on} R. ieFoge. ?overor Office of the Commie-sinner Freedom of Access Act (FOAA) Policy Mary C. Mayhem; Comfssiqner Policy ii: II. Freedom of Access Act Policy Issue Date: 1 1/7/12 SUBJECT Freedom of Access Act (FDAA) Policy POLICY STATEMENT it is the policy of the Department of Health and Human Services that employees shall make every reasonable effort to fully comply with the requirements of the Freedom of Access Act by following the procedures set forth below when they receive a request, for Department records. RATIONALE A fundamental principle of democracy is a citizen?s right to obtaininformation about their government and, accordingly; the Legislature has, pursuant to the Freedom of Access Act, provided the public with a general statutory right toobta?in publicrecords. PROCEDURE A Employee's shall immediately notify the Public Access Of?cer of any request for Department records. The Public Access Officer shall then be responsible for the coordination of the Department?s response to the request B. Employees shall not directly respond to any request without the permission of the Public Access Of?cer. C. If the Public Access Officer determines that a'request is a routine request or is otherwise a request to which an employee may directly respond'then, unleSs otherwise directed by the Public AcceSS Officer, the employee [or other designated person) shall aclmowledge the request within a reasonable period of time, provide a good faith estimate of the co st of Complying with the request and of the time within which they will comply with the request, and make a good faith effort to fully respond to the request within the estimated time. A good faith effort must not delay or inconvenience- the regular activities of the Department and does not require the creation of a record that does not exist. D. If a request is denied then a written notice, stating the reason for the denial, shall be provided to the requester within 5 working days of the request. Page 1 of 3 E. Unless a waiver of costs has been approved, a response to a request shall be Conditioned . upon the requestor?s agreement to pay the estimated cost of complying with the request if the estimated cost exceeds $30 (or other statutorily specified amount) or upon the requestor?s payment of the estimated cost. if the estimated cost exceeds $100 (or other statutorily specified amount). The estimated cost shall be based on the rate of $15 per hour after the first hour (or other statutorily speci?ed rate) plus the actual cost of postage and copies. F. When responding to any request, employees must be mindful of their obligation not to disclose any information that is con?dential or otherwise not subject to public disclosure. Any question regarding whether information is con?dential or otherwise not subject to public disclosure shall be directed to the Public Access Officer. G. Any inspection of records must take place under the supervision of responsible staff within the Of?ce involved with the request and is subject to the feasibility of separating or preventing the disclosure of any con?dential information contained in the records- V. DEFINITIONS Department records: Any written, printed or graphic. matter or any mechanical or electronic data compilation from winch information can be obtained, directly or after translation into a form susceptible of. visual or aural comprehension; that is in the possession or custody of the Department, and has been received or prepared for use in connection with the transaction of Department business or contains information relating to the transaction of Department business. . Freedom of Access Act (FEM): 400 at Seq. Public Access Officer: General Counsel V1. DISTRIBUTION All Staff via e?I?naii and posting on the DHHS intranet VII. ATTACHMENTS Sample ?5-day 0AA letter? 11/7/12- Date Mary C. Mayhe- Commissioner Page 2 of3 . Freedo-mofAcce-ss Act (FOAA) Policy POUCY Responding to Non-Emergency inquiries from a Member of the Media or the Public 1. Purpose: To provide guidelines by which staff handle non-emergency inquiries from the media or from members of the public. 2. Policy: A Maine CDC employee shall not assume the role of spokesperson for the-agency to members of the media without the specific authority of the Maine CDC Director and/or Deputy Director and clearance from the DHHS Communications Office. Each Maine CDC staff person who receives an inquiry from a member of the public respond within one business day of receipt of the inquiry unless a deadline for the media requires a more immediate response, either with an answer or with an estimated date as to when the answer be communicated. . 