of Maine System. The provisions of this paragraph do not apply to the boards of trustees and the committees and subcommittees of those boards, which are referred to in subsection 2, paragraph B; [1989, c. 358, §4 (AMD); 1989, c. 443, §2 (AMD); 1989, c. 878, Pt. A, §2 (RPR); 2003, c. 20, Pt. OO, §2 (AMD); 2003, c. 20, Pt. OO, §4 (AFF).]

F. Records that would be confidential if they were in the possession or custody of an agency or public official of the State or any of its political or administrative subdivisions are confidential if those records are in the possession of an association, the membership of which is composed exclusively of one or more political or administrative subdivisions of the State; of boards, commissions, agencies or authorities of any such subdivisions; or of any combination of any of these entities; [1991, c. 448, §1 (AMD).]

G. Materials related to the development of positions on legislation or materials that are related to insurance or insurance-like protection or services which are in the possession of an association, the membership of which is composed exclusively of one or more political or administrative subdivisions of the State; of boards, commissions, agencies or authorities of any such subdivisions; or of any combination of any of these entities; [1991, c. 448, §1 (AMD).]

H. Medical records and reports of municipal ambulance and rescue units and other emergency medical service units, except that such records and reports must be available upon request to law enforcement officers investigating criminal conduct; [1995, c. 608, §4 (AMD).]

I. Juvenile records and reports of municipal fire departments regarding the investigation and family background of a juvenile fire setter; [1999, c. 96, §1 (AMD).]

J. Working papers, including records, drafts and interoffice and intraoffice memoranda, used or maintained by any advisory organization covered by subsection 2, paragraph F, or any member or staff of that organization during the existence of the advisory organization. Working papers are public records if distributed by a member or in a public meeting of the advisory organization; [2001, c. 675, §1 (AMD).]

K. Personally identifying information concerning minors that is obtained or maintained by a municipality in providing recreational or nonmandatory educational programs or services, if the municipality has enacted an ordinance that specifies the circumstances in which the information will be withheld from disclosure. This paragraph does not apply to records governed by Title 20-A, section 6001 and does not supersede Title 20-A, section 6001-A; [2003, c. 392, §1 (AMD).]

L. Records describing security plans, security procedures or risk assessments prepared specifically for the purpose of preventing or preparing for acts of terrorism, but only to the extent that release of information contained in the record could reasonably be expected to jeopardize the physical safety of government personnel or the public. Information contained in records covered by this paragraph may be disclosed to the Legislature or, in the case of a political or administrative subdivision, to municipal officials or board members under conditions that protect the information from further disclosure. For purposes of this paragraph, "terrorism" means conduct that is designed to cause serious bodily injury or substantial risk of bodily injury to multiple persons, substantial damage to multiple structures whether occupied or unoccupied or substantial physical damage sufficient to disrupt the normal functioning of a critical infrastructure; [2003, c. 614, §1 (AMD).]

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M. Records or information describing the architecture, design, access authentication, encryption or security of information technology infrastructure and systems. Records or information covered by this paragraph may be disclosed to the Legislature or, in the case of a political or administrative subdivision, to municipal officials or board members under conditions that protect the information from further disclosure; [2005, c. 381, §1 (AMD).]

N. Social security numbers ; [2011, c. 320, Pt. E, §1 (AMD).]O. Personal contact information concerning public employees, except when that information is

public pursuant to other law. For the purposes of this paragraph: (1) "Personal contact information" means home address, home telephone number, home facsimile number, home e-mail address and personal cellular telephone number and personal pager number; and (2) "Public employee" means an employee as defined in Title 14, section 8102, subsection 1, except that "public employee" does not include elected officials; [RR 2009, c. 1, §1 (COR).]

P. Geographic information regarding recreational trails that are located on private land that are authorized voluntarily as such by the landowner with no public deed or guaranteed right of public access, unless the landowner authorizes the release of the information; [2011, c. 149, §1 (AMD).](Paragraph P as enacted by PL 2009, c. 339, §3 is REALLOCATED TO TITLE 1, SECTION 402, SUBSECTION 3, PARAGRAPH Q)

Q. (REALLOCATED FROM T. 1, §402, sub-§3, ¶P) Security plans, staffing plans, security procedures, architectural drawings or risk assessments prepared for emergency events that are prepared for or by or kept in the custody of the Department of Corrections or a county jail if there is a reasonable possibility that public release or inspection of the records would endanger the life or physical safety of any individual or disclose security plans and procedures not generally known by the general public. Information contained in records covered by this paragraph may be disclosed to state and county officials if necessary to carry out the duties of the officials, the Department of Corrections or members of the State Board of Corrections under conditions that protect the information from further disclosure; and [2011, c. 149, §2 (AMD).]

R. Social security numbers in the possession of the Secretary of State. [2011, c. 149, §3 (NEW).][ 2011, c. 149, §§1-3 (AMD); 2011, c. 264, §1 (AMD); 2011, c. 320, Pt. E, §1 (AMD) .]

3-A. Public records further defined. "Public records" also includes the following criminal justice agency records:

A. Records relating to prisoner furloughs to the extent they pertain to a prisoner's identity, conviction data, address of furlough and dates of furlough; [1997, c. 714, §1 (NEW).]

B. Records relating to out-of-state adult probationer or parolee supervision to the extent they pertain to a probationer's or parolee's identity, conviction data, address of residence and dates of supervision; and [2001, c. 477, §1 (AMD).]

C. Records to the extent they pertain to a prisoner's, adult probationer's or parolee's identity, conviction data and current address or location, unless the Commissioner of Corrections determines that it would be detrimental to the welfare of a client to disclose the information. [2001, c. 477, §1 (AMD).][ 2001, c. 477, §1 (AMD) .]

4. Public records of interscholastic athletic organizations. Any records or minutes of meetings under subsection 2, paragraph G are public records. [ 2009, c. 334, §4 (NEW) .] SECTION HISTORY

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1973, c. 433, §1 (AMD). 1975, c. 243, (RPR). 1975, c. 483, §2 (AMD). 1975, c. 758, (RPR). 1977, c. 164, §§1,2 (AMD). 1977, c. 696, §9 (AMD). 1985, c. 695, §§1,2 (AMD). 1985, c. 779, §§1,2 (AMD). 1987, c. 20, §1 (AMD). 1987, c. 402, §A1 (AMD). 1987, c. 477, §1 (AMD). 1989, c. 358, §§1-4 (AMD). 1989, c. 443, §§1,2 (AMD). 1989, c. 878, §§A1,2 (AMD). 1991, c. 448, §§1,2 (AMD). 1991, c. 773, §§1,2 (AMD). 1991, c. 848, §1 (AMD). 1995, c. 608, §§1-5 (AMD). 1997, c. 714, §1 (AMD). 1999, c. 96, §§1-3 (AMD). 2001, c. 477, §1 (AMD). 2001, c. 675, §§1-3 (AMD). 2003, c. 20, §OO2 (AMD). 2003, c. 20, §OO4 (AFF). 2003, c. 392, §§1-3 (AMD). 2003, c. 614, §§1-3 (AMD). 2005, c. 381, §§1-3 (AMD). 2007, c. 597, §1 (AMD). RR 2009, c. 1, §§1-3 (COR). 2009, c. 176, §§1-3 (AMD). 2009, c. 334, §§1-4 (AMD). 2009, c. 339, §§1-3 (AMD). 2011, c. 149, §§1-3 (AMD). 2011, c. 264, §1 (AMD). 2011, c. 320, Pt. E, §1 (AMD).

§402-A. Public records defined (REPEALED)SECTION HISTORY 1975, c. 483, §3 (NEW). 1975, c. 623, §1 (RPR). 1975, c. 758, (RP).

§403. Meetings to be open to public; record of meetings

1. Proceedings open to public. Except as otherwise provided by statute or by section 405, all public proceedings must be open to the public and any person must be permitted to attend a public proceeding. [ 2011, c. 320, Pt. C, §1 (NEW) .]

2. Record of public proceedings. Unless otherwise provided by law, a record of each public proceeding for which notice is required under section 406 must be made within a reasonable period of time after the proceeding and must be open to public inspection. At a minimum, the record must include:

A. The date, time and place of the public proceeding; [2011, c. 320, Pt. C, §1 (NEW).]B. The members of the body holding the public proceeding recorded as either present or absent;

and [2011, c. 320, Pt. C, §1 (NEW).]C. All motions and votes taken, by individual member, if there is a roll call. [2011, c. 320, Pt.

C, §1 (NEW).][ 2011, c. 320, Pt. C, §1 (NEW) .]

3. Audio or video recording. An audio, video or other electronic recording of a public proceeding satisfies the requirements of subsection 2. [ 2011, c. 320, Pt. C, §1 (NEW) .]

4. Maintenance of record. Record management requirements and retention schedules adopted under Title 5, chapter 6 apply to records required under this section. [ 2011, c. 320, Pt. C, §1 (NEW) .]

5. Validity of action. The validity of any action taken in a public proceeding is not affected by the failure to make or maintain a record as required by this section. [ 2011, c. 320, Pt. C, §1 (NEW) .]

6. Advisory bodies exempt from record requirements. Subsection 2 does not apply to advisory bodies that make recommendations but have no decision-making authority. [ 2011, c. 320, Pt. C, §1 (NEW) .]

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SECTION HISTORY 1969, c. 293, (AMD). 1975, c. 422, §1 (AMD). 1975, c. 758, (RPR). 2009, c. 240, §1 (AMD). 2011, c. 320, Pt. C, §1 (RPR).

§404. Recorded or live broadcasts authorized In order to facilitate the public policy so declared by the Legislature of opening the public's

business to public scrutiny, all persons shall be entitled to attend public proceedings and to make written, taped or filmed records of the proceedings, or to live broadcast the same, provided the writing, taping, filming or broadcasting does not interfere with the orderly conduct of proceedings. The body or agency holding the public proceedings may make reasonable rules and regulations governing these activities, so long as these rules or regulations do not defeat the purpose of this subchapter. [1975, c. 758, (RPR).]SECTION HISTORY 1975, c. 422, §2 (RPR). 1975, c. 483, §4 (AMD). 1975, c. 758, (RPR).

§404-A. Decisions (REPEALED)SECTION HISTORY 1973, c. 433, §2 (NEW). 1973, c. 704, §§1,2 (AMD). 1975, c. 758, (RP).

§405. Executive sessions

Those bodies or agencies falling within this subchapter may hold executive sessions subject to the following conditions. [1975, c. 758, (NEW).]

1. Not to defeat purposes of subchapter. An executive session may not be used to defeat the purposes of this subchapter as stated in section 401. [ 2009, c. 240, §2 (AMD) .]

2. Final approval of certain items prohibited. An ordinance, order, rule, resolution, regulation, contract, appointment or other official action may not be finally approved at an executive session. [ 2009, c. 240, §2 (AMD) .]

3. Procedure for calling of executive session. An executive session may be called only by a public, recorded vote of 3/5 of the members, present and voting, of such bodies or agencies. [ 2009, c. 240, §2 (AMD) .]

4. Motion contents. A motion to go into executive session must indicate the precise nature of the business of the executive session and include a citation of one or more sources of statutory or other authority that permits an executive session for that business. Failure to state all authorities justifying the executive session does not constitute a violation of this subchapter if one or more of the authorities are accurately cited in the motion. An inaccurate citation of authority for an executive session does not violate this subchapter if valid authority that permits the executive session exists and the failure to cite the valid authority was inadvertent. [ 2003, c. 709, §1 (AMD) .]

5. Matters not contained in motion prohibited. Matters other than those identified in the motion to go into executive session may not be considered in that particular executive session.

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[ 2009, c. 240, §2 (AMD) .]

6. Permitted deliberation. Deliberations on only the following matters may be conducted during an executive session:

A. Discussion or consideration of the employment, appointment, assignment, duties, promotion, demotion, compensation, evaluation, disciplining, resignation or dismissal of an individual or group of public officials, appointees or employees of the body or agency or the investigation or hearing of charges or complaints against a person or persons subject to the following conditions:

(1) An executive session may be held only if public discussion could be reasonably expected to cause damage to the individual's reputation or the individual's right to privacy would be violated;(2) Any person charged or investigated must be permitted to be present at an executive session if that person so desires;(3) Any person charged or investigated may request in writing that the investigation or hearing of charges or complaints against that person be conducted in open session. A request, if made to the agency, must be honored; and (4) Any person bringing charges, complaints or allegations of misconduct against the individual under discussion must be permitted to be present.This paragraph does not apply to discussion of a budget or budget proposal; [2009, c. 240, §2 (AMD).]B. Discussion or consideration by a school board of suspension or expulsion of a public school

student or a student at a private school, the cost of whose education is paid from public funds, as long as:

(1) The student and legal counsel and, if the student is a minor, the student's parents or legal guardians are permitted to be present at an executive session if the student, parents or guardians so desire; [2009, c. 240, §2 (AMD).]C. Discussion or consideration of the condition, acquisition or the use of real or personal

property permanently attached to real property or interests therein or disposition of publicly held property or economic development only if premature disclosures of the information would prejudice the competitive or bargaining position of the body or agency; [1987, c. 477, §3 (AMD).]

D. Discussion of labor contracts and proposals and meetings between a public agency and its negotiators. The parties must be named before the body or agency may go into executive session. Negotiations between the representatives of a public employer and public employees may be open to the public if both parties agree to conduct negotiations in open sessions; [1999, c. 144, §1 (RPR).]

E. Consultations between a body or agency and its attorney concerning the legal rights and duties of the body or agency, pending or contemplated litigation, settlement offers and matters where the duties of the public body's or agency's counsel to the attorney's client pursuant to the code of professional responsibility clearly conflict with this subchapter or where premature general public knowledge would clearly place the State, municipality or other public agency or person at a substantial disadvantage; [2009, c. 240, §2 (AMD).]

F. Discussions of information contained in records made, maintained or received by a body or agency when access by the general public to those records is prohibited by statute; [1999, c. 180, §1 (AMD).]

G. Discussion or approval of the content of examinations administered by a body or agency for licensing, permitting or employment purposes; consultation between a body or agency and any entity that provides examination services to that body or agency regarding the content of an examination; and review of examinations with the person examined; and [1999, c. 180, §2 (AMD).]

H. Consultations between municipal officers and a code enforcement officer representing the municipality pursuant to Title 30-A, section 4452, subsection 1, paragraph C in the prosecution of an

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enforcement matter pending in District Court when the consultation relates to that pending enforcement matter. [1999, c. 180, §3 (NEW).][ 2009, c. 240, §2 (AMD) .] SECTION HISTORY 1975, c. 758, (RPR). 1979, c. 541, §A3 (AMD). 1987, c. 477, §§2,3 (AMD). 1987, c. 769, §A1 (AMD). 1999, c. 40, §§1,2 (AMD). 1999, c. 144, §1 (AMD). 1999, c. 180, §§1-3 (AMD). 2003, c. 709, §1 (AMD). 2009, c. 240, §2 (AMD).

§405-A. Recorded or live broadcasts authorized (REPEALED)SECTION HISTORY 1975, c. 483, §5 (NEW). 1975, c. 758, (RP).

§405-B. Appeals (REPEALED)SECTION HISTORY 1975, c. 483, §5 (NEW). 1975, c. 758, (RP).

§405-C. Appeals from actions (REPEALED)SECTION HISTORY 1975, c. 483, §5 (NEW). 1975, c. 758, (RP).

§405-C. Appeals from actions (REPEALED)SECTION HISTORY 1975, c. 483, §5 (NEW). 1975, c. 758, (RP).

§407. Decisions

1. Conditional approval or denial. Every agency shall make a written record of every decision involving the conditional approval or denial of an application, license, certificate or any other type of permit. The agency shall set forth in the record the reason or reasons for its decision and make finding of the fact, in writing, sufficient to appraise the applicant and any interested member of the public of the basis for the decision. A written record or a copy thereof shall be kept by the agency and made available to any interested member of the public who may wish to review it. [ 1975, c. 758, (NEW) .]

2. Dismissal or refusal to renew contract. Every agency shall make a written record of every decision involving the dismissal or the refusal to renew the contract of any public official, employee or appointee. The agency shall, except in case of probationary employees, set forth in the record the reason or reasons for its decision and make findings of fact, in writing, sufficient to apprise the individual concerned and any interested member of the public of the basis for the decision. A written record or a copy thereof must be kept by the agency and made available to any interested member of the public who may wish to review it. [ 2009, c. 240, §3 (AMD) .] SECTION HISTORY 1975, c. 758, (NEW). 2009, c. 240, §3 (AMD).

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§408. Public records available for public inspection and copying

1. Right to inspect and copy. Except as otherwise provided by statute, every person has the right to inspect and copy any public record during the regular business hours of the agency or official having custody of the public record within a reasonable period of time after making a request to inspect or copy the public record. An agency or official may request clarification concerning which public record or public records are being requested, but in any case the agency or official shall acknowledge receipt of the request within a reasonable period of time. [ 2007, c. 501, §1 (AMD) .]

2. Inspection, translation and copying scheduled. Inspection, translation and copying may be scheduled to occur at such time as will not delay or inconvenience the regular activities of the agency or official having custody of the public record sought. [ 2003, c. 709, §2 (NEW) .]

3. Payment of costs. Except as otherwise specifically provided by law or court order, an agency or official having custody of a public record may charge fees as follows.

A. The agency or official may charge a reasonable fee to cover the cost of copying. [2003, c. 709, §2 (NEW).]B. The agency or official may charge a fee to cover the actual cost of searching for, retrieving and compiling the requested public record of not more than $10 per hour after the first hour of staff time per request. Compiling the public record includes reviewing and redacting confidential information. [2003, c. 709, §2 (NEW).]C. If translation is necessary, the agency or official may charge a fee to cover the actual cost of translation. [2003, c. 709, §2 (NEW).]D. An agency or official may not charge for inspection. [2003, c. 709, §2 (NEW).][ 2003, c. 709, §2 (NEW) .]

4. Estimate. The agency or official shall provide to the requester an estimate of the time necessary to complete the request and of the total cost. If the estimate of the total cost is greater than $20, the agency or official shall inform the requester before proceeding. If the estimate of the total cost is greater than $100, subsection 5 applies. [ 2003, c. 709, §2 (NEW) .]

5. Payment in advance. The agency or official may require a requester to pay all or a portion of the estimated costs to complete the request prior to the translation, search, retrieval, compiling and copying of the public record if:

A. The estimated total cost exceeds $100; or [2003, c. 709, §2 (NEW).]B. The requester has previously failed to pay a properly assessed fee under this chapter in a timely manner. [2003, c. 709, §2 (NEW).]

[ 2003, c. 709, §2 (NEW) .]

6. Waivers. The agency or official may waive part or all of the total fee if: A. The requester is indigent; or [2003, c. 709, §2 (NEW).]B. Release of the public record requested is in the public interest because doing so is likely to contribute significantly to public understanding of the operations or activities of government and is not primarily in the commercial interest of the requester. [2009, c. 240, §4 (AMD).]

[ 2009, c. 240, §4 (AMD) .] SECTION HISTORY

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1975, c. 758, (NEW). 2003, c. 709, §2 (RPR). 2007, c. 501, §1 (AMD). 2009, c. 240, §4 (AMD).

§409. Appeals

1. Records. If any body or agency or official who has custody or control of any public record refuses permission to inspect or copy or abstract a public record, this denial must be made by the body or agency or official in writing, stating the reason for the denial, within 5 working days of the request for inspection by any person. Any person aggrieved by denial may appeal , within 5 working days of the receipt of the written notice of denial, to any Superior Court within the State. If a court, after a trial de novo, determines such denial was not for just and proper cause, it shall enter an order for disclosure. Appeals are privileged in respect to their assignment for trial over all other actions except writs of habeas corpus and actions brought by the State against individuals. [ 2009, c. 240, §5 (AMD) .]

2. Actions. If any body or agency approves any ordinances, orders, rules, resolutions, regulations, contracts, appointments or other official action in an executive session, this action is illegal and the officials responsible are subject to the penalties hereinafter provided. Upon learning of any such action, any person may appeal to any Superior Court in the State. If a court, after a trial de novo, determines this action was taken illegally in an executive session, it shall enter an order providing for the action to be null and void. Appeals are privileged in respect to their assignment for trial over all other actions except writs of habeas corpus or actions brought by the State against individuals. [ 2007, c. 695, Pt. C, §1 (AMD) .]

3. Proceedings not exclusive. The proceedings authorized by this section are not exclusive of any other civil remedy provided by law. [ 2009, c. 240, §6 (AMD) .]

4. Attorney’s fees. In an appeal under subsection 1 or 2, the court may award reasonable attorney’s fees and litigation expenses to the substantially prevailing plaintiff who appealed the refusal under subsection 1 or the illegal action under subsection 2 if the court determines that the refusal or illegal action was committed in bad faith. Attorney’s fees and litigation costs may not be awarded to or against a federally recognized Indian tribe. This subsection applies to appeals under subsection 1 or 2 filed on or after January 1, 2010.[ 2009, c. 423, §1 (NEW) .] SECTION HISTORY 1975, c. 758, (NEW). 1987, c. 477, §5 (AMD). 2007, c. 695, Pt. C, §1 (AMD). 2009, c. 240, §§5, 6 (AMD). 2009, c. 423, §1 (AMD).

§410. Violations

For every willful violation of this subchapter, the state government agency or local government entity whose officer or employee committed the violation shall be liable for a civil violation for which a forfeiture of not more than $500 may be adjudged. [1987, c. 477, §6 (RPR).]SECTION HISTORY 1975, c. 758, (NEW). 1987, c. 477, §6 (RPR).

§411. Right To Know Advisory Committee

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1. Advisory committee established. The Right To Know Advisory Committee, referred to in this chapter as "the advisory committee," is established to serve as a resource for ensuring compliance with this chapter and upholding the integrity of the purposes underlying this chapter as it applies to all public entities in the conduct of the public's business. [ 2005, c. 631, §1 (NEW) .]

