An Act To Amend the Penalty Provisions and Reporting Deadlines of the Campaign Reports and Finances Laws
Maine Legislature, Session 121, LD 1728
Committee: Legal and Veterans Affairs
Sponsors: GAGNON
Amends: 21-A MRSA §1020-A, 21-A MRSA §1062-A, 21-A MRSA §1017-A, 21-A MRSA §10

12lst MAINE LEGISLATURE 
Legislative Document 
No. 1728 
S.P.661 
In Senate, December 17, 2003 
An Act To Amend the Penalty Provisions and Reporting Deadlines 
of the Campaign Reports and Finances Laws 
Approved for introduction by a majority of the Legislative Council pursuant to Joint Rule 
203. 
Received by the Secretary of the Senate on December 17, 2003. Referred to the Committee 
on Legal and Veterans Affairs pursuant to Joint Rule 308.2 and ordered printed pursuant to 
Joint Rule 218. 
Presented by Senator GAGNON of Kennebec. 
Printed on recycled paper 
JOY J. O'BRIEN 
Secretary of the Senate 
Be it enacted by the People of the State of Maine as follows: 
PART A 
Sec. A-I. 21-A MRSA §I004-A is enacted to read: 
§I004-A. 
Penalties 
The 
commission 
may 
assess 
the 
following 
penalties 
in 
addition to the other monetary sanctions authorized 
~n this 
chapter. 
1. 
Late campaign finance report. 
A person that files a 
late 
campaign 
finance 
report 
containing 
no 
contributions 
or 
expenditures may be assessed a penalty of no more than $100. 
2. 
Contribution in excess of limitations. 
A person that 
accepts or makes a contribution that exceeds the limitations set 
out in section 1015, 
subsections 
and 
may be assessed a 
penalty of no more than the amount by which the contribution 
exceeded the limitation. 
3. 
Contribution in name of another person. 
A person that 
makes 
a contribution in the name of another person, 
or that 
knowingly accepts a contribution made by one person in the name 
of another person, may be assessed a penalty not to exceed $5,000. 
4. 
Substantial 
misreporting. 
A 
person 
that 
files 
a 
campaign 
finance 
report 
that 
substantially 
misreports 
contributions, expenditures or other campaign activity may be 
assessed a penalty not to exceed $5,000. 
5. 
Material 
false 
statements. 
A person 
that 
makes 
a 
material false statement in a docwnent that is required to be 
submitted to the commission, or that is submitted in response to 
a request by the commission, may be assessed a penalty not to 
exceed $5,000. 
When the commission has reason to believe that a violation 
has occurred, the commission shall provide written notice to the 
candidate, political action committee, 
committee treasurer or 
other respondent and shall afford them an opportunity to appear 
before 
the 
commission 
before 
assessing 
any 
penalty. 
In 
determining 
any penalty 
under 
subsections 
3, 
and 
5, 
the 
commission shall consider, 
among other things, 
the 
level of 
intent 
to 
mislead, 
the 
penalty 
necessary 
to 
deter 
similar 
misconduct in the future and the harm suffered by the public from 
the incorrect disclosure. 
Page l-LR2420(1) 
Sec. A-2. 21-A MRSA §1020-A, sub-§2, as amended by PL 1999, c. 
729, §5, is further amended to read: 
2. 
Campaign finance reports. 
A campaign finance report is 
not timely filed unless a properly signed copy of the report, 
substantially conforming to the disclosure requirements of this 
subchapter, is received by the commission before 5 p.m. on the 
date it is due. 
Except 
as 
provided 
in subsection 
7, 
the 
commission 
shall 
determine 
whether 
a 
report 
satisfies 
the 
requirements 
for 
timely filing. 
The 
commission may 
waive 
a 
penalty if 
the 
commission 
determines 
that 
the 
penalty 
is 
disproportionate to the size of the candidate I s 
campaign, 
the 
level of experience of the candidate, treasurer or campaign staff 
or the harm suffered by the public from the late disclosure. 
