Portland, ME

PretiFlaherty

Augusta, ME

Concord,

NH

Sigmund D. Schutz
Boston, MA

sschutz@preti.corn
Direct Dial:

207.791.3247

Washington,

DC

July 21, 2015

HAND-DELIVERED
Cumberland County Clerk's Office
Attn: Civil Division —SC
205 Newbury Street, Ground Floor

P,O. Box 412
Portland, ME 04112

Re:

Portland Press Herald v. Maine Department

ofHealth and

Human Services

Dear Sir/Madam:

Enclosed please find the following documents to commence the above-captioned

action:

Appeal from Denial of Access to Public Records;
2. Superior Court Summary Sheet;
3. Motion for Expedited Trial De Novo, Entry of Proposed Scheduling Order, and
Order Specifying the Future Course of Proceedings and Incorporated
Memorandum of Law;
4. Request for Hearing; and
5. Filing Fee of $ 150.

1.

Please note that this is a FOAA appeal and has statutory priority: "Appeals may be
advanced on the docket and receive priority over other cases when the court determines that the
interests of justice so require." 1 M.R.S. $ 409(1).
Thank you for your attention to this matter.

ours,

. Schutz

SDS/jac
Enclosures
cc:
Kevin C. Wells, Esq.

Preti Flaherty

Beliveau & Pachios LLP
Attorneys at Law

One City Center, Portland, ME 04101

i

PO Box

9546, Portland, ME 04112-9546

(

Tel

207.791.3000

~

www.preti.corn

8809616.1

 SUPERIOR COURT
Civil Action
Docket No. CV-

STATE OF MAINE
CUMBERLAND, ss.

PORTLAND PRESS HERALD, a
newspaper published by MTM
ACQUISITION, INC., a Maine corporation
with a principal place of business in
Portland, Maine,
Plaintiff
V.

MAINE DEPARTMENT OF HEALTH
AND HUMAN SERVICES, an agency of the
State of Maine,
Defendant

)

)
)

)
)
)

COMPLAINT FROM DENIAL OF
ACCESS TO PUBLIC RECORDS
(1 M.R.S. 5 409(1))

)
)
)
)
)
)
)
)
)

NOW COMES the Portland Press Herald, a newspaper published by MTM Acquisition,

Inc. (the "Press Herald" ) and appeals the denial by the Maine Department of Health and Human
Services (the "Department" ) of access to records containing data on chickenpox (varicella)
outbreaks at Maine schools and certain other information pursuant to

1

M.R.S. $ 409(1).

I.
SUMMARY OF THE CLAIM
This appeal arises from the Department's

communicable
the Department

disease outbreaks have occurred in Maine,

denial

of access to the locations where

Specifically, the Press Herald asked

to provide access to records containing the names of the schools where

chickenpox outbreaks occurred during the 2014-15 school year and the number of cases per

school. The Press Herald also requested any recommendations

by the Maine Centers for

Disease Control to the effected schools, notifications issued by the effected schools to staff and
parents, and communications

within the Department

about the public health implications

of

8809326.1

releasing the information requested by the Press Herald. The Press Herald made clear that it
was not requesting the disclosure

2.

of any patient's identity.

The public has a right to know how often and where outbreaks

of communicable

diseases, including chickenpox, are occurring because naming the school is not identifying any

The information requested by the Press Herald is "medical or

particular sick child.

epidemiologic information" that does not identify any individual patient and is, therefore, public
pursuant to 22

3.

M.R.S, $ 42(5) and
Non-identifying

with communicable

1

M.R.S. ) 408-A.

information

on where and how often children are getting sick

diseases benefits public health and serves important public interests.

Information on the locations where communicable

disease outbreaks occur: (A) allows the public

to protect itself from harm by avoiding the effected location and by getting immunized;

(B) puts

the public on guard to identify new cases, which can lead to prompt treatment and can stop the

spread

of the disease;

and (C) educates the public and lawmakers

and informs the debate over

public health policy, including whether current laws and policies are sufficient to reduce the risks

associated with preventable communicable

diseases and to respond to outbreaks.

and the electorate cannot vote intelligently

on the issue

of immunization

where and how often children are getting sick from preventable

4.

Lawmakers

without being informed

diseases.

The Maine CDC's decision to keep secret information on communicable

disease

outbreaks cannot be reconciled with its decision, earlier this year, to release school-by-school
immunization

rates.

school immunization

There is no meaningful

legal or logical difference between school-by-

data and school-by-school

chickenpox or any other communicable

data on how many children are falling ill with

disease and where outbreaks have occurred.

8809326.1

II.
PARTIES
5.

The Press Herald is a newspaper published by MTM Acquisition, Inc., a Maine

corporation with a principal place of business in Portland, Maine

6.

The Press Herald is part of Maine's largest news organization,

daily newspapers

Sentinel

--
the Portland

three

Press Herald, the Kennebec Journal, and the Morning

--and the State's most widely
The Department

publishing

read Sunday newspaper, the Maine Sunday Telegram

is an agency within the executive branch

The Maine Center for Disease Control and Prevention

of the State of Maine.

("Maine CDC") is part of the

The Court has jurisdiction over this action pursuant to 1 M.R.S,

Department

) 409(1) and

other applicable law

III.
PRIORITY OF APPEAL

9.

A Freedom of Access Act appeal "may be advanced on the docket and receive

priority over other cases when the court determines that the interests
1

of justice so require."

M.R.S. $ 409(1).
IV.
ACCESS TO PUBLIC RECORDS IN GENERAL
10.

The Legislattue has declared that the purpose and policy of the FOAA is to ensure

that public records are made available to the public, and that the FOAA "shall be liberally

construed and applied to promote its underlying

11.

purposes and

policies...." 1 M.R.S. ) 401.

Except as otherwise specifically provided by statute, the FOAA provides to every

person "the right to inspect and copy any public record in accordance with this section within a
reasonable time

of making the request...."

1

M.R.S, $ 408-A.

8809326.1

A "public record" includes "any written, printed or graphic matter or any

12.

mechanical or electronic data compilation from which information

after translation into a form susceptible

of visual or

can be obtained, directly 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....

and has been received or prepared for use in connection with the transaction

public or governmental

business or contains information relating to the transaction

business...."

governmental

If a court, after

13.

1

of public or

M,R.S. $ 402(3).

trail de novo, determines that a refusal to permit inspection and

copying "was not for just and proper cause, it shall enter an order for disclosure."
$

of

1

M,R.S.

409(1).
V.
PUBLIC ACCESS TO EPIDEMIOLOGICAL INFORMATION
The law governing confidentiality

14.

of Department records distinguishes between

records that contain personally identifying medical information,

which are confidential, and

medical and epidemiologic information in such a manner than an individual

cannot be identified,

which is public.

"Department records that contain personally identifying medical information that

15.

are created or obtained in connection with the department's

are confidential.

communicable,

public health activities or programs

These records include, but are not limited to, information on genetic,
occupational or environmental

disease entities, and information

public health nurse activities, or any program for which the department
identifying

16.

medical information."

gathered from

collects personally

22 M.R.S. ( 42(5).

Confidential records are "not open to public inspection, are not public records"

under the FOAA and "may not be examined in any judicial, executive, legislative or other

8809326.1

proceeding as to the existence or content of any individual's
department,"

17.
is for "release

Id.
This confidentiality

of medical

cannot be identified."

18.

records obtained by the

is subject to "[e]xceptions." Id. The first relevant exception

and epidemiologic

information

in such a manner than an individual

Id.

Any "medical and epidemiologic

information

in such a manner than an individual

cannot be identified" (id.) is available to the public under the FOAA.

19.
the provisions

20.

The second relevant exception is for "disclosures that are necessary to carry out

of chapter 250[,]" i.e., to serve a valid

health purpose.

The public release of data on communicable

disease outbreaks serves a valid

public health purpose.

21.

The statute reflects a distinction between individually

which merits privacy protection, and nonidentifiable
infringe individual

privacy and,

if released,

protect themselves from communicable

epidemiological

identifying

information,

data, which does not

provides the public with the information

disease outbreaks and to hold government

necessary to
accountable

for instituting appropriate public health laws and policies.

VI.
FACTS
to Varicella ('Chickenpox~

A.

Introduction

22.

Varicella is a very contagious infectious disease caused by a virus. It spreads by

coughing, sneezing, touching, or breathing virus particles.

23.

Varicella is also preventable.

The varicella vaccine is the best way to prevent the

disease. However, not everyone can be vaccinated for medical reasons, including children less
than one year old.

8809326.1

Varicella is a miserable experience for people who contract it and can be serious

24.

and life-threatening,

25.

especially in babies and adults with weakened immune systems.

Varicella can be life-threatening

in a newborn, lead to secondary bacterial

infection of the skin, swelling of the brain, pneumonia,

other serious complications

including

death. It can also force cancer patients to suspend chemotherapy.

B.

Elevated Varicella Risk to Maine Children

26.

The rate

of varicella

in Maine is about three times higher than the national

average. According to data from the Maine CDC, the 2014 rate of Varicella in Maine was 15.5

cases per 100,000 people. The national rate is about 5 cases per 100,000 people.

of varicella cases

In 2014-15 the rate

27.

in Maine schools and child care facilities

nearly doubled over the prior year.

Maine has among the lowest vaccination rates of any state in the nation.

28,

According to the federal Centers for Disease Control and Prevention, Maine ranked fourth
highest in the nation by rate
kindergarten

during the

growth in the number

of opt-outs from vaccination among children enrolled in

2013-14 school year at 5,5 10. Maine also had the second highest rate of

of opt-outs as compared to the prior school year (2012-13). As recently

as

2009-10, the opt-out rate in Maine was 3.3'/o.
In response to public records requests by the Press Herald, Maine CDC released

29.

data on varicella vaccination rates by school. This data shows that vaccination rates are close to
national averages at many schools, but at other schools the opt-out rate is much higher.

30,
rates

Over sixty elementary

of greater

Elementary

than 10 percent.

schools in Maine have kindergarten

or first grade opt out

The opt out rate for first-graders is 22 percent at Small

School in South Portland and even higher at many other Maine schools.

8809326.1

31.

Only when almost all

is "herd immunity"

achieved, the vaccination rate necessary to protect unvaccinated

or immune compromised populations
contracting communicable

32.

of a population is vaccinated, usually 95 percent or greater,

diseases.
approved a bill during

471, "An Act to Improve Childhood Vaccination Rates in Maine," that

would have made it more difficult for parents and guardians to opt their children out

reasons by mandating

vaccination for philosophical
immunization

from

(e,g., cancer patients undergoing chemotherapy),

In an effort to improve vaccination rates, Maine lawmakers

this past session, LD

(e.g., babies)

with a health care professional

discussion upon enrollment

of

that parents first discuss risks and benefits

and present written documentation

of

of that

at school, The Governor vetoed LD 471 and his veto was sustained.

Access to the information in the records sought here might have made a difference in that debate
and might make a difference in future debates over immunization

policy.

C.

Maine Suffers Varicella Outbreaks in 2014-15 School Year

33.

Maine CDC conducts investigations

of all reported varicella cases in schools and

childcare centers,

34.

Maine CDC has protocols to make recommendations

schools communicate

35.

with parents and faculty in the event

about next steps and to help

of communicable disease outbreaks.

During the 2014-15 school year, four Maine schools suffered varicella outbreaks,

the most ever since vaccination became a requirement

in 2003. Maine CDC defines an outbreak

as 3 or more cases per school.

36.

The Department notified each relevant school

of the varicella outbreak

through

Maine CDC's Health Alert Network ("HAN").

8809326.1

37.

Each relevant school, in coordination with Maine CDC, sent letters to
students'amilies

to provide notice of the varicella outbreak.

It is unclear whether schools provided notice

children who participate in certain school activities.

to home-schooled

Each school, in coordination with Maine CDC, also provided notice of the

38,

outbreak to teachers, administrators,

39.

and staff.

Maine schools are often used as public meeting places. Schools often host

elections, athletic events, after-school groups, municipal board meetings, and community

events

--all of which are open to the public. However, Maine CDC has kept the fact of communicable
disease outbreaks at schools secret from the public-at-large.

The Maine CDC declined to identify the schools where the varicella outbreaks

40.

had occurred during the 2014-15 school year in response to informal requests for information

by

the Press Herald.

D.

Public Records Request bv Press Herald for Locations of Varicella
Outbreaks During 2014-15 School Year

41.

On June 9, 2015, the Press Herald issued a public records request to the Maine

CDC for the location of varicella outbreaks during the 2014-15 school year and certain other
related information

A.

(Exhibit 1, attached), as follows:

Any records containing the names of the four schools and/or childcare centers
that reported chickenpox (varicella) outbreaks to the Maine CDC during the
2014-15 school year (in lieu of providing records you may simply identify the

schools);

B.