2. Membership. The advisory committee consists of the following members: A. One Senator who is a member of the joint standing committee of the Legislature having jurisdiction over judiciary matters, appointed by the President of the Senate; [2005, c. 631, §1 (NEW).]B. One member of the House of Representatives who is a member of the joint standing committee of the Legislature having jurisdiction over judiciary matters, appointed by the Speaker of the House; [2005, c. 631, §1 (NEW).]C. One representative of municipal interests, appointed by the Governor; [2005, c. 631, §1 (NEW).]D. One representative of county or regional interests, appointed by the President of the Senate; [2005, c. 631, §1 (NEW).]E. One representative of school interests, appointed by the Governor; [2005, c. 631, §1 (NEW).]F. One representative of law enforcement interests, appointed by the President of the Senate; [2005, c. 631, §1 (NEW).]G. One representative of the interests of State Government, appointed by the Governor; [2005, c. 631, §1 (NEW).]H. One representative of a statewide coalition of advocates of freedom of access, appointed by the Speaker of the House; [2005, c. 631, §1 (NEW).]I. One representative of newspaper and other press interests, appointed by the President of the Senate; [2005, c. 631, §1 (NEW).]J. One representative of newspaper publishers, appointed by the Speaker of the House; [2005, c. 631, §1 (NEW).]K. Two representatives of broadcasting interests, one appointed by the President of the Senate and one appointed by the Speaker of the House; [2005, c. 631, §1 (NEW).]L. Two representatives of the public, one appointed by the President of the Senate and one appointed by the Speaker of the House; and [2005, c. 631, §1 (NEW).]M. The Attorney General or the Attorney General's designee. [2005, c. 631, §1 (NEW).]The advisory committee shall invite the Chief Justice of the Supreme Judicial Court to designate a member of the judicial branch to serve as a member of the committee. [ 2005, c. 631, §1 (NEW) .]

3. Terms of appointment. The terms of appointment are as follows. A. Except as provided in paragraph B, members are appointed for terms of 3 years. [2005, c. 631, §1 (NEW).]B. Members who are Legislators are appointed for the duration of the legislative terms of office in which they were appointed. [2005, c. 631, §1 (NEW).]C. Members may serve beyond their designated terms until their successors are appointed. [2005, c. 631, §1 (NEW).]

[ 2005, c. 631, §1 (NEW) .]

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4. First meeting; chair. The Executive Director of the Legislative Council shall call the first meeting of the advisory committee as soon as funding permits. At the first meeting, the advisory committee shall select a chair from among its members and may select a new chair annually. [ 2005, c. 631, §1 (NEW) .]

5. Meetings. The advisory committee may meet as often as necessary but not fewer than 4 times a year. A meeting may be called by the chair or by any 4 members. [ 2005, c. 631, §1 (NEW) .]

6. Duties and powers. The advisory committee: A. Shall provide guidance in ensuring access to public records and proceedings and help to establish an effective process to address general compliance issues and respond to requests for interpretation and clarification of the laws; [2005, c. 631, §1 (NEW).]B. Shall serve as the central source and coordinator of information about the freedom of access laws and the people's right to know. The advisory committee shall provide the basic information about the requirements of the law and the best practices for agencies and public officials. The advisory committee shall also provide general information about the freedom of access laws for a wider and deeper understanding of citizens' rights and their role in open government. The advisory committee shall coordinate the education efforts by providing information about the freedom of access laws and whom to contact for specific inquiries; [RR 2005, c. 2, §1 (COR).]C. Shall serve as a resource to support the establishment and maintenance of a central publicly accessible website that provides the text of the freedom of access laws and provides specific guidance on how a member of the public can use the law to be a better informed and active participant in open government. The website must include the contact information for agencies, as well as whom to contact with complaints and concerns. The website must also include, or contain a link to, a list of statutory exceptions to the public records laws; [RR 2005, c. 2, §1 (COR).]D. Shall serve as a resource to support training and education about the freedom of access laws. Although each agency is responsible for training for the specific records and meetings pertaining to that agency's mission, the advisory committee shall provide core resources for the training, share best practices experiences and support the establishment and maintenance of online training as well as written question-and-answer summaries about specific topics. The advisory committee shall recommend a process for collecting the training completion records required under section 412, subsection 3 and for making that information publicly available; [2007, c. 576, §1 (AMD).]E. Shall serve as a resource for the review committee under subchapter 1-A in examining public records exceptions in both existing laws and in proposed legislation; [2005, c. 631, §1 (NEW).]F. Shall examine inconsistencies in statutory language and may recommend standardized language in the statutes to clearly delineate what information is not public and the circumstances under which that information may appropriately be released; [2005, c. 631, §1 (NEW).]G. May make recommendations for changes in the statutes to improve the laws and may make recommendations to the Governor, the Legislature, the Chief Justice of the Supreme Judicial Court and local and regional governmental entities with regard to best practices in providing the public access to records and proceedings and to maintain the integrity of the freedom of access laws and their underlying principles. The joint standing committee of the Legislature having jurisdiction over judiciary matters may report out legislation based on the advisory committee's recommendations; [2005, c. 631, §1 (NEW).]H. Shall serve as an adviser to the Legislature when legislation affecting public access is considered; [2005, c. 631, §1 (NEW).]

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I. May conduct public hearings, conferences, workshops and other meetings to obtain information about, discuss, publicize the needs of and consider solutions to problems concerning access to public proceedings and records; [2005, c. 631, §1 (NEW).]J. Shall review the collection, maintenance and use of records by agencies and officials to ensure that confidential records and information are protected and public records remain accessible to the public; and [2005, c. 631, §1 (NEW).]K. May undertake other activities consistent with its listed responsibilities. [2005, c. 631, §1 (NEW).][ 2007, c. 576, §1 (AMD) .]

7. Outside funding for advisory committee activities. The advisory committee may seek outside funds to fund the cost of public hearings, conferences, workshops, other meetings, other activities of the advisory committee and educational and training materials. Contributions to support the work of the advisory committee may not be accepted from any party having a pecuniary or other vested interest in the outcome of the matters being studied. Any person, other than a state agency, desiring to make a financial or in-kind contribution shall certify to the Legislative Council that it has no pecuniary or other vested interest in the outcome of the advisory committee's activities. Such a certification must be made in the manner prescribed by the Legislative Council. All contributions are subject to approval by the Legislative Council. All funds accepted must be forwarded to the Executive Director of the Legislative Council along with an accounting record that includes the amount of funds, the date the funds were received, from whom the funds were received and the purpose of and any limitation on the use of those funds. The Executive Director of the Legislative Council shall administer any funds received by the advisory committee. [ 2005, c. 631, §1 (NEW) .]

8. Compensation. Legislative members of the advisory committee are entitled to receive the legislative per diem, as defined in Title 3, section 2, and reimbursement for travel and other necessary expenses for their attendance at authorized meetings of the advisory committee. Public members not otherwise compensated by their employers or other entities that they represent are entitled to receive reimbursement of necessary expenses and, upon a demonstration of financial hardship, a per diem equal to the legislative per diem for their attendance at authorized meetings of the advisory committee. [ 2005, c. 631, §1 (NEW) .]

9. Staffing. The Legislative Council shall provide staff support for the operation of the advisory committee, except that the Legislative Council staff support is not authorized when the Legislature is in regular or special session. In addition, the advisory committee may contract for administrative, professional and clerical services if funding permits. [ 2005, c. 631, §1 (NEW) .]

10. Report. By January 15, 2007 and at least annually thereafter, the advisory committee shall report to the Governor, the Legislative Council, the joint standing committee of the Legislature having jurisdiction over judiciary matters and the Chief Justice of the Supreme Judicial Court about the state of the freedom of access laws and the public's access to public proceedings and records. [ 2005, c. 631, §1 (NEW) .] SECTION HISTORY RR 2005, c. 2, §1 (COR). 2005, c. 631, §1 (NEW). 2007, c. 576, §1 (AMD).

§412. Public records and proceedings training for certain elected officials

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1. Training required. Beginning July 1, 2008, an elected official subject to this section shall complete a course of training on the requirements of this chapter relating to public records and proceedings. The official shall complete the training not later than the 120th day after the date the elected official takes the oath of office to assume the person's duties as an elected official. For elected officials subject to this section serving in office on July 1, 2008, the training required by this section must be completed by November 1, 2008. [ 2007, c. 349, §1 (NEW) .]

2. Training course; minimum requirements. The training course under subsection 1 must be designed to be completed by an official in less than 2 hours. At a minimum, the training must include instruction in:

A. The general legal requirements of this chapter regarding public records and public proceedings; [2007, c. 349, §1 (NEW).]B. Procedures and requirements regarding complying with a request for a public record under this chapter; and [2007, c. 349, §1 (NEW).]C. Penalties and other consequences for failure to comply with this chapter. [2007, c. 349, §1 (NEW).]An elected official meets the training requirements of this section by conducting a thorough review of all the information made available by the State on a publicly accessible website pursuant to section 411, subsection 6, paragraph C regarding specific guidance on how a member of the public can use the law to be a better informed and active participant in open government. To meet the requirements of this subsection, any other training course must include all of this information and may include additional information.

[ 2007, c. 576, §2 (AMD) .]

3. Certification of completion. Upon completion of the training course required under subsection 1, the elected official shall make a written or an electronic record attesting to the fact that the training has been completed. The record must identify the training completed and the date of completion. The elected official shall keep the record or file it with the public entity to which the official was elected. [ 2007, c. 576, §2 (AMD) .]

4. Application. This section applies to the following elected officials: A. The Governor; [2007, c. 349, §1 (NEW).]B. The Attorney General, Secretary of State, Treasurer of State and State Auditor; [2007, c. 349, §1 (NEW).]C. Members of the Legislature elected after November 1, 2008; [2007, c. 576, §2 (AMD).]D. [2007, c. 576, §2 (RP).]E. Commissioners, treasurers, district attorneys, sheriffs, registers of deeds, registers of probate and budget committee members of county governments; [2007, c. 576, §2 (NEW).]F. Municipal officers, clerks, treasurers, assessors and budget committee members of municipal governments; [2007, c. 576, §2 (NEW).]G. Officials of school units and school boards; and [2007, c. 576, §2 (NEW).]H. Officials of a regional or other political subdivision who, as part of the duties of their offices, exercise executive or legislative powers. For the purposes of this paragraph, "regional or other political subdivision" means an administrative entity or instrumentality created pursuant to Title 30-A, chapter 115 or 119 or a quasi-municipal corporation or special purpose district, including, but not limited to, a water district, sanitary district, hospital district, school district of any type, transit district as defined in Title 30-A, section 3501, subsection 1 or

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regional transportation corporation as defined in Title 30-A, section 3501, subsection 2. [2007, c. 576, §2 (NEW).][ 2007, c. 576, §2 (AMD) .]

SECTION HISTORY 2007, c. 349, §1 (NEW). 2007, c. 576, §2 (AMD).

Subchapter 1-A: PUBLIC RECORDS EXCEPTIONS AND ACCESSIBILITY

§431. Definitions

As used in this subchapter, unless the context otherwise indicates, the following terms have the following meanings. [2003, c. 709, §3 (NEW).]

1. Public records exception. "Public records exception" or "exception" means a provision in a statute or a proposed statute that declares a record or a category of records to be confidential or otherwise not a public record for purposes of subchapter 1. [ 2003, c. 709, §3 (NEW) .]

2. Review committee. "Review committee" means the joint standing committee of the Legislature having jurisdiction over judiciary matters. [ 2003, c. 709, §3 (NEW) .]

3. Advisory committee. "Advisory committee" means the Right To Know Advisory Committee established in Title 5, section 12004-J, subsection 14 and described in section 411. [ 2005, c. 631, §2 (NEW) .]

SECTION HISTORY 2003, c. 709, §3 (NEW). 2005, c. 631, §2 (AMD).

§432. Exceptions to public records; review

1. Recommendations. During the second regular session of each Legislature, the review committee may report out legislation containing its recommendations concerning the repeal, modification and continuation of public records exceptions and any recommendations concerning the exception review process and the accessibility of public records. Before reporting out legislation, the review committee shall notify the appropriate committees of jurisdiction concerning public hearings and work sessions and shall allow members of the appropriate committees of jurisdiction to participate in work sessions. [ 2011, c. 320, Pt. D, §1 (AMD) .]

2. Process of evaluation. According to the schedule in section 433, the advisory committee shall evaluate each public records exception that is scheduled for review that biennium. This section does not prohibit the evaluation of a public record exception by either the advisory committee or the review committee at a time other than that listed in section 433. The following criteria apply in determining whether each exception scheduled for review should be repealed, modified or remain unchanged:

A. Whether a record protected by the exception still needs to be collected and maintained; [2003, c. 709, §3 (NEW).]

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B. The value to the agency or official or to the public in maintaining a record protected by the exception; [2003, c. 709, §3 (NEW).]C. Whether federal law requires a record to be confidential; [2003, c. 709, §3 (NEW).]D. Whether the exception protects an individual's privacy interest and, if so, whether that interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]E. Whether public disclosure puts a business at a competitive disadvantage and, if so, whether that business's interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]F. Whether public disclosure compromises the position of a public body in negotiations and, if so, whether that public body's interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]G. Whether public disclosure jeopardizes the safety of a member of the public or the public in general and, if so, whether that safety interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]H. Whether the exception is as narrowly tailored as possible; and [2003, c. 709, §3 (NEW).]I. Any other criteria that assist the review committee in determining the value of the exception as compared to the public's interest in the record protected by the exception. [2003, c. 709, §3 (NEW).]

[ 2005, c. 631, §3 (AMD) .]

2-A. Accountability review of agency or official. In evaluating each public records exception, the advisory committee shall, in addition to applying the criteria of subsection 2, determine whether there is a publicly accountable entity that has authority to review the agency or official that collects, maintains or uses the record subject to the exception in order to ensure that information collection, maintenance and use are consistent with the purpose of the exception and that public access to public records is not hindered. [ 2005, c. 631, §3 (NEW) .]

2-B. Recommendations to review committee. The advisory committee shall report its recommendations under this section to the review committee no later than the convening of the second regular session of each Legislature. [ 2005, c. 631, §3 (NEW) .]

2-C. Accessibility of public records. The advisory committee may include in its evaluation of public records statutes the consideration of any factors that affect the accessibility of public records, including but not limited to fees, request procedures and timeliness of responses. [ 2011, c. 320, Pt. D, §2 (NEW) .]

3. Assistance from committees of jurisdiction. The advisory committee may seek assistance in evaluating public records exceptions from the joint standing committees of the Legislature having jurisdiction over the subject matter related to the exceptions being reviewed. The advisory committee may hold public hearings after notice to the appropriate committees of jurisdiction. [ 2005, c. 631, §3 (AMD) .] SECTION HISTORY 2003, c. 709, §3 (NEW). 2005, c. 631, §3 (AMD). 2011, c. 320, Pt. D, §§1, 2 (AMD).

§433. Schedule for review of exceptions to public records

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1. Scheduling guidelines. [ 2005, c. 631, §4 (RP) .]

2. Scheduling guidelines. The advisory committee shall use the following list as a guideline for scheduling reviews of public records exceptions.

A. Exceptions codified in the following Titles are scheduled for review in 2008: (1) Title 1;(2) Title 2;(3) Title 3;(4) Title 4;(5) Title 5;(6) Title 6;(7) Title 7;(8) Title 8;(9) Title 9-A; and(10) Title 9-B. [2005, c. 631, §5 (NEW).]

B. Exceptions codified in the following Titles are scheduled for review in 2010: (1) Title 10;(2) Title 11;(3) Title 12;(4) Title 13;(5) Title 13-B;(6) Title 13-C;(7) Title 14;(8) Title 15;(9) Title 16;(10) Title 17;(11) Title 17-A;(12) Title 18-A;(13) Title 18-B;(14) Title 19-A;(15) Title 20-A; and(16) Title 21-A. [2005, c. 631, §5 (NEW).]

C. Exceptions codified in the following Titles are scheduled for review in 2012: (1) Title 22;(2) Title 23;(3) Title 24;(4) Title 24-A; and(5) Title 25. [2005, c. 631, §5 (NEW).]

D. Exceptions codified in the following Titles are scheduled for review in 2014: (1) Title 26;(2) Title 27;(3) Title 28-A;(4) Title 29-A;(5) Title 30;(6) Title 30-A;(7) Title 31;(8) Title 32;(9) Title 33;

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(10) Title 34-A;(11) Title 34-B;(12) Title 35-A;(13) Title 36;(14) Title 37-B;(15) Title 38; and(16) Title 39-A. [2005, c. 631, §5 (NEW).]

[ 2005, c. 631, §5 (NEW) .]

3. Scheduling changes. The advisory committee may make adjustments to the scheduling guidelines provided in subsection 2 as it determines appropriate and shall notify the review committee of such adjustments. [ 2005, c. 631, §5 (NEW) .]

SECTION HISTORY 2003, c. 709, §3 (NEW). 2005, c. 631, §§4,5 (AMD).

§434. Review of proposed exceptions to public records; accessibility of public records

1. Procedures before legislative committees. Whenever a legislative measure containing a new public records exception is proposed or a change that affects the accessibility of a public record is proposed, the joint standing committee of the Legislature having jurisdiction over the proposal shall hold a public hearing and determine the level of support for the proposal among the members of the committee. If there is support for the proposal among a majority of the members of the committee, the committee shall request the review committee to review and evaluate the proposal pursuant to subsection 2 and to report back to the committee of jurisdiction. A proposed exception or proposed change that affects the accessibility of a public record may not be enacted into law unless review and evaluation pursuant to subsections 2 and 2-B have been completed.

[ 2011, c. 320, Pt. D, §3 (AMD) .]

2. Review and evaluation. Upon referral of a proposed public records exception from the joint standing committee of the Legislature having jurisdiction over the proposal, the review committee shall conduct a review and evaluation of the proposal and shall report in a timely manner to the committee to which the proposal was referred. The review committee shall use the following criteria to determine whether the proposed exception should be enacted:

A. Whether a record protected by the proposed exception needs to be collected and maintained; [2003, c. 709, §3 (NEW).]B. The value to the agency or official or to the public in maintaining a record protected by the proposed exception; [2003, c. 709, §3 (NEW).]C. Whether federal law requires a record covered by the proposed exception to be confidential; [2003, c. 709, §3 (NEW).]D. Whether the proposed exception protects an individual's privacy interest and, if so, whether that interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]E. Whether public disclosure puts a business at a competitive disadvantage and, if so, whether that business's interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]

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F. Whether public disclosure compromises the position of a public body in negotiations and, if so, whether that public body's interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]G. Whether public disclosure jeopardizes the safety of a member of the public or the public in general and, if so, whether that safety interest substantially outweighs the public interest in the disclosure of records; [2003, c. 709, §3 (NEW).]H. Whether the proposed exception is as narrowly tailored as possible; and [2003, c. 709, §3 (NEW).]I. Any other criteria that assist the review committee in determining the value of the proposed exception as compared to the public's interest in the record protected by the proposed exception. [2003, c. 709, §3 (NEW).]

[ 2003, c. 709, §3 (NEW) .]

2-A. Accountability review of agency or official. In evaluating each proposed public records exception, the review committee shall, in addition to applying the criteria of subsection 2, determine whether there is a publicly accountable entity that has authority to review the agency or official that collects, maintains or uses the record subject to the exception in order to ensure that information collection, maintenance and use are consistent with the purpose of the exception and that public access to public records is not hindered. [ 2005, c. 631, §6 (NEW) .]

2-B. Accessibility of public records. In reviewing and evaluating whether a proposal may affect the accessibility of a public record, the review committee may consider any factors that affect the accessibility of public records, including but not limited to fees, request procedures and timeliness of responses. [ 2011, c. 320, Pt. D, §3 (NEW) .]

3. Report. The review committee shall report its findings and recommendations on whether the proposed exception or proposed limitation on accessibility should be enacted to the joint standing committee of the Legislature having jurisdiction over the proposal. [ 2011, c. 320, Pt. D, §3 (AMD) .] SECTION HISTORY 2003, c. 709, §3 (NEW). 2005, c. 631, §6 (AMD). 2011, c. 320, Pt. D, §3 (AMD).

Subchapter 2: DESTRUCTION OR MISUSE OF RECORDS

§451. Lawful destruction of records (REPEALED)

SECTION HISTORY 1965, c. 441, §2 (RP).

§452. Removal, secretion, mutilation or refusal to return state documents

Whoever intentionally removes any book, record, document or instrument belonging to or kept in any state office, except books and documents kept and deposited in the State Library, or intentionally secretes, alters, multilates, defaces or destroys any such book, record, document or instrument, or, having any such book, record, document or instrument in his possession, or under his

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control, intentionally fails or refuses to return the same to that state office, or to deliver the same to the person in lawful charge of the office where the same was kept or deposited, shall be guilty of a Class D crime. [1977, c. 696, §10 (RPR).]

SECTION HISTORY 1969, c. 318, §1 (RPR). 1977, c. 696, §10 (RPR).

Subchapter 3: PRINTING AND PURCHASE OF DOCUMENTS AND LAWS

§501. State agency defined

As used in this subchapter, the word "agency" shall mean a state department, agency, office, board, commission; or quasi-independent agency, board, commission, authority or institution. [1975, c. 436, §1 (RPR).]

SECTION HISTORY 1975, c. 436, §1 (RPR).

§501-A. Publications of state agencies

1. Definitions. As used in this section, the term "publications" includes periodicals; newsletters; bulletins; pamphlets; leaflets; directories; bibliographies; statistical reports; brochures; plan drafts; planning documents; reports; special reports; committee and commission minutes; informational handouts; and rules and compilations of rules, regardless of number of pages, number of copies ordered, physical size, publication medium or intended audience inside or outside the agency. [ 1997, c. 299, §1 (NEW) .]

2. Production and distribution. The publications of all agencies, the University of Maine System and the Maine Maritime Academy may be printed, bound and distributed, subject to Title 5, sections 43 to 46. The State Purchasing Agent may determine the style in which publications may be printed and bound, with the approval of the Governor. [ 1997, c. 299, §1 (NEW) .]

3. Annual or biennial reports. Immediately upon receipt of any annual or biennial report that is not included in the Maine State Government Annual Report provided for in Title 5, sections 43 to 46, the State Purchasing Agent shall deliver at least 55 copies of that annual or biennial report to the State Librarian for exchange and library use. The State Purchasing Agent shall deliver the balance of the number of each such report to the agency that prepared the report. [ 1997, c. 299, §1 (NEW) .]

4. State agency and legislative committee publications. Except as provided in subsection 5, any agency or legislative committee issuing publications, including publications in an electronic format, shall deliver 18 copies of the publications in the published format to the State Librarian. These copies must be furnished at the expense of the issuing agency. Publications not furnished upon request will be reproduced at the expense of the issuing agency. The agency or committee preparing a publication may determine the date on which a publication may be released, except as otherwise provided by law. [ 1997, c. 299, §1 (NEW) .]

5. Electronic publishing. An agency or committee that electronically publishes information to the public is only required to provide the State Librarian with one printed copy of an electronically published publication. An electronically published publication is not required to be provided to the

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State Librarian if the publication is also published in print or in an electronic format and is provided to the State Librarian in compliance with subsection 4 or the publication is:

A. Designed to provide the public with current information and is subject to frequent additions and deletions, such as current lists of certified professionals, daily updates of weather conditions or fire hazards; or [1997, c. 299, §1 (NEW).]B. Designed to promote the agency's services or assist citizens in use of the agency's services, such as job advertisements, application forms, advertising brochures, letters and memos. [1997, c. 299, §1 (NEW).]