The 
commission may waive the penalty in whole or in part if the 
commission determines the failure to file a timely report was due 
to mitigating circumstances. 
For 
purposes 
of 
this 
section, 
"mitigating circumstances" means: 
A. 
A valid emergency determined by the commission, in the 
interest of the sound administration of justice, to warrant 
the waiver of the penalty in whole or in part: 
B. 
An error by the commission staff: 
C. 
Failure to receive notice of the filing deadline: or 
D. 
Other circumstances determined by the commission that 
warrant mitigation of 
the penalty, 
based 
upon 
relevant 
evidence presented that a bona fide effort was made to file 
the report in accordance with the statutory requirements, 
including, but not limited to, unexplained delays in postal 
service. 
Sec. A-3. 21-A MRSA §1020-A, sub-§8, as . enacted by PL 1995, c. 
483, §15, is amended to read: 
8. 
Failure to file report. 
A candidate or treasurer who 
fails to file a report as required by this subchapter within 30 
days of the filing deadline is guilty of a Class E crime, except 
that. if a penalty pursuant to subsection 8 A is assessed and 
collected by 
the 
commission, 
the State may 
not prosecute 
a 
violation under this sUbsection. 
Sec. A-4. 21-A MRSA §1020-A, sub-§8-A is enacted to read: 
8-A. 
Penalties for failure to file report. 
The penalty for 
failure to file a report required under this subchapter may not 
exceed: 
A. 
Five thousand dollars for reports reguired under section 
1017, subsection 2, paragraph B, C, D, E or H; section 1017, 
subsection 
3-A, 
paragraph 
B, 
C, 
D or 
Fj 
section 1017, 
subsection 4j and section 1019-B, subsection 3; 
B t 
Five thousand dollars for state party committee reports 
reguired under section 1017-A, subsection 4-A, paragraphs B, 
C and Ej 
C. 
One thousand dollars for reports reguired under section 
1017, 
subsection 
2, 
paragraphs 
A 
and 
F; 
section 
1017, 
subsection 
3-A, 
paragraphs 
A 
and 
E; 
and 
state 
party 
committee reports reguired to be filed under section 1017-A, 
subsection 4-A, paragraph B; 
D. 
Five hundred dollars for municipal, district and county 
committees 
for 
reports 
reguired 
under 
section 
1017-A, 
subsection 4-Aj or 
E. 
Three times the unreported amount for reports reguired 
under section 1017, subsection 3-B if the unreported amount 
is less than $5,000 
and 
the 
commission 
finds 
that the 
candidate in violation has established, by a preponderance 
of the evidence, that a bona fide effort was made to file an 
accurate and timely report. 
Sec. A-5. 21-A MRSA §1062-A, sub-§2, as amended by PL 1999, c. 
729, §9, is further amended to read: 
2. 
Campaign finance reports. 
A campaign finance report is 
not timely filed unless a properly signed copy of the report, 
substantially conforming to the disclosure requirements of this 
subchapter, is received by the commission before 5 p.m. on the 
date it is 
due. 
Except 
as 
provided 
in subsection 
6, 
the 
commission shall determine whether a required report satisfies 
the requirements for timely filing. 
The commission may waive a 
penalty if it is disproportionate to the level of experience of 
the person filing the report or to the harm suffered by the 
public from the late disclosure. 
The commission may waive the 
penalty in whole or in part if the commission determines the 
failure 
to 
file 
a 
timely 
report 
was 
due 
to 
mitigating 
circumstances. 
For 
purposes 
of 
this 
section, 
"mitigating 
circumstances" means: 
A. 
A valid emergency of the committee treasurer determined 
by 
the 
commission, 
in 
the 
interest 
of 
the 
sound 
administration of justice, to warrant the waiver of the 
penalty in whole or in part; 
B. 
An error by the commission staff; or 
C. 
Other circumstances determined by the commission that 
warrant mitigation of 
the 
penalty, 
based 
upon 
relevant 
evidence presented that a bona fide effort was made to file 
the report in accordance with the statutory requirements, 
including, but not limited to, unexplained delays in postal 
service. 