3. Rationaie: This policy ensures standard practices for handling incoming inquiries. The adoption of standard practices limits deviations from Maine official positions on issues and ensures consistency in messaging. 4. Definitions: 4.1 Media can be defined as (but is not iimited to) press, magazines, television, radio, trade and professionai presses, and/or onllne publications. 4.2 A member of the public is anyone who contacts the Maine CDC as an lndividuai or as a representative of an organized body other than the media. Responses to inquiries from a "member of the public? addressed in this policy relate to basic information on health that is available through Maine CDC health education materials, including Maine CDC websites; 4.3 A content expert refers to a Maine CDC staff member at the program manager levei or above. 5. Applicabie Rules or Standards: Public Heaith Accreditation Board (PHAS) standard 8.2 Maine Approver: . Page? oi4 MWW a . Approval 6 we; 6. Procedures: 6.1 Procedures for responding to inquiries from a media representative: Please also refer to the DHHS Public Communications Policy 6.1 .i The Maine CDC staff person who receives an inquiry from a representative of the media shall record the message in an email and inciude the toilowing details: Date and time of communication; Method of contact (query received via emaii, phone, voicemail, etc); Name of media representative; Media (name of newspaper, radio station, etc); Media representative?s contact phone number and/or email address; and A brief description of the media representative?s question and their deadline. 0 0 The Maine CDC staff person should tetl the reporter someone get back to him/her. A suggestion is to say, ?i can heip you with thatll? you tell me what you are calling about and what your deadline is, l?ll be sure someone gets . back to you.? at .2 Send the emaii to the Maine DHHS Communications Director and the Maine CDC Director. Be sure to rate the email with a ?high? importance ievel, and aiso request a ?read receipt? message. Send a copy of the message to the Deputy Director, the appropriate division/office director and the Office Manager for Maine CDC Administration. it you do not receive a response or the ?read receipt" follow-up message within one hour, contact the Office Manager for Maine CDC Administration or the Maine CDC Deputy Director in her absence or the appropriate. division/office director it both are Unavailable) with the information detailed in 6.1.1. It is the res onsibi-?lit of the arson who receives the in air to be sure the massacre is received. The Office Manager Maine CDC Administration or the Deputy Director for Maine CDC wilt contact the back up to the DHHS Communications Director to determine who is approved to respond to the media representative. at .3 in accordance with the Department?s Public Communications Policy, upon the approval and with the guidance of the Director of Communications and the Maine CDC Director, content experts may reapond to a reporter?s inquiries regarding specific projects or technicai issues within their professional purview. . Maine CDC Poiicy; Responding to Non~8fsk Inquiries from a Member of the Media or the Public Page 2 6.2 6.3 6.4 6.5 Procedures for responding to an inquiry from a walk-in member of the Qubiic: 6.2.1 Members of the public requesting information on or assistance with Tobacco and/or Health inspection licenses shail be assisted by Environmental Health Division staff located in the reception area of 285 Water Street, Augusta. 6.2.2 For members of the public requesting information not related to Tobacco and/or Health inspection iicenses: 0 Determine the appropriate staff person to help (using the Maine CDC organizational chart if necessary, and call that. person for the visitor to determine the best way to assist the individoat. Procedures for responding to inquiries from a member of the poetic via phone: The Maine CDC staff person who receives an inquiry from a member of the public via phone wiil forward the caller to a content area expert. Before forwarding the caller, the caiier must be asked if they mind ieaving a message if they receive the content area expert?s voice mail. If they do not mind, the caller can be forwarded to the expert. if they prefer not to leave a voicemaii message, the Maine CDC staff person shail take a message as described in 6.4.1 below. 