[ 1997, c. 299, §1 (NEW) .] 6. Forwarding of requisitions. The State Purchasing Agent, Central Printing and all other

printing operations within State Government shall forward to the State Librarian upon receipt one copy of all requisitions for publications to be printed. [ 1997, c. 299, §1 (NEW) .]

SECTION HISTORY 1975, c. 436, §2 (NEW). 1975, c. 746, §1 (AMD). 1985, c. 584, (AMD). 1985, c. 779, §3 (AMD). 1987, c. 402, §A2 (RPR). 1997, c. 299, §1 (RPR).

§502. Property of State

All Maine reports, digests, statutes, codes and laws, printed or purchased by the State and previously distributed by law to the several towns and plantations within the State, shall be and remain the property of the State and shall be held in trust by such towns or plantations for the sole use of the inhabitants thereof.

§503. Delivery to successor in office

All revisions of the statutes, and supplements thereto, the session laws and the Maine Reports sold or furnished to any state, county or municipal officer, shall be held in trust by said officer for the sole use of his office; and at the expiration of his term of office or on his removal therefrom by death, resignation or other cause, such officer, or if he is dead, his legal representatives, shall turn them over to his successor in office. If there is no successor to his office, such officer, or his legal representatives, shall turn over all of said publications to the State, county or municipal unit which purchased the same. [1981, c. 48, §1 (AMD).]

SECTION HISTORY 1965, c. 425, §2 (RPR). 1981, c. 48, §1 (AMD).

§504. Source of authority to be shown

All publications printed or published by the State as a requirement of law shall set forth the authority for the same at an appropriate place on each copy printed or published. Publications printed or published by the State which are not required by law shall set forth the source of funds by which the publication is printed or published at an appropriate place on each copy. This section shall not apply to publications paid for out of the legislative appropriation

§505. Mailing lists

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All addressees on mailing lists used for the distribution of all matters printed or distributed at state expense by dedicated or undedicated revenues shall at least once in every 12-month period be contacted in writing to inquire if continuance of delivery to said addressees is desired. Failure of the addressee to affirmatively reply within 30 days of the written inquiry shall cause such addressees to be removed from said mailing list. However, nothing in this section shall prevent any printed matter being distributed where otherwise required by law. [1973, c. 331, (NEW).]

SECTION HISTORY 1973, c. 331, (NEW).

Subchapter 4: EXECUTIVE ORDERS §521. Executive orders

1. Available to public. The Governor shall maintain in his office a file containing a copy of every executive order issued by him or by previous governors, which is currently in effect. This file shall be open to public inspection at reasonable hours. [ 1975, c. 360, (NEW) .]

2. Dissemination. A copy of every executive order must be filed with the Legislative Council and the Law and Legislative Reference Library, and the executive order must be posted in a conspicuous location on the State's publicly accessible website, within one week after the Governor has issued that order.

[ 2011, c. 380, Pt. III, §1 (AMD) .]

SECTION HISTORY 1975, c. 360, (NEW). 1977, c. 696, §11 (AMD). 2011, c. 380, Pt. III, §1 (AMD).

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Section Three: FOAA Frequently Asked Questions

Frequently Asked Questions (FAQ)

General Questions | Public Records | Public Proceedings

GENERAL QUESTIONS

What is the Freedom of Access Act?The Freedom of Access Act (“FOAA”) is a state statute that is intended to open the government of Maine by guaranteeing access to the “public records” and “public proceedings” of state and local government bodies and agencies.

Are federal agencies covered by the Freedom of Access Act?No. The Freedom of Access Act does not apply to federal agencies operating in Maine or to federal government records. A similar but different federal statute called the “Freedom of Information Act” applies to the federal government. This federal statute does not apply to state or local government bodies, agencies or officials.

You can find the text of the Freedom of Information Act, 5 U.S.C. § 551 et seq., at: http://www.usdoj.gov/oip/foiastat.htm or you can find more general information on the Freedom of Information Act at: http://answers.usa.gov/cgi-bin/gsa ict.cfg/php/enduser/std adp.php?p_faqid=5940

Who enforces the Freedom of Access Act?Any aggrieved person may appeal to any Superior Court in the state to seek relief for an alleged violation of the Freedom of Access Act. 1 M.R.S.A. § 409 (1). Superior Courts Directory: http://www.courts.state.me.us/maine_courts/superior/directory.shtml In addition, the Office of the Attorney General or the District Attorneys may bring an enforcement action seeking penalties if the alleged violation is willful. 1 M.R.S.A. § 410.

What are the penalties for failure to comply with the Freedom of Access laws?A state government agency or local government entity whose officer or employee commits a willful violation of the Freedom of Access laws commits a civil violation for which a forfeiture of not more than $500 may be adjudged. 1 M.R.S.A. § 410. Under the current law, there are no criminal penalties for failure to comply with a request for public records. It is a Class D crime to intentionally remove, alter, or destroy documents belonging to a state office. 1 M.R.S.A. § 452.

Are elected officials required to take training on the Freedom of Access laws?Yes. Beginning July 1, 2008, elected officials must complete a course of training on the requirements of the Freedom of Access laws.

Which elected officials are required to take Freedom of Access training?Elected officials required to complete the training include:

the Governor Attorney General, Secretary of State, Treasurer of State and State Auditor Legislators elected after November 1, 2008 Commissioners, treasurers, district attorneys, registers of deeds, registers of probate and budget

committee members of any county

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Municipal officers, clerks, treasurers, assessors and budget committee members of municipal governments

Officials of school units and school boards Officials of regional or other political subdivisions, including officials of water districts,

sanitary districts, hospital districts, transit districts or regional transportation districts.

What does the training include?At a minimum, the training must be designed to be completed in less than 2 hours and include instruction in:

the general legal requirements regarding public records and public proceedings the procedures and requirements regarding complying with a request for a public record the penalties and other consequences for failure to comply with the law

Elected officials can meet the training requirement by conducting a thorough review of the material in this FAQ section of the State’s Freedom of Access website or by completing another training course that includes all off this information but may include additional information.

Do training courses need to by certified by the Right to Know Advisory Committee?No. Training courses do not need the approval of the Right to Know Advisory Committee, or any other State agency.

How do elected officials certify they have completed the training?After completing the training, elected officials are required to make a written or electronic record attesting that the training has been completed. The record, which will be available to the public, must be kept by the elected official or filed with the public entity to which the official was elected. A sample training completion form is available (This file requires the free Adobe Reader).

PUBLIC RECORDS

What is a public record?The Freedom of Access Act defines “public record” as “any written, printed or graphic matter or any mechanical or electronic data compilation from which information can be obtained, directly or after translation into a form susceptible of visual or aural comprehension, that is in the possession or custody of an agency or public official of this State or any of its political subdivisions, or is in the possession or custody of an association, the membership of which is composed exclusively of one or more of any of these entities, and has been received or prepared for use in connection with the transaction of public or governmental business or contains information relating to the transaction of public or governmental business”. A number of exceptions are specified. (See the discussion of exemptions below) 1 M.R.S.A. § 402 (3).

Do I have to be a citizen of this state to submit a Freedom of Access Act request for a public record?No. The Freedom of Access Act provides that “every person” has the right to inspect and copy public records. 1 M.R.S.A. § 408 (1).

How do I make a Freedom of Access Act request for a public record?See the How to Make a Request page on this site.

Is there a form that must be used to make a Freedom of Access Act request?No. There are no required forms.

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Does my Freedom of Access Act request have to be in writing?No. The Freedom of Access Act does not require that requests for public records be in writing. However, most bodies and agencies ask individuals to submit requests in writing in order to maintain a record of when the request was received and what records were specifically requested.

What should I say in my request?In order for the body, agency or official to promptly respond to your request, you should be as specific as possible when describing the records you are seeking. If a particular document is required, it should be identified precisely—preferably by author, date and title. However, a request does not have to be that specific. If you cannot identify a specific record, you should clearly explain the type of records you are seeking, from what timeframe and what subject the records should contain. For example, assume you want to obtain a list of active landfills near your home. A request to the state Department of Environmental Protection asking for “all records on landfills” is very broad and would likely produce volumes of records. The fees for such a request would be very high; the agency would likely find your request too vague and ask that you make it more specific. On the other hand, a request for “all records identifying landfills within 20 miles of 147 Main Street in Augusta” is very specific and the request might fail to produce the information you desire because the agency has no record containing data organized in that exact fashion. You might instead consider requesting any record that identifies “all active landfills in Augusta” or “all active landfills in Kennebec County.” It is more likely that a record exists which contains this information. You might also want to explain to the agency exactly what information you hope to learn from the record. In other words, if you are really trying to determine whether any active landfills near your home in Augusta accept only wood waste, this additional explanation may help the agency narrow its search and find a record that meets the exact request.

Does an agency have to acknowledge receipt of my request?Yes. An agency or official must acknowledge receipt of a request within a reasonable period of time. 1 MRSA § 408 (1).

Can an agency ask me for clarification concerning my request?Yes. An agency or official may request clarification concerning which public record or public records are being requested.

1 MRSA §408 (1).

When does the agency or official have to make the records available?The records must be made available “within a reasonable period of time” after the request was made.

1 M.R.S.A. § 408 (1). The agency or official can schedule the time for your inspection, translation and copying of the records during the regular business hours of the agency or official, and at a time that will not delay or inconvenience the regular activities of the agency of official. 1 M.R.S.A. §§ 408 (1) & (2).

Does an agency have to produce records within 5 days of my request?No. The records that are responsive to a request must be made available “within a reasonable period of time” after the request was made. 1 MRSA § 408 (1). Agencies must respond in writing within 5 working days only if your request is denied in whole or in part. 1 MRSA § 409 (1).

Do I have to go to the agency to inspect the records or can I ask the agency or official to mail me the records?

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The Freedom of Access Act only requires the agency or official to make the records available to you for inspection and copying, it does not require the agency or official to mail records. However, depending on the volume of records produced in response to your request, some agencies or officials may be willing to mail copies to you. The agency may charge a reasonable fee to cover the cost of making the copies for you.

1 M.R.S.A. § 408 (1) & (3)(A).

When may a governmental body refuse to release the records I request?The Freedom of Access Act provides that certain categories of documents are not public records. Included among these are records that have been designated confidential by statute, documents subject to a recognized legal privilege such as the attorney-client privilege or the work-product privilege, records describing security plans or procedures designed to prevent acts of terrorism, medical records, juvenile records, and the personal contact information of public employees contained within records. 1 M.R.S.A. § 402 (3)(A)-(O).

For a list of records or categories of records deemed by statute to be confidential or otherwise not a public record, see the

Statutory Exceptions List. While this listing may not be totally complete, it contains the vast majority of exceptions to the Freedom of Access Act.

What happens if a public record holds some information that is open to the public and some information that falls within an exception to the Freedom of Access Act?Some public records contain a mixture of information that is public and information that is confidential or otherwise not subject to public inspection under the Freedom of Access Act. If the record you requested contains any confidential or excepted information, the custodian will decide if the confidential or excepted information can be adequately redacted or blacked out so that public access can be provided or if public access to the document should be denied.

Does an agency have to explain why it denies access to a public record?Yes. When an agency denies access to a public record, it must provide the reason for its denial in writing within 5 working days of the date of the Freedom of Access Act request.

1 M.R.S.A. § 409 (1).

What can I do if I believe an agency has unlawfully withheld a public record?If you are unsatisfied with an agency’s decision to withhold access to certain records, you are entitled to appeal, within 5 working days of your receipt of the written notice of denial, to any Superior Court within the state.

1 M.R.S.A. § 409 (1). Superior Courts Directory: http://www.courts.state.me.us/maine_courts/superior/directory.shtml

May a governmental body ask me why I want a certain record?The Freedom of Access Act does not specifically prohibit agencies or officials from asking why an individual is requesting a public record. However, if asked, the individual is not required to provide a reason for seeking a record, and the agency cannot deny an individual’s request based solely on either the individual’s refusal to provide a reason or the reason itself. An agency or official may request clarification concerning which public record or public records are being requested. 1 M.R.S.A. § 408 (1).

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Can I ask that public reports or other documents be created, summarized or put in a particular format for me?No. A public officer or agency is not required to prepare reports, summaries, or compilations not in existence on the date of your request.

Similarly, a public officer or agency is not required to produce a record in an alternate format if the record can be made available for public inspection and copying in the format in which it exists. If the record requires translation in order for it to be made available for public inspection and copying, the agency or official must translate the record but can charge you a fee to cover the actual cost of translation.

1 M.R.S.A. § 408 (3)(C).

I asked a public official a question about a record, but he/she didn't answer. Is he/she required to answer my question?No. A public officer or agency is not required under the Freedom of Access Act to explain or answer questions about public records. The Act only requires officials and agencies to make public records available for inspection and copying.

What records must a public officer or agency keep, and how long do they have to keep them?The Freedom of Access law does not control what records must be retained or for how long they must be retained. Public officers and agencies are required to keep all records made or received or maintained by that officer or agency in accordance with other law or rule. 5 MRSA § 92-A (5) (This file requires the free Adobe Reader).

How long records must be kept depends on the type of record and the value of the record’s content. The

Maine State Archives works with state and local governments to establish rules for the retention and disposition of government records, including the length of time that certain records need to be preserved by the agency before they are either destroyed or sent to the Maine State Archives for long-term or permanent retention.

Are an agency’s or official’s e-mails public records?Any record, regardless of the form in which it is maintained by an agency or official, can be a public record. As with any record, if the e-mail is “in the possession or custody of an agency or public official of this State or any of its political subdivisions, or is in the possession or custody of an association, the membership of which is composed exclusively of one or more of any of these entities, and has been received or prepared for use in connection with the transaction of public or governmental business or contains information relating to the transaction of public or governmental business” and is not deemed confidential or excepted from the Freedom of Access Act, it constitutes a “public record".

1 M.R.S.A. § 402 (3).

Can an agency charge for public records?There is no initial fee for submitting a Freedom of Access Act request and agencies cannot charge an individual to inspect records.

1 M.R.S.A. § 408 (3)(D). However, agencies can and normally do charge for copying records. Although the Freedom of Access Act does not set standard copying rates, it permits agencies to charge “a reasonable fee to cover the cost of copying”. 1 M.R.S.A. § 408 (3)(A).

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Agencies and officials may also charge fees for the time spent searching for, retrieving, compiling or redacting confidential information from the requested records. The Act authorizes agencies or officials to charge $10 per hour after the first hour of staff time per request. 1 M.R.S.A. § 408 (3)(B). Where translation of a record is necessary, the agency or official may also charge a fee to cover the actual cost of translation. 1 M.R.S.A. § 408 (3)(C).

The agency or official must prepare an estimate of the time and cost required to complete a request and if the estimate is greater than $20, the agency or official must notify the requester before proceeding. The agency may request payment of the costs in advance if the estimated cost exceeds $100 or if the requester has previously failed to pay a fee properly assessed under the Freedom of Access Act. 1 M.R.S.A. § 408 (4) & (5).

I cannot afford to pay the fees charged by the agency or official to research my request or copy the records. Can I get a waiver?The agency of official may, but is not required to, waive part or all of the total fee if the requester is indigent, or if release of the public record is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of government and is not primarily in the commercial interest of the requester. 1 M.R.S.A. § 408 (6)

Is a public agency or official required under the Freedom of Access Act to honor a “standing request” for information, such as a request that certain reports be sent to me automatically each month?No. A public body is required to make available for inspection and copying (subject to any applicable exemptions) only those public records that exist on the date of the request. Persons seeking to inspect or obtain copies of public records on a continuing basis are required to make a new request for any additional records sought after the date of the original request.

PUBLIC PROCEEDINGS

What is a public proceeding?The term “public proceeding” means “the transactions of any functions affecting any or all citizens of the State” by the Maine Legislature and its committees and subcommittees; any board or commission of a state agency or authority including the University of Maine and the Maine Community College System; any board, commission, agency or authority of any county, municipality, school district or any regional or other political or administrative subdivision; the full membership meetings of any association, the membership of which is comprised exclusively of counties, municipalities, school districts, other political or administrative subdivisions, or their boards, commissions, agencies or authorities; and any advisory organization established, authorized or organized by law, resolve or executive order. 1 M.R.S.A. § 402.

What does the law require with regard to public proceedings?The Freedom of Access Act requires all public proceedings to be open to the public and any person must be permitted to attend. 1 M.R.S.A. § 403.

When does a meeting or gathering of members of a public body or agency require public notice?Public notice is required of all public proceedings if the proceedings are a meeting of a body or agency consisting of 3 or more persons. 1 MRSA § 406.

What kind of notice of public proceedings does the Freedom of Access Act require?

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Public notice must be given in ample time to allow public attendance and must be disseminated in a manner reasonably calculated to notify the general public in the jurisdiction served by the body or agency. 1 M.R.S.A. § 406.

Can a public body or agency hold an emergency meeting?Yes. Public notice of an emergency meeting must be provided to local representatives of the media, whenever practicable. The notice must include the time and location of the meeting and be provided by the same (or faster) means used to notify the members of the public body or agency conducting the public proceeding. 1 MRSA § 406. The requirements that the meeting be open to the public, that any person be permitted to attend and that records or minutes of the meeting be made and open for public inspection still apply. 1 MRSA § 403.

Can public bodies or agencies hold a closed meeting?Yes. Public bodies or agencies are permitted, subject to certain procedural conditions, to hold closed “executive sessions” on specified subjects after a public recorded vote of 3/5 of the members present and voting. 1 M.R.S.A. § 405 (1)-(5).

Can the body or agency conduct all of its business during an executive session?Generally, no. The content of deliberations during executive sessions is restricted to the matters listed in the Freedom of Access Act, such as: discussions regarding the suspension or expulsion of a student; certain employment actions; the acquisition, use or disposition of public property; consultations between a body and its attorney concerning its legal rights and responsibilities or pending litigation; and discussion of documents that are confidential by statute. In addition, any body or agency subject to the Freedom of Access Act is prohibited from giving final approval to any ordinances, orders, rules, resolutions, regulations, contracts, appointments or other official action in an executive session. 1 M.R.S.A. § 405 (2) & (6).

What if I believe a public body or agency conducted improper business during an executive session?Upon learning of any such action, any person may appeal to any Superior Court in the State. If the court determines the body or agency acted illegally, the action that was taken by the body or agency will be declared to be null and void and the officials responsible will be subject to the penalties provided in the Act.

1 M.R.S.A. § 409 (2). Superior Courts Directory: http://www.courts.state.me.us/maine_courts/superior/directory.shtml

Can members of a body communicate with one another by email outside of a public proceeding?There is no legal prohibition against email communication between members of a public body outside of a public proceeding. However, email communication among a quorum of the members of a body used as a substitute for deliberations or decisions which should properly take place at a public meeting may likely be considered a “meeting” in violation of the statutory requirements for open meetings and public notice. “Public proceedings” are defined in part as “the transactions of any functions affecting any or all citizens of the State…” 1 MRSA § 402. The underlying purpose of the Freedom of Access law is that public proceedings be conducted openly and that deliberations and actions be taken openly; clandestine meetings should not be used to defeat the purpose of the law. 1 MRSA § 401. Public proceedings must be conducted in public and any person must be permitted to attend and observe the body’s proceeding although executive sessions are permitted under certain circumstances. 1 MRSA § 403. In addition, public notice must be given for a public proceeding if the proceeding is a meeting of a body or agency consisting of 3 or more persons. 1 MRSA § 406.

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Members of a body should refrain from the use of email as a substitute for deliberating or deciding substantive matters properly confined to public proceedings. Email is permissible to communicate with other members about non-substantive matters such as scheduling meetings, developing agendas and disseminating information and reports.

Email is a public record (likely even when sent using a member’s personal computer) if it contains information relating to the transaction of public or governmental business unless the information is designated as confidential or excepted from the definition of a public record. 1 MRSA § 402, sub-§ 3. As a result, members of a body should be aware that all emails and email attachments relating to the member’s participation are likely public records subject to public inspection under the Freedom of Access laws.

Can I record a public proceeding?Yes. The Freedom of Access Act allows individuals to make written, taped or filmed records of a public proceeding, or to broadcast the proceedings live, provided the action does not interfere with the orderly conduct of the proceedings. The body or agency holding the proceeding can make reasonable rules or regulations to govern these activities so long as the rules or regulations do not defeat the purpose of the Act. 1 M.R.S.A. § 404.

Do members of the public have a right to speak at public meetings under the Freedom of Access Act?The Freedom of Access Act does not require that an opportunity for public participation be provided at open meetings, although many public bodies or agencies choose to permit public participation. In those instances, the public body or agency can adopt reasonable rules to ensure meetings are conducted in a fair and orderly manner. For example, the body or agency can set a rule that requires the same amount of time be afforded to each person that wants to speak.

Is the public body or agency required to keep running minutes or a record of a public proceeding?There is no requirement under the Freedom of Access Act that a public body or agency keep running minutes during all public proceedings. The Act does require, however, that public bodies and agencies keep a written record of every decision that involves the conditional approval or denial of an application, license, certificate or permit, and every decision that involves the dismissal or refusal to renew the contract of any public official, employee or appointee. 1 M.R.S.A. § 407 (1) & (2).

If the public proceeding is an “adjudicatory proceeding” as defined in the Maine Administrative Procedure Act, the agency is required to compile a record that complies with statutory specifications, including a recording in a form susceptible of transcription. 5 M.R.S.A. §§ 8002 (1) and 9059.

Is the agency or body required to make the record or minutes of a public proceeding available to the public?Yes. Any legally required record or minutes of a public proceeding must be made promptly and shall be open to public inspection. In addition, every agency is required to make a written record of any decision that involves conditional approval or denial of any application, license, certificate or other type of permit and to make those decisions publicly available, 1 M.R.S.A. §§ 403, 407; 5 M.R.S.A. § 9059 (3).

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Section Four: Certification Of Completion Of Freedom Of Access Training

CERTIFICATION OF COMPLETION OFFREEDOM OF ACCESS TRAINING REQUIRED BY 1 M.R.S.A. § 412

I, ________________________________, hereby certify that I have met the training(Name of elected official)requirements set forth in 1 M.R.S.A. § 412 on ______________________ by(date of training)completing the following training:

□ A thorough review of all of the information made available on theFrequently Asked Questions portion of the State website,www.maine.gov/foaa/faq.

□ Another training course that includes this information, identified as follows:

______________________________________________________(Title of Course)______________________________________________________(Name of Course Provider)

Dated this ______ day of _________________, 20____.

_____________________________________Signature_____________________________________Printed Name_____________________________________Elected Office

Note: Training must be completed within 120 days after an elected official takes the oath ofoffice.