All records showing the number of cases per outbreak;

C. Any records containing data (e.g., spreadsheets or Microsoft excel documents)
concerning the number of chickenpox (varicella) cases reported per school to the
Maine CDC during the 2014-15 school year;

D. All correspondence, including e-mail, between the Maine CDC and the schools
or childcare centers regarding the outbreaks, including any recommendations

8809326

1

made by CDC to the schools or childcare centers, and any draft or final
notifications sent to parents, staff, or others related to any outbreaks; and

E.

Any correspondence, including e-mail, related to or concerning the question
whether to disclose the names of the schools or childcare centers where the
chickenpox (varicella) outbreaks have occurred, including any consideration
the public health implications of keeping secret the locations where outbreaks
have occurred.

The Press Herald also wrote, "This request is specifically not for any Maine CDC

42.

records containing the names of individuals
conditions or individuals'irth
information

records

of

having or suspected

of having a notifiable disease or

dates, social security numbers, addresses, or other similar
In addition this request is not for any medical

that may identify those individuals.

of any individual."
On June 12, 2015, the Maine CDC issued a boilerplate response

43.

(Exhibit 2,

attached) agreeing to produce "the requested records to the extent that such records are 'public

records's

defined by the Freedom of Access

Act[,]" but also

denying the request

"to the extent

that such records are confidential."

44.

The Department committed to "strive to make public records available to you as

soon as possible." No records were provided with the June 12 response.

45.

The Maine CDC also wrote that the Press Herald "may inspect public records,

without charge for copying,

confidential information

46.
portion

of its
47.

if it is feasible to

separate or prevent the disclosure

of any

contained in the records."

The June 12 response did not include a request that the Press Herald clarify any
June 9 request.

Also on June 12, the Maine CDC issued a "Statement Regarding Release of

Public Health Information," Exhibit 3 (attached).

8809326.1

In the Statement, Maine CDC stated that it "recognizes the importance

48.
information

when it benefits public health" and that it has a "long history

information

when members

of the public can take action to

of sharing

of providing

improve their health or prevent

harm."

49.
communicable

Maine CDC listed five instances where it had identified municipalities

where

disease exposures or outbreaks had occurred, including measles, H1N1 influenza,

Eastern Equine Encephalitis, rabies, and Hepatitis A.

50.

Maine CDC has also previously identified schools were communicable

disease

outbreaks have occurred on an ad hoc basis.

51.

Maine CDC took the position that release

of varicella has "no medical benefit" because the

of information regarding past outbreaks

outbreaks had passed and because "there is

concern" that identifying the names of schools when paired with school-by-school immunization
data "may allow" for the identification

52.

student.

of any outbreak"

and

with "parents and all others who are associated with their facility" and

"keep parents well-informed

Department's

individual

Maine CDC also said that "each school receives notification

that schools communicate

53.

of an

through their established communication

channels."

On June 23, 2015 the Press Herald, through counsel, followed up on the

June 12 letter to request a more detailed response, that a response be provided on a

rolling basis to reduce delay, and to request a fee waiver, Exhibit 4 (attached).

54.

In support

the Communicable

of the

request for a fee waiver, the Press Herald quoted advice from

Diseases Manual (20th ed. 2015) published by the American Public Health

Association:
Regular communications about the outbreak and risk of infection is one of the
most important parts of an outbreak response and serves to reassure the

10
8809326.1

population that a response is underway, avoid undue panic or concern, create an
environment where additional cases can be identified, and help individuals and
communities understand how transmission can be stopped. Time spent explaining
the evidence and control measures with responsible journalists --whether they are
from newspaper, radio, television, or other outlets --will facilitate the outbreak
Regular simple
response by creating an environment of understanding.
studies
definition,
case
information (outbreak facts such as case numbers,
underway, and suspected incubation period) should be provided at intervals....

(pp. A9-A10)

55.

of the Press Herald'

On July 14, 2014, more than one month after receipt

request, the Department

responded by refusing to disclose the locations where varicella

outbreaks had occurred during the 2014-15 school year on the grounds that the "records are

confidential records pursuant to 22 M.R.S. ( 42(5)," Exhibit 5, attached.

56.

medical and

The Department refused to release the records as nonidentifying

epidemiologic information because the records "are considered 'restricted data'data that allows

for the direct or indirect identification of individual), because, pursuant to Maine CDC's Privacy

Policy (see attached) the requested records involve data with a 'cell

57.

58.

of distinguishing

between public nonidentifying

and confidential personally identifying

medical and epidemiologic

medical information.

The Department refused to release the records to advance a valid public health

purpose because "knowledge

of the location of an outbreak

avoiding coming into contact with

59.

county level."

The relevant statute, 22 M.R.S. ( 42(5) does not refer to "cell size" or any similar

term for purposes

information

size'elow

This is short-sighted.

would not assist a person from

it."
Knowledge

of the location of an outbreak encourages a

parent or guardian moving into a school district to have his or her children immunized,

encourages adults coming into contact with children to get immunized,

and is important for

public health policy reasons by informing the electorate about the frequericy

of outbreaks

and

allowing the electorate to hold accountable public officials and lawmakers.

8809326.1

The Department requested clarification of one portion

60.

sought correspondence

about "whether to disclosure the names

of the

request, which

of the schools or childcare

centers" where varicella outbreaks had occurred, "including any consideration of the public
health implications

of keeping secret

the locations where outbreaks have occurred."

On July 16, 2015, the Press Herald, through counsel, responded to the request for

61.

clarification by limiting the request for correspondence
the Department to disclose redacted recommendations

to the 2014-15 school year and by asking
made by CDC to schools and redacted

notifications sent to parents, staff, and others related to outbreaks, Exhibit 6, attached.

62.

The Press Herald has yet to receive a response to the July 16 letter,

63.

Because Maine law is clear that nonidentifying

data

medical and epidemiological

is public record, the Maine CDC has refused to disclose the records, including redacted records,
in bad faith. The Press Herald is entitled to recover its reasonable attorneys'ees.

COUNTI
(ACCESS TO PUBLIC RECORDS)
The Press Herald realleges and incorporates by reference the preceding

64.
paragraphs

65.

as

if fully set forth herein.
The Department has possession or custody

of public records

within the scope

of

the Press Herald's FOAA request.

66.

The records requested by the Press Herald are not exempt from disclosure or

otherwise confidential,

67.

The Department

is refusing, without just and proper cause, to produce and

disclose the records requested by the Press Herald in violation of

1

M.R.S, $ 408-A.

12
8809326.1

RELIEF REQUESTED
68.

The Press Herald respectfully requests judgment in its favor, including the

following relief:

of all requested records;

A.

an order for disclosure

B.

an order compelling the Department

to redact any confidential information from any

requested records;

C. an order that the Department prepare a privilege log or index (or the equivalent)
listing all records claimed to be exempt and providing sufficient information to

justify the claimed exemption with respect to each record;

D. to the extent the Department's refusal to disclose the requested records is found to
have been in bad faith, reasonable attorneys'ees

E. costs
F.

pursuant to 1

M.R.S. $ 409(4);

in bringing this suit; and

such other and further relief as the Court deems just and proper.

Dated at Portland, Maine this 21st day of July, 2015.
Respectfully Submitted,
PORTLAND PRESS HERALD, a newspaper
published by MTM ACQUISITION, INC.

By Its Attorneys,
PRETI FLAHERTY BELIVEAU &

sq,, Bar No. 8549
One

P.O,

ty

enter

x 9546

Portland, ME 04112-9546
Telephone: (207) 791-3000

Facsimile: (207) 791-3111

13
8809326.1

EXHIBIT 1

From: Joe Lawlor
Sent: Tuesday, June 09, 2015 4:19 PM
To: 'john.A.martins@maine.gov'
Subject: FOAA request
John Martins
Maine Center for Disease Control
Joe Lawlor
Reporter
Portland Press Herald
One City Center
Portland, ME 04101
June 9, 2015
Dear John Martins:
This is a request under the Maine Right-to-Know Law, Title I, MRSA Sections 401-410.
I am seeking copies of the following records:

1. Any records containing the names of the four schools and/or childcare centers that reported
chickenpox (varicella) outbreaks to the Maine CDC during the 2014-15 school year (in lieu of
providing records you may simply identify the schools);

2. All records showing the number of cases per outbreak;
3. Any records containing data (e.g., spreadsheets or Microsoft excel documents) concerning the
number of chickenpox (varicella) cases reported per school to the Maine CDC during the 2014-15
school year;

4. All correspondence, including e-mail, between the Maine CDC and the schools or childcare
centers regarding the outbreaks, including any recommendations made by CDC to the schools or
childcare centers, and any draft or final notifications sent to parents, staff, or others related to any
outbreaks; and

5. Any correspondence, including e-mail, related to or concerning the question whether to disclose
the names of the schools or childcare centers where the chickenpox (varicella) outbreaks have
occurred, including any consideration of the public health implications of keeping secret the
locations where outbreaks have occurred.
According to 1 M.R.S.A ?402, "public records" includes any written, printed or graphic material that is in
the possession or custody of an agency or public official of this State or any of its political subdivisions
that has been received or prepared for use in connection with the transaction of public or governmental
business. This definition includes emails sent via governmental accounts and personal accounts for the
purpose of conducting state business.
This request is specifically not for any Maine CDC records containing the names of individuals having or
suspected of having a notifiable disease or conditions or individuals' birth dates, social security numbers,
addresses, or other similar information that may identify those individuals. In addition this request is not
for any medical records of any individual.

The Portland Press Herald will pay any reasonable search or copying expenses but requests an estimate
before photocopies are made. The newspaper also requests that, if possible, documents be made
available in electronic form.
If you intend to withhold any records sought under this request on the grounds that the records are not
subject to FOAA or are otherwise not subject to disclosure, please specify in writing the nature of the
materials you refuse to provide and the legal basis for that denial within five (5) days, pursuant to 1
M.R.S.A. ? 409.
Thank you in advance for your prompt response. Please contact me at your first convenience to arrange
a reasonable time and place for inspection and copying. My number is 207-210-1243.

Sincerely,
Joe Lawlor
Press Herald
 

EXHIBIT 2

6/12/2015
Joe Lawlor
Bangor Daily News
Bangor, ME 04401
Re:

Freedom of Access Act (FOAA) Request, Dated June 9, 2015, for the names of schools
reporting chickenpox outbreaks in 2014-2015, records showing the number of cases
per outbreak, records containing data concefrning the number of chickenpox cases
reporter per school, all correspondence between the Maine CDC and schools or child
care centers regarding the outbreaks, and any correspondence concerning the question
of whether to disclose the names of the schools where outbreaks occurred.

Dear Mr. Lawlor:
On behalf of the Department of Health and Human Services ("Department"), I am responding to
your above-referenced request. The Department will produce the requested records to the extent
that such records are "public records" as defined by the Freedom of Access Act (the "Act"). The
Department denies your request to inspect, copy or abstract any requested records to the extent that
such records are confidential, otherwise protected from disclosure, not in the possession or custody
of the Department or otherwise outside the scope of the Act.
The Department will strive to make public records available to you as soon as possible. Pursuant to
the Act, however, the Department requires a reasonable period to ascertain which of its records, or
parts thereof, relate to your request, identify which records are subject to public inspection or
copying, and determine which records, or portions thereof, are confidential, otherwise protected
from disclosure, or otherwise outside the scope of the Act. Also pursuant to the Act, the
Department will schedule inspection, translation and copying of responsive records to occur so as to
not delay or inconvenience its regular activities. Pursuant to the Act, you may be charged for
retrieving, compiling, translation, and copying of responsive records. You may inspect public
records, without charge for copying, if it is feasible to separate or prevent the disclosure of any
confidential information contained in the records. You will be provided with a good faith, nonbinding estimate of the time and cost of complying with your request. Finally, please note that the
Department will not proceed to comply with your request without your agreement to pay the
estimated cost if the estimate exceeds $30 and will not proceed to comply with your request without
payment of the estimated cost if the estimate exceeds $100.
Sincerely,

David Sorensen
Director of Media Relations and Policy Research
Maine Department of Health and Human Services
8692946.1

EXHIBIT 3

Maine Center for Disease Control and Prevention
Statement Regarding Release of Public Health Information

The Maine Center for Disease Control and Prevention
when it benefits public health.

recognizes the importance of sharing information

Maine CDC has a long history of providing information

when members of

the public can take action to improve their health or prevent harm. In April, the locations where a
potential measles exposure occurred in Kittery were released. Town-level information regarding the
H1N1 influenza, the release of towns where mosquitoes

have tested positive for Eastern Equine

Encephalitis, the location of any exposure to rabies, and the exposure to Hepatitis A at a church supper
in Durham

all

serve as additional examples of more localized data release.

were able to take preventative

of these cases, people
action or receive medical treatment to ward off the disease or to lessen
In all

its impact.