6.3.1 Procedures for responding to inquiries from a member of the public Via a text? based or recorded massacre system (email, fax, voicemaii, eta): 6.4.1 The Maine CDC staff person who receives an inquiry from a member of the pubiic (via email, fax, voicemail, etc), shaii forward the following detaiis of the request to a content area expert: a Date and time of communication; 6 Method of contact (inquiry received via email, fax, voicernaii, etc); The person?s name; 9 The person?s affiliation (if any); a The person?s contact information; and A brief description of the question. 6.4.2 The person responding to the inquiry will follow up with the person who originain received the inquiry in order to close the ioop on the request. Procedures for responding to a Footprints ticket from Maine CDC Administration: 8.5.1 The Maine CDC staff person receiving an email notification identified as a Footprints ticket shall: iv?iaine CDC Policy: Responding to Non?Risk Inquiries from a Member of the Media or the Pubir?c Page 8 Respond to the constituent inquiry via email or telephone within three (3) working days. it the response is via email, copy the emaii response to the person who sent the Footprints ticket. It the response is via telephone, send an emaii containing a brief summary of the conversation that took piece and send it to the person who sent the Footprints ticket. . Maine CDC Poiicyz Responding to Non-Risk Inquiries from a Member of the Media or the Pubiic Page 4 Gopaul, Judy From: Wells, Kevin Sent: Thursday, August 25, 2016 5:22 PM To: Hilton, Diane; Gopaul, Judy; Steuber, Tammy; Montagna, Chris; Lovejoy, Elaine; Zukas, Christine; Clifford, Jaimi; Fuller, Jason; Griffin, Amber; Stevens, AnnMarie; Berube, Bethanie; White, Debra; Grover, Diane; Knowles, Carla; Perry, Diane; Young, Jeffrey Bondeson, Roger; Keezer, Kimberly; Brockway, Samantha; Kadnar, Stephanie; Heath, Elizabeth; Caron, Deborah cc: Downs, Herb Peavey, Sheryl; Wolcott, Gary; Martin, James Hamm, Bethany; Nadeau, Stefanie; Sprague, Sharon; Bouffard, Rodney; Wheeler, Sheldon; Lopatosky, Jim; Gilbert, Denise Veilleux, Kathy; Mayhew, Mary; Lamensky, Tyler; Adolphsen, Nick; Edwards, Samantha; Martins, John Mahar, Michael; Valcourt, Catherine; Hysell, Erin; Gutierrez, Brieanna; Quadro, Tracy; Cohen, Daniel Logan, William; Snyder, Nicholas A Subject: RE: REVISED FOAA Process Attachments: FOAA?Procedure?Checklist (rev 08252016).docx Importance: High EFFECTIVE 08/26/2016 Please have staff follow the attached revised FOAA Procedure Checklist for any FOAA request received on or after (18/26/2016. in particular, please note the following changes in the Department?s FOAA process: 0 Program Offices do not send out "5?day letters? or estimates (these letters will be sent by the Commissioner?s Office) a Program Offices do not search for or compile responsive records until directed to do so by the Commissioner?s Office a Program Offices do not send out responses to requests (responses will be sent by the Commissioner?s Office) Please contact me or Nick Adolphsen if you have any questions. Kevin C. Wells General Counsel Department ofiHealth and Human Services 221 State Street, SHS 11 Augusta ME 04333 Con?dentiality Notice: This e-mail message, including any attachments, is solely for the use of the intended recipient(s) and may contain con idential and privileged information. If you are not the intended recipient or an authorized agent of the intended recipient then please immediately contact the sender by reply e-mail and destroy/delete all copies of the original message. Any review, use, copying, forwarding, disclosure, or distribution of this e?mail message by other than the intended recipient or authorized agent is strictly prohibited. From: Wells, Kevin Sent: Wednesday, August 17, 2016 10:13 AM To: Hilton, Diane; Gopaul, Judy; Steuber, Tammy; Montagna, Chris; Lovejoy, Elaine; Zukas, Christine 1 .u Clifford, Jaimi; Fuller, Jason; Griffin, Amber; Stevens, AnnMarie; Berube, Bethanie; White, Debra; Grover, Diane; Knowles, Carla; Perry, Diane; Young, Jeffrey Bondeson, Roger Keezer, Kimberly; Brockway, Samantha; Kadnar, Stephanie; Heath, Elizabeth; Caron, Deborah Cc: Downs, Herb F. Peavey, Sheryl; Wolcott, Gary; Martin, James Hamm, Bethany Nadeau, Stefanie