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Section Five: Public Law 2012 Chapter 662

An Act To Amend the Laws Governing Freedom of AccessMandate preamble. This measure requires one or more local units of government to expand

or modify activities so as to necessitate additional expenditures from local revenues but does not provide funding for at least 90% of those expenditures. Pursuant to the Constitution of Maine, Article IX, Section 21, 2/3 of all of the members elected to each House have determined it necessary to enact this measure.

Be it enacted by the People of the State of Maine as follows:Sec. 1. 1 MRSA §400 is enacted to read:

§ 400. Short titleThis subchapter may be known and cited as "the Freedom of Access Act."

Sec. 2. 1 MRSA §402, sub-§3, ¶M, as amended by PL 2005, c. 381, §1, is further amended to read: 

M. Records or information describing the architecture, design, access authentication, encryption or security of information technology infrastructure and, systems and software. Records or information covered by this paragraph may be disclosed to the Legislature or, in the case of a political or administrative subdivision, to municipal officials or board members under conditions that protect the information from further disclosure;

Sec. 3. 1 MRSA §402, sub-§§5 and 6 are enacted to read: 

5.  Public access officer.   "Public access officer" means the person designated pursuant to section 413, subsection 1. 

6.  Reasonable office hours.   "Reasonable office hours" includes all regular office hours of an agency or official.

Sec. 4. 1 MRSA §408, as amended by PL 2009, c. 240, §4, is repealed.

Sec. 5. 1 MRSA §408-A is enacted to read:

§ 408-A. Public records available for inspection and copyingExcept as otherwise provided by statute, a person has the right to inspect and copy any public

record in accordance with this section within a reasonable time of making the request to inspect or copy the public record. 

1.  Inspect.   A person may inspect any public record during reasonable office hours. An agency or official may not charge a fee for inspection unless the public record cannot be inspected without being converted or compiled, in which case the agency or official may charge a fee as provided in subsection 8. 

2.  Copy.   A person may copy a public record in the office of the agency or official having custody of the public record during reasonable office hours or may request that the agency or official

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having custody of the record provide a copy. The agency or official may charge a fee for copies as provided in subsection 8. 

A. A request need not be made in person or in writing. 

B. The agency or official shall mail the copy upon request. 

3.  Acknowledgment; clarification; time estimate.   The agency or official having custody or control of a public record shall acknowledge receipt of a request made according to this section within a reasonable period of time, and may request clarification concerning which public record or public records are being requested. The agency or official shall provide a good faith, nonbinding estimate of the time within which the agency or official will comply with the request. The agency or official shall make a good faith effort to fully respond to the request within the estimated time. 

4.  Refusals; denials.   If a body or an agency or official having custody or control of any public record refuses permission to inspect or copy or abstract a public record, the body or agency or official shall provide written notice of the denial, stating the reason for the denial, within 5 working days of the request for inspection or copying. 

5.  Schedule.   Inspection, conversion pursuant to subsection 7 and copying of a public record subject to a request under this section may be scheduled to occur at a time that will not delay or inconvenience the regular activities of the agency or official having custody or control of the public record requested. If the agency or official does not have regular office hours, the name and telephone number of a contact person authorized to provide access to the agency's or official's records must be posted in a conspicuous public place and at the office of the agency or official, if an office exists. 

6.  No requirement to create new record.   An agency or official is not required to create a record that does not exist. 

7.  Electronically stored public records.   An agency or official having custody or control of a public record subject to a request under this section shall provide access to an electronically stored public record either as a printed document of the public record or in the medium in which the record is stored, at the requester's option, except that the agency or official is not required to provide access to an electronically stored public record as a computer file if the agency or official does not have the ability to separate or prevent the disclosure of confidential information contained in or associated with that file. 

A. If in order to provide access to an electronically stored public record the agency or official converts the record into a form susceptible of visual or aural comprehension or into a usable format for inspection or copying, the agency or official may charge a fee to cover the cost of conversion as provided in subsection 8.

 

B. This subsection does not require an agency or official to provide a requester with access to a computer terminal.

 

8.  Payment of costs.   Except as otherwise specifically provided by law or court order, an agency or official having custody of a public record may charge fees for public records as follows. 

A. The agency or official may charge a reasonable fee to cover the cost of copying. 

B. The agency or official may charge a fee to cover the actual cost of searching for, retrieving 36

and compiling the requested public record of not more than $15 per hour after the first hour of staff time per request. Compiling the public record includes reviewing and redacting confidential information.

 

C. The agency or official may charge for the actual cost to convert a public record into a form susceptible of visual or aural comprehension or into a usable format.

 

D. An agency or official may not charge for inspection unless the public record cannot be inspected without being compiled or converted, in which case paragraph B or C applies.

 

E. The agency or official may charge for the actual mailing costs to mail a copy of a record. 

9.  Estimate.   The agency or official having custody or control of a public record subject to a request under this section shall provide to the requester an estimate of the time necessary to complete the request and of the total cost as provided by subsection 8. If the estimate of the total cost is greater than $30, the agency or official shall inform the requester before proceeding. If the estimate of the total cost is greater than $100, subsection 10 applies. 

10.  Payment in advance.   The agency or official having custody or control of a public record subject to a request under this section may require a requester to pay all or a portion of the estimated costs to complete the request prior to the search, retrieval, compiling, conversion and copying of the public record if: 

A. The estimated total cost exceeds $100; or 

B. The requester has previously failed to pay a properly assessed fee under this chapter in a timely manner.

 

11.  Waivers.   The agency or official having custody or control of a public record subject to a request under this section may waive part or all of the total fee charged pursuant to subsection 8 if: 

A. The requester is indigent; or 

B. The agency or official considers release of the public record requested to be in the public interest because doing so is likely to contribute significantly to public understanding of the operations or activities of government and is not primarily in the commercial interest of the requester.

Sec. 6. 1 MRSA §409, sub-§1, as amended by PL 2009, c. 240, §5, is further amended to read: 

1. Records.  If any body or agency or official who has custody or control of any public record refuses permission to inspect or copy or abstract a public record, this denial must be made by the body or agency or official in writing, stating the reason for the denial, within 5 working days of the request for inspection by any person. Any person aggrieved by a refusal or denial to inspect or copy a record under section 408-A may appeal, within 5 working days of the receipt of the written notice of denial, to any Superior Court within the State. If a court, after a trial de novo, determines such denial was not for just and proper cause, it shall enter an order for disclosure. Appeals are privileged in respect to their assignment for trial over all other actions except writs of habeas corpus and actions brought by the State against individuals.

Sec. 7. 1 MRSA §412, as amended by PL 2007, c. 576, §2, is further amended to read:

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§ 412.Public records and proceedings training for certain elected officials and public access officers 

1. Training required.  Beginning July 1, 2008,A public access officer and an elected official subject to this section shall complete a course of training on the requirements of this chapter relating to public records and proceedings. The official or public access officer shall complete the training not later than the 120th day after the date the elected official takes the oath of office to assume the person's duties as an elected official or the person is designated as a public access officer pursuant to section 413, subsection 1. For elected officials subject to this section serving in office on July 1, 2008, the training required by this section must be completed by November 1, 2008. 

2. Training course; minimum requirements.   The training course under subsection 1 must be designed to be completed by an official or a public access officer in less than 2 hours. At a minimum, the training must include instruction in: 

A. The general legal requirements of this chapter regarding public records and public proceedings;

 

B. Procedures and requirements regarding complying with a request for a public record under this chapter; and

 

C. Penalties and other consequences for failure to comply with this chapter. 

An elected official or a public access officer meets the training requirements of this section by conducting a thorough review of all the information made available by the State on a publicly accessible website pursuant to section 411, subsection 6, paragraph C regarding specific guidance on how a member of the public can use the law to be a better informed and active participant in open government. To meet the requirements of this subsection, any other training course must include all of this information and may include additional information. 

3. Certification of completion.   Upon completion of the training course required under subsection 1, the elected official or public access officer shall make a written or an electronic record attesting to the fact that the training has been completed. The record must identify the training completed and the date of completion. The elected official shall keep the record or file it with the public entity to which the official was elected. A public access officer shall file the record with the agency or official that designated the public access officer. 

4. Application.   This section applies to a public access officer and the following elected officials: 

A. The Governor; 

B. The Attorney General, Secretary of State, Treasurer of State and State Auditor; 

C. Members of the Legislature elected after November 1, 2008; 

E. Commissioners, treasurers, district attorneys, sheriffs, registers of deeds, registers of probate and budget committee members of county governments;

 

F. Municipal officers, clerks, treasurers, assessors and budget committee members of municipal

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governments; 

G. Officials of school administrative units and school boards; and 

H. Officials of a regional or other political subdivision who, as part of the duties of their offices, exercise executive or legislative powers. For the purposes of this paragraph, "regional or other political subdivision" means an administrative entity or instrumentality created pursuant to Title 30-A, chapter 115 or 119 or a quasi-municipal corporation or special purpose district, including, but not limited to, a water district, sanitary district, hospital district, school district of any type, transit district as defined in Title 30-A, section 3501, subsection 1 or regional transportation corporation as defined in Title 30-A, section 3501, subsection 2.

Sec. 8. 1 MRSA §§413 and 414 are enacted to read:

§ 413. Public access officer 

1.  Designation; responsibility.   Each agency, county, municipality, school administrative unit and regional or other political subdivision shall designate an existing employee as its public access officer to serve as the contact person for that agency, county, municipality, school administrative unit and regional or other political subdivision with regard to requests for public records under this subchapter. The public access officer is responsible for ensuring that each public record request is acknowledged within a reasonable period of time and that a good faith estimate of when the response to the request will be complete is provided according to section 408-A. The public access officer shall serve as a resource within the agency, county, municipality, school administrative unit and regional or other political subdivision concerning freedom of access questions and compliance. 

2.  Acknowledgment and response required.   An agency, county, municipality, school administrative unit and regional or other political subdivision that receives a request to inspect or copy a public record shall acknowledge and respond to the request regardless of whether the request was delivered to or directed to the public access officer. 

3.  No delay based on unavailability.   The unavailability of a public access officer may not delay a response to a request. 

4.  Training.   A public access officer shall complete a course of training on the requirements of this chapter relating to public records and proceedings as described in section 412.

§ 414. Public records; information technologyAn agency shall consider, in the purchase of and contracting for computer software and other

information technology resources, the extent to which the software or technology will: 

1.  Maximize public access.   Maximize public access to public records; and 

2.  Maximize exportability; protect confidential information.   Maximize the exportability of public records while protecting confidential information that may be part of public records.

Sec. 9. 6 MRSA §174, sub-§5, as enacted by PL 2007, c. 563, §1, is amended to read: 

5. Organization; conduct of business; employees.   Within one week after each annual

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election or appointment, the directors shall meet for the purpose of electing a chair, treasurer and clerk to serve for the ensuing year and until their successors are appointed and qualified. The directors from time to time may choose and employ and fix the compensation of any other necessary officers and agents, who serve at the pleasure of the directors. The treasurer shall furnish bond in the sum and with sureties approved by the directors. The airport authority shall pay the cost of the bond. 

The directors may adopt and establish bylaws consistent with the laws of this State and necessary for the convenience and the proper management of the affairs of the airport authority and perform other acts within the powers delegated by law to the directors. 

The directors must be sworn to the faithful performances of their duties, including the duties of a member who serves as clerk or clerk pro tem. The directors shall publish an annual report that includes a report of the treasurer. 

The directors shall appoint and fix the salary of an airport manager who may not be a director. The airport manager has such power and authority as the directors in their bylaws or by resolution specify and delegate to the airport manager. Subject to approval of or authorization from the directors, the airport manager may appoint any other employees necessary to carry out the corporate purposes of the airport authority and may fix their salaries. 

Business of the airport authority must be conducted in accordance with the applicable provisions of the freedom of access laws, Title 1, sections 401 to 412Freedom of Access Act.

Sec. 10. 12 MRSA §8424, sub-§2, as amended by PL 1981, c. 278, §4, is further amended to read: 

2. Application for spray project eligibility.   Forest land owners may apply to the director prior to December 1st of any year to be eligible to participate in the spray projects for the following 5 years. The application shallmust show: 

A. The name and address of the applicant and its agent, if any; 

B. The number and location on maps prescribed by the director of the acres of forest land for which application is being made;

 

C. The location on maps prescribed by the director of the timber types, timber ages and proportions of spruce, fir and non-host species within such forest land;

 

D. The location on maps of private and public road access to such forest land; 

E. The location on maps of all residences within that forest land; 

F. A 5-year cutting plan for such forest land showing plans for timber cutting, road construction and other planned land utilizations; and

 

G. Any other information pertinent to the description, utilization and management of such forest land as the director may require for purposes of spray project and management program planning.

 

The date for submission of the information required under subsection 2, paragraph C, may be extended by the director upon a showing that such information is not then available.

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Cutting plans accompanying the application may be utilized by the Bureau of Forestry for planning purposes, and may be shared with other government agencies, but shalldo not constitute records available for public inspection or disclosure pursuant to Title 1, section 408408-A. 

For excise tax purposes, such application must designate one person who shallmust be billed and notified of any lien recorded under this subchapter. When a tax bill or notice of lien is sent to this person, it shall constituteconstitutes notice to all other landowners listed on the application. Each forest landowner shall beland owner is jointly and severally liable for any tax, penalty or interest imposed under this subchapter.

Sec. 11. 21-A MRSA §22, sub-§3, as amended by PL 2009, c. 564, §1, is further amended to read: 

3. Confidential information.   Notwithstanding subsection 1 and Title 1, section 408408-A, if a registered voter meets certain conditions, the voter's information must be kept confidential as provided in this subsection. 

A. For a voter who is certified by the Secretary of State as a program participant in the Address Confidentiality Program pursuant to Title 5, section 90-B, all records maintained by the registrar pertaining to that voter must be kept confidential and must be excluded from public inspection.

 

B. For a voter who submits to the registrar a signed statement that the voter has a good reason to believe that the physical safety of the voter or a member of the voter's immediate family residing with the voter would be jeopardized if the voter's residence address were open to public inspection, that voter's residence address and mailing address, if the mailing address is the same as or discloses the voter's residence address, must be kept confidential and must be excluded from public inspection. The remainder of the information in that voter's record that is designated as public information in section 196-A remains a public record and may be made available to the public according to the use and distribution requirements provided in that section. The voter's signed statement is also a public record. A voter's address that is excluded from public inspection under this paragraph may be made available free of charge to a law enforcement officer or law enforcement agency that makes a written request to use the information for a bona fide law enforcement purpose or to a person identified by a court order if directed by that order.

Sec. 12. 21-A MRSA §22, sub-§5, as enacted by PL 2003, c. 584, §1, is amended to read: 

5. Signature and identification number of registered voter.   Notwithstanding subsection 1 and Title 1, section 408408-A, the voter's signature and identification number on the voter registration application and associated records in electronic format are designated as nonpublic records and the registrar shall exclude those items from public inspection. Voter signatures on voter registration applications and associated records in a printed hard-copy format are public records in accordance with subsection 1 and Title 1, section 408408-A.

Sec. 13. 21-A MRSA §22, sub-§7, as enacted by PL 2011, c. 342, §5, is amended to read: 

7. Incoming voting list.   After the incoming voting list is unsealed following the election, the list must be made available for public inspection and copying in accordance with Title 1, section 408408-A.

Sec. 14. 21-A MRSA §1104, as enacted by PL 1989, c. 802, §1, is amended to read:

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§ 1104.Public recordsThe commission shall retain for public inspection all completed code forms accepted by the

commission under section 1103. A code subscribed to by a candidate is a public record under Title 1, section 408408-A.

Sec. 15. 25 MRSA §2006, first ¶, as amended by PL 2011, c. 298, §11, is further amended to read:

Notwithstanding Title 1, sections 401 to 410chapter 13, subchapter 1, all applications for a permit to carry concealed handguns and documents made a part of the application, refusals and any information of record collected by the issuing agency during the process of ascertaining whether an applicant is of good moral character and meets the additional requirements of sections 2003 and 2005 are confidential and may not be made available for public inspection or copying. The applicant may waive this confidentiality by written notice to the issuing authority. All proceedings relating to the issuance, refusal or revocation of a permit to carry concealed handguns are not public proceedings under Title 1, chapter 13, unless otherwise requested by the applicant.

Sec. 16. 25 MRSA §2929, sub-§3, as enacted by PL 1997, c. 291, §3, is amended to read: 

3. Disclosure required.   The restrictions on disclosure provided under subsection 2 apply only to those portions of databases, reports, audio recordings or other records of the bureau or a public safety answering point that contain confidential information. Other information that appears in those records and other records, except information or records declared to be confidential under other law, is subject to disclosure pursuant to Title 1, section 408408-A. The bureau shall develop procedures to ensure protection of confidential records and information and public access to other records and information. Procedures may involve developing edited copies of records containing confidential information or the production of official summaries of those records that contain the substance of all nonconfidential information.

Sec. 17. 25 MRSA §2957, as repealed and replaced by PL 1999, c. 790, Pt. A, §33, is amended to read:

§ 2957.ConfidentialityNotwithstanding any other provisions of law, the investigative records of the agency are

confidential and all meetings of the board are subject to Title 1, sections 401 to 410chapter 13, subchapter 1, except that those meetings may be held in executive session to discuss any case investigations or any disciplinary actions.

Sec. 18. 29-A MRSA §2251, sub-§7, as amended by PL 2011, c. 390, §1, is further amended to read: 

7. Report information.   An accident report made by an investigating officer or a report made by an operator as required by subsection 2 is for the purposes of statistical analysis and accident prevention. 

A report or statement contained in the accident report, or a report as required by subsection 2, a statement made or testimony taken at a hearing before the Secretary of State held under section 2483, or a decision made as a result of that report, statement or testimony may not be admitted in evidence in any trial, civil or criminal, arising out of the accident. 

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A report may be admissible in evidence solely to prove compliance with this section. 

Notwithstanding subsection 7-A, the Chief of the State Police may disclose the date, time and location of the accident and the names and addresses of operators, owners, injured persons, witnesses and the investigating officer. On written request, the chief may furnish a photocopy of the investigating officer's report at the expense of the person making the request. The cost of furnishing a copy of the report is not subject to the limitations of Title 1, section 408, subsection 3408-A.

Sec. 19. 29-A MRSA §2251, sub-§7-A, ¶C, as enacted by PL 2011, c. 390, §2, is amended to read: 

C. The Department of Public Safety, Bureau of State Police may publicly disseminate nonpersonally identifying accident report data that are contained in an accident report database maintained, administered or contributed to by the Bureau of State Police. The cost of furnishing a copy of such data is not subject to the limitations of Title 1, section 408408-A.

Sec. 20. 32 MRSA §9418, first ¶, as enacted by PL 1987, c. 170, §19, is amended to read:

Notwithstanding Title 1, sections 401 to 410chapter 13, subchapter 1, all applications for a license to be a contract security company and any documents made a part of the application, refusals and any information of record collected by the commissioner during the process of ascertaining whether an applicant is of good moral character and meets the additional requirements of sections 9405 and 9411-A, and all information of record collected by the commissioner during the process of ascertaining whether a natural person meets the requirements of section 9410-A, are confidential and may not be made available for public inspection or copying. The applicant or natural person may waive this confidentiality by written notice to the commissioner. All proceedings relating to the issuance of a license to be a contract security company are not public proceedings under Title 1, chapter 13, unless otherwise requested by the applicant.

Sec. 21. 33 MRSA §651, last ¶, as enacted by PL 2009, c. 575, §1, is amended to read:

Notwithstanding Title 1, section 408, subsection 3408-A, this chapter governs fees for copying records maintained under this chapter.

Sec. 22. 34-A MRSA §1216, sub-§1, as amended by PL 2005, c. 487, §§2 to 4, is further amended to read: 

1. Limited disclosure.   All orders of commitment, medical and administrative records, applications and reports, and facts contained in them, pertaining to any person receiving services from the department must be kept confidential and may not be disclosed by any person, except that public records must be disclosed in accordance with Title 1, section 408408-A; criminal history record information may be disseminated in accordance with Title 16, chapter 3, subchapter 8; and documents other than those documents pertaining to information obtained by the department for the purpose of evaluating a client's ability to participate in a community-based program or from informants in a correctional or detention facility for the purpose of determining whether facility rules have been violated or pertaining to a victim's request for notice of release may, and must upon request, be disclosed: 

A. To any person if the person receiving services, that person's legal guardian, if any, and, if that person is a minor, that person's parent or legal guardian give informed written consent to the disclosure of the documents referred to in this subsection after being given the opportunity to review the documents sought to be disclosed;

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B. To any state agency if necessary to carry out the statutory functions of that agency; 

C. If ordered by a court of record, subject to any limitation in the Maine Rules of Evidence, Rule 503;

 

D. To any criminal justice agency if necessary to carry out the administration of criminal justice or the administration of juvenile criminal justice or for criminal justice agency employment;

 

E. To persons engaged in research if: 

(1) The research plan is first submitted to and approved by the commissioner; 

(2) The disclosure is approved by the commissioner; and 

(3) Neither original records nor identifying data are removed from the facility or office that prepared the records.

 

The commissioner and the person doing the research shall preserve the anonymity of the person receiving services from the department and may not disseminate data that refer to that person by name or number or in any other way that might lead to the person's identification;

 

F. To persons who directly supervise or report on the health, behavior or progress of a juvenile, to the superintendent of a juvenile's school and the superintendent's designees and to agencies that are or might become responsible for the health or welfare of a juvenile if the information is relevant to and disseminated for the purpose of creating or maintaining an individualized plan for the juvenile's rehabilitation, including reintegration into the school; or

 

G. To any state agency engaged in statistical analysis for the purpose of improving the delivery of services to persons who are or might become mutual clients if:

 

(1) The plan for the statistical analysis is first submitted to and approved by the commissioner; and 

(2) The disclosure is approved by the commissioner. 

The commissioner and the state agency requesting the information shall preserve the anonymity of the persons receiving services from the department and may not disseminate data that refer to any person by name or number or that in any other way might lead to a person's identification.

 

Notwithstanding any other provision of law, the department may release the names, dates of birth and social security numbers of juveniles receiving services from the department and, if applicable, eligibility numbers and the dates on which those juveniles received services to the Department of Health and Human Services for the sole purpose of determining eligibility and billing for services under federally funded programs administered by the Department of Health and Human Services and provided by or through the department. The department may also release to the Department of Health and Human Services information required for and to be used solely for audit purposes, consistent with federal law, for those services provided by or through the department. Department of Health and

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Human Services personnel must treat this information as confidential in accordance with federal and state law and must return the records when their purpose has been served.