The reality is that the release of information

related to past outbreaks of chicken pox in Maine schools
has no medical benefit. The outbreaks have long since passed, and any symptoms related to chicken
pox would have already occurred.

In

addition, there is a concern that the names of the schools when

paired with the recently released school-by-school
an individual
It is important

immunization

data may allow for the identification

of

student which violates state and federal law.
for the public to understand

The school has the opportunity

associated with the facility.
through their established

that each school receives notification of any outbreak.

to communicate

It has

in

real-time with parents and all others who are

been our experience that the schools keep parents well-informed

communications

channels.

Maine CDC's data release policy and practice has been in place for at least a decade and is consistent
with both Federal CDC and all other New England states. Maine CDC remains committed to sharing

more localized information

when doing so improves the public health of individuals.

Chicken pox is very common and is present in all Maine communities.

Parents who are concerned about

the potential impact of this disease should consult with their primary care provider about disease
protection available through vaccination.

Kenneth Albert RN, Esq.

Director and Chief Operating Officer
Maine Center for Disease Control and Prevention

EXHIBIT 4

PretiFlaherty

Portland, ME
Augusta, ME

Concord,

Sigmund D, Schutz

Boston, MA

sschutzpreti,corn
Direct Dial:

NH

207.791.3247

Washington,

DC

June 23, 2015

VIA EMAIL and FIRST-CLASS MAIL
David Sorensen
Director of Media Relations and Policy Research
Maine Department of Health and Human Services
Maine Center for Disease Control and Prevention
286 Water Street
11 State House Station
Augusta, ME 04333-0011

Re:

Freedom of Access Act (FOAA) Rectuest. Dated June

9. 2015

Dear Mr. Sorensen:

I am writing on behalf of the Portland Press Herald/Maine Sunday Telegram in
response to your June 12, 2015 letter to Press Herald Staff Writer Joe Lawlor (please note that
as referenced in error in
Mr. Lawlor works for the Press Herald, not the Bangor Daily
your letter).

?ws

The first paragraph of the Department's letter states that records will be produced to the
extent they are "public records," but does not identify which records are not being produced or
the reason for denying access to any such records. The Press Herald requests that the
Department identify any record that is not being made available for inspection or copying and
that the Department state the reason for the Department's denial as required by 1 M.R.S. $ 408-

A(4).
The second paragraph of the Department's letter states that records will be made
available "as soon as possible." The Press Herald requests that the Department make records
available on a rolling basis consistent with this goal --so that the time required to compile or
retrieve certain categories of records does not delay the release of records that are more readily
available. For example, a record showing the names of schools reporting chickenpox outbreaks
and a database or spreadsheet showing the number of cases (paragraphs 1-3 of the request) may
be more readily available and easily released by contrast with the Press Herald's request for
correspondence, recommendations, and notifications (paragraphs 4-5 of the request), which
might take more time.
The second paragraph of the Department's letter also refers to fees, In response to your
request that the Press Herald agree to pay more than $ 30, the Press Herald is prepared to pay up
to $ 100 for copies of the requested records pending receipt of the Department's estimate. Please
provide an estimate if the estimated total cost of responding to the request exceeds $ 100 as
required by 1 M,R,S. $ 408-A(9).
Preti Flaherty

Betiveau & Pachios LLP
Attorneys at Law

One City Center, Portland, ME 04101

~

PO Box 9546, Portland, ME

04112-9546

Tel
~

207.791.3000
www.preti.corn
8692924.1
l

PRETI FLAHERTY

David Sorensen
June 23, 2015
Page 2

In addition, the Press Herald requests that the Department waive fees given the
substantial public interest and significant contribution to public understanding of the operations
and activities of government implicated by the request for these records, pursuant to 1 M.R.S.
$ 408-A(11)(B). According to Communicable Diseases Manual (20th ed. 2015) published by the
American Public Health Association:
Regular communications about the outbreak and risk of infection is one of the
most important parts of an outbreak response and serves to reassure the
population that a response is underway, avoid undue panic or concern, create an
environment where additional cases can be identified, and help individuals and
communities understand how transmission can be stopped. Time spent explaining
the evidence and control measures with responsible journalists --whether they are
from newspaper, radio, television, or other outlets --will facilitate the outbreak
Regular simple
response by creating an environment of understanding.
information (outbreak facts such as case numbers, case definition, studies
underway, and suspected incubation period) should be provided at intervals,...

(pages A9-A10)

Please contact me with any questions. The Department may also continue to
communicate with Joe Lawlor concerning this request, but please copy me with the
Department's response. Thank you.

rs,

igmund D. Schutz

SDS:jac
cc:
Joe Lawlor (via e-maii)
Dieter Bradbury (via e-mail)

8692924.1

EXHIBIT 5

Department of Health and Human Services
Office

221 State Street

ll State House Station

Augusta, Maine 04333-0011

Tel: (207) 287?3707; Fax (207) 287-3005

Poul  iet?age, {governor . fr  1 rs TTY 1759133 Dial 711  

 

July 14, 2015

Joe Lawlor, Reporter
Portland Press Herald
One City Center
Portland ME 04101

Re: Freedom of Access Act (F 0AA) request, dated June 9, 2015, for certain records regarding
chickenpox outbreaks reported by schools to the Maine CDC during the 2014-15 school

Dear Mr. Lawlor:

On behalf of the Department of Health and Human Services (?Department?), I am responding to your above-
referenced request. The Department denies your request to inspect, copy or abstract the following requested
records because such records are con?dential records pursuant to 22 MRS. 

1. Any records containing the names of the four schools and/0r childcare centers that reported
chickenpox (varicella) outbreaks to the Maine CDC during the 2014-15 school year (in lieu of providing
records you may simply identify the schools);

2. All records showing the number of cases per outbreak;

3. Any records containing data spreadsheets or Microsoft excel documents) concerning the number
of chickenpox (varicella) cases reported per school to the Maine CDC during the 2014?15 school year;

4. All correspondence, including e-mail, between the Maine CDC and the schools or childcare centers
regarding the outbreaks, including any recommendations made by CDC to the schools or childcare
centers, and any draft or ?nal notifications sent to parents, sta?,? or others related to any outbreaks.

42 MRS. ?42(5) states that ?Department records that contain personally identifying medical information that are
created or obtained in connection with the department's public health activities or programs are con?dential?
with certain limited exceptions. The two exceptions that might be applicable to this request are ?release of
medical and epidemiologic information in such a manner that an individual cannot be identified? or ?disclosures
that are necessary to carry out the provisions of chapter 250?. With respect to the ?rst possible exception, the
requested records are considered ?restricted da (data that allows for the direct or indirect identi?cation of
individual), because, pursuant to the Maine Privacy Policy (see attached) the requested records involve
data with a ?cell size? below county level. Maine data release policy and practice has been in place for at
least a decade and is consistent with both Federal CDC and all other New England states.

With respect to the second possible exception, there is no valid public health purpose to releasing these records
because the information would not meaningfully assist anyone to take any action to protect their health. More

speci?cally, the chickenpox (varicella) virus is such a commonplace airborne virus that knowledge of the
location of an outbreak would not assist a person from avoiding coming into contact with it.

The Department requires clari?cation of the following request in order to provide you with an estimate of the
time and cost to respond to the request:

5. Any correspondence, including e-mail, related to or concerning the question whether to disclose the
names of the schools or childcare centers where the chickenpox (varicella) outbreaks have occurred,
including any consideration of the public health implications of keeping secret the locations where
outbreaks have occurred.

More speci?cally, please clarify whether the Department should restrict its search for these records to any
particular date range and/or to any particular individual Department of?ces and/or employees. Please note that
current technology available to the Department does not allow for a blanket search across information systems or
across individual e-mail accounts and therefore a search for ?any correspondence? without restriction would be
time-intensive and costly. 

    

Kevin C. Wells
General Counsel

Cc: Sigmund D. Schutz

 

 

ADMINISTRATIVE POLICY

 

Privacy

i. Purpose:

This policy concerns data privacy, con?dentiality and security.
2. Policy:

The Maine Center for Disease Control and Prevention (Maine CDC) is committed to
safeguard, protect and secure all individually identi?able health information entrusted to it in
accordance with applible state or federal law. The guiding principles for safeguarding
individually identi?able public health data are that disclosures may only be made according
to law and only the minimum amount of data necessary to protect public health and arrest
potential disease contaion may be shared. Units of the Maine CDC subject to more
restrictive criteria. via grant or mission speci?cations, regarding the use, administration,
management, processing, storage, disclosure and sharing of individually identi?able health
information athered, furnished or developed by the Maine CDC shall abide by such
restrictions.

3. Rationale:

The Maine CDC is charged with collecting a wide variety of health-related data. These data
are obtained to ful?ll our public health mandate. including but not limited to conducting:
public health surveillance of diseases, other conditions and risk factors; epidemiologic
studies; assessments of population health; investigation of unusual occurrence of diseases
and/or environmental hazards or exposures; evaluation of programs and interventions; and
compilation of vital statistics.

Many Maine CDC databases contain personal information about individuals. Release of
directly or indirectly individually identi?able data, whether intentional or unintentional, could
result in negative consequences, both for individuals about whom data are collected and the
programs that collect and disseminate this information. Some possible negative
consequences for individuals may include decline in property value, loss of job, legal
prosecution, embarrassment, loss of health care, and threats of physical violence. Negative
consequences for programs may include decreased ability to collect data, loss of public
con?dence and participation in the program, decreased ability to bene?t the public, and
threats of physical violence for service providers.

Despite risks associated with inappropriate data release. Maine CDC data are vitally
important to maintaining the health of all people, and have wide and varied uses both within
State government and in the larger public health community. Therefore, Maine CDC
programs must make data available and accessible to the broadest possible constituency,
while at the same time maintaining strict standards to protect individual privacy.

 

Ori inal Poli Deveio ed aine CDC Poli Ap rover:
Nargne Page?l of 29 

Maine DHHS Division of Approval Date:


ADMINISTRATIVE POLICY

In addition, the implementation of the Health Insurance Portability and Accountability Act of
1996 has engendered new awareness about the importance of data security and
con?dentiality among organizations that provide health-related services. establishes
federal requirements for the protection of personal health information, focusing primarily on
information related to treatment, payment and other health care operations. Although most
of the Maine CDC, as a public health entity, is exempt from most of these requirements. this
Maine CDC policy strives to equal the con?dentiality measures mandated by HIPAA, as well
as regulations established in the American Recovery Reinvestment Act of 2009.

. Designation of Privacy Of?cer and Contact Of?ce:

In order to centralize the management and administration of this policy, the Maine CDC has
designated the agency?s Privacy Officer. As such, the of?ce of the Privacy Of?cer will be
responsible for receiving complaints oonoeming the Privacy Policy; receiving complaints
oonoeming Maine CDC con?dentility and data security compliance issues; ensuring
ongoing staff training and compliance; updating the policy; and providing information
regarding Maine CDC compliance with other related privacy and con?dentiality reulations.

. Classifying Restricted and Unrestricted Data:

Not all data collected and stored by the Maine CDC contain sensitive. individually
identi?able information. Unidenti?ed data or data not pertaining to health issues need not be
protected with the same rigor or vigilance as more sensitive data that could be used to
identify an individual. To clearly distinguish between sensitive and less sensitive
information, this policy presents a classi?cation scheme to be applied to all data sets
collected and maintained by Maine CDC programs. The classi?cation scheme aims to
expedite data release and encourage release of the broadest spectrum of data elements
without compromising confidentiality. Data are classi?ed into two categories: restricted and
unrestricted. Both types of data are subject to the rules related to cell size in Section 5.5.

5.1 Unrestricted Data

Unrestricted data contain no information that could be used directly or indirectly to
identify individuals. Therefore, these data are to be made readily available for use both
within the Maine CDC and by the general public.

5.2 Restricted Data

Restricted data include any and all information created or received by the Maine CDC
that relates to: the past. present, or future physical or mental health or condition of an
individual; the provision of health services to an individual; the past, present. or future
payment for the provision of health services to an individual; or certain environmental,
environmental health or toxicological data derived from individually-owned dwellings.
land, or businesses; and that allows for the direct or indirect identi?cation of that

individual.

Identi?ers that may be considered restricted include, but are not limited to, the
following:

Maine CDC Policy: Privacy
Page 2

ADMINISTRATIVE POLICY

Name;

Date of birth:

Postallresldential address information;
Latitude and longitude of street address;
Telephone number,

Fax nu mber;

Electronic mail (email) address;

Social security number,

Medical record number;

Health plan bene?ciary number.
Account number; and

Vehicle identi?er and serial number. including license plate number.

6. Data Release

For purposes of this policy, "data release? refers to provision of data to entities outside of the
program where data are collected, stored and managed. This section describes methods
for release of both restricted and unrestricted data.

