Maine Department of Health and Human Services Eckerd Rapid Safety Feedback Software Documents

To Whom It May Concern:

Pursuant to the Maine Freedom of Access Act, I hereby request the following records:

Materials related to any predictive or automated analysis software and algorithms used by this agency in the performance of its responsibilities.

These materials should include, but not be limited to, those regarding the software and algorithm used in the Eckerd Rapid Safety Feedback Software. For reference and help retrieving responsive documents, this program was publicly discussed in the following news article: https://www.bostonglobe.com/2015/11/07/childwelfare-bostonglobe-com/AZ2kZ7ziiP8cBMOite2KKP/story.html

Please provide the following records related to the above program and any similar programs:

• Software and algorithm:
Any software and algorithms developed for the implementation of the program. We are particularly interested in any algorithms that have a public policy outcome, such as providing guidance on a policy or an assessment of an individual.

More generally, please provide any software that was developed by or with, given to, used by, purchased or licensed to this agency for implementation of the above referenced program. This would include original source code, any compiled binaries (also known as executables), spreadsheets, program scripts, and other digital materials used to calculate any data in the above program. It would also include the input training data for machine learning algorithms. Collectively, these responsive materials will be referred to as "the software" in the following paragraphs.

Please provide any description of input and output data fields that capture the type of information that is submitted to the software and that is produced by the software.

• Contracts and procurement materials:
Any and all contracts (including related amendments and exhibits), non-disclosure agreements, liability waivers, insurance agreements, Requests for Proposals, responses to Requests for Proposal, Memorandums of Understanding, Letters of Interest, and informal agreements that reference "the software" or otherwise guide its use or the relationship between this agency and the provider or developer of the software.

• Instructional and training materials:
All instructional materials, presentations and presentation materials (including recorded video and audio, PowerPoint files, prepared remarks, and slides formats), and other guidance on the use of "the software." This includes any notes taking during meetings that discussed the use of the software, any explanations (whether internally or externally generated) of how the software works, and any other document that has been used to help explain the use of "the software" to any party, including internal documentation, public relations materials, and executive summaries.

• Assessments, audits, and reports:
A copy of any privacy impact assessments, validation studies, reports to legislative bodies, annual reports that mention the use of the Software, as well as audit records (including but not limited to security audits of the software, misuse reports, and reports to oversight bodies), and other evaluations that reference "the software," otherwise pertain to its use, or were conducted with respect to the program or with respect to any software or algorithms used in connection with the program. In addition to a copy of any validation studies, please also provide any records pertaining to inquiries for the need of validation studies or discussion of validation studies (potential or actual).
By “validation study,” we mean any study designed to assess how accurate the program is in predicting what it is supposed to predict or any study designed to assess whether the program may err in the direction of either under- or overestimating likelihoods or predicted outcomes or may produce any results that are biased or unexpected in any way.

• Policies:
A copy of any usage policies, data retention policies, legal opinions, warranties, standard operating procedures, and other guiding materials that reference "the software" or otherwise pertain to its use.

• Funding materials:
A copy of any invoices, financial records, funding opportunity announcements, grant applications and grantor status/progress reports that reference "the software" or otherwise pertain to its use.

• Recent history:
For the aspects of the software that require an input (for example, to compute a value), we request a copy of the five most recent sets of data that were used for input, as well as the five most recent outputs of the software, in whatever their native format is. If these inputs or outputs include exempt information, we ask that you exempt only that information which is specifically exempted from law and provide the other material.

I also request that, if appropriate, fees be waived as we believe this request is in the public interest, as suggested but not stipulated by 1 M.R.S.A. § 408(6). The requested documents will be made available to the general public free of charge as part of the public information service at MuckRock.com, processed by a representative of the news media/press and is made in the process of news gathering and not for commercial usage.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 5 business days, as the statute requires.

Sincerely,

Beryl Lipton

To Whom It May Concern:

Pursuant to the Maine Freedom of Access Act, I hereby request the following records:

Materials related to any predictive or automated analysis software and algorithms used by this agency in the performance of its responsibilities.

These materials should include, but not be limited to, those regarding the software and algorithm used in the Eckerd Rapid Safety Feedback Software. For reference and help retrieving responsive documents, this program was publicly discussed in the following news article: https://www.bostonglobe.com/2015/11/07/childwelfare-bostonglobe-com/AZ2kZ7ziiP8cBMOite2KKP/story.html

Please provide the following records related to the above program and any similar programs:

• Software and algorithm:
Any software and algorithms developed for the implementation of the program. We are particularly interested in any algorithms that have a public policy outcome, such as providing guidance on a policy or an assessment of an individual.

More generally, please provide any software that was developed by or with, given to, used by, purchased or licensed to this agency for implementation of the above referenced program. This would include original source code, any compiled binaries (also known as executables), spreadsheets, program scripts, and other digital materials used to calculate any data in the above program. It would also include the input training data for machine learning algorithms. Collectively, these responsive materials will be referred to as "the software" in the following paragraphs.

Please provide any description of input and output data fields that capture the type of information that is submitted to the software and that is produced by the software.

• Contracts and procurement materials:
Any and all contracts (including related amendments and exhibits), non-disclosure agreements, liability waivers, insurance agreements, Requests for Proposals, responses to Requests for Proposal, Memorandums of Understanding, Letters of Interest, and informal agreements that reference "the software" or otherwise guide its use or the relationship between this agency and the provider or developer of the software.

• Instructional and training materials:
All instructional materials, presentations and presentation materials (including recorded video and audio, PowerPoint files, prepared remarks, and slides formats), and other guidance on the use of "the software." This includes any notes taking during meetings that discussed the use of the software, any explanations (whether internally or externally generated) of how the software works, and any other document that has been used to help explain the use of "the software" to any party, including internal documentation, public relations materials, and executive summaries.

• Assessments, audits, and reports:
A copy of any privacy impact assessments, validation studies, reports to legislative bodies, annual reports that mention the use of the Software, as well as audit records (including but not limited to security audits of the software, misuse reports, and reports to oversight bodies), and other evaluations that reference "the software," otherwise pertain to its use, or were conducted with respect to the program or with respect to any software or algorithms used in connection with the program. In addition to a copy of any validation studies, please also provide any records pertaining to inquiries for the need of validation studies or discussion of validation studies (potential or actual).
By “validation study,” we mean any study designed to assess how accurate the program is in predicting what it is supposed to predict or any study designed to assess whether the program may err in the direction of either under- or overestimating likelihoods or predicted outcomes or may produce any results that are biased or unexpected in any way.

• Policies:
A copy of any usage policies, data retention policies, legal opinions, warranties, standard operating procedures, and other guiding materials that reference "the software" or otherwise pertain to its use.

• Funding materials:
A copy of any invoices, financial records, funding opportunity announcements, grant applications and grantor status/progress reports that reference "the software" or otherwise pertain to its use.

• Recent history:
For the aspects of the software that require an input (for example, to compute a value), we request a copy of the five most recent sets of data that were used for input, as well as the five most recent outputs of the software, in whatever their native format is. If these inputs or outputs include exempt information, we ask that you exempt only that information which is specifically exempted from law and provide the other material.

I also request that, if appropriate, fees be waived as we believe this request is in the public interest, as suggested but not stipulated by 1 M.R.S.A. § 408(6). The requested documents will be made available to the general public free of charge as part of the public information service at MuckRock.com, processed by a representative of the news media/press and is made in the process of news gathering and not for commercial usage.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 5 business days, as the statute requires.

Sincerely,

Beryl Lipton