Sec. 23. 35-A MRSA §6410, sub-§5, as enacted by PL 1995, c. 616, §10, is amended to read: 

5. Water districts; organization; conduct of business.   Within one week after each annual appointment or election, the trustees of a water district shall meet for the purpose of electing a chair, treasurer and clerk from among them to serve for the ensuing year and until their successors are elected or appointed and qualified. The trustees, from time to time, may choose and employ and fix the compensation of any other necessary officers and agents who serve at the pleasure of the trustees. The treasurer shall furnish bond in the sum and with sureties approved by the trustees. The water district shall pay the cost of the bond. 

The trustees may adopt and establish bylaws consistent with the laws of this State and necessary for the convenience and the proper management of the affairs of the water district, and perform other acts within the powers delegated by law to the trustees. 

The trustees shallmust be sworn to the faithful performances of their duties including the duties of a member who serves as clerk or clerk pro tem. The trustees shall publish an annual report that includes a report of the treasurer. 

Business of the district must be conducted in accordance with the applicable provisions of the freedom of access laws, Title 1, sections 401 to 410Freedom of Access Act.

Sec. 24. 38 MRSA §640, sub-§4, as enacted by PL 1989, c. 453, §2, is amended to read: 

4. Release of public information.   All information submitted to the agencies by the applicants for a license under the Federal Power Act shall constituteconstitutes a public record pursuant to Title 1, section 402, unless such information is otherwise exempted from public disclosure by state law. Release of this information to members of the public shall beis governed by Title 1, section 408408-A.

Sec. 25. Appropriations and allocations. The following appropriations and allocations are made. 

ATTORNEY GENERAL, DEPARTMENT OF THE 

Administration - Attorney General 0310 

Initiative: Provides funds to increase one part-time Assistant Attorney General position to full-time to serve as a Public Access Ombudsman. 

GENERAL FUND 2011-12 2012-13POSITIONS - LEGISLATIVE COUNT 0.000 0.500Personal Services $0 $38,889All Other $0 $5,178

GENERAL FUND TOTAL $0 $44,067

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Effective 90 days following adjournment of the 125th Legislature, Second Regular Session, unless otherwise indicated.

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Section Six: Rules For Disposition of Local Government Records

SUMMARY: This chapter governs the disposition of local government records.

1. DEFINITIONS

A. "Appraisal" means the archival process of determining the value and thus the disposition of records based on a study of their use, their subject content, their arrangement, their relationship to function and organization, and their relationship to other records.

B. "Current Records" means records needed and used in the day-to-day conduct of the current business of a local government office or official, and which therefore must be kept in office space and equipment for that purpose.

C. "Disposition" includes all actions taken with regard to semi-current and non-current records following their appraisal. These actions include (1) transfer of semi-current records to a temporary storage area or to a records center; (2) transfer of non-current records having archival value to a designated archival depository; (3) reproduction on microfilm or optical disk with or without destruction of the originals; and (4) destruction.

D. "Non-Current Records" means records which no longer have value--administrative, legal or fiscal--for the current business of the originating office or official, and which should be disposed of in accordance with law or rule.

E. "Record" means all documentary material, regardless of media or characteristics, made or received and maintained by a local government agency in accordance with law or rule or in the transaction of its official business.

F. "Records Disposition Schedule" means a listing of record series with retention periods as appropriate for their current and semi-current phases, and an indication or their ultimate disposition.

G. "Record Series" means file units (folders or volumes) or documents arranged in accordance with a filing system, or maintained as a unit because they relate to a particular function, result from the same activity, have a particular physical form, or because of some other relationship arising out of their creation, receipt, or use.

H. "Retention Period" means the period of time for which record series should be kept in offices and in records storage areas before their ultimate disposition. The time period is usually given in months or years, but is sometimes expressed as contingent upon the occurrence of a particular event, such as audit or death of claimant.

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I. "Semi-Current Records" means records no longer needed frequently in the conduct of current business, but which, for administrative, fiscal, or legal purposes, must still be retained. The general rule is that any record series not consulted more than once per month per file drawer (or other file unit--such as a volume or case file) is semi-current, and should be transferred, if quantity warrants, to storage areas utilizing lower-cost space and equipment until eligible for final disposition.

J. "Record Copy" means a single copy of any document received or created by a local government agency during the transaction of official business, which shall be retained for the term set by the Disposition Schedules for Local Government Records. All other copies of the same document in the agency's possession are duplicate copies, held for convenience only, and may be destroyed when no longer of use.

K. "Local Government Agency" means a municipality, a quasi-municipal organization (such as a school administrative district, water or sewer district, etc.), an office of county government (such Register of Deeds, County Sheriff, etc.), and offices of District Attorney.

L. "Non-Record" means additional copies of materials for which official or record copies have been retained, stocks of publications and processed documents intended for distribution or use, or records relating to personal matters that may have been kept in an office for convenience.

2. DISPOSITION OF LOCAL GOVERNMENT RECORDS

No record shall be destroyed or otherwise disposed of by any official, except as provided by these rules. All disposition of records not listed in the Disposition Schedules A through P must be approved as specified in Section 5 by these Rules in advance, and in writing, by the Archives Advisory Board.

3. RECORDS RETAINED

Records which are to be retained shall be preserved by the creating agency, deposited with an approved alternative institution as specified in Section 10, or deposited with the Maine State Archives. The State Archivist shall determine whether or not to accept transfers of local government records, based on space available at the Maine State Archives, condition of the records, and available alternatives to transfer. The State Archivist shall accept all permanent records of any deorganized Maine municipality.

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4. RECORDS AUTHORIZED FOR DESTRUCTION

A. Destruction of Records. Unless otherwise specified by statute or rule, records may be destroyed by shredding, pulping, burning, burial, or other effective means. The removal and destruction process shall be supervised by the official in whose custody the records are held in order to prevent the inadvertent removal and destruction of records of continuing value.

B. Confidential Records. When destruction has been authorized, confidential records shall be destroyed under the authorized supervision required by Section 4A.

C. Nonconfidential Records. When destruction has been authorized, nonconfidential records may be, at the discretion of the creating agency, 1) retained, 2) transferred to an approved alternative institution as specified in Section 10, or 3) destroyed under the supervision required by Section 4A. Nonconfidential records may be sold for waste provided there is reasonable assurance that they will be handled and processed carefully to destroy their identity.

D. Destruction of Records by Recycling. Nonconfidential records may be destroyed by recycling if the system employed for collecting them ensures that: 1) only records actually due for destruction are collected; 2) records intended for recycling are not at risk of removal by unauthorized persons, both while on site at the local government agency's offices and after removal to the recycling facility; 3) there is reasonable assurance that the recycling process will completely obliterate all information from the records. Confidential records may be recycled only if they are shredded before their removal from the local government agency's offices, or if destruction takes place under the direct observation of the official in whose custody the records were held (or under the direct observation of that official's designee).

5. DISPOSITION SCHEDULES

Disposition schedules included in these Rules shall be used primarily to identify those local government records that should be retained permanently by the local government agency, deposited with the Maine State Archives, or deposited with an approved alternative institution as described in Section 10. These disposition schedules also provide retention periods for records that do not have permanent value. All municipal, quasimunicipal, and county government offices shall follow the records retention requirements provided in these Rules.

6. RECORDS CREATED PRIOR TO JANUARY 1, 1900

All records created prior to January 1, 1900 must be retained permanently, regardless of provisions in these rules, unless specifically authorized for destruction by the Archives Advisory Board.

7. RECORDS SUBJECT TO AUDIT OR LITIGATION

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Under no circumstances shall these rules constitute authorization for a local government agency to destroy records when it is known that such records are still eligible for State or Federal audit, or other Federal requirements. These rules shall not provide authorization to destroy records which are known to be the subject of, or material to, potential or ongoing litigation.

8. APPROVED MEDIA FOR RECORDS STORAGE

Local government records which have been identified as having archival (permanent) value must be maintained on one or more of the following media: paper; microfilm produced according to archival standards, as established by the American National Standards Institute; microfiche produced according to archival standards, per ANSI. Permanently valuable records may be maintained for convenience on nonarchival media (such as magnetic tape, diskette, hard disk, optical disk), but the same records must in every case be maintained on an archival medium or must be maintained in compliance with Title 16: Court Procedure – Evidence (Chapter 3: Records and Other Documents, Subchapter 3: Public Records, §456-A. Admissibility of electronic records). Records maintained in digital formats only must be migrated as necessary to keep them accessible using currently available hardware and software, for the full retention periods required. Where archival records are maintained in digital formats only, such migration may cease only after the records are converted to an archival medium. Digital records systems should provide real time double data storage, with the two mirrored storage sites located in separate rooms at a minimum (geographically separated storage sites shall be provided wherever possible). The system shall be designed to provide full data recovery.

9. REQUESTS FOR DISPOSITION

Requests for disposition of records not specified in the disposition schedules may be made in writing to the Archives Advisory Board, accompanied by sample copies of the records involved. Communications to the Archives Advisory Board should be addressed to: Local Government Records, Maine State Archives, 84 State House Station, Augusta, Maine 04333.

10. ALTERNATIVE INSTITUTIONAL PLACEMENT FOR NONCONFIDENTIAL RECORDS

A. General Guidelines. Nonconfidential records to be retained according to Section 3 or authorized to be destroyed according to Section 4.C or Section 4.D, as well as confidential records to be retained according to Section 3, may be deposited with an alternative institution as described in Subsection 10.B. The local government agency retains legal custody of these records and shall insure that they are not alienated from the institution except for placement, with approval of the local government agency, in another approved institution or for authorized destruction. The local government agency may regain possession of records deposited in an authorized institution at any time.

Local government agencies shall enter a written agreement with the institution insuring that issues of custody, regaining possession, security, preservation, and access are clarified; that the institution will, if applicable, comply with policies and directives of

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the local government agency governing confidentiality and preservation of records in accordance with state and federal law; and that the institution will provide storage facilities capable of preserving records at least as well as those available to the local government agency. A copy of this agreement shall be sent to the Archives Advisory Board before any records are deposited at the alternative institution.

To become approved, the institution must meet the following criteria:

1) Provide security to prevent the loss of records both in storage and in reference areas. This shall at a minimum include locks on all doors and windows, plus an intruder alarm system and a fire alarm system. Minimum security shall also include direct supervision of researchers at all times when records are available for access.

2) Provide storage facilities situated in a physically safe location (i.e., not located in a flood plain; not located next to a hazardous chemical storage area; etc.). These facilities should have heating/ventilation/air conditioning capable of maintaining temperatures between 60 and 70 degrees Fahrenheit, and of holding relative humidity to less than 50 percent.

3) Provide reasonable access to the records as required by the Public Proceedings statute. “Reasonable” should at a minimum mean that the facility is open to the public, by regularly scheduled hours or by appointment, at least two days each week throughout the year. There shall be no charge for retrieving or viewing the records, and any charge for obtaining copies shall be limited to the organization’s actual cost to produce such copies. However, if the organization’s staff is requested to research the records for the requestor the organization may charge any fee that it would normally require for research services.

4) Show evidence of a capacity to care for the records by providing evidence 1) of a mission statement; and 2) that a person who cares for the records has had basic archival training, such as a workshop approved by the Maine State Archives, formal education, or related experience.

5) Maintain a non-profit corporate status.

6) May be inspected by Maine State Archives staff before approval is granted, with reinspection possible at any time after approval.

7) Notify the Archives Advisory Board of any changes in its facilities or policies that relate to the standards described in this section.

8) Approval may be revoked by the Board at any time, after notice and opportunity to correct, if standards do not continue to be met.

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To accept confidential records, the institution also must show evidence that it has staff

capable of maintaining confidentiality in accordance with policies of local government

agencies.

B. Approved Institutions. An institution must be approved by the Archives Advisory Board as a depository for local government records before a local government agency may deposit its records with the institution. An institution must be approved by the Archives Advisory Board to accept confidential records before a local government agency may deposit confidential records with the institution. The Board shall maintain a list of approved institutions at the Maine State Archives.

11. USE OF COMMERCIAL RECORDS CENTERS

Local government agencies may use commercial records centers to store their semi-current records. Before any records are transferred, the commercial records center must be approved in writing by the Archives Advisory Board. The following criteria must be met:

A. Security must be provided to prevent the loss of records, both in storage areas and during transfer;

B. Fire protection must be provided;

C. Stored records may be released only to employees of the local government agency (which shall be responsible for making records available to the public);

D. Only bonded employees of the Records Center may handle boxes or provide reference services;

E. Routine reference service must be available within one business day;

F. Emergency reference service must be available within 2 hours or less during normal business hours;

G. Records must be stored in a physically safe facility (i.e., not located in a flood plain; not located next to a hazardous chemical storage area).

Commercial records centers used by local government agencies shall be subject to periodic inspection by the Maine State Archives, which will notify the Archives Advisory Board of any failure to meet these standards. Local government agencies which use commercial records centers must maintain accurate listings of all records stored.

Commercial records centers used by local government agencies shall be liable for damage, destruction or loss of records, whether in storage at the facility or in transit between the facility and the local government agency's offices.

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12. VAULT FOR PERMANENT RECORDS

State law requires each local government to have a fireproof safe or vault to protect permanently valuable records. Recent fires in several town provide a reminder about the perils of not protecting critical records. Here is the text of the law:

5 M.R.S.A. § 95-B. Local government records

The following provisions apply to local government records.

2. Safe or vault for preservation. Each local government shall provide a fireproof safe or vault for the preservation of all records that must be retained permanently but are not required for business purposes. The official having responsibility for those records shall deposit them in the safe or vault where those records must be kept except when required for use.

General Guidelines for Budgeting and Planning Purposes, to Insure Conformity with State Law:

Vault should be either ground-supported (i.e., capable of standing on its own if the building around it collapses) or located within a fire-resistive building (one that will not suffer structural collapse even if its contents is completely consumed). Walls of the building may only be used as walls of the vault if the building is fire-resistive.

The vault should be planned and its construction supervised by a registered engineer or architect. Its walls may only be pierced for necessary services, and should not be open to any type of shaft. Floor and roof may not be pierced. All walls, floor (if vault is structure-supported rather than ground-supported), and door should at a minimum meet 4-hour fire resistance standards per a nationally recognized standards organization. The vault door may not be a standard “fire door” or other design not specifically intended for vault use. The door locking mechanism should provide for escape by a person accidentally locked inside.

No combustible materials may be used in the vault’s construction, including in any necessary damp-proofing. A ventilating system that conforms to nationally recognized standards should be provided, and all services (electrical, heating, etc.) should conform to national and local codes. Open flame heating shall not be used under any circumstances.

The vault should be installed by qualified and experienced personnel, in conformity with its manufacturer’s requirements. “Fireproof” cabinets or other portable fire resistant records storage equipment may not be substituted for a properly designed and constructed vault.

Specific Guidelines for Vault Construction:

53

The National Fire Protection Association’s Guideline (NFPA 232, Protection of Records) provides guidance concerning vault construction. This copyrighted publication may be obtained from the NFPA at 800-344-3555 (One Batterymarch Park, P.O. Box 9101, Quincy, MA 02269-9101; www.nfpa.org).

13. VIOLATION OF RULES

Whoever violates any provision of these rules shall be guilty of a Class E crime.

54

STATUTORY AUTHORITY: 5 MRSA, Chapter 6, §95-B; 30-A MRSA §1705

EFFECTIVE DATE:September 3, 1990

AMENDED:August 11, 1991March 9, 1992October 4, 1992

EFFECTIVE DATE (ELECTRONIC CONVERSION):April 28, 1996

NON-SUBSTANTIVE CORRECTIONS:May 29, 1996 – added “are” in Attachment D. Note: corrected reference to Attachments

in Attachment A.February 10, 1997 – incorrect reference in Section 2 changed from “Section 10” to “Section

5”.

AMENDED:March 1, 1997October 1, 2000

NON-SUBSTANTIVE CORRECTION:June 9, 2003 - corrected web address for NFPA in Section 12

REPEALED AND REPLACED:October 1, 2005 – filing 2005-281

NON-SUBSTANTIVE CORRECTIONS:December 14, 2005January 25, 2006 – informational note added to E.07.a.

AMENDED:May 1, 2010 – filing 2009-706

55

DISPOSITION SCHEDULE A:

GENERAL DISPOSITION SCHEDULE FOR LOCAL GOVERNMENT RECORDS

Records (regardless of media) are scheduled for retention by the office which has legal accountability. Additional copies held only for convenience are not records, and may be destroyed when no longer needed. Drafts and notes may also be destroyed when no longer needed, except when these materials document the development of local government policy and are therefore incorporated into an official file. Drafts and notes incorporated into official files become part of that file, and have the same retention period as the other records contained therein.

Most record series listed on the General Disposition Schedule may be found in any office of local government, although several are unique to municipalities. Attachments B – Q are Disposition Schedules for specific offices/departments of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579), 5 U. S. C., §552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. §1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionA.01. Accident Reports Filed by Local Government Employees 6 years

Includes personal injury, property damage, vehicle accidents. Not Confidential

56

Series Series Title / Description and Confidentiality Status RetentionA.02. Administrative Calendars Current year

Employee calendars, facility use schedules, meeting schedules. Not Confidential

A.03. Aerial Photographs PermanentSystematic documentation of land use; not casual photos, which may be destroyed when no longer useful.

Not Confidential

A.04. Agendas 6 yearsMeetings of official boards and committees. Not

ConfidentialA.05. Annual Reports Created by Local Government (one copy) Permanent

E.g., town reports, comprehensive reports of counties, school districts, etc.

Not Confidential

A.06. Applications for Employment - Not Hired 2 yearsCover letters, application form, references, etc. (See A.53 for other personnel records.)

ConfidentialMRSA 30-A

§ 2702— for

school personnel,

MRSA 20-A§ 6101(2)

A.07. Appointments/Oaths 25 yearsAppointments to boards, commissions, or other offices with accompanying oaths of office, usually in a bound volume or "book."

Not Confidential

A.08. Audit Reports PermanentReport issued by auditor following each official audit. Not

ConfidentialA.09. Audits, Internal (Working Papers) 6 years

Calculations and other backup materials used by auditors to generate final report.

Not Confidential

A.10. Bank Reconciliations 6 yearsReconciliation of bank balance with local government agency account(s).

Not Confidential

A.11. Bankruptcy Notices 10 years after debt

dismissedNotices filed with local government official by individuals who have been declared bankrupt, in order to have debt(s) owed to local government agency dismissed.

Not Confidential

A.12. Bids 6 yearsBids made by potential vendors to provide goods or services for local government agency purchase.

Not Confidential

57

Series Series Title / Description and Confidentiality Status RetentionA.13. Bills 6 years

Written requests for payment, to or from a local government agency.

Not Confidential

A.14. Bills of Sale for Property That Must Be Filed with Municipal Clerk

6 years after property is

sold or removed

Bills of sale for property owned by a local government agency, such as a house located on rented land.

Not Confidential

A.15. Bond Records, Financial 6 years after expiration

Bonds (financial, representing funds invested) purchased or sold by municipality.

Not Confidential

A.16. Bond Records, Performance 6 years after expirationBonds posted as insurance against employee theft. Not

ConfidentialA.17. Board of Appeals Files Permanent

Case files, including proposal initially refused by Planning Board, documents submitted in support or opposition to appeal, related correspondence.

Not Confidential

A.18.a Budget Records - Summary PermanentFinal copy of the budget, listing anticipated revenues and expenses for year.

Not Confidential

A.18.b Budget Records – Forms and Information Used to Compile Summary

6 years

Working files used to draw up the final budget, including estimates and requests submitted for compilation by individual departments.

Not Confidential

A.19. Buildings and Grounds Records Destroy when building no longer exists, or transfer records to its new owner

Record of construction (if applicable), purchase, and on-going repair and alteration of buildings owned and/or operated by local government agency.

Not Confidential

A.20. Cash Sheets and Other Accounting Records Summarized by Permanent Documents, Such as Ledgers

6 years

All “temporary” accounting records that are generated in the course of creating a local government agency’s permanent ledger.

Not Confidential

A.21. Cemetery Lots PermanentRecord of ownership of lots in municipally operated cemeteries. Not

Confidential

58

Series Series Title / Description and Confidentiality Status RetentionA.22.a Certified Mail Receipts - Routine 3 months

Receipts for items sent by certified mail, not used to transmit documents that are the subject of litigation or likely to become the subject of litigation.

Not Confidential

A.22.b Certified Mail Receipts - Evidential Keep with file copy of item transmitted

Receipts for items sent by certified mail, used to transmit documents that are the subject of litigation or likely to become the subject of litigation.

Not Confidential (unless transmitted item is confidential)

A.23 Checks 6 yearsCanceled checks, or images of canceled checks, returned to local government agency by bank.

Not Confidential

A.24. Clothing Records 3 yearsClothing allowances, uniform allowances, and uniform records, for employees whose work clothing is provided all or in part by the local government employer.

Not Confidential

A.25.a Complaints Leading to Inspections See Municipal Inspections

Complaints to local government officials that result in inspection of the purported problem situation.

Not Confidential

A.25.b Complaints - Other 3 years from resolution

Complaints to local government officials that do not result in inspections.

Not Confidential

A.26 Contracts 6 years after completion

Contracts entered into by local government agencies for the purchase of goods, services, leasing of property, etc.

Not Confidential

A.27.a Correspondence - Transitory 60 daysLetters of transmittal, requests for information, letters of application, of thanks, etc.

Not Confidential

A.27.b Correspondence - Substantive File with related record series

Letters and memoranda documenting actions taken by the local government agency.

Not Confidential (unless matter

documented makes it so)

59

Series Series Title / Description and Confidentiality Status RetentionA.27.c Correspondence Received from Parents by Schools File with student’s

permanent record(See Disposition

Schedule L for School Records)

Letters and other written communications received by school administrators or school administrative offices from parents of students regarding the student’s school experience. (Notes and other written communications between parents and individual teachers are covered by Disposition Schedule L, Item 38 - Notes on Students).

Confidential(3)

A.28. Deeds to Properties Owned by Local Government Agencies PermanentDeeds (plus any related documents) to a local government agency’s real property. These deeds must also be recorded at the appropriate County Register’s Office.

Not Confidential

A.29. Deposit Slips 6 yearsBank deposit slips for accounts maintained by local government agencies.

Not Confidential

A.30. Depreciation Schedules 6 years after disposal of property

Depreciation schedules for non-real property owned by local government agencies.

Not Confidential

A.31. Employee Drug Tests 5 yearsRecords of drug test and results for employees of local government agency.

Confidential(4)

A.32. Equipment Records 2 years from disposalAll documents related to the purchase, upgrading, and maintenance of equipment such as motor vehicles, computers, etc.

Not Confidential

A.33. Expense Reports 6 yearsExpense account vouchers and supporting documents submitted for reimbursement by employees and elected/appointed officials.