Please note that some types of data are extremely sensitive and will be subject to more
stringent restrictions for release and use than are described here. Units of the Maine CDC
subject to more restrictive criteria regarding the use. administration, management,
processing. storage. disclosure and sharing of individually identi?able health information
gathered, furnished or developed by the Maine CDC shall abide by such restrictions. To
the extent a unit of the Maine CDC is considered a covered entity within the meaning of the
Health Insurance Portability and Accountability Act of 1996 (45 CFR Parts 160 and 164), the
applicable standards, rules and regulations established under that statute are applicable to
the particular unit of the Maine CDC.

6.1 Point of Contact

At least one individual shatl be designated within ech Division, preferably a data
manager, to manage the release of both restricted and unrestricted data. This person
should receive, review, respond and track each data request. in addition, data
releases should be checked and veri?ed by another qualified staff person (Le. a staff
person who is familiar with the program's data and has received both basic and more
detailed training on this policy) prior to their release to ensure data confidentiality.
Erroneously released data could lead to a breach of con?dentiality.

6.2 Release of Unrestricted Data

Many individual requests for unrestricted data can be satis?ed through use of existing
reports and publications produced by the Maine CDC, and may be freely released to
the public.

Maine CDC Policy: Privacy
Page 3

6.3

ADMINISTRATIVE POLICY

Requests for unrestricted data not otherwise published may be mde by telephone or
in writing. Requests should be as speci?c as possible and, at minimum, must stipulate
the data items requested, time period for the data. and a time frame for receiving the
data. Requests must also clearly identify a contact person to whom the Maine CDC
can respond. It is recommended. but not required, that requests for unrestricted data
be logged electronically or in a paper ?le. See Model Document 1 (Attachment 1) for
an example of an Application for Release of Unrestricted Data request form. (Please
note: unrestricted data must be provided even if the requestor refuses to identify him
or herself.)

Release of Restricted Data

Although Maine CDC data are vitally important for promoting and maintaining public
health, inappropriate release of directly or indirectly identi?able data could result in
harm both to individual Maine citizens and to Maine CDC programs. For this reason, it
is crucial that Maine CDC employees and contractors strictly adhere to this Policy.
Failure to do so could result in sanctions against the employee (see Section 10.2.)

In order to guide practice for data release, the terms ?lntemal,? "Federal Partners,? and
?External? are used in this document to categorize the end-users of restricted data.

- ?Internal? users are Maine CDC employees, including non-State contracted
workers employed within Maine CDC programs and supervised by Maine CDC
staff. users also include outside agencies (such as MaineCare and
and outside providers (such as Maine Breast and Cervical Health
Program providers) with whom data sharing is necessary to many out Maine CDC
operations. In addition. an outside entity may be considered an lntemal user in the
following circumstances: the entity's primary mission ls public health; th entity has
demonstrated competence in epidemiology, data security. and con?dentiality; and
the entity has a demonstrated need to know the information requested. Please
note that data sharing with programs and providers outside of the Maine CDC
requires a contract. memorandum of understanding (MOU), Trading Partner
Agreement. Client Consent Statement, or other written agreement that holds the
organization?ndivldual accountable to this policy.

I ?Federal Partners" are federal government agencies, such as the US Centers for
Disease Control and Prevention (CDC) and the US Health Resources and Service
Administration (HRSA)

- 'Extemal' users include users of restricted data who do not fall into the above
categories.

Methods used to release restricted data differ depending on the category of the person
or entity requesting data. These methods are described below.

6.3.1. Release of Restricted Data to lntemal Users
As Maine CDC employees. lntemal users share the Maine CDC mission to
provide the leadership, expertise. information and tools to assure conditions in
which all Maine people can be healthy. In addition, intemal users are bound by

lillaine CDC Policy: Privacy
Page 4

ADMINISTRATIVE POLICY

the strict con?dentiality and security guidelines found both in this Maine CDC
Privacy Policy and in related DHHS policies. For these reasons, this Privacy
Policy allows lntemal users broader access to restricted data than is permitted
for External users.

To facilitate data sharing among lntemal users, each program will contribute to
a master Data Inventory and a master Date Use Plan. The Data Inventory and
Data Use Plan will be used at the Maine CDC-wide level to assure public
health data are treated as an asset and utilized to the fullest extent. In
addition, both the Plan and Inventory will be used to assure appropriate
management and confidentiality of the data, and to assure that all users
maintain the integrity of program data. The Plan and Inventory will be compiled
and stored in the of?ce of the Privacy Of?cer, with oversight by the Maine CDC
Data Work Group. More detailed descriptions of the Plan and Inventory are
included below.

6.3.1.a. Data Use Plan

The Maine CDC Data Use Plan will describe the Maine CDC's plan
for data sharing with other Maine CDC programs, and will re?ect the
Maine vision and priorities for use and collection of public
health information. Annually, each program will ?ll out the Data Use
form (Attachment 7) to document data relationships between
programs. This plan will detail the names of programs, types of data
shared, frequency of use. and purpose of use. For each proram,
the Plan will incorporate all data used that is collected and stored in
other programs, including data used for program planning and
evaluation. epidemiology, case investigation, outbreak management.
emergency response. and management/administration.

Once established. restricted data will only be released to appropriate
lntemal users as de?ned by the current Data Use Plan. Once
included in the Data Use Plan, programs may share restricted data
on an ongoin basis without additional approval. As new areas for
data sharing are Identi?ed, the requesting program will submit a
written request to the program of interest (see page 18 for
Application for Release of Restricted Data.)

The Plan will be overseen by the Privacy Of?cer, with assistance
from the Maine CDC Data Work Group. Program and division
directors will facilitate data-sharing requests, with assistance from the
Privacy Of?cer as appropriate.

6.3.1.b. Data Inventory

The Maine CDC Data Inventory will catalogue all data collected by
Maine CDC programs, creating a Maine CDC-wide inventory of

Maine CDC Policy: Privacy
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ADMINISTRATIVE POLICY

public health data routinely collected. which may be viewed by
potential Internal and External users.

A Data Inventory Form (Attachment 6) will be completed annually for
all data sources collected by each program, whether paper or
electronic. For each data source, the inventory will summarize the
nature of the data (is. surveillance. service data, etc.,) how it is
stored, description of the data collected, and type of routine summary
reports that are available.

The Inventory will be overseen by the of?ce of the Privacy Officer,
with assistance from the Maine CDC Data Work Group

6.3.1.c. Additional Restrictions

To the extent a unit of the Maine CDC is considered a covered entity
within the meaning of the Health Insurance Portability and
Accountability Act of 1996, the applicable standards, rules and
regulations established under that statute are applicable to the data
collected by that particular Maine CDC unit.

Some requests for restricted data require a research protocol and
proof of approval by. or exemption from. an Institutional Review
Board (IRB) formed and maintained in accordance with the U.S.
Department of Health and Human Services Code of Federal
Regulations for Protection of Human Subjects (45 CFR 46, revised
March 8, 1983). Research projects require IRB approval before any
data are released. For more information about the IRS and IRB

requirements. see: 
6.3.2 Release of Restricted Data to External Users

Restricted data will only be released to External users after the Maine CDC
program designee(s) responsible for managing data requests has reviewed the
request. The request must include an Application for Release of Restricted
Data (see example, Attachment 2: Model Document 2) along with the Data Use
Agreement (Attachment 3) and a research protocol and proof of approval by. or
exemption from, an Institutional Review Board formed and maintained as noted
above.

To the extent that a unit of the Maine CDC is considered a covered entity within
the meaning of the Health Insurance Portability and Accountability Act of 1996,
the applicable standards. rules and regulations established under that statute
are applicable to the data collected by that particular Maine CDC unit.

If it is determined that part or all of a data request can be accomplished through
in-house analysis. use of unrestricted data. or the creation of proxy variables,

Maine CDC Policy: Privacy
Page 6

6.4

6.5

ADMINISTRATIVE POLICY

the Maine CDC reserves the right to create such products to ?ll a request,

rather than release the restricted data.

6.3.3 Release of Restricted Data to Federal Partners
Release of restricted data to federal agencies shall occur on an as?needed
basis, with such release negotiated individually by Maine CDC programs. In
most instances, agencies such as the us. CDC and HRSA are not routinely
provided with individually identi?able data, although other restricted data
elements. such as date of birth and demographic data for individuals, may be
provided.

Federal agencies may occasionally assist Maine CDC personnel with disease
outbreaks, epidemioloic investigations or events related to bioterrorism
prevention and response. It is appropriate to share restricted data under these
circumstances.

Consistent with data release practices discussed in other sections of this
policy, the minimum amount of restricted data should be released to
adequately perform a iven public health function. In some instances, data
requests from federal partners may need to be made in writing. It may also be
appropriate to request that staff of federal agencies complete con?dentiality
forms.

Secondary Data Release

Secondary data are de?ned as ?data received from another source within the Maine
Often times. a program within the Maine CDC will publish or be asked to share
data provided by another program within the Maine CDC.

The release of unrestricted secondary data should be made according to this Policy.
including cell size, to ensure con?dentiality. Before releasing secondary data collected
and maintained by another program, the user should request veri?cation from the
person directly responsible for managing the data set in question. If this is not
possible, veri?cation shall be performed by an individual familiar with data quality and
release. preferably an epidemiologist or program manager/director.

The release of restricted secondary data to programs within the Maine CDC or to
outside entities is only allowed by an executed Memorandum of Understanding or Data
Sharing Agreement. Requests for such data should be referred to the manager of the
program where the restricted data originated. The request will then be processed
according to the program's policy.

Cell Size
?Cells? refer to the space formed by the intersection of a row and column in a data

table. For example, a data table may include the category ?race? in columns and the
category ?county? in rows. The resutting cells within the table describe a population by

Maine CDC Policy: Privacy
Page 7

ADMINISTRATIVE POLICY

race and county. In some instances. cells provide very speci?c information about a
limited number of people. in general. with con?dentiality and privacy occur
when there are small denominators, or population sizes, within a given cell in the table.

In order to reduce the risk of breaching con?dentiality, the following guidelines shall be
followed when releasing data:

- County level data will be released, regardless of the numerator cell size, if the
underlying population of the cell is 5.000 or greater. (?Underlying population? refers
to the total subpopulation described by the data, i.e. 15-24 year-old males.) A
decision may be made to suppress county level data regardless of underlying
population size if circumstances are such that there are reasonable concerns that
release of the data could violate an individual's privacy or allow someone to identify
an individual.

0 County level data with cell sizes of 5 or fewer will be suppressed if the underlying
population of the cell is less than 5,000.

For geographic areas smaller than the county. regardless of the underlying
population size, cell sizes of 5 or fewer will be suppressed.

- State level data will be released, regardless of numerator or denominator size. A
decision may be made to suppress state level data if circumstances are such that
there are reasonable concerns that release of the data could violate an individual's
privacy or allow someone to identify an individual.

There are two primary methods used to release data that include small cell sizes:
aggregation and suppression. These methods are described below.

Aggregation: Agregating data is the primary method used to collapse a dataset in
order to create tables with no small numbers as denominators or numerators in cells.
Aggregation of data values is appropriate for ?elds with large numbers of values, such
as dates. diagnoses. and geographic areas.

Suppression: When it is not possible or desirable to create a table where all cell sizes
are greater than 5. cell suppression is used. Suppressed data will be reflected in
tables as ??ve or fewer.? ?fewer than 6" or The method of ?primary cell
suppression? is used to withhold the numerator in the cell that does not meet the
threshold. In the event that one cell is too small, two other ?complementary? cells also
need to be suppressed, Including the next-larger cell and the total. This rule applies to
both rows and columns whenever totals are presented. Complementary cell
suppression must be completed in order to avoid inadvertent disclosure through back-
calculation. Note that cell suppression is a method of last resort due to the amount of
labor needed to ensure that con?dential information is not accidentally released as a
consequence of complementary suppression.

in the event of a public health emergency. where speci?c information is vital for public
safety. release of con?dential information will be at the discretion of the Maine CDC
Privacy Of?cer.

Maine CDC Policy: Privacy
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ADMINISTRATIVE POLICY

6.6 Mapped Data

Geocoding is the process of assigning geographic identi?ers town/region codes
or geographic coordinates expressed as latitude-longitude) to data records. such as
those containing street addresses. When the geocoded coordinates of a health event
are depicted as points on a map. it is possible to reveal an individual's con?dential
street address through a process of reverse geocoding. In order to protect
con?dentiality. a geographic masking approach must be used when publicly presenting
restricted point-mapped data. Geographic masking is the process of modifying the
geographic coordinates in order to mask the precise location of individual cases.
Masking techniques include, but are not limited to, the following:

1. Data Aggregation: This technique involves aggregating individual data points into
a larger geographical area, such as a census tract. zip code, county, or political
boundary. Aggregation of data points must meet the guidelines for Cell
Suppression in Section 6.5

2. Random Spatial Perturbation: This technique involves displacing each data point
by a small. random distance in a randomly determined direction. Guidelines for
applying random perturbation can be found in Chapter 8 of the book Geocoding
Health Data: The Use of Gecgraphic Codes in Cancer Prevention and Control,
Research, and Practice. CRC Press. 2008. ISBN 978-0-8493-8419?6.