Sec. A·6. 21·A MRSA §1062·A, sub·§8, as enacted by PL 1995, c. 
483, §21, is amended to read: 
8. 
Failure to file. 
A person who fails to file a report as 
required by this subchapter within 30 days of the filing deadline 
is guilty of a Class E crime, except that, if a penalty pursuant 
to subsection 8-A is assessed and collected by the commission, 
the State may not prosecute a violation under this subsection. 
Sec. A·7. 21·A MRSA §1062.A, sub·§8·A is enacted to read: 
8-A. 
Penalties for failure to file report. 
The maximum 
penalty for failure to file a report reguired under section 1059, 
subsection 2, 
paragraph B, 
C or 
E is $10,000. 
The 
maximum 
penalty for failure to file a report reguired under section 1059 , 
subsection 2, paragraph A is $5,000. 
PARTB 
Sec. B·l. 21·A MRSA §1017, sub·§2, ,n, as amended by PL 1991, 
c. 839, §14 and affected by §34, is further amended to read: 
D. 
Contributions aggregating $1,000 or more from anyone 
contributor or single expenditures of $1,000 or more, made 
after the 12th day before the election, and more than 48 £1 
hours before 5 p.m. 
on the day of the election, must be 
reported within 
hours 
of 
those 
contributions 
or 
expenditures or by noon of the first business day after the 
contributions or expenditures, whichever is later. 
Sec. B·2. 21·A MRSA §1017, sub·§3-A, ,C, as 
amended by PL 
1991, c. 839, §15, is further amended to read: 
C. 
Contributions aggregating $1,000 or more from anyone 
contr ibutor or single expenditures of $1, 000 or more, made 
after the 12th day before any election and more than 48 £1 
hours before 5 p.m. 
on the day of any election must be 
reported within 
£i hours 
of 
those 
contributions 
or 
expenditures, or by noon of the first business day after the 
contributions or expenditures, whichever is later. 
Sec. B-3. 21-A MRS A §1017, sub-§3-B, llC, as enacted by PL 
2001, c. 589, §2, is amended to read: 
C. 
A candidate who is required to file 
a 
report under 
paragraph A must file with the commission an updated report 
that reports single expenditures in the following amounts 
that are made after the 14th day before an election and more 
than 48 
hours before 5:00 p.m. 
on the date of that 
election: 
(1) 
For a candidate for Governor, a single expenditure 
of $1,000; 
(2) 
For a candidate for the state Senate, 
a single 
expenditure of $750; and 
(3) 
For 
a 
candidate 
for 
the 
state 
House 
of 
Representatives, a single expenditure of $500. 
A report filed pursuant to this paragraph must be filed 
within 48 24 hours of the expenditure. 
Sec. B-4. 21-A MRSA §1017-A, sub-§4-A, llE, as enacted by PL 
2003, c. 302, §3, is amended to read: 
E. 
A state party committee shall report any expenditure of 
$500 or more, made after the 12th day before the election 
and more than 48 24 hours before 5:00 p.m. on the day of the 
election, within 48 24 hours of that expenditure or by noon 
of the first business day after the expenditure, whichever 
is later. 
Sec. B-S. 
21-A MRSA §10S9. sub-§2, llE. 
as 
repealed 
and 
replaced by PL 1989, c. 833, §20, is amended to read: 
E. 
A committee shall report any expenditure of $500 or 
more, made after the 12th day before the election and more 
than 48 24 hours before 5 p.m. on the day of the election, 
within 48 24 hours of that expenditure or by noon of the 
first business day after the expenditure, whichever is later. 
SUMMARY 
Part A of this bill provides greater flexibility to the 
Commission 
on 
Governmental 
Ethics 
and 
Election Practices 
to 
reduce the statutory penalties for the late filing of campaign 
finance reports. 
In addition, the bill authorizes the commission 
to assess penalties for certain violations for which current law 
prescribes only criminal sanctions. 
Part B of this bill shortens the deadline for the reporting 
of large campaign contributions and expenditures from within 48 
hours of the contribution or expenditure to within 24 hours.