Not Confidential

A.34. Grants 3 yearsFederal, state and privately funded grants sought and/or obtained by local government agencies: applications, reports, and supporting documentation.

Not Confidential

A.35.a Hazardous Chemicals - Material Safety Data Sheets Current MSDS only

Material Safety Data Sheets explain the hazards and describe the measures that should be taken if employees are exposed to chemicals stored or used at the work site.

Not Confidential

60

Series Series Title / Description and Confidentiality Status RetentionA.35.b Hazardous Chemicals - Chemical Identification List and

Related Records20 years (per Title 26, Chp. 823, 1716.1)

Each work site where hazardous chemicals are used or stored must maintain a list, with MSDS (see A.35.a above) and any related documents.

Not Confidential

A.36.a Health Records - Clinics Sponsored by Local Government Agency

10 years

Immunizations, cholesterol/blood pressure screenings, etc. Does not include records maintained by government-operated hospitals or similar health care facilities.

Confidential(4)

A.36.b Health Records - Individuals 60 yearsHealth records of local government employees, individuals visited by municipal nurses, etc. Does not include records maintained by government-operated hospitals or similar health care facilities.

Confidential(4)

A.36.c Health Records - Historic PermanentRecords of health emergencies or disasters. Not

ConfidentialA.37.a Hospital Liens - Discharged 6 years

Liens filed with the municipality by a local hospital against a patient who has failed to arrange for payment for care, in cases where the lien is discharged because the obligation has been paid.

Not Confidential

A.37.b Hospital Liens – Not Discharged PermanentLiens filed with the municipality by a local hospital against a patient who has failed to arrange for payment for care, in cases where the lien has not been discharged because the obligation remains unpaid.

Not Confidential

A.38. Insurance Claims Until settled plus 6 years

Includes both claims filed against local government agency, and claims filed against others by local government agency.

Not Confidential

A.39.a. Insurance Policies, General Liability 30 years after expiration

Policies carried by local government agency to protect itself against liability claims.

Not Confidential

A.39.b. Insurance Policies, All Other 6 years after expiration

Policies carried by local government agency to protect itself against all other losses except liability claims.

Not Confidential

61

Series Series Title / Description and Confidentiality Status RetentionA.40. Inventories 6 years

Lists of capital equipment or minor equipment and other non-real property owned by local government agency.

Not Confidential

A.41.a Job Descriptions – No Grievances Pending Retain current version only

Description of duties performed or to be performed by particular positions.

Not Confidential

A.41.b Job Descriptions Grieved with Collective Bargaining Follow applicable collective bargaining

agreementDescription of duties performed or to be performed by particular positions.

Not Confidential

A.42. Labor Citations – Safety Violations Current plus one year

Record of safety violations discovered during inspection of local government facilities. Note: an uncorrected violation may not be destroyed.

Not Confidential

A.43. Leases PermanentLeases entered into by local government agency. Not

ConfidentialA.44. Ledgers/Journal Entries (Including Distribution Records) Permanent

Summary accounting records, showing line item totals of income and expenditures for year.

Not Confidential

A.45. Minutes of Meetings, Notes (Handwritten or Stenographic) Until transcribed

(See also Item 56.) Notes taken during official meetings held by local government agency, for the purpose of producing minutes.

Not Confidential

A.46. Minutes of Meetings PermanentAll official meetings held or conducted by local government officials, where official minutes are kept.

Not Confidential

A.47. Minutes of Meetings, Transitory 2 yearsRoutine staff meetings, NOT the official proceeding of a board or committee.

Not Confidential

A.48. Mortgages PermanentMortgages on property owned by local government agency, and discharges of these mortgages. Must also be recorded at the appropriate Registry of Deeds.

Not Confidential

62

Series Series Title / Description and Confidentiality Status RetentionA.49.a Municipal Inspection Files, No Order Resulting 3 years

These files contain records of inspections performed by such municipal officials as the Building Inspector, Fire Chief, Code Enforcement Officer, Plumbing Inspector, Electrical Inspector, Health Officer, or any other municipal officer whose official duties require making inspections and keeping a record of the results, where the inspection does not result in an order of eviction, compliance, correction or remediation.

Not Confidential

A.49.b Municipal Inspection Files, Order Resulting 3 years from closure of

caseThese files contain records of inspections performed by such municipal officials as the Building Inspector, Fire Chief, Code Enforcement Officer, Plumbing Inspector, Electrical Inspector, Health Officer, or any other municipal officer whose official duties require making inspections and keeping a record of the results, where the inspection results in an order of eviction, compliance, correction or remediation.

Not Confidential

A.50. Municipal Ordinances PermanentAll ordinances adopted by a municipality, including documentation as to why the ordinance was proposed.

Not Confidential

A.51. Parks and Recreation Facilities Until 6 years after facility

ceases to be operated

Construction and maintenance of nature trails, playgrounds, and other facilities maintained by municipality, except for municipally owned and operated buildings.

Not Confidential

A.52. Payrolls 6 yearsAll records used to create payrolls for local government agency employees.

Confidential(1), (2)

63

Series Series Title / Description and Confidentiality Status RetentionA.53.a Personnel Records – Employment History 60 years

unless employer has been notified

that the former

employee has died; in which case 10 years

after former employee’s

deathEmployment history (including dates of employment, salary history, full time/part time status).

ConfidentialMRSA 30-A

§ 2702

A.53.b Personnel Records – Transitory6 years or

until destruction is permitted by

applicable collective

bargaining agreement

All other personnel records, including courses and workshops taken.

ConfidentialMRSA 30-A

§ 2702A.53.c Personnel Records – Form I-9 1 year after

termination or 3 years after

hire, whichever is

laterFederally required proof that employee has a legal right to work in the U.S.

Confidential(1), (2)

A.54. Property Records 6 years after disposal of

propertyOther than deeds to real estate — documentation for purchase and maintenance of property that the local government agency records on an inventory.

Not Confidential

A.55. Receipts 6 yearsDocumentation for payments made to others by local government agency, and documentation for payments received from others by local government agency.

Not Confidential

64

Series Series Title / Description and Confidentiality Status RetentionA.56.a Recordings of Meetings Without Verbatim Transcript 5 years

All official meetings held or conducted by local government officials. If both an audio and a video recording are made at the direction of the local government agency, only one or the other needs to be retained for 5 years.

Not Confidential

A.56.b Recordings of Meetings With Verbatim Transcript Until transcribed

All official meetings held or conducted by local government officials, when a verbatim transcript has been made from the recording.

Not Confidential

A.56.c Verbatim Transcript PermanentAll official meetings held or conducted by local government officials — verbatim transcript made from audio or video recording created at the direction of the local government agency.

Not Confidential

A.57. Regulatory Statistics 6 yearsRegulatory statistics maintained for State or Federal agencies (such as affirmative action and equal opportunity records, OSHA-required records, etc.)

Not Confidential

A.58. Retirement and Pension Records See Long Term

Personnel Records

All records needed to document an employee’s retirement rights and status.

Confidential(1), (2)

A.59. Salmonella Analysis Reports 3 years after last batch of

compost is sold, or 2

years after closure of

facility (CH 419, sec. 6.A; CH 409, sec.

4.F)Salmonella analysis reports from solid waste treatment plants, required by Dept. of Environmental Protection.

Not Confidential

A.60.a Site Plans - Approved PermanentFinal plans submitted to planning boards and land use committees, approved to allow the work to proceed.

Not Confidential

65

Series Series Title / Description and Confidentiality Status RetentionA.60.b Site Plans – Work in Progress Until no

longer needed

Plans superseded by subsequent changes in execution, and all sketches, notes, and supporting documents to completed (final) plan.

Not Confidential

A.61. Training and Education of Employees Update as needed

Training and education of employees: Information about available training/education opportunities.

Not Confidential

A.62. Trees Until 3 years after tree is

removedMunicipal arborist’s records of trees growing in municipality. Not

ConfidentialA.63. Union Agreements Retain until new agreement

is signed and time limit for filing grievances under old

agreement has expiredCollective bargaining agreements with unions representing employees of local government agency.

Not Confidential

A.64. Vacation and Holiday Schedules Current yearSchedule for employee use of leave time. Not

ConfidentialA.65. Volunteer Files 6 years after

separationAll records maintained on service of individual volunteers. Confidential

(1), (2)A.66. Vouchers 6 years

Authorization to pay local government agency’s financial obligations.

Not Confidential

A.67. Warrants – Financial and Treasurer’s 6 yearsWarrants for payment of obligations, and warrants sworn by local government officials to guarantee proper discharge of their duties.

Not Confidential

A.68. Warrants – Municipal PermanentMunicipal warrant used to call a town meeting, with associated election notice.

Not Confidential

A.69. Welfare records - applications and case files 3 yearsGeneral assistance, donated commodities, HEAP (Heating and Energy Assistance Program), ECIP (Energy Crisis Intervention Program), etc.

Confidential(1), (2)

66

Series Series Title / Description and Confidentiality Status RetentionA.70. Wellness program records Current year

Records of employee participation in program designed to encourage behaviors thought to result in improved heath.

Confidential(4)

A.71.a Workers Compensation Records – First Report of Injury 1 year after close of case

No lost work time, so that the only record required is the initial report of injury.

Confidential(4)

A.71.b Workers Compensation Records – Completed Claim 1 year after close of case

First report plus other records, when claim is finalized by a lump sum settlement.

Confidential(4)

A.71.c Workers Compensation Records – Long Term Claim 20 years after last payment

First report plus other records where time is lost from work, and case is not finalized by lump sum payment.

Confidential(4)

A.72. E911 Project Lists PermanentRoad name assignments and related documents generated by municipalities' E911 compliance activities.

Not Confidential

67

DISPOSITION SCHEDULE B:

COUNTY CLERKS/COMMISSIONERS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionB.01. Census Reports Permanent

County copies of U.S. census reports. Not Confidential

B.02. Deputy Bonds 6 years after

expirationDeputy sheriff performance bonds. Not

ConfidentialB.03. Petitions for License 6 years

Petitions for licenses granted at the county level. Not Confidential

B.04. Revenue Sharing Records PermanentRecord of revenue sharing funds received and expended by county.

Not Confidential

B.05. Road Petitions - Obsolete 10 yearsPetitions for building or repair of roads. Not

ConfidentialB.06. Road Records - Obsolete Permanent

Records of road construction and repair. Not Confidential

68

DISPOSITION SCHEDULE C:

COUNTY TREASURERS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionC.01. Assessors’ Returns Permanent

Reports completed and filed by assessors on property valuations within county.

Not Confidential

C.02. Canceled Bonds PermanentBonds that have been paid off by the county. Not

ConfidentialC.03. Distribution Book Permanent

Record of tax dollars collected and expended, by line item. Not Confidential

69

DISPOSITION SCHEDULE D:

DISTRICT ATTORNEYS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionD.01. Copies of Court and Law Enforcement Records Destroy when

no longer needed

Copies of court and law enforcement records Not Confidential

D.02. District Attorney’s Notes Retain until any required action has been taken, or until any

substantive information has been filed with appropriate record series

District Attorney’s notes about cases in progress. Confidential per Title 16,

§614D.03. District Court Cases 1 year after

case closedAll documents related to District Court cases. Not

ConfidentialD.04. Extraditions 1 year

Extraditions of offenders apprehended in other jurisdictions. Not Confidential

D.05. Harassment Notice Files 1 yearCase files for Harassment Notices. Not

ConfidentialD.06. Juvenile Cases Treat as

District Court cases

Cases in which the defendant is a juvenile. Confidential(Title 15, Chapter

507, Sub-Section

3308)

70

Series Series Title / Description and Confidentiality Status RetentionD.07. No Complaint Issued Files 1 year

Cases that do not result in a complaint being issued. Not Confidential

D.08. Pleas at Arraignment 1 yearPleas at arraignment. Not

ConfidentialD.09. Subpoenas, Witness List and Fees 1 year

Witness subpoenas, list of witnesses, and fees for subpoenas to be served.

Not Confidential

D.10. Superior Court Cases 1 year after case closed

All documents related to Superior court cases. Not Confidential

D.11. URESA* Files (Now Handled by Dept. of Human Services) No retentionUniform Reciprocal Enforcement of Support Act collections made (formerly) by DA’s office.

Not Confidential

D.12. URESA* Lists Received from Human Services 1 yearUniform Reciprocal Enforcement of Support Act – lists of collections made by Dept. of Human Services.

Not Confidential

Note: The above are minimum retention periods. Records should be retained as long as they continue to facilitate the District Attorney's legal and administrative needs.

71

DISPOSITION SCHEDULE E:

ELECTION RECORDS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Municipal election officials should not destroy records without first checking applicable statutes, which are noted for each series, to make certain that these statutes have not been changed. Questions concerning the retention of election records should be referred to the Division of Elections.

Series Series Title / Description and Confidentiality Status RetentionE.01. Ballots Used for County Elections, Municipal Elections,

Referenda Elections or Special Legislative Elections2 months per Title

30-A, §2528(9)

Ballots used for county elections, municipal elections, referenda elections or special legislative elections. These ballots must be retained for 2 months.

Confidential(Title 21-A,

§22.2)

72

Series Series Title / Description and Confidentiality Status Retention

E.02. Ballots, All Other ElectionsBallots used for all elections except municipal elections, referenda elections or special legislative elections. Ballots with candidates for federal offices must be kept for 22 months unless sooner released to the Secretary of State or required by the Secretary of State to be kept longer.

22 months per Title

21A, §23(7)

Confidential(Title 21-A,

§22.2)

E.03. Incoming Voting Lists2 years per Title 21-A,

§23(7)The list of all of the voters in a municipality which is used by election officials at a voting place to record which voters have been issued a ballot at an election.

Not Confidential

E.04. Posted Notices, Specimen Ballots, Instruction Posters to Which Materials Pertain

Destroy after election per Title 21-A §23(14)

Posted notices concerning election matters, specimen ballots provided for public information, and instruction posters for voter information.

Not Confidential

E.05. Receipt for Certified Copies of Voting List 1 year per Title 21-A,

§23(5)Receipt for certified copies of voting list. Not

Confidential

73

Series Series Title / Description and Confidentiality Status Retention

E.06.a. Record of Receipts for Ballots Issued and Received – State

1 year per Title 21-A,

§23(4)Record of receipts for ballots issued and received. Not

ConfidentialE.06.b. Record of Receipts for Ballots Issued and Received –

Municipal6 months per Title

21-A, §23(7)

Record of receipts for ballots issued and received. Not Confidential

E.07.a Registration and Enrollment Applications - Voters Removed from Voting List

5 years* per Title

21-A, §23(1)

Registration and enrollment cards for voters who have been removed from the current voting list.

*INFORMATIONAL NOTE: Per Title 21-A, §23(1), this should be 2 years instead of 5 years.

Not Confidential

E.07.b Registration and Enrollment Applications - All Other Voters Retain until voter is

removed from voting list per Title

21-A, §23(1)

Registration and enrollment cards for all voters currently active or inactive.

Not Confidential

E.08. Election Records Not Specified in 1-7 2 years per Title 21-A

§23(13)All election records not otherwise listed on this disposition schedule.

Not Confidential

E.09. Municipal Candidate Petitions and Nomination Papers 6 months per Title

30A, §2528(4C)

Petitions filed by candidates for municipal office, and nomination papers filed by citizens seeking to run for municipal office.

Not Confidential

74

Series Series Title / Description and Confidentiality Status RetentionE.10. Municipal Referendum Petitions 2 years per

Title 30-A, §2528(5)

Petitions filed by citizens desiring to bring matters to municipal referendum.

Not Confidential

E.11. Municipal Elections Campaign Finance Reports Filed WithMunicipality (Population 15,000 or Less)

8 years per MRSA Title

21-A, §2502

The campaign report of monies received and expended for a Maine

municipal election campaign.

Not confidential

75

DISPOSITION SCHEDULE F:

FIRE DEPARTMENTS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579 in Historical Note), 5 U. S. C., § 552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. § 1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionF.01. Auto Fires 5 years

Fire calls involving motor vehicles rather than structures. Not Confidential

F.02.a Bomb Threat Reports - Identified Until perpetrator

reaches age 80*

Bomb threats in which the perpetrator is identified. Not Confidential

F.02.b Bomb Threat Reports - Anonymous 7 yearsBomb threats in which the perpetrator is not identified. Not

ConfidentialF.03. Complaints File with

inspectionsComplaints of fire hazards, made to Fire Department. Not

Confidential

76

Series Series Title / Description and Confidentiality Status RetentionF.04. E-Bills (Firefighters Hired for Outside Jobs) 2 years

Bills for services of firefighters working temporarily for other employers.

Not Confidential

F.05. Equipment Maintenance Records 2 yearsRepairs and routine maintenance of departmental equipment, including ladders, vehicles, etc. Records should not be destroyed if a claim against the Department is pending or anticipated, and the records would be needed as evidence.

Not Confidential

F.06. False Alarms 2 yearsFalse alarm reports. Not

ConfidentialF.07. Fire Dispatch Records 6 years

Record of truck(s) dispatched in response to a reported fire. Not Confidential

F.08. Fire Prevention Files (also called Inspection Files) Life of building

plus 6 years

Fire inspections on buildings within municipality. Not Confidential

F.09. Fire Prevention Permits Current year

Permits reissued each year for possession of explosives, flammables.

Not Confidential

F.10. Forest Fire Reports 3 yearsReport of a possible forest fire. Not

ConfidentialF.11. Form Letter to Owner of Building Where Fire Has Occurred -

Obsolete2 years

Letter sent to the owner of any building where a fire has occurred Not Confidential

F.12. General Notices PermanentNotices issued to all firefighters by chief. Not

ConfidentialF.13. General Orders Permanent

Orders issued by the chief to be followed until canceled. Not Confidential

F.14. Investigation Files PermanentInvestigation of fires that have taken place within municipality. Confidential

(Title 16, Section 614)

77

Series Series Title / Description and Confidentiality Status RetentionF.15. Incident Reports 2 years

Answers to alarms. Not Confidential

F.16. Juvenile Fire-Starter Case Files Until former juvenile is 23 years

oldRecords of juveniles who have started fires, and of steps taken to prevent recurrence.

Confidential(Title 15, Chapter

507, Sub-Section

3308)F.17. Manpower Reports 10 years

Report of all firefighters on duty and/or responding to calls. Not Confidential

F.18. Monthly Hazard Reports 2 yearsafter

expirationReport of hazards discovered during monthly safety inspections. Not

ConfidentialF.19. Narrative Reports 6 years

Report on a fire, prepared by the officer in charge. Describes the actions taken and the cause, property owner, dollar loss etc. This is made available to the owner and insurance companies.

.

Not Confidential

F.20. Official Reports Other Than Fire 1 yearReports, such as theft from vehicle, created by Fire Department but not concerning a fire.

Not Confidential

F.21. Run Sheets 6 yearsForm completed each time a truck leaves the station. Includes ambulances when these are municipally operated.

Not Confidential

EXCEPT when

medical record

information would be

disclosed (4)

F.22. Sprinkler Records PermanentRecords of sprinkler systems in buildings protected. Not

Confidential

78

Series Series Title / Description and Confidentiality Status RetentionF.23. Statistics 1 year

Sent to chief. Not Confidential

F.24. Structure Fires PermanentPermanent records of fires that have damaged or destroyed buildings.

Not Confidential

F.25. Underground Storage Tanks 25 years after

removal of tank

All records documenting location, construction, and condition of any underground storage tank (which would generally be used, or have been used, for fuel).

Not Confidential

F.26. Woodstove Inspections Until stove is removed

Inspections of woodstoves to verify their safe installation. Not Confidential

*Until age 80 IF State Police Bureau of Identification confirms no contact with Criminal Justice System in last 5 years.

79

DISPOSITION SCHEDULE G:

LICENSES AND PERMITS

Note: This schedule lists licenses and permits that local government agencies are required to maintain, plus licenses and permits that may be maintained at the local government agency's option. Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionG.01. Air Emissions License Applications Until license

expiresLicenses granted to businesses that discharge atmospheric pollutants.

Not Confidential

G.02. Alcoholic Beverages (On Premises Consumption) Current yearLicenses for businesses to sell alcoholic beverages for on premises consumption.

Not Confidential

G.03. Amusement Devices/Adult Amusement Devices 3 yearsLicenses for various amusement devices. Not

ConfidentialG.04. Auctions 1 year

Auction permits. Not Confidential

G.05. Beano 1 yearPermits to hold beano games. Not

ConfidentialG.06. Billiard, Pool, Bagatelle Rooms 3 years

Licenses to operate billiard, pool, or bagatelle rooms. Not Confidential

G.07. Bottle Clubs 3 yearsLicenses to permit consumption of liquor brought to the premises, not sold there.

Not Confidential

G.08. Bowling Alleys 3 yearsPermits to operate bowling alleys. Not

ConfidentialG.09. Buildings Used for Public Assembly 3 years

Permits for buildings used for public meetings. Not Confidential

80

Series Series Title / Description and Confidentiality Status RetentionG.10. Burial Permits See

Disposition Schedule P

Permit to bury a human body. Not Confidential

G.11.a Building – Permit and File Information Life of building plus

one yearBuilding permit and filing information. Not

ConfidentialG.11.b Building – Plans and Specifications 6 years

Detailed plans and specifications accompanying building permit application.

Not Confidential

G.11.c Building – Never Built 6 yearsApplication and all supporting detail when the building is never constructed.

Not Confidential

G.12. Burning 3 yearsPermit to kindle a fire within a municipality’s limits, within stated limitations.

Not Confidential

G.13. Cable Television Franchise 6 years after expiration

Franchise granted to company to supply cable television service to subscribers within municipality.

Not Confidential

G.14. Carnival or Circus 6 yearsafter

expirationPermit to hold carnival or circus. Not

ConfidentialG.15. Clams/Shellfish 3 years

License to harvest clams or other shellfish. Not Confidential

G.16. Closing Out Sales 5 yearsPermit to hold a going out of business or other type of closing out sale.

Not Confidential

G.17. Conversion of Seasonal Dwelling Life of Building

Permit to convert a seasonal dwelling for year-round use. Not Confidential

G.18.a. Dogs/Kennels – Licenses 3 yearsLicense to keep a dog, or license to keep up to a specific number of dogs.

Not Confidential

81

Series Series Title / Description and Confidentiality Status RetentionG.18.b. Dogs/Kennels – Rabies Vaccination Certificates Keep until

expired, for dog

vaccinations; cat

vaccinations need not be

retained at allCopy of rabies vaccination certificate sent by Dept. of Agriculture to municipal office.

Not Confidential

G.19. Drains, Connecting Private to Public PermanentLicense to connect a private drainage pipe to a public system. Not

ConfidentialG.20. Driveway Permits Until driveway

no longer exists

Permit to construct a driveway (sometimes called a Curb Cutting Permit).