Methods of geographic masking may limit the usefulness ofthe data for investigating
disease clusters and add complexity to the analysis. For this reason, these techniques
are only recommended when presenting data publicly. The following journal article is
also a source on masking techniques: MP, Rushton G, Zimmerman DL:
Geographically masking health data to preserve con?dentiality. Statistics in Medicine
1999, 18:929-947.

7. Transmission of Restricted Data

When transmitting restricted data, a common-sense approach should be taken to ensure
that only essential restricted data are shared in order to perform a required function. If
possible and feasible, non-essential identi?ers shall be removed when transmitting restricted
data by US. mail. private mail carriers. facsimile or electronic mail.

All restricted data US, private mail carriers, or interof?ce mail shall be placed
in envelopes stamped ?Con?dential.? This applies to all mail containing restricted data.
Ensure that the correct address is used. and that the address names an individual to receive
the mail.

Restricted data transported between staff of?ces shall be placed in envelopes marked
?con?dential.? All incoming restricted data shall be dated and appropriately distributed to
program staff. At the end of each day, all materials with restricted data must be
appropriately stored (see Section 9.)

Maine CDC Policy: Privacy
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ADMINISTRATIVE POLICY

Restricted public health data that are transmitted electronically should be 1) limited to those
situations that require immediate receipt of the data; and 2) must be safeguarded against
interception or access by persons who do not have clearance to view or use them.

Use of email and cell phones to transmitidiscuss restricted data is allowed only under limited
circumstances. Pursuant to the DHHS Policy Concerning Use of State Automation
Equipment (Section IV. A):

DHHS employees are hereby made aware that cell phones and Internet
messages are generally not secure and can be easily intercepted by outside
parties . . . cell phones and lntemet
connections must not be used to discuss or disclose con?dential or
personallprotected health information (such as HIV status. substance
abuseltreatment. mental health condltion(s). etc).

Cell phones issued by Maine CDC are Restricted data may be discussed using
cell phones when necessary to perform required job duties. and the person
utilizing the cell phone has made a reasonable effort to conduct the phone call in
a private setting where restricted information cannot be overheard.

At this time. email is not avallable to Maine CDC personnel. Therefore. restricted
data may not be emailed to non-state email addresses. Restricted data may be emailed
only between State employees in password-protected documents and when the password
has been conveyed to the receiver by other means.

Pursuant to Section IV. of the DHHS Policy Concerning the Use of State Automation
Equipment, all email messages containing password-protected restricted data must have a
label placed in the subject line that reads: ?Con?dential lnfonnation Enclosed" (see section
6.1.)

When electronically transmitting restricted data. senders must ensure that a correct. updated
email address or fax number is used. The sender must also verify that the data were
received by obtaining from the receiver a voice. email or fax con?rmation. If the data were
not received. the sender must work with the State's Of?ce of Information Technology (OIT)
staff to the destination of the data and retrieve them if possible.

Fax machines used to transmit restricted data should be located in low traf?c areas or
secured locations, such as a locked room. The sending or receiving of faxes containing
restricted information must be coordinated with the senderireceiver so that each is handled
in a timely manner with little or no opportunity for other persons to view these data. Fax
machines not located in a locked room should be disabled from printing when office hours
are concluded.

7.1 Con?dentiality Notice

Because of the potential for unintended receipt. all restricted data transmitted by fax or
email shall contain the following con?dentiality notice:

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ADM iN PO LIC 

Con?dentiality Notice: This email message, including any
attachments. is for the sole use of the intended recipient(s) and may
contain con?dential and privileged information. if you are not the
intended recipient, or an authorized agent of the intended recipient.
please immediately contact the sender by reply email or fax and
destroy/delete all copies of the original message. Any unauthorized
review, use, copying. disclosure. or distribution by other than the
intended recipient or authorized agent is prohibited.

This notice must be placed at the bottom of a fax cover page. or as an email footer.

8. Employee Practices

8.1

8.2

Con?dentiality Rules and Statement

All new employees shall be required to read and sign the DHHS Employees?
Con?dentialy Statement (Attachment 4), of which they will be given a copy. The
original document shall be stored in the employee ?le. Signing this statement
indicates that the employee understands the need to maintain client con?dentiality and
is aware of the penalties for failing to do so.

Employee Training

All Maine CDC employees must read this Policy and receive training about its content.
Periodic privacy training will be offered to all Maine CDC employees. Ensuring that all
employees are trained is the responsibility of each program directorlmanager.

Two training topics are recommended: a ?basictraining? and a more speci?c and
detailed training for data managers.

Basic training should carefully review this Policy, with a focus on employee
responsibilities and worksite security. Unless a Maine CDC-wide basic training is
offered. program directorslmanagers or their designee(s) shall implement the training,
which must be offered to all staff annually, and to new staff upon hire. Former
employees re-hired by the Maine CDC shall be considered new employees in regard
to training. Basic training may also include any additional standards and practices
speci?c to divisions or programs. A sample basic training presentation in MS
PowerPoint format is available for viewing by contacting the Privacy Of?cer.

Data manager training is mandatory for all Maine CDC data managers and Maine CDC
employees authorized to perform data release to internal, external or federal partners.
The training will focus on data release and cell size. use of data request forms,
secondary data release. the Data Use Plan. and the Data Inventory. Data manager
training will be periodically offered through the of?ce of the Privacy Of?cer.

As needed, additional training will be provided to all staff following any substantial
change made to this Policy.

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8.3 Employee Access to Restricted Data

Access to restricted data shall be limited to those staff that collect. process or analyze
the data on a program-speci?c level. Every effort shall be made to minimize the
number of staff required to handle restricted data. with access granted on a "need-to-
know? basis.

Data managers shall conduct periodic audits of their data systems to ensure that users
are accessing restricted data appropriately. Suspected inappropriate access or use of
restricted data must be reported as a potential breach following the protocols in section
10.1.1.

Maine CDC employees. includin contracted workers employed within Maine CDC
programs and supervised by Maine CDC staff, with access to restricted data may only
access restricted data (via saved ?les or other applications) when working remotely in
the following circumstances:

1. It is necessary to access the restricted data in that time and setting, and
2. The employee is using a State-issued laptop computer.

Pursuant to the DHHS Policy Concerning Use of State Automation Equipment (Section
IV. E. 9):

If an employee uses a personal computer that is not provided by the Department, for
State business purposes. the PC must have installed and operating the current version
of the State-approved anti-virus product. The personal computer must not be used to
access. download or store PHI or other con?dential information.

8.4 Departing Employees

Staff who and Maine CDC employment or who change employment to another Maine
CDC program shall. by their last scheduied working day. return all keys. including keys
to of?ces. ?ling cabinets and storage areas. The employee will also return pass cards.
identification cards. and issued equipment. such as laptop computers, personal digital
assistants. Blackberrys and cell phones. In addition. the supervisor of the departing
staff will discuss the need to adhere to the Con?dentialiy and Rules ?t?tement.
Speci?cally that these rules extend beyond employment with any Maine CDC unit and
that con?dentiality must continue to be maintained even after employment with a
Maine CDC unit is ended. These activities would typically occur as a part of a staff
?exit interview.? conducted by supervisors for departing staff. A record of this interview
must be maintained for three (3) years.

9. Work Site Security

Restricted data must not be discussed in public areas.

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ADMINISTRATIVE POLICY

Program staff shall be individually responsible for protecting their own work station. This
responsibility includes protecting keys. passwords. and codes that would allow access to
restricted information.

Visitors to Maine CDC of?ces must be accompanied at all times after being admitted to the
of?ce space. (In specific areas of Maine CDC it may be required that program staff be
noti?ed in advance that a visitor will be escorted to their space, allowing time for removal of
confidential documents from workspaces, if necessary. Maine CDC staff will walk visitors
out to the reception area when the visitor departs.)

lf non-staff persons enter a work area containin restricted information, such data will be
immediately removed from view clearin computer screens. placing documents in desk
drawer.) As appropriate, visitors should be escorted out of areas containing restricted data,
and assisted in locating appropriate Maine CDC staff or of?ces.

All ?le cabinets containing con?dential records are to be locked when not in use. Staff shall
be responsible for making certain that ?le cabinets are locked within their workspace before
leaving the office each day.

When staff are not present in of?ces for short periods (less than 30 minutes). databases
containing restricted data must be closed so they will require use of a password to reopen.
In ddition, all con?dential data shall be turned face down on desks and of?ce surfaces.
When staff depart for periods of 30 minutes or more. all con?dential records shall be
returned to their locked storage location. Staff that utilize restricted data throughout the
workday will be located in low-traffic areas and will appropriately store materials with
restricted data when away from the workstation for 30 minutes or more. All restricted data
will be placed in a locked storage location when of?ce hours are concluded.

Storage of Restricted Data

10.1 Written Records

At a minimum. written records containing restricted client data shall be stored in locked
?le cabinets. As practical, of?ce spaces should be locked and alarmed when
unoccupied.

If more than one person has access to written data, a single staff person will be
designated as responsible for "signing out' restricted records used by other staff. This
individual will be noti?ed by other staff whenever con?dential ?les are removed from
their locked storage area. Preferbly, the designee will track ?les through a written
checklist or tally. in the case where an entire program requires access to written
records with restricted data, staff will be individually responsible for returning records
to ?le cabinets. or temporarily storing records or any material with restricted data in a
locked storage area when of?ce hours are concluded.

Data should be transported off site only when absolutely necessary. Staff who need to
transport restricted written or electronic data outside the of?ce must take extra care to
safeguard these data, and should make every effort to restore data to the locked

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ADMINISTRATIVE POLICY

storage location upon return to the program of?ce. When possible, data should be
transported in locked briefcases or lockable ?le carriers.

Written records determined to be non?essential by program staff (Le. records entered
into a computer database, phone messages, computer-generated line lists) shall be
shredded after use.

10.2 Electronic Records

At minimum. electronic records containing restricted client data shall be stored either
on removable computer devices. (which are then treated in the same way as written
records) or on password-protected computers stored in locked and alarmed of?ces.
As appropriate, data should be using 128-bit or higher software.
with access limited to those working directly with the data. For shared computer
programs on a local area network (LAN.) data ?les will be password protected, with
user rights limited to those staff who work directly to collect. enter or analyze these
data. LAN backup ?les shall be treated in the same way as written data.

The OIT Policy to Safeguard Information on Portable Computer and Storage Devices
states that restricted data must be safeguarded "by properly classifying data, using
to prevent unauthorized access, and requiring written authority to copy data
to portable devices? (Section I). Examples of portable computer and storage devices
include laptops. pocket personal computers, Blackberries. hand-held devices (PDAs),
USB thumb drives, cell phones etc.

When practicable, data stored on a portable device (such as an USB drive)
should be copies of data stored on a secure State network drive. The user assumes
the responsibility for any original data stored on a portable, device when the
device itself or password is lost.

10.3 Replacing Computer Equipment

When replacing computer hardware, any equipment used for storing restricted
electronic records must be thoroughly purged of data before bein removed from
program of?ces. Purges must be conducted by quali?ed OIT staff who completely
remove data so that it is ?unrecoverable.? In addition. removable storage devices no
longer used to store restricted data must be either purged or destroyed by quali?ed
OIT staff.

Program managers must inform OIT staff when any equipment being replaced had
been used to store restricted electronic data. OIT staff is responsible for ensuring that
purges are completed as appropriate.

11. Security Breach

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11.1 Mandatory Reporting

Any Maine CDC employee who suspects wrongful or neligent release of identifiable
or potentially identi?able data shall immediately report this information to his or her
direct supervisor, who will then immediately notify their respective division director, the
deputy director and the Privacy Of?cer.

Any violation of this Privacy Policy should immediately be brought to the attention of an
employee?s direct supervisor, who will then notify their respective division director, the
deputy director and the Privacy Of?cer, even in the absence of an actual security
breach. in addition, Maine CDC employees will report any other information, incidents,
etc. as required by law or other policies and procedures, as established by the Maine
CDC or the Department of Health and Human Services, to their direct supervisor, who
will then immediately make the appropriate noti?cations.

11.1.1 Protocols for Reporting Suspected Breaches

Any suspected wrongful or negligent release of identi?able or potentially
identi?able data. any violation of the Privacy Policy, or other reportable incident
described above shall be reported to the appropriate division director(s), deputy
director and the Privacy Of?cer by submitting an e-mail report detailing the date
and nature of the suspected breach, a description of the identi?ed information,
the parties involved in the suspected breach, and any other relevant
information. No personally identifying information need be included in this initial
report.