Sprague, Sharon; Bouffard, Rodney; Wheeler, Sheldon; Lopatosky, Jim; Gilbert, Denise E. Veilleux, Kathy; Mayhew, Mary Lamensky, Tyler; Adolphsen, Nick Edwards, Samantha; Martins, John A Mahar, Michael; Valcourt, Catherine; Hysell, Erin; Gutierrez, Brieanna; Quadro, Tracy; Cohen, Daniel Logan, William; Snyder, Nicholas A Subject: REVISED FOAA Process Sensitivity: Confidential EFFECTIVE IMMEDIATELY Please have staff send all FOAA requests to Denise Gilbert with a copy to Tyler Lamensky. All responses to FOAA requests (including "5-day letters?) will now be sent by the Commissioner?s Office. Further details regarding the revised process will be sent in the near future. Kevin C. Wells General Counsel Department of Health and Human Services 221 State Street, SHS 11 Augusta ME 04333 Confidentiality Notice: This e-mail message, including any attachments, is solely for the 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 then please immediately contact the sender by reply e-mail and destroy/delete all copies of the original message. Any review, use, copying, forwarding, disclosure, or distribution of this e-mail message by other than the intended recipient or authorized agent is strictly prohibited. Gopaul, Judy From: Lovejoy, Elaine Sent: Thursday, August 18, 2016 1:11 PM To: Beardsley, Nancy; Bennett, Siiri; Birkhimer, Nancy; Crouse, Roger; D'Agostino, Marietta; Farmer, Ann; Fullmer, Troy; Hodgkins, Lisa; Hyland, Jay; Jenkins, William; King, Shannon; Markiewicz, James; Martins, John McAuley, Kristen; Miller, Geoff; Pare, Tera; Peavey, Sheryl; Pezzullo, Christopher; Philbrick, Tonya; Pote, Ken; Ricker, Valerie Robichaud, Veronica Silva, Lisa; Smith, Andy E. Swan, Michael; Taylor, Sarah; Theriault, Christine (DH Valcourt, Catherine; Whitten, Janet; Wigand, Debra Wolanski, Lori; Zu kas, Christine Subject: Revised FOAA Procedure Importance: ig EFFECTIVE IMMDIATELY - REVISED FOAA PROCEDURE Good afternoon everyone, Once you have gathered all of the documents to respond to a FOAA request, please send those documents to iudv.gopaul@maine.gov and not to the person who submitted the FOAA request. Please do not send any ?five-day letters? yourselves or any documents directly to the requester. These will be handled in a different manner. If you have questions please contact Judy Gopaul at 287-7333 or Chris Zukas at 287-5179 As we receive information about the process for responding to FOAA requests, we will let you know. Judy H. Gopaul, J.D., MPPM FOAA Coordinator Department of Health and Human Services Maine Center for Disease Control and Prevention - Preserve Promote Protect Policy and Compliance/FOAA Management 286 Water Street, 8th Floor 11 State House Station Augusta, ME 04333-0011 Tel: (207) 287-7333 Fax: (207) 287-9058 Call 711 (Maine Relay) Con?dentiality Notice: This e-mail message, including any attachments, is solely for the use of the intended recipient(s) and may contain confidential 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 e-mail and destroy/delete all copies of the 1 Gopaul, Judy From: Peavey, Sheryl Sent: Monday, August 29, 2016 9:25 AM To: Lovejoy, Elaine; Steuber, Tammy; Gopaul, Judy Cc: Zukas, Christine; Robichaud, Veronica Pezzullo, Christopher Subject: CHange in FOAA response-?FYI before I notify the rest of the agency Importance: High Follow Up Flag: Follow up Flag Status: Flagged Just wanted you all to be aware of the change in the FOAA request process. My apologies for the short notice. I will be sending the following to SMT shortly. The Department is in the process of developing a more centralized and streamlined response to FOAA requests. Effective immediately, any FOAA requests received by MCDC staff should be sent directly to Elaine Lovejoy and Tammy Steuber. If you have any questions, please email me directly. Sheryl Peavey Chief Operating Officer Maine Center for Disease Control and Prevention - Preserve "Promote Protect Department of Health and Human Services 286 Water Street, 8th Floor 11 State House Station Augusta, ME 04333-0011 Sheryl.peavey@maine.gov Confidentiality Notice: The information contained in this email and any attachments may be privileged, confidential, and/or proprietary and is intended solely for the use of the person(s) to whom it is addressed. If you are not the intended recipient, any review, retransmission, dissemination or any other use of the information contained in this email and any attachments is strictly prohibited.