Not Confidential

G.21 Eating Establishments 3 yearsPermit to operate an eating establishment. Not

ConfidentialG.22. Electrical Equipment/Installations 3 years

Permit to install new electric service, or to upgrade or otherwise substantially alter an existing installation.

Not Confidential

G.23. Explosives, Keeping and Transportation of 6 yearsPermit to transport or store explosives. Not

ConfidentialG.24. Farmers Market 3 years

Permit to operate a farmers market. Not Confidential

G.25. Fireworks Displays 6 yearsContracts entered into by local government agencies for the purchase of goods, services, leasing of property, etc.

Not Confidential

G.26. Fishing 3 yearsLicense to catch fish. Includes fishing license reports to Dept. of Inland Fisheries and Wildlife.

Not confidential

G.27. Flea Markets/Flea Market Dealers 3 yearsPermit to operate a flea market, or to sell goods at a flea market. Not

ConfidentialG.28. Food Service Establishments 3 years

License to operate a food service establishment such as a restaurant.

Not Confidential

82

Series Series Title / Description and Confidentiality Status RetentionG.29. Horse Drawn Cabs 3 years

License to operate a horse drawn cab. Not Confidential

G.30. Hunting 7 yearsLicense to hunt deer, moose, birds, or other wildlife. Includes hunting license reports to Dept. of Inland Fisheries and Wildlife.

Not confidential

G.31. Innkeepers 3 yearsLicense to operate a lodging establishment. Not

ConfidentialG.32. Installations in Public Right of Way (Water, Sewer, Natural

Gas, etc.)1 year after

installation is removed

Water, sewer, natural gas, and other utility service installations that cross a public right of way.

Not Confidential

G.33. Junk Collector/Junk Dealer 3 yearsPermit to operate a junk business (other than for motor vehicles) or to hold goods that would normally be stocked by such a business.

Not Confidential

G.34. Junkyards/Automobile Graveyards 5 yearsPermit to operate a junkyard or other business that stocks inoperative motor vehicles.

Not Confidential

G.35. Itinerant Vendors/Transient Sellers of Consumer Merchandise

3 years

License to sell consumer merchandise without establishing a permanent place of business.

Not Confidential

G.36. Lodging Houses 3 yearsLicense to operate a lodging house. Not

ConfidentialG.37. Lunch Wagons 3 years

License to operate a lunch wagon. Not Confidential

G.38. Massage Establishment 3 yearsLicense to operate a massage establishment. Not

ConfidentialG.39. Massage Therapist 3 years

License to perform massage therapy. (This is a State license. Some municipalities require that a copy be filed locally.)

Not Confidential

G.40. Mobile Home/Over-Limit Vehicles – Moving Permits 3 yearsIncludes both claims filed against local government agency, and claims filed against others by local government agency.

Not Confidential

83

Series Series Title / Description and Confidentiality Status RetentionG.41. Mobile Home Parks 2 years

after park isdiscontinued

Permit to operate a mobile home park. Not Confidential

G.42. Moorings 3 yearsPermit to place and use a boat mooring. Not

ConfidentialG.43. Motion Picture Theaters 3 years

Permit to operate a motion picture theater. Not Confidential

G.44. Municipal Building Permits for State Buildings Life of building plus

one yearBuilding permit for a structure owned by the State of Maine. Not

ConfidentialG.45. Music, Dancing, Special Entertainment 3 years

Permit for a private club to allow performances by musicians, hold dances, etc..

Not Confidential

G.46. Oil Terminal Facility Applications Until license expires

State-licensed facility for storage of fuel oil. Not Confidential

G.47. Partnerships, Withdrawals, and Sole Proprietorships Until 6 years after the business

ceases operations

Record of how each business operating within the municipality is organized.

Not Confidential

G.48. Pawnbrokers 3 yearsPermit to operate a pawn shop. Not

ConfidentialG.49. Pinball Machines 3 years

Permit to have a pinball machine operating on premises. Not Confidential

G.50.a Plumbing – Prior to 1974 No retentionPlumbing permits granted before 1974, with all related documentation.

Not Confidential

G.50.b Plumbing – 1974 and After – Inside Building Only 4 yearsPlumbing permits granted in 1974 and afterward, for inside of building only.

Not Confidential

84

Series Series Title / Description and Confidentiality Status RetentionG.50.c Plumbing – 1974 and After – External (Outside Building) Permanent

Plumbing permits granted in 1974 and afterward, for work done outside of building.

Not Confidential

G.51. Poles and Wires See Utility Location Permits

See Utility Location Permits. Not Confidential

G.52. Public Building Construction/Public Accommodation Occupancy (Accessibility for the Disabled)

Life of building plus

1 yearPermit to construct a public building or public accommodation that must be accessible to the disabled.

Not Confidential

G.53. Public Exhibitions 3 yearsPermit to hold a public exhibition. Not

ConfidentialG.54. Public Markets 3 years

Permit to operate a public market. Not Confidential

G.55. Rendering Facilities 3 yearsPermit to operate a rendering facility. Not

ConfidentialG.56. Roller Skating Rinks 3 years

Permit to operate a roller skating rink. Not Confidential

G.57. Secondhand Dealers 3 yearsPermit to operate a business specializing in resale of personal property.

Not Confidential

G.58. Septage Disposal Sites PermanentPermit to dispose of human waste on a certain property. Not

ConfidentialG.59. Shooting Galleries 3 years

Permit to operate a shooting gallery. Not Confidential

G.60. Shoreland Zoning Permits/Zoning Permits Generally 3 years after expiration

Permit for an appropriate use within a particular zone of a municipality, including within a shoreland zone.

Not Confidential

G.61. Special Amusements 3 yearsPermit required before licensee for sale of liquor to be consumed on the premises may allow any live music, dancing or entertainment of any sort.

Not Confidential

85

Series Series Title / Description and Confidentiality Status RetentionG.62. Street Excavations 3 years after

expirationPermit to dig in a street. Not

ConfidentialG.63. Subdivisions 3 years after

expirationPermit to divide a parcel of land into smaller lots for resale or development.

Not Confidential

G.64. Taxicabs/Vehicles for Hire 3 yearsIncludes both taxicab business licenses and driver's licenses. Not

ConfidentialG.65. Trailer Parks see Mobile

Home ParksSee Mobile Home Parks (since “trailer” in this case refers to a mobile home).

Not Confidential

G.66. Transient Sellers 3 yearsSee G.35, Itinerant Vendors/Transient Sellers of Consumer Merchandise.

Not Confidential

G.67. Trapping 7 yearsLicense to trap animals, as permitted by Dept. of Inland Fisheries and Wildlife. Note: no longer issued at municipal level.

Not Confidential

G.68. U.C.C. (Uniform Commercial Code) 10 years (or 5 years after maturity of

instrument)Filing with Corporations, Elections & Commissions (Dept. of the Secretary of State) to document debt secured by personal property.

Not Confidential

G.69. Utility Location Life of pole plus 1 year

Pole permit. Not Confidential

G.70. Victualers 3 yearsLicense to sell food already prepared for human consumption. Not

ConfidentialG.71. Waste Transfer 5 years

Permit to transport trash. Not Confidential

G.72. Weapons, Concealed - Obsolete 5 yearsPermit to carry a concealed weapon, including the related case file. This is now done by the Dept. of Public Safety, so retention period applies to those permits and case files still on site at municipalities.

Not Confidential

86

Series Series Title / Description and Confidentiality Status RetentionG.73. Wetlands Applications Until after

public hearingApplication to drain or otherwise alter a wetland. Since this is handled by the Dept. of Environmental Protection, it only needs to be documented at the municipal level until the public hearing process has been completed.

Not Confidential

G.74. Yard Sale 3 yearsPermit to sell personal property from premises not otherwise licensed for this purpose.

Not Confidential

87

DISPOSITION SCHEDULE H:

LAW ENFORCEMENT

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579 in Historical Note), 5 U. S. C., § 552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. § 1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionH.01.a Accident records, Nonfatality 25 years

following accident

Copies of records maintained by Traffic Division, State Police, for traffic accidents in which no one was killed. Retained long enough so that any juvenile involved has time to attain majority and file suit before records are destroyed.

Not Confidential

H.01.b Accident records, Fatality 15 years following accident

Copies of records maintained by Traffic Division, State Police, for traffic accidents resulting in at least one death.

Not Confidential

88

Series Series Title / Description and Confidentiality Status RetentionH.02. Arrest Records Until age 80

and State Police Bureau

of Identification confirms no contact with

criminal justice system

for past 5 years

Record of arrest, including mug shots and fingerprints. Not Confidential

H.03. Complaint Logs/Cards PermanentLog kept in any format by law enforcement agency, recording all complaints.

Not Confidential

H.04. Communications Records 2 yearsLog of radio transmissions. Also called Dispatch Records. Not

ConfidentialH.05.a Investigative Case Records, Homicides Permanent

Investigation files for homicides. Confidential(Title 16,

Section 614)H.05.b Investigative Case Records, Criminal Cases/Cleared Until age 80

and State Police Bureau

of Identification confirms no contact with

criminal justice system

for past 5 years

Investigation files for criminal cases that have been closed. Confidential(Title 16,

Section 614)

89

Series Series Title / Description and Confidentiality Status RetentionH.05.c Investigative Case Records, Criminal Cases/Open Until age 80

and State Police Bureau

of Identification confirms no contact with

criminal justice system

for past 5 years

Investigation files for criminal cases that remain open. Confidential(Title 16,

Section 614)H.05.d Investigative Case Records, Sudden/Accidental Death Permanent

Investigation files for sudden or accidental deaths (not classified as homicides).

Confidential(Title 16,

Section 614)H.05.e Investigative Case Records, All Other 7 years

All other investigative cases not covered under H.05.a, H.05.b, H.05.c, or H.05.d.

Confidential(Title 16,

Section 614)H.06. Juvenile Records Until former

juvenile is 23 years old

Records of juveniles who are the subject of investigations. Confidential(Title 15, Chapter

507, § 3308)H.07. Pawn Slips 6 years

Record of pawn shop activity. Not Confidential

H.08. Summonses Issued by Animal Control Officers and Local Shellfish Wardens

3 years

Summonses issued by local animal control officers and shellfish wardens.

Not Confidential

H.09. Telecommunication Terminal Logs (Teletype) 2 yearsTeletype from telecommunication terminals. Not

ConfidentialH.10.a Telecommunications Terminal Messages (Master Copy

Retained by State Police) - NCIC III Inquiry LogsUntil NCIC

auditNational Crime Information Center inquiry logs. Not

Confidential

90

Series Series Title / Description and Confidentiality Status RetentionH.10.b Telecommunications Terminal Messages (Master Copy

Retained by State Police) – All OtherCurrent plus

one yearAll telecommunications terminal messages except NCIC. Cannot be destroyed if METRO (Maine Telecommunications and Radio Operations) Manual requires otherwise.

Not Confidential

H.11. Uniform Crime Reports Current month plus

one yearUniform Crime Reports. Not

ConfidentialH.12. Uniform Traffic Ticket and Complaint Until final

court disposition

Traffic tickets. Not Confidential

*Until age 80 IF State Police Bureau of Identification confirms no contact with Criminal Justice System in last 5 years.

91

DISPOSITION SCHEDULE I:

ASSESSOR’S RECORDS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionI.01. Callbacks 5 years

Record of property owners not available to assessor on first visit, who must be called to make an appointment so the assessor can gain access to the property.

Not Confidential

I.02. Declaration of Value Forms 5 yearsForms filed as part of real estate transfer showing selling price of property.

Not Confidential

I.03. Forest Fire Suppression Tax Landowner Return - Obsolete No retention

Obsolete program to fund suppression of forest fires. Not Confidential

I.04. Personal Property 6 yearsLists of taxable personal property owned by residents of municipality.

Not Confidential

I.05. Property Transfers and Property Listings PermanentRecord of property transferred from owner to owner, and lists of real property in the municipality.

Not Confidential

I.06. Revaluations 6 yearsDetail created by the process of re-valuing properties. Before these records can be destroyed, the summary information (new valuation and effective date) should be incorporated in the Assessor’s permanent records.

Not Confidential

I.07.a Tax Abatement Records, Municipal – Application for Abatement

3 years

Applications for tax abatement filed with municipality. Not Confidential

I.07.b Tax Abatement Records, Municipal – Record of Abatements Granted/Refused

Permanent

Record of abatements granted and refused by municipality. Not Confidential

92

Series Series Title / Description and Confidentiality Status RetentionI.08. Tax Exemption Records 6 years

This series is defined as any record that states the name of a person or business granted an exemption; the amount of that exemption, and the reason for granting it. It includes Applications for Homestead and Veterans’ Exemptions. Tax exemptions must be recorded in the Valuation Book in order for records described in this item to be destroyed.

Not Confidential

I.09. Tax Maps Retain Maps showing municipalities’ lot numbers, owners, etc. Not

ConfidentialI.10. Tree Growth Files 3 years

after last parcel or

portion of a parcel

included in original filing is totally

withdrawn from

programProgram to provide tax incentive to owners of forested land to manage it per guidelines.

Not Confidential

I.11. Valuation Records PermanentValuation book, valuation cards, or any method used to track properties for that purpose. It is not necessary to retain a separate valuation list permanently, although one may be created for convenient use.

Not Confidential

93

DISPOSITION SCHEDULE J:

REGISTER OF DEEDS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionJ.01. Attachments Permanent

Attachments filed against property for repayment of debt. Not Confidential

J.02. Bankruptcies PermanentBankruptcy filings and related documents. Not

ConfidentialJ.03. Deeds Permanent

Deeds to real property. Not Confidential

J.04. Discharges PermanentDischarges of indebtedness. Not

ConfidentialJ.05. Foreclosures Permanent

Foreclosures; i.e., seizing of property to satisfy debt. Not Confidential

J.06. Instruments PermanentLegal documents not otherwise identified on this schedule, also filed with Register of Deeds.

Not Confidential

J.07. Liens PermanentNotice of debt filed to prevent sale of encumbered property. Not

ConfidentialJ.08. Mortgages and Discharges Permanent

Document(s) recorded to provide legal evidence of a mortgage against real property, and document(s) confirming that a mortgage has been discharged, including supporting schedules, required legal forms, and correspondence for mortgages and mortgage discharges filed with Registry.

Not Confidential

J.09. Plans PermanentBlueprints, specifications, drawings, and related documents submitted for recording.

Not Confidential

94

DISPOSITION SCHEDULE K:

REGISTER OF PROBATE

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579 in Historical Note), 5 U. S. C., § 552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. § 1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionK.01. Adoptions Permanent

Adoptions processed by Probate Court prior to 8/8/1953 are not confidential. Adoptions processed on or after that date are confidential.

ConfidentialTitle 18-A

§9-310K.02. Application for Emergency Involuntary Admission to a Mental

Hospital1 year

The “blue” form used for this purpose. ConfidentialTitle 34-B

§1207K.03. Changes of Name Permanent

Changes of name requested from Probate Court. Not Confidential

K.04. Correspondence with Judge of Probate Concerning Marriage of Persons Under 16 Years of Age

2 years

Correspondence with Judge above marriages involving persons less than 16 years old.

Not Confidential

95

Series Series Title / Description and Confidentiality Status RetentionK.05. Decedents’ Estates, Formal and Informal Permanent

Filing of estate papers with Register of Probate, including wills, inventories, etc. This does not include wills deposited for safekeeping only, since these are private property and not public records.

Not Confidential

K.06. Docket Books PermanentDockets of all Probate Court cases. Not

ConfidentialK.07. Miscellaneous Petitions Permanent

Petitions for matters not covered by other series, such as authority to handle custody and control of remains.

Not Confidential

K.08.a Notice of Publication - Affidavits PermanentDocumentation that notice was published when the law requires this.

Not Confidential

K.08.b Notice of Publication – Newspaper Clippings 1 yearClippings containing published notices. Not

ConfidentialK.09. Proceedings Under Rule 81 Permanent

Proceedings taken to District or Superior Court. Not Confidential

K.10a. Protective Proceedings, Emergency Child Protective PermanentCases in which Probate Court is petitioned to provide a guardian or conservator for an individual lacking capacity.

Confidential(1), (4)

K.10b. Protective Proceedings, Guardians and Conservators for Minor Children

Permanent

Cases in which Probate Court is petitioned to provide a guardian or conservator for an individual lacking capacity.

Not Confidential

K.10c. Protective Proceedings, Guardians and Conservators for Individuals for Adults

Permanent

Cases in which Probate Court is petitioned to provide a guardian or conservator for an individual lacking capacity.

Not Confidential

K.11. Recording Information Not Duplicated in Other Series PermanentBooks or film of incoming documents. Not

ConfidentialK.12. State of Maine Tax List Form No

retention (obsolete)

List of heirs who may be liable for inheritance taxes. Not Confidential

K.13. Surrender and Release Filings PermanentFiling in which a birth mother surrenders custody of her child to the Dept. of Human Services. Confidential only if related to an adoption filed on or after 8/8/1953.

ConfidentialTitle 18-A

§9-310

96

Series Series Title / Description and Confidentiality Status RetentionK.14. Trusts Permanent

Trusts filed with Probate Court. Not Confidential

K.15. Waiver of Waiting Period Between Filing of Marriage Intentions and Issuing of License - Obsolete

2 years

Waiver granted so a marriage can take place before the waiting period normally required has been completed.

Not Confidential

97

DISPOSITION SCHEDULE L:

SCHOOL RECORDS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

Please note: This disposition schedule applies to all school records, not to the records of exceptional students only. Chapter 101: Maine Special Education Regulations sets additional requirements. The passage relating specifically to retention and destruction of records of exceptional students is quoted below for convenience purposes.

15.10 Destruction of Information

The School Administrative Unit shall inform parents when the S.A.U. has determined that education records are no longer needed to provide educational services to the student or to demonstrate that the S.A.U. has provided the student with a free appropriate public education as required by these rules. Such records must be destroyed at the request of the parents or may be turned over to parents upon their request. However, a permanent record of a student's name, address, phone number, grades, attendance record, classes attended, grade level completed, and year completed shall be maintained without time limitations.

NOTE: Education records pertaining to students with disabilities may be useful in the future to the student or their parents if application is made for federal benefits.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579 in Historical Note), 5 U. S. C., § 552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. § 1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

98

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionL.01.a Accident Reports – Faculty and Other Employees of School

SystemTreat as

transitory personnel

records (see

Disposition Schedule

A)Accident reports completed when faculty members or other employees are injured on school property.

Confidential(4)

L.01.bAccident Reports – Students Treat as part of Health

RecordAccident reports completed when students are injured on school property.

Confidential(4)

L.01.c Accident Reports – Others Injured on School Property 6 yearsAccident reports completed when anyone not a faculty member, other employee, or student is injured on school property.

Confidential(4)

L.02.a Administrative Files (Including Files Kept by Teachers, Principals, and Superintendents) – Nonrecord

Retain current

information only

Informational copies of records. Not Confidential

L.02.b Administrative Files (Including Files Kept by Teachers, Principals, and Superintendents) – Transitory

Current year

Faculty committees, extracurricular activities, phone logs, duty rosters, etc.

Not Confidential

except as may be

provided by 20-A MRSA

6101(2)

99

Series Series Title / Description and Confidentiality Status RetentionL.02.c Administrative Files (Including Files Kept by Teachers,

Principals, and Superintendents) – SubstantiveMinimum of

6 yearsAccreditation Committee, Teacher Support Team, etc.; files which document policy-making and policy-implementing activities.

Not Confidential

except as may be

provided by 20-A MRSA

6101(2)L.02.dAdministrative Files (Including Files Kept by Teachers,

Principals, and Superintendents) – Policy (Primarily Principals and Superintendents)

Permanent

Policies such as the following: governing student behavior; governing student safety and well-being; curriculum content, emphasis, or themes; extracurricular activities; other policies documenting school or district educational development.

Not Confidential

L.02.e Administrative Files (Including Files Kept by Teachers, Principals, and Superintendents) – Historical

Permanent

Materials documenting unique aspects or special traditions of the school or district.

Not Confidential

L.03. Adult Education Grants Until closed plus 6 years

Grants received for use in adult education programs. Not Confidential

L.04. Adult Education Student Records (Active and Inactive) PermanentRecords of grades, courses taken, attendance, etc. for students participating in adult education programs.

Confidential(3)

L.05. Annual Registration/Emergency Cards Current year

Cards completed each year to register students for school and to serve as a source of emergency contact information (i.e., who should be called if student becomes ill or is injured, or for any other reasons needs to be picked up during the course of the school day).

Confidential(3)

L.06.a Athletic Program Records – Athletic Trainer/Sports Medicine File with student

insurance forms

Sports program records related to use of trainers, and to sports medicine.

Confidential(3)

100

Series Series Title / Description and Confidentiality Status RetentionL.06.b Athletic Program Records – Budget Detail 2 years

Fiscal records for athletic/sports programs. Not Confidential

L.06.c Athletic Program Records – Coaches Reports/Summary of Season

Permanent

Reports of all games played and their outcomes. Not Confidential

L.06.d Athletic Program Records – Income From Games 4 yearsReport of income earned from games. Not

ConfidentialL.06.e Athletic Program Records – Injury Reports File with

health record when

athletic program use has

endedReports completed whenever a student is injured during participation in program.

Confidential(3, 4)

L.06.f Athletic Program Records – Permission Slips 6 yearsSlips signed by student’s parent or guardian giving permission for participation in any part of the program.

Confidential(3)

L.06.g Athletic Program Records – Sports Participation Records File with permanent

record when

athletic program use has

endedAll records not specified in L.06.a – L.06.f that document participation by students in the program.

Confidential(3)

L.07. Attendance Cards Current year

Used to notify administration of student absences; information transferred to permanent record.

Confidential(3)

L.08. Attendance Letters Current year

Sent by school office to parents whose students have accumulated excessive absences.

Confidential(3)

101

Series Series Title / Description and Confidentiality Status RetentionL.09. Buildings and Grounds Records Life of

facility (or as long as owned by

School Dept.)

Records of maintenance and improvements made by staff employed for that purpose. Destroy records when facility no longer exists, or transfer records to new owner.

Not Confidential

L.10. Bus Transportation Forms 2 yearsRecord of bus taken by each student for the year. Confidential

(3)L.11.a Chapter One Records – Analytical Information 2 years

Statistical (summary) information from Chapter One programs. Not Confidential

L.11.bChapter One Records – Individual Student Records PermanentRecords of each student enrolled in a Chapter One program. Confidential

(3)L.12. Child Abuse Reports 10 years

Reports of suspected abuse that are required by law; retention period is the same as at Dept. of Human Services, where these reports are received and investigated.