All suspected breaches will be investigated by the Privacy Of?cer or his or her
designee(s), who shall submit a detailed report of ?ndings to the supervisor,
division director(s), deputy director and other parties as necessary and
appropriate.

11.1.2 individual Breaches

This policy follows the de?nition of breach outlined in the American Recovery
and Reinvestment Act of 2009 (PL. 111-5): ?the unauthorized acquisition,
access, use, or disclosure of protected health information which compromises
the security or privacy of such information, except where an unauthorized
person to whom such information is disclosed would not reasonably have been
able to retain such information.?

The following are not considered breaches for the purposes of this Policy:

I Unintentional acquisition, access, or use of protected health information
when such action was made in good faith and within the scope of the
employee's job functions, and when the information is not further acquired,
accessed, used, or disclosed.

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ADMINISTRATWE POLICY

.s Inadvertent disclosure from an individual who is authorized'to access
protected health information to a similarly situated staff member within the
same program.

- Information received as a result of an inappropriate disclosure that is not
further acquired, accessed. used, or disclosed without authorization.

When the Privacy Of?cer or his or her designee(s) determines that a breach
has occurred . a log of the breach shall be created that includes a description of
what happened. including the date of the breach and the date of discovery of
the breach; and a description of the types of information that were involved in
the breach. The Privacy Of?cer or his or her designee(s) will submit a ?nal
report to division director and deputy director describing how the breach was
discovered and investigated and, as appropriate, strategies for preventing
future breaches.

As required by the American Recovery and Reinvestment Act, Maine CDC
programs deemed ?covered entities? must provide individual notice of breaches
within 60 calendar days of discovery of the breach, and an annual log of
breaches to the U.S. Department of Health and Human Service. Individual
notice must be delivered via ?rst class mail, unless the individual has speci?ed
a preference to receive notices by electronic mail.

As appropriate. other programs not deemed to be covered entities shall provide
individual notice of breaches by the same standards and reported as outlined
above.

11.1.3 Multiple Breaches

In the case that the protected health information of multiple individuals is
breached, the following noti?cation standards apply for Maine CDC programs
deemed to be covered entities:

0 Individual written notice must be provided within 60 calendar days of
discovery of the breach via ?rst class mail, unless the individual has
speci?ed a preference to receive notices by electronic mail;

- if 10 or more individuals have insuf?cient or outdated contact information. a
conspicuous posting shall be placed on the Maine CDC web page,
including a toll-free phone number where an individual can learn whether or
not the individual's information has been breached;

a If more than 500 individuals' protected health information is breached,
notice shall be made to prominent media outlets, including a toll-free phone
number where individuals can learn whether or not their information has
been breached. Such breaches shall be immediately reported to the U.S.
Department of Health and Human Services.

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12.

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ADMINISTRATIVE POLICY

As appropriate, other programs not deemed to be covered entities shall provide
notice of breaches by the same standards and in consultation with the Privacy
Of?cer.

11.2 Sanctions

Upon noti?cation of a Privacy Policy violation, the direct supervisor in coordination with
the Privacy Officer, will investigate the alleged violation with the accused Maine CDC
employee. The principles of progressive discipline will be followed, as dictated by the
State?s Bargaining Contracts. In the course of the investigation, disciplinary actions
may include any of the following, depending on the severity of the security breach: oral
reprimand, written reprimand, suspension, demotion and dismissal.

1 1.3 Whistle-Blower Exception

There will be no retribution or retaliation against employees for reporting violations, so
long as reporting is done in good faith. Maine CDC management or staff will not
intimidate, threaten, coerce, discriminate against, or take other retaliatory action
against employees, business associates, at al, who either report violations to this
Policy or who assist in investigations or other proceedings in relation to an alleged
violation.

However, any employee who deliberately makes a false accusation with the purpose
of harming or causing retaliation against another employee or the Maine CDC will be
subject to disciplinary action.

11.4 Mitigation

Maine CDC will mitigate, to the extent possible, any harmful effect resulting from a
breach of this Privacy Policy by an employee or other data user regarding release of
restricted data. The Maine CDC will take reasonable steps to determine how restricted
information was improperly disclosed, how it might be used to cause harm and what
steps can be taken to alleviate the effect that resulted from the breach.

Documentation

The Maine CDC will maintain and keep up to date the Privacy Policy and associated
procedures either on paper or in electronic form. All documentation will be maintained for
six (6) years or in accordance with State of Maine record retention policies.

Notice of Privacy Practices

As required by Maine CDC programs deemed ?covered entities? must provide a
Notice of Privacy Practices to their clients (See Attachment 5, Model Document 3: Maine
CDC Summary Notice of Privacy Practices). As appropriate, Maine CDC program
participants or community stakeholders will be provided with adequate notice of any uses
and disclosures of their health data that may be made. Specific Maine CDC Privacy
Practices will be listed on the notice. The notice will be written in easy to read language. with

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ADMINISTRATIVE POLICY

a simpli?ed summary cover sheet explaining the key points. The notice will be made
available in whatever Ianguage(s) the Commissioner of the Department of Health and
Human Services, or their designee, deems appropriate.

14. Revision

The Privacy Of?cer is responsible for revising the Privacy Policy and procedures dealing
with compliance as necessary. The Privacy Of?cer will ensure that affected policies and
procedures are promotly revised as necessary, and appropriate notices are updated to
re?ect changes.

15. Denial of Access

if a request for data is denied, the applicant may appeal in writing to the Privacy Of?cer. If
this appeal is also denied. appeal may then be made to the DHHS Hearings Unit. (Maine
CDC Programs that fall under the HIPAA de?nition of "covered entity" may also be appealed
to the Secretary of Health and Human Services.)

 

 

Privacy
secgon Description of Change Revision Approver 
8.5 Clari?cation of data suppression WQHZ

 

 

 

 

 

 

 

Maine CDC Policy: Privacy
Page 18

 

ADMINISTRATIVE POLICY

Attachment 1
Model Document 1.- Application for Release ?Unrestricted oete 

Maine Center for Disease Control and Prevention
Department of Health and Human Services

1. Data Requester

Name

 

Title

 

Organization

- . 5. 

Address

 

Email Address

2. Contact person:
Name

 

 

Telephone No. FAX No.

3. Request made by: telephone
writing

Purpose of how data will be used

 

 

 

 

 

 

 

 

 

 

 

5. Type of data requested:
6. Time period for data requested:
7. Time frame for receiving data:   
8. Form of records requested: Photocopies

Computer listing

Eleotonic ?le format: speci?cations:

Other - specify: ..

Maine CDC Program use only
Date received Continuing request?
By Approval valid until 
Approved Yes No Cost estimate (if applicable) 5?

Date of Approval Decision

 

 

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ADMINISTRATIVE POLICY

 

 

?gchmant 2
Mode! Document 2: for Release of Restricted Data

 

 

 

Maine Center for Disease Control and Prevention
Department of Health and Human Senrices

Tide of Program and Data Set:

 

1. Principal Investigator or Program Director:

Name

 

Title

 

Organization

 

Address

 

Email Address

 

2. User Category: Researcher
Federal governmental worker
State govemmental worker
Local governmental worker

3. Contact person:

 

 

 

 

Name I - 
Telephone No. FAX No.
4. Intended use of restricted data Statistical research for medical. health or social services
Research Protocol

Proof of IRB approval or exemption

 Public health planning. assessment or evaluation
Health services planning
Administrative reporting to state funding sources
Administrative reporting to federal funding sources

Other (be speci?c 

 

5. Type of records requested:

 

6. Form of records requested: Photocopies certi?ed
Computer listing
Electronic ?le format. specify:

 

 

 

 

 

 

 

 

Other - specify:
Maine CDC Program use only:
Date received: Continuing request?
By: Approval valid until
Approved Yes No Cost estimate (if applicable) 
Date of Approval Decision

 

 

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ADMINISTRATIVE POLICY

Page 2: Supplemental information:
1. Will you supply Identifying Information to be used to select the records of interest?

Yes No
If YES. what information?

If NO. how is the general group of records you are requesting to be selected?
2. Approximate number of records requested:

3. If your request calls for the release of data on an ongoin basis, how often will you need
the data supplied, and over how long a period of time?

4. Summary of protocol. Please be as succinct as possible; your complete
study protocol or program and detailed descriptions of your project and background are not

necessary.

a. Description of health or medical problem addressed or administrative purpose served by the
proram, demonstrating that data requested are essential. and stating primary study or program
objectives and hypotheses to be tested, if applicable.

b. Methodology: include justi?cation for contact with individuals named on and attach
copies of contact letters and consent forms if applicable.

c. Description of any data ?les that will be linked with the demonstrating that such
linkage is essential for the stated purpose.

d. Analysis plan, if applicable. indicating how data will be used and lavel of aggregation.

e. Description ofwhether, and if so, to whom restricted data will be released. demonstrating
that such release is related to stated purpose.

f. Procedures for maintaining con?dentiality and security of restricted data received on or through
the use of recordsidata.

9. Procedures and timetable for disposition of any received.

5. Attach copy of Data Use Agreement, signed by the Principal Investigator. Program
Director, or other Individual responsible for conformance to standards for release of restricted

data.

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ADMINISTRATIVE POLICY

 

 

Attachment 3

 

Date Use Agreement

 

Maine Center for Disease Control and Prevention
Department of Health and Human Services

Data Use Agreement

i agree that the restricted data will not be used in a manner which will identify any individual in any
results, presentations, or reports produced by the investigation. study or project. or for administrative
purposes other than those speci?ed in this application: that data released for statistical research use will
not be used for administrative, legal or other non?statistical purposes which may directly affect particular
individuals as a result of their identi?cation in the study: that datalrecords will be aggregated in a manner
that will protect the con?dentiality of individuals. as stipulated in the Maine CDC Privacy Policy; and that
disposition of restricted data will be made in manner that will not permit unauthorized disclosure.

As the of?cial or principal investigator of the program or research study named on this application which
involves the use of Maine CDC restricted data, i agree to abide by the provisions of this Data Use
Agreement. i will take all steps necessary to ensure that all those involved with the speci?ed program or
research project also abide by the provisions of this Agreement. and that the data received are not used
for any purpose other than that speci?ed in the Application for Release of Restricted Data.

This Agreement applies to all forms of personal communication, as well as to pu biished results.
presentations and reports.

The undersigned is authorized to execute this Agreement.

 

Principal Investig ator. Program Director, or Other Responsible individual:
Signature: Date:
Printed Name and Title: mm 

Organization:

 

Title of Program or Study:

 

 

Maine CDC Policy: Privacy
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ADMINISTRATIVE POLICY

 

FAttachmenu I

Employees? Con?den?alfg/ Statement
This Employee Con?dentiality Statement is intended for use in at least the following two ways:

All employees must read and sign this Con?dentiality Statement upon hire. and

2. This Con?dentiality Statement must be reviewed and re-signed annually by all DHHS employees as part of
the employee?s annual performance evaluation. with the signed copy retained in the employee's personnel
?le.


-  

 

 

Feel It. mm. Gm Mary c. Mayhem, Comm-em
Employees' Con?dentiality Statement

 

I 1
I am signing this form to acknowledge that the Department of Health and Human Services. or its
designee. has explained to me the necessity of and legal requirement to keep client information
con?dential and to make sure that my access to con?dential information is restricted to that whatever is
needed to perform my job-related tasks. I have received training about con?dentia?ty. and I acknowledge
that I am responsible for knowing what information is by law. statute and rule required to be held
con?dentially. I am responsible for knowing what con?dential information is necessary for me to perlonn
my job-related tasks here in the department. By sining this form. I agree to meet the requirements of
those laws at all times during and after my employment. for as long as I hold or have access to any
confidential information.
This information may be related to any individual receiving services from or through any program
administered or ?tnded by any entity of the Department of Health Human Services.
I understand that seeking. obtaining, receiving. retrieval or dissemination by me of any such information,
whether retrieved or derived from paper or computer sources or in any other manner. except in the
course of and for the purposes of performing my duties. ls expressly prohibited.
In the situation where I lnadvertently discover con?dential information in client records. either paper or
computer or any other manner. concerning individuals to whom I am related or have a personal
relationship. I shall immediately terminate my access to this information. I will make my supervisor aware
of the incident of Inadvertent access.
If I have any questions regarding any aspect of con?dentiality. I understand that I should consult my
supervisor.

Please Note: FAILURE TO ADHERE TO THE CONFIDENTIALITY PROVISIONS OF STATE LAW

MAY RESULT IN DISCIPLINARY UP TO AND INCLUDING


I understand that the unauthorized disclosure of con?dential information may also result in civil or criminal
penalties as set out in law.

 

 

.- .. 

 

 

Date  Employee
Witness Wrtness's Printed Name
Distribution: Original: ..Retum to Personnel for employee's personnel ?le.
Copy: ..Employee
Copy: "Supervisor?s fact ?le

Maine CDC Policy: Privacy
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ADMINISTRATIVE POLICY

 

 

Attachment 5

 

Model Document 3: Only for marine deemed HIPAA ?Covered Entities"

 

Maine Center for Disease Control and Prevention
Department of Health and Human Services

Summary Notice of Privacy Practices

THIS NOTICE DESCRIBES HOW MEDICAL INFORMATION ABOUT YOU MAY BE USED
AND DISCLOSED AND HOW YOU CAN GET ACCESS TO THIS INFORMATION.

In compliance with the Health Insurance Portability and Accountability Act (HIPAA) of 1996. the
Maine CDC. (Program Name} safeguards the Protected Health Information (PHI) of Clients
whose Individually Identi?able Health Information Is maintained in our records. As a client of
(Pmram Name) . you have the right to expect that only those individuals, organizations and/or
agencies that have a need to know will be granted permission to use your PHI, unless otherwise
allowed bylaw or by your written authorization. Below is a brief description of your rights to
privacy. These rights are explained more thoroughly in the pages that follow.

Disclosure of Protected Health Information 

Request for Privacy Protection for PHI 

Request for Restrictions on Disclosure of PHI -

Request for Con?dential Communications of Protected Health Infomation 

Your Right to Inspect and Copy Protected Health Information 

Denial of Access 

Amendment of Protected Health Information -

Accounting of Disclosures 

Uses and Disclosures of Protected Health Information Requiring You to Agree or Object 

Uses and Disclosures of Protected Health Information Regarding Deceased Individuals 

Complaint Process 
Notice of Privacy Practices

THIS NOTICE DESCRIBES HOW MEDICAL INFORMATION ABOUT YOU MAY BE USED
AND DISCLOSED AND HOW YOU CAN GET ACCESS TO THIS INFORMATION.

In compliance with the Health Insurance Portability and Accountability Act (HIPAA) of 1996, the
Maine CDC, (ngram Name}. safeguards the Protected Health Information (PHI) of Clients
whose Individually Identi?able Health Information is maintained in our records. As a Client of
(Program Name), you have the right to expect that only those individuals. organizations andIor
agencies that have a need to know will be granted permission to use your PHI, unless otherwise
allowed by law or by your written authorization.

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ADMINISTRATIVE POLICY

Disclosure of Protected Health Information
When Maine CDC discloses your PHI, the information that is disclosed will not:

Exceed what is requested in a Medical Authorization; or

Exceed what is reasonably required for the purpose for which it was disclosed. subject to
the professional judgment of Maine CDC staff. Maine CDC reserves the riht to
determine whether or not the PHI requested exceeds the minimum necessary and to
limit the PHI disclosed as appropriate.

Re uest for Privac Protection 

You may request that the use or disclosure of your PHI be restricted; however, Maine CDC is
not required to area with these restrictions. If we do agree to restrict disclosure of your PHI.
these restrictions will be documented. and we will retin this documentation for six (6) years.

Reguest for Restrictions on Disclosure of PHI

You may request that the use or disclosure of PHI for other than Treatment, Payment or Health
Care Operations be restricted; however. Maine CDC is not required to agree to those
restrictions. If we do agree to a restriction, it will be honored. Additionally.

If Maine CDC terminates the restriction, it will only be terminated after you have been
informed in writing.
0 If you terminate the restriction, then the PHI will be used and disclosed as otherwise

permitted by law.
9 If there is an emergency situation. inforrnetlon may be released to appropriate health

care providers. These health care providers will be requested not to further use or
disclose the information.

Request for Con?dential Communications of Protected Health information

All reasonable requests for con?dential communication of PHI will be honored provided that you
clearly state that you could be endanered by the disclosure of all or part of the PHI.
Additionally. you must provide us with an alternative address or method of contact: otherwise.

Maine CDC may refuse to accommodate your request.

Your Right to inspect and Com Protected Health Infomatlog

You have the right to inspect and obtain a copy of certain PHI maintained in Maine CDC ?les.
Generally. the following material is maintained by Maine CDC. although individual Clients? ?les
may not include all this material:

0 Prior authorization files
a Medical eligibility assessments

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ADMINISTRATIVE POLICY

Denial of Access

If you are denled access to your PHI. you may ?le a complaint with the Maine CDC Privacy
Of?cer, the DHHS Deputy Commissioner. or the Secretary of Health and Human Services.
Information on how to contact these of?ces is listed under Complaint Process at the end of this

Notice.

Amendment of Protected Health lnforrnation

You have the right to amend your PHI or other records maintained in certain Maine CDC ?les for
as long as that PHI is maintained in our ?les. Please see Your Right to inspect and Copy
Protected Health lnfonnation, above. for a list of the material maintained by Maine CDC.

Your request to amend PHI may be denied it it is determined that the material in question:

0 Was not created by Maine CDC. unless the original source of the information is no
longer available to make the requested corrections;
Is not part of the files listed above;
Is not available for inspection (see Your Right to inspect and Copy Protected Health
lnfonnation, above); or

Is currently accurate and complete.

Accounting of Disclosures

You have the right to request an accounting of all disclosures of your PHI that Maine CDC may
make. if the disclosure was for something other than Treatment, Payment or Health Care
Operations, or as authorized by you.

Uses and Disclosures of Protected Health Information Requiring You to Agree or Object

When PHI is made available to the following groups. (Program Name] will give you the
opportunity to object if you are capable of making health care decisions and the situation is not

an emergency:

Health care institutions or directors Involved in your health care;
Family members, close friends, or other persons assisting in your health care; or
Government aencies and disaster relief organizations involved in disaster relief efforts.

Uses and Disclosures of Protected Health lnforrnation Regarding Deceased Individuals

The HIPAA Privacy Rule safeguards PHI about deceased individuals for as long as that
information is maintained in Maine CDC ?les. An executor, administrator, trustee. or other
person who has authority to act on behalf of a deceased individual will be treated as a personal
representative with respect to PHI. A deceased individual's will be protected in the same
manner and to the same extent as that of other Individuals, except for uses and disclosures for

research purposes.

Maine CDC Policy: Privacy
Page 26

ADMINISTRATIVE POLICY

Complaint Process

If you believe your Protected Health Information has not been safeguarded properly, you have
the right to ?le a complaint either directly with Maine CDC or with the Secretary of Health and
Human Services.

The Maine CDC Privacy Of?cer is responsible for receiving complaints regarding Privacy
practices. You may reach the Privacy Officer by calling 207?287-3266

You may also ?le a complaint with the Secretary of Health and Human Services by calling, toll
free, 1-877-696-6775 or writing to the Secretary at 200 Independence Avenue SW. Washington,
D.C. 20201. Or, you may file a grievance with the Of?ce of Civil Rihts by calling, toll free, 1-
(866-627-7748) or 1-886-788-4989 TTY.

Maine CDC documents all complaints. While we are not obligated to respond to all complaints.
we do retain a copy of all complaint documents for six (6) years.

It is the strict policy of Maine CDC that there will be no retribution or retaliation against anyone
?ling a complaint against Maine CDC or a member of its staff.

1. A complaint must be ?led in writing. either on paper or electronically.

2. A complaint must name the entity that is the subject of the complaint and describe
the acts or omissions believed to be in violation of the applicable requirements of this
part 160 or the applicable standards, requirements. and implementation
speci?cations of subpart of part 164 of this subchapter.

3. A complaint must be ?led within 180 days of when the complainant knew or should
have known that the act or omission complained of occurred. unless the time limit is

waived by the Secretary for good cause shown.

Maine CDC Policy: Privacy
Page 27

ADMINISTRATIVE 

 

ITttachment 6: Data Inventory 1
Please complete a separate survey form for each data. collection system in your program
A. Program Information
1. Person completing this survey:

 Of?ce phone:

2. Division:
Administration El Public Health Systems
Environmental Health :1 Chronic Disease
Infectious Disease El Family Health

3. Program:
B. Data Collection Systems
1. Name of data collection system: 
2. Storage method:
I: Electronic (software used 
Paper-based
3. Is this data collection system a surveillance system?
I: Yes (go to QUESTION 3a.) a No (go to QUESTION 4.)
33. I: Active audio: :1 Passive
3b. a Population-based full population coverage

a Population-based - based on a sample
Please describe the sampling scheme:

 

I: Sentinel
Please describe the selection of sentinel sites for this surveillance system:



4. Is this data collection system service-based?
I: Yes (go to QUESTION 4a) El No (Go to QUESTION 5)

4a. On whom is data collected? (eg. all Medicaid patients)

4b. What triggers data collection? receipt of service)

 



 

5. Please provide a brief summary of the data collection system (eg. The information collected, type of routine reports,
ate)

Maine CDC Policy: Privacy
Page 28

ADMINISTRATNE POUCY

 

Attachment 7: Data Use Plan
A. Program Information

1. Person completing this survey:

Name: Of?ce phone:
2. Division:
E1 Administration El Public Health Systems
El En?ronmtal Health Chronic Disease
El Infectious Disease El Family Health

3. Program: 
3. Secondary Data Use
Does your program use data collected by other Maine CDC programs?
a No: You've ?nished completing this form. Thankyou.
I: Yes: Please use the spaces below to list the all data used, the program that collects it, and the frequency of use. This

includes data used for: analysis; planning; evaluation; program management; and response to outbreaks,
biotermrism or public health emergenei. Use reverse of form if needed)

 

Data Used Program Purpose of use Data disseminated Frequency of use
responsible for outside your weekly,
primary collection program? annually,
(Y eslNo) sporadic)

 

 

 

 

 

 

 

 

 

 

 

 

Maine CDC Policy: Privacy
Page 29

EXHIBIT 6

PretiFlaherty

Portland, ME
Augusta, ME

Concord,

Sigmund D. Schutz

Boston, MA

sschutz@preti,corn
Direct Dial:

NH

207,791.3247

Washington,

DC

July 16, 2015

VIA EMAIL

4 FIRST-CLASS MAIL

Kevin Wells, Esq.
General Counsel
Department of Health and Human Services
11 State House Station
Augusta, ME 04333-0011

RE:

Freedom of Access Act (FOAA) request, dated June 9, 2015, for certain records
regarding chickenpox outbreaks reported by schools to the Maine CDC during the
2014-15 school year

Dear Mr. Wells:

I am responding to your letter of July 14, 2015 regarding the above-referenced public
records request and in follow-up on our telephone call earlier today. I represent the Portland
Press Herald/Maine Sunday Telegram.
The Department has denied the Press Herald's Request No. 4 (for correspondence,
including e-mail, between the Maine CDC and the schools or childcare centers regarding the
outbreaks, including any recommendations made by CDC to the schools or childcare centers, and
any draft or final notifications sent to parents, staff, or others related to any outbreaks), but the
Department could provide any generic or form correspondence, recommendations, or
notifications. The Department also could provide redacted correspondence, recommendations,
or notifications (redacted to remove any personally identifying information). Schools routinely
notify students, staff, and parents of outbreaks and notifications and recommendations are
Release of these records, as
coordinated with CDC, or at least reflect CDC's recommendations.
redacted, would not identify the relevant schools or any particular individuals. Please revisit the
Department's response to Request No. 4 and provide this information.

The Department requests clarification with respect to the Press Herald's Request No. 5
(for correspondence, including e-mail, related to or concerning the question whether to disclose
the names of the schools or childcare centers where the chickenpox (varicella) outbreaks have
occurred, including any consideration of the public health implications of keeping secret the
locations where outbreaks have occurred). As far as I am aware and, based on our conversation,
for as long as the Department has tracked FOAA requests there have been no prior requests for
disclosure of the names of the schools where chickenpox outbreaks have occurred, As a result,
the only responsive correspondence, e-mail or other documentation related to the consideration
Preti Flaherty

Betiveau & Pachios LLP
Attorneys at Law

One City Center, Portland, ME 04101

~

Po Box 9546, Portland,

ME

04112-9546

~

Tel

207.791.3000

[

www.prett.corn

8805910.1

PRETI FLAHERTY

Kevin Wells
July 16, 2015
Page 2

of whether to disclose this particular information

presumably has been generated since receiving
the Press Herald's requests. As a result, this request is reasonably narrow. The Department
ought to be able to identify any responsive records without undue burden. To the extent further
clarification is requested, the Press Herald is limiting its request to the 2014-15 school year.

Please contact me with any questions.