Confidential(3)1

L.13. Children’s Medications and Behavioral Plans File with health

record until 6 years

after student reaches age 18

Medications and behavioral plans for students requiring such assistance.

Confidential(3)

L.14. Class Standing Lists PermanentLists of students in order of class standing. Not

ConfidentialL.15.a Curriculum (Syllabi, Lesson Plans, etc.) – Routine Materials

Used by TeachersRetain current

information only

Routine curriculum materials used by teachers. Not Confidential

1 Title 22 MRSA section 4008 covers child abuse records maintained by DHS, but does not mention copies at the local school level

102

Series Series Title / Description and Confidentiality Status RetentionL.15.b Curriculum (Syllabi, Lesson Plans, etc.) – Innovative, New,

Experimental Materials (Introductory Year Only)Permanent

The introductory year only for innovative, new, or experimental curriculum materials.

Not Confidential

L.16. Discipline Records See: notes on students

Records of disciplinary contact between administrators and students.

Confidential(3)

L.17. District Registration Cards (Tuition Students) Current year

Cards documenting enrollment in a school district by each student who comes into it on a tuition basis.

Confidential(3)

L.18. Driver Education Records 2 yearsRecords generated by student participation in driver education programs.

Confidential(3)

L.19. Excuse Notes (Late/Absent/Dismissed) Current year

Notes from parents or guardians explaining student lateness, absence, or need for dismissal during the school day.

Confidential(3)

L.20. Faculty Meetings/Department Head Meetings, Agendas and Minutes

Current year

Minutes, agendas, etc. for faculty meetings and department head meetings.

Not Confidential

L.21. Federal and State Grants Until closed plus 6 years

Federal and state grant case files. Not Confidential

L.22. Food Service Files 3 yearsAll records of school food service operations. Not

ConfidentialL.23. GED Student Records Permanent

Federal, state and privately funded grants sought and/or obtained by local government agencies: applications, reports, and supporting documentation.

Confidential(3)

103

Series Series Title / Description and Confidentiality Status RetentionL.24. Health Records 6 years

after student reaches

age 18, or return to

parent or student

Records of student illnesses, injuries, vaccinations, etc. Confidential(3), (4)

L.25. Home Instruction Records PermanentRecords of those students being home schooled, whether temporarily or on-going.

Confidential(3)

L.26. Honor Rolls PermanentLists of students making the honor roll. Not

ConfidentialL.27. Individual Student (“Permanent”) Records Retain at

school last

attendedWhen a student transfers to a new school, the permanent record folder may be transferred or copies provided in lieu of transfer. These files normally include a student’s health record, attendance, classes taken, grades received.

Confidential(3)

L.28. Insurance Correspondence 6 yearsCorrespondence with the school’s insurers. Not

ConfidentialL.29. Insurance Policies See A.39a.

and A.39.bPolicies issued to the school department for coverage of various hazards.

Not Confidential

L.30. Inventories Current year

Books, furniture, etc. Not Confidential

L.31. Kindergarten Screening 5 yearsRecords created as children are evaluated against set standards to determine their readiness for enrollment in kindergarten.

Confidential(3)

104

Series Series Title / Description and Confidentiality Status RetentionL.32. Legal Files Until issue

is resolved plus 6 years

Records of all legal actions in which the school department has been involved.

Not Confidential

L.33. Legislative Information 4 yearsRecords of all legislation, pending or passed, that may affect the school department.

Not Confidential

L.34.a Library Records – Audio Tape Circulation Until item is returned

Circulation records for audio tapes (and other audio format library materials).

Not confidential

L.34.bLibrary Records – Book Circulation Until item is returned

Circulation records for library books. Not confidential

L.34.c Library Records – Scrapbooks PermanentScrapbooks created by school library. Not

ConfidentialL.34.dLibrary Records – Videotape Circulation Until item is

returnedCirculation records for videotapes (and other audiovisual format library materials, such as movies on CD or DVD).

Not confidential

L.34.e Library Records – Yearbooks PermanentNoncirculating record copy maintained by school (whether or not as part of its library collection).

Not Confidential

L.35. Local Copies of Reports Filed With the Maine Dept. of Education

6 years

DOE reports filed – local copy. Not Confidential

L.36. Maintenance Records 3 years plus

currentRecords of the school’s maintenance department. Not

ConfidentialL.37. Migrant Records File in

permanent record folder

Records documenting the part of the student population classified as “migrant” (i.e., children of migrant workers), including services provided to them.

Confidential(3)

105

Series Series Title / Description and Confidentiality Status RetentionL.38.a Notes on Students – Disciplinary – Infrequent Contact Current

yearNotes kept by faculty members or administration concerning disciplinary contact with students who require this only occasionally during the course of the school year. Exceptions may be made when the disciplinary contact concerns a serious infraction or issue, in which case the notes shall be retained as described in L.38.b.

Confidential(3)

L.38.bNotes on Students – Disciplinary – Frequent Contact Retain until student

graduates or leaves

schoolNotes kept by faculty members or administration concerning disciplinary contact with students who require this repeatedly during the course of the school year.

Confidential(3)

L.38.c Notes on Students – Nondisciplinary No retention

Notes kept by faculty members or administration concerning contact with students that is not disciplinary in nature.

Nonrecord per FERPA

L.39. Parents Night Files Current year

Records of attendance at parents’ night events, and of programs offered on those occasions.

Not Confidential

L.40. Permission Slips 6 yearsPermission slips signed by parents allowing their students to participate in school activities such as field trips, viewing of films, etc.

Confidential(3)

L.41. Permanent Record Cards PermanentCards created for each student showing essential information such as name, gender, home address, etc.

Confidential(3)

L.42. Permanent Record Folders PermanentSee: Individual student records. Confidential

(3)

106

Series Series Title / Description and Confidentiality Status RetentionL.43. Program Files 3 years

plus current

Subject files maintained by school officials on various programs, such as Adult Education, Industrial Arts; Business Education, etc.

Not Confidential

L.44. Record of Records Released PermanentRecord (including date and recipient) of all records released by the school or school department.

Confidential(3)

L.45. Registrations for Recreational Activities 6 yearsRegistrations for students also enrolled in recreational activities. Confidential

(3)L.46. Retention Lists Permanent

List of students retained instead of being promoted. Confidential(3)

L.47. Retention Review Committee Files PermanentFiles of review committee that determines whether or not a student should be retained instead of promoted.

Confidential(3)

L.48. Schedule Cards 1 year plus current

Cards or computer files containing each student’s class schedule for the year.

Confidential(3)

L.49. Scholarship Awards Current year

Record of scholarships awarded to students. Not Confidential

L.50.a School Board Minutes PermanentAll official school board meetings. Not

ConfidentialL.50.bSchool Board – Committee Minutes Permanent

Minutes of committees appointed by school board. Not Confidential

L.50.c School Board – Reports and Special Studies Commissioned by the Board, That Relate to Policy, Curriculum, Or Have a Major Impact on the Community

Permanent

Reports and special studies commission by the school board if they relate to policy, curriculum, or have a major impact on the community of which the school is part.

Not Confidential

L.50.dSchool Board – Accreditation Reports PermanentAccreditation reports. Not

Confidential

107

Series Series Title / Description and Confidentiality Status RetentionL.50.e School Board – Crisis Response Plans 5 years

after each revision

Title 20-A §1001requires that each school board annually approve a plan developed by the school unit administration working with local public safety, mental health and law enforcement officials to deal with crises and potential crisis situations involving violent acts by or against students in each school in the school administrative unit.

Not Confidential

L.51. School Construction Records Life of building (or

until no longer

owned by school dept.)

Plans and related documents that provide history of school construction projects. Destroy records when building no longer exists, or transfer records to new owner.

Not Confidential

L.52. School Lunch RecordsSee Food Service Files.

L.53. School Registers (Attendance) PermanentAttendance registers. Confidential

(3)L.54. School Trust Fund Records Permanent

Records of all trust funds supporting school. Not Confidential

L.55. Special Education Students Records PermanentRecords of students enrolled in or eligible for special education programs and services that would otherwise be retained permanently shall not be included in the destruction authority provided by Dept. of Education Chapter 101, as noted at the beginning of Disposition Schedule L.

Confidential(3)

L.56. Student Activity Accounts 3 yearsAccounting records for funds collected to support student activities.

Not Confidential

108

Series Series Title / Description and Confidentiality Status RetentionL.57. Student Assistance Team Records 6 years

after student reaches age 18

Student Assistance Teams perform the same function for students that an Employee Assistance Program performs for adults; the teams work to locate the right help for public school students whose performance is being affected by nonacademic problems such as family alcoholism, etc. These records should not be made part of the Individual Student (“permanent”) Record, because in most cases the problem will have been dealt with and a record should not remain in the person’s permanent file.

Confidential(3)

L.58. Student ContractsContracts between students and teachers or administrators for improvement of problem behaviors.

See Notes on Students.

L.59. Student Insurance Records 6 yearsRecords generated by purchase of school-sponsored student insurance.

Confidential(3)

L.60. Substitute Folders Current year

Folders containing lesson plans and resource materials for use by substitute teachers.

Not Confidential

L.61. Substitute Reports 1 yearReports of school department’s employment of substitute teachers to cover teacher absences.

Not Confidential

L.62. Teacher Registers Until State reports

filedList of faculty members and their assignments. Not

ConfidentialL.63. Transcripts, Graduate and Nongraduate Permanent

For each student who has attended the school, a summary of classes taken and grades received.

Confidential(3)

L.64. Truancies 6 yearsRecord of students truant from school. Confidential

(3)L.65. Vocational Education Records Permanent

Records generated by vocational programs. Confidential(3)

109

Series Series Title / Description and Confidentiality Status RetentionL.66. Work Permits Retain until

student is 18

Work permits on file for students less than 16 years old. Confidential(3)

L.67. Complaints from Parents Until resolved

plus 6 years

Complaints received from parents of students. Confidential(3)

110

DISPOSITION SCHEDULE M:

JAIL RECORDS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579 in Historical Note), 5 U. S. C., § 552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. § 1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionM.01. Administrative Lockups 10 years

Record of prisoners separated from the general population. Not Confidential

M.02.a Administrator’s Files – Copies and Informational Materials Until no longer

neededJail administrator’s nonrecord materials, such as publications and duplicate copies of records officially maintained elsewhere.

Not Confidential

M.02.b Administrator’s Files – All Other Records 6 yearsJail administrator’s files that are record materials – that is, documents created or received in the course of business.

Not Confidential

M.03. Admission/Release Documents 2 yearsUsed to prepare monthly report to Dept. of Corrections. Not

Confidential

111

Series Series Title / Description and Confidentiality Status RetentionM.04. Board of Prisoners 6 years

Bills and receipts. Not Confidential

M.05. Complaint Cards No retention

Obsolete. Not Confidential

M.06. Contingency Reports 2 yearsBoarding of inmates for or at other jurisdictions. Not

ConfidentialM.07. Audit Reports 10 years

Report issued by auditor following each official audit. Not Confidential

M.08. Correspondence from Sheriff’s Office 2 yearsCommunications between jail and Sheriff’s Office. Not

ConfidentialM.09. Cutlery Reports 2 years

Before and after each meal, cutlery is counted to make sure none is missing.

Not Confidential

M.10. Daily Classification Log 10 yearsRecord of how many prisoners in each classification are housed each day.

Not Confidential

M.11. Disciplinary Hearings 6 yearsHearings conducted to determine whether or not discipline is required, and if so what it should be.

Not Confidential

M.12. Fines No retention

Now handled by courts. Not Confidential

M.13. Inmate Accounts 6 yearsReceipts and daily balance sheets for personal funds held on behalf of inmates.

Not Confidential

M.14.a Inmate Case Files – Admission/Release Forms 10 yearsForms completed to document admission and release of inmate.

Not Confidential

M.14. bInmate Case Files – Appearance Bonds 10 yearsAppearance bonds and other records used to establish date of release.

Not Confidential

M.14.c Inmate Case Files – Booking Cards 10 yearsRecords made when an inmate is booked. Not

Confidential

112

Series Series Title / Description and Confidentiality Status RetentionM.14.d Inmate Case Files – Civil Papers *

Record of noncriminal papers served on this prisoner. Not Confidential

M.14.e Inmate Case Files – Commitment Orders PermanentCourt order committing prisoner to custody of jail. Not

ConfidentialM.14.f Inmate Case Files – Disciplinary Hearing Records **

Case file copy of record of disciplinary hearing involving inmate.

Not Confidential

M.14.g Inmate Case Files – District Attorney’s Computation of Time Served

**

The record of time served for the prisoner, as computed by the District Attorney.

Not Confidential

M.14.h Inmate Case Files – Fingerprint Cards Retain clearest

prints only (note: this

may mean retaining

more than one card)**

Card containing prisoner’s fingerprints, created each time prisoner is processed..

Not Confidential

M.14.i Inmate Case Files – Inmate Memos 6 yearsIncident file documenting all significant interactions of staff with prisoner.

Not Confidential

M.14.j Inmate Case Files – Inmate Photographs Retain most

recent photo only

Photographs taken at required points of incarceration. Not Confidential

M.14.k Inmate Case Files – Judgments and Other Records Used for Risk Classification

5 years or most recent

incarcerationThose records that must be used to judge the level of risk posed by the prisoner.

Not Confidential

M.14.l Inmate Case Files – Money Records *Case file copy of records documenting prisoner’s personal funds.

Not Confidential

M.14.m Inmate Case Files – Printouts From Jail Database 2 yearsAll printouts from the jail database concerning this inmate, including booking printouts.

Not Confidential

113

Series Series Title / Description and Confidentiality Status RetentionM.14.n Inmate Case Files – Property Records *

Personal property of inmate and prison property issued to inmate.

Not Confidential

M.14.o Inmate Case Files – Request/Grievance Forms 6 yearsUsed by inmate to make requests or file grievances. Not

ConfidentialM.14.p Inmate Case Files – Request for Visitors *

Inmate’s request to be visited by specific persons. Not Confidential

M.14.q Inmate Case Files – State Police Bureau of Identification Printouts

No retention

Printouts concerning prisoner’s history obtained from SBI. Not Confidential

M.14.r Inmate Case Files – Trustee/Work Release Records 6 yearsInmate’s record of service as a trustee, or of being granted work release.

Not Confidential

M.15. Inmate Cards Destroy when case

file is destroyed

Index to case files. Not Confidential

M.16. Intake Logs 10 yearsRecord in log format of all admissions to the jail. Not

ConfidentialM.17. Judgments and Commitments 10 years

Administrator’s copies of the documents that authorize the jail to hold the prisoner.

Not Confidential

M.18. Key Log 6 yearsRecord of keys issued and returned. Not

ConfidentialM.19. Laundry Checklist and Inventory 1 year

List of prisoner clothing going to laundry and being returned; inventory of all clothing items owned by a prisoner.

Not Confidential

M.20. Medical Records 10 yearsPrisoner medical records for use when treatment is needed while in custody.

Confidential(4)

M.21. Menus No retention

Menus of jail’s food service unit. Not Confidential

114

Series Series Title / Description and Confidentiality Status RetentionM.22. Officer Memos (Incident) 6 years

Corrections officer notes concerning incidents that require documentation.

Not Confidential

M.23. Program Files 2 yearsInmate attendance at jail programs. Not

ConfidentialM.24. Random Cell Search Logs 6 years

Logs kept of random cell searches and their findings. Not Confidential

M.25. Rules and Regulations (Policies and Procedures) PermanentThe policies and procedures under which the facility operates. (Required by Maine Jail Standards)

Not Confidential

M.26. Shave/Shower Log 6 yearsRecord of when prisoners have shaved and showered. Not

ConfidentialM.27. Summonses 6 years

Legal demands for court appearances. Not Confidential

M.28. Visitor Sign-In Sheets 6 yearsSheets on which all visitors are required to sign in. Not

ConfidentialM.29. Work Schedules Current

yearWork schedules for jail staff. Not

ConfidentialM.30. “TPA” 6 years

Accounting for inmate canteen funds, or similar mechanisms - money from candy machines, etc. used for such items as newspapers and recreational equipment.

Not Confidential

*Retain for most recent incarceration only.

**Destroy after inmate reaches age 80 and State Police Bureau of Identification confirms no contact with Criminal Justice System in last 5 years.

115

DISPOSITION SCHEDULE N:

TAX RECORDS, COUNTY AND MUNICIPAL

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionN.01. County Tax Reports Permanent

Annual reports incorporating audited county financial statements, provided to each municipality within that county’s borders.

Not Confidential

N.02. Duplicate Copies of Tax Bills 6 yearsDuplicate copies of tax bills sent to taxpayers. Not

ConfidentialN.03. Excise Taxes (Auto) 5 years

Automobile excise tax documentation. Not Confidential

N.04. Poll Tax Records - Obsolete No retention

Records of poll tax collected. Not Confidential

N.05. Tax Abatement Decrees Granted by Counties 6 yearsTax abatement decisions made by County Commissioners are records in the minutes of the Commissioners’ meetings, which are retained permanently. These are copies of the decrees given to the applicants.

Not Confidential

N.06. Tax Anticipation Notes 6 yearsNotes from local government agency borrowing funds in anticipation of tax collection revenues.

Not Confidential

N.07. Tax Collector’s Settlement PermanentTax collector’s settlement of funds collected from taxpayers. Not

ConfidentialN.08. Tax Commitments Permanent

Tax collector’s commitment of revenues. Not Confidential

N.09. Tax Demand Notices 6 yearsDemand that overdue taxes be paid. Not

Confidential

116

Series Series Title / Description and Confidentiality Status RetentionN.10.a Tax Liens – Discharged 10 years

Tax liens that have been discharged after the taxpayer paid the bill. All tax lien discharges must be recorded at the appropriate Register of Deeds office.

Not Confidential

N.10.b Tax Liens – Not Discharged PermanentTax liens still in effect because the bill has not been paid. Not

ConfidentialN.10.c Tax Liens – 30-Day Notices (Taxpayer Paid Bill Before Lien Applied)

6 years

Tax liens that were never applied because the taxpayer responded to the 30-day notice with payment.

Not Confidential

N.11. Taxpayer Lists Until updated

Note: municipalities may keep taxpayer lists in many formats. This item applies to whichever format the municipality regards as the official, or “record,” copy.

Not Confidential

117

DISPOSITION SCHEDULE O:

VEHICLE REGISTRATIONS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionO.01. ATVs 3 years

Registrations for all terrain vehicles. Not Confidential

O.02. Automobiles 5 yearsRegistrations for automobiles, trucks, etc. Confidential

Federal Driver

Privacy Protection

Act (18 U.S.C.

Chapter 123)2

O.03. Boats 3 yearsRegistrations for boats. Not

ConfidentialO.04. Snowmobiles 3 years

Registrations for snowmobiles. Not Confidential

O.05. Trailers 5 yearsRegistrations for trailers. Confidential

Federal Driver

Privacy Protection

Act (18 U.S.C.

Chapter 123)

2 Chapter 10, the Bureau of Motor Vehicles administrative rule implementing this Act, specifies that “agents” of the BMV (such as municipal officials handling registration and re-registration of vehicles) must observe the same confidentiality restrictions as BMV’s own employees

118

DISPOSITION SCHEDULE P:

VITAL RECORDS(THIS SCHEDULE FOR USE BY MUNICIPAL CLERKS)

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Unless otherwise noted, please refer to the following citations for confidentiality restrictions:

(1) Federal Privacy Act of 1974 (Section 7 of Pub. L. 93-579 in Historical Note), 5 U. S. C., § 552a;

(2) Social Security Act, 42 U. S. C. §§ 408(a)(8) and 405(c)(2)(C)(viii)(I);

(3) Family Educational Rights and Privacy Act, 20 U. S. C. § 1232g;

(4) Standards for Privacy of Individually Identifiable Health Information (HIPAA), 45 CFR Section 160 through 164.

For citations (1) and (2), the primary records concerns are redaction of social security numbers and proper disposal of nonpermanent records containing them. The presence of a social security number does not, by itself, render an entire document confidential.

Series Series Title / Description and Confidentiality Status RetentionP.01. Births Permanent

Record of births taking place within the municipality. Not Confidential

except in cases of

illegitimacyP.02. Burial Transit Permit Permanent

Permit to transport human remains. Not Confidential

P.03. Consent to Marriage Given by Parents, Legal Guardians, or Judges of Probate

Permanent

Consent to marriage from legal authorities when one or both partners has not reached majority.

Not Confidential

119

Series Series Title / Description and Confidentiality Status RetentionP.04. Correspondence with Judge of Probate Concerning Marriage

of Persons Under 16 Years Of Age2 years

Correspondence with judge of probate when one or both marriage partners is under 16 years of age.

Not Confidential

P.05. Deaths PermanentRecord of deaths occurring within the municipality. Title 22

§2706 allows disclosure of

date of death, name,

age and location by city or town

where death occurred.

The rest of the death record is

confidential.P.06. Divorces - Obsolete May be

destroyed immediately

Certified copies filed prior to 8/4/1949. Not Confidential

P.07. Marriage Certificates PermanentRecord of marriages taking place within municipality. Not

ConfidentialP.08. Marriage Intentions Permanent

Intentions filed by a person planning to marry. Not Confidential

P.09. Premarital Medical Examination Forms - Obsolete No retention

periodForms no longer required (blood tests) before a couple can marry.

Confidential(4)

P.10. Waiver of Premarital Medical Examination - Obsolete No retention

periodWaiver of required blood test (no longer required in any case). Confidential

(4)

120

Series Series Title / Description and Confidentiality Status RetentionP.11. Waiver of Waiting Period Between Filing of Marriage Intentions

and Issue of License2 years

Waiver of required waiting period before couple can marry. Not Confidential

121

DISPOSITION SCHEDULE Q:

PUBLIC WORKS

Please see Disposition Schedule A for payrolls, invoices, and other records common to more than one office of local government.

The "retention" column indicates either 1) a limited period after which the records may be destroyed, or 2) the word "Permanent," indicating the records may not be destroyed and must be retained permanently.

Series Series Title / Description and Confidentiality Status RetentionQ.01. Excavation Permits 3 years

Permit to dig within municipal limits. Not Confidential

Q.02. Field Books PermanentMeasurements and survey notes for highways, streets, bridges, and other construction projects.

Not Confidential

Q.03. Landfill Monitoring PermanentTesting (and requirements for it) for municipal landfill, groundwater, and surrounding soil.

Not Confidential

Q.04. Street Files PermanentRecord of all changes taking place on each street within municipality. May include street description, deeds to land street occupies, street plans, letters of easement, drainage issues, letters from citizens such as requests to fix potholes, work done (maintenance as well as changes), right-of-way documents.

Not Confidential

Q.05. Work Orders 3 yearsOrder for Public Works staff to perform jobs. Not

Confidential

122