I look forward to hearing from you. Thank you.
Very truly yours,

Schutz

SDS;jac

8805910.1

SUMMARY SHEET
M,R. Civ. P, 5(h)
This summary sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as
required by the Maine Rules of Court or by law. This form is required for the use of the Clerk of Coutt for the purpose of initiating or updating
the civil docket. (SEE ATTACHED INSTRUCTIONS)
I. County of Filing or District Court,Jurisdiction:

'umber

II. CAUSE OF ACTION
1

an

(Cite the primary civil statutes under which you are filing, if any.)

M.R.S.A. g 409

III,

NATIJRE OF FILING

t5

Initial Complaint

Third-Party

Complaint

Cross-Claim or Counterclaim

If Reinstated or Reopened
(If filing a second or

case, give original Docket Number
Money Judgment Disclosure, give docket number of first disclosure)

subsequent

TITLE TO REAL ESTATE IS INVOLVED

IV.

MOST DEFINITIVE NATURE OF ACTION, (Place

an

X in one box only)

Checlc the box that most closely describes your case.

GENERAL CIVIL (CV)
Contract

Other Foi feitures/Property

Property Negligence

Contract

Land Use Enforcement (80)C)

Auto Negligence

Declaratory/Equitable

Cl
Cl

Medical Malpractice
Product Liability

Relief

0
0

General Injunctive Relief

Declaratory Judgment

Assault/Battery

Other Equitable Relief

Domestic Torts

Constitutional/Civil

Other Negligence

Constitutional/Civil

Other Personal Injury Tort

Statutory Actions

Administrative

Warrant

H1V Testing
Arbitration

Awards

E3

of Receiver
Shareholders'erivative
Actions

El

Foreign Deposition

Appointment

Rights
Rights

Pre-action Discovery

Unfair Trade Practices

Common Law Habeas Corpus

Freedom of Access

Prisoner Transfers

Auto Negligence

Other Statutory Actions

Foreign Judgments

Other Negligence

Miscellaneous

Other Non-Personal

Drug Forfeitures

Non-Personal

Injury Tort

W

Libel/Defamation

CI

Libels

Personal Injury Tort

Injury Tort

Civil

0

Minor Settlements
Other Civil

SPECIAL ACTION~SSAJ

CHILD PROTECTIVE CUSTODY (PC)

lVIoney Judgment

Money Judgment Request Disclosure

Non-Dl-IS Protective Custody

REAL ESTATE (RE)
Title Actions

Foreclosure

Quiet Title

Foreclosure (ADR exempt)

Eminent Domain

Foreclosure

Easements

Foreclosure - Other

0

(Diversion eligible)

APPEALS (AP) (To be
Body (80B)

Administrative

Riled in

Agency ('80C)

Superior Court)

Cl

Nuisance

Mechanics Lien

Abandoned

Partition

Trespass

Adverse Possession

Boundaries

Governmental

Misc, Real Estate
Equitable Remedies

Cl

Roads

Other Real Estate

(ADR exempt)
Other Appeals

VI. M. R, Civ. P. 161I Alternative Dispute Resolution (ADR):
W I certify that pursuant to M. R. Civ, P, 168(b), this case is exempt from a required ADR process because:
W It falls within an exemption listed above (i.e,, an appeal or an action for non-payment of a note in a secured transaction).
The plaintiff or defendant is incarcerated in a local, state or federal facility.
The parties have participated in a statutory pre-litigation screening process with
on
The parties have participated in a formal ADR process with
(date).
This is a Personal Injury action in which the plaintiff s Iilcely damages will not exceed $ 30,000, and the plaintiff requests an
exemption from ADR.

CV-001, Rev, 06/14

Page I

of 3

VII. (a)CI PLAINTIFFS (Name & Address including county)
or

CI Third-Party,

O Counterclaim

or Cross-Claim Plaintiffs

The plaintiff is a prisoner in a local, state or federal facility.

Portland Press Herald, a newspaper
One City Center, 5th Floor
Portland, ME 04101
Cumberland County

published

by MTM Acquisition,

Inc.

If all

(b) Attorneys (Name, Bar number, Firm name, Address, Telephone Number)

counsel listed do NOT represent all plaintiffs,
specify who the listed attorney(s) represent.

Sigmund D. Schutz, Esq. - Bar No. 8549
Preti Flaherty
One City Center, P.O. Box 9546
Portland, ME 04112-9546

(207) 791-3000
sschutz(mpreti.corn

VIII. (a) W DEFENDANTS (Name & Address including county)
and/or
CI Third-Party,
Counterclaim or
Cross-Claim Defendants

0

The defendant is a prisoner in a local, state or federal facility.

Maine Department

of Health and Human Services

221 State Street
Augusta,

ME

04333

Kennebec County

If all counsel listed do NOT represent all defendants,
specify who the listed attorney(s) represents.

(b) Attorneys (Name, Bar number, Firm name, Address, Telephone Number)

(If known)
Kevin C. Wells, Esq., Bar No. 8146
General Counsel
Department of Health and Human Services
11 State House Station
Augusta, ME 04333-0011

(207) 287-3707
IX. (a)

PARTIES OF INTEREST (Name & Address including county)

If all

(b) Attorneys (Name, Bar number, Firm name, Address, Telephone Number)

counsel listed do NOT represent all parties,
specify who the listed attorney(s) represents.

(If known)

X.

RELATED CASE(S) IF ANY

hi/A

Docket Number

Assigned Judge/Justice

Date:

July

21, 2015

sigmund

D. Schutz

f-Plairjfgm Lead Attorney of Record

~
CV-001, Rev. 06/14

Page 2

of 3

Signatur

of Rsintiffm

Attorney

SUPERIOR COURT

STATE OF MAINE
CUMBERLAND, ss.

Civil Action

Docket No. CV-

PORTLAND PRESS HERALD,
MOTION FOR EXPEDITED TRIAL DE
NOVO, ENTRY OF PROPOSED
SCHEDULING ORDER, AND ORDER
SPECIFYING THE FUTURE COURSE OF
PROCEEDINGS AND INCORPORATED
MEMORANDUM OF LAW

Plaintiff,

MAINE DEPARTMENT OF HEALTH
AND HUMAN SERVICES,

(M.R.Civ.P.80C and

1

M.R.S, $ 409(1))

Defendant.

In this Freedom of Access Act (1 M.R.S. ( 401 et seq. ("FOAA")) appeal, MTM

Acquisition, Inc. dlbla the Portland Press Herald (referred to as the "Press Herald" ), moves:

(A) for an expedited trial de novo on its FOAA appeal from the denial of access to public records
pursuant to 1

and

M.R.S. $ 409(1) (providing for a trial de novo

and for privileged trial assignment);

(B) that the Court enter the proposed scheduling order "specifying the

future course

of

proceedings" pursuant to M.R.Civ.P. 80C. Because this is a FOAA appeal, a scheduling order
tailored to the facts and issues in this case is necessary to promptly reach the merits pursuant to
1

M.R,S. $ 409(1).
INCORPORATED MEMORANDUM OF LAW
The FOAA provides that a court is to hold a "trial de novo" to determine

of a request for a public record
2.

is just and proper.

1

if denial

M.R.S. $ 409(1).

"Appeals may be advanced on the docket and receive priority over other cases

when the court determines that the interests

of justice so require."

1

M.R.S. $ 409(1).

8809335

1

3.

As a corollary to the accelerated trial

access to public records,

1

of an appeal of a governmental

denial

of

M.R,S. $ 409(1), it is appropriate to set an abbreviated schedule for

A standard Scheduling and/or Pre-Trial Order would defeat the legislative purpose of

hearing.

the FOAA to create a prompt mechanism for appeals of denials
and records.

1

4.
substantial

of access to public proceedings

M,R.S. ) 401.
Unnecessary

delay in obtaining lawful access to public records is a continuing

harm to the public and is against the public interest.

1

M.R.S. $ 401.

The Law Court has held that FOAA claims "are in the nature of reviews

5.
governmental

actions, not independent

of

claims. When there is evidence outside the record that is

relevant to a challenge under FOA, the complainant
Table, Inc. v. City

and

must file a Rule 80B motion." Baker 's

of Portland, 2000 ME 7, $ 11, n.6, 743 A.2d 237.

Although Rule 80B does

not apply here, Rule 80C is similar and the relief sought by the Press Herald day is necessary to
establish the factual predicate necessary to decide this appeal

6.

Unlike a typical Rule 80C appeal, there is no "administrative

record" in a FOAA

appeal, because there is no formal agency adjudication that generates a record; the agency simply

issues its response granting or denying a FOAA request.

In any event, the matter is heard

de novo.

WHEREFORE, the Portland Press Herald respectfully requests that the Court: (A) grant
its motion;

(B) set this case for expedited de

novo hearing; (C) enter the proposed scheduling

order; and (D) enter such other and further relief as may be just and proper.

8809335

1

Dated at Portland, Maine this 21st day of July, 2015.
Respectfully Submitted,
Portland Press Herald

By Its Attorneys,
PRETI FLAHERTY BELIVEAU &
PA

~gmund D. Schutz, Esq., Bar No. 8549
One City Center

P.O. Box 9546
Portland, ME 04112-9546
Telephone: (207) 791-3000
Facsimile: (207) 791-3111
NOTICE
Pursuant to Rule 7(c) of the Maine Rules of Civil Procedure, you must file any opposition to this
motion within 21 days after the date of the filing of this motion unless another time is set by the
court, Failure to file a timely opposition will be deemed a waiver of all objections to this motion,
which may be granted without further notice or hearing.

8809335.1

SUPERIOR COURT

STATE OF MAINE
CUMBERLAND, ss.

Civil Action

Docket No. CV-

PORTLAND PRESS HERALD,
Plaintiff,

SCHEDULING ORDER
MAINE DEPARTMENT OF HEALTH
AND HUMAN SERVICES,
Defendant.
Pursuant to 1 M.R.S. $ 409(1), which directs the Court to determine after a trial de novo
whether a denial of access to a record was for a lawful cause and that Freedom of Access Act
("FOAA") appeals are privileged in respect to their assignment, the court enters the following
scheduling order:

1.
Joinder of Parties and Amendment of Pleadings. No new parties may be
joined and motions to amend the pleadings may not be filed, unless otherwise ordered by the
couit..

2.

Expert Witnesses. The parties may not designate or call expert witnesses in this

matter, unless otherwise ordered by the court.

3.

Discovery. Unless otherwise ordered by the Court for good cause shown,
shall
discovery
be completed not later than 60 days after the date of this order. Plaintiff shall
serve written discovery on Defendant not later than 7 days after the date of this Order and may
conduct up to 3 depositions of Defendant.

4.
Stipulated Record. The parties shall confer in good faith and attempt to reach
agreement on a stipulated record. The parties shall submit to the Court a stipulated record not
later than 7 days after the deadline to complete discovery. If the parties are unable to agree, they
shall notify the Court of that fact and the nature of the disagreement. The stipulated record may
include deposition transcripts,

Briefs. Plaintiff shall file a brief not later than 14 days following the submission
of the stipulated record, limited to 20 pages. Defendant shall file a response brief not later than
5.

14 days thereafter limited to 20 pages. Plaintiff may then file a reply brief not later than 7 days
thereafter limited to 7 pages.

8809344.1

Hearing. Unless the parties are unable to agree to a stipulated record, the Court
will schedule this matter for a non-testimonial hearing on the earliest available date after briefing

6.

is complete pursuant to 1

M.R.S. ) 409(1).

Sanctions. The court may impose sanctions for the failure to make timely, good
7.
faith filings under this order. Sanctions may include dismissal, preclusion of issues, exclusion of
witnesses and evidence, and costs imposed on parties or counsel. M.R.Civ.P. 16(d).
This Order shall be incorporated into the docket by reference. M.R.Civ.P. 79(a).

SO ORDERED

Dated:

, 2015

Justice, Superior Court

8809344.1

STATE OF MAINE
CUMBERLAND, ss.

SUPERIOR COURT
Civil Action

Docket No. CVPORTLAND PRESS HERALD,
Plaintiff,

REQUEST FOR HEARING
MAINE DEPARTMENT OF HEALTH
AND HIJMAN SERVICES,
Defendant.

Plaintiff requests that the Clerk schedule the pending Motion For Expedited Trial De
Novo, Entry of Proposed Scheduling Order, and Order Specifying the Future Course of
Proceedings as soon as the parties may be heard for a telephonic conference pursuant to
1

M.R.S. $ 409(1).
The matter to be heard is:

( )

Testimonial

(X )

Non- Testimonial

To the nearest one-quarter hour, my good faith estimate of the time which the hearing
will take is I/2 hour.

Dated at Portland, Maine this 21st day of July, 2015.
Respectfully Submitted,
Portland Press Herald

By Its Attorneys,
PRETI FLAHERTY BELIVEAU &

utz, Esq., Bar No. 8549

P,O. Box 9546
Portland, ME 04112-9546
Telephone: (207) 791-3000
Facsimile: (207) 791-3111

8809349.1