An Act To Increase Public Confidence in Government by Expanding Public Disclosure II
Maine Legislature, Session 123, LD 2178
Committee Amendment CA_A_S523 (Senate)
Amends: 1 MRSA §1016-A, 1 MRSA §1016-E, 1 MRSA §1017-A, 5 MRSA §19

Majority 
COMMITTEE AMENDMf:NT 'A- " to S.P. 838, L.D. 2178, Bill, "An Act To 
Increase Public Confidence in Government by Expanding Public Disclosure" 
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Amend the bill by striking out everything after the enacting clause and before the 
summary and inserting the following: 
'Sec. 1. 1 MRSA §1016-A, sub-§4, as amended by PL 1989, c. 608, §2, is further 
amended to read: 
IS 
4. Disclosure of income of immediate family. The Legislator shall disclose the 
type of economic activity representing each source of income of $1,000 or more, the 
range of income derived from each source that any member of the immediate family of 
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the Legislator received and the name of the spouse or domestic partner of the Legislator. 
The disclosure must include the job title of the Legislator and the members of the 
Legislator's immediate family if the source of income is derived from employment or 
compensation. 
Sec. 2. 1 MRSA §1016-E is enacted to read: 
§1016-E. Disclosure of interests 
Beginning in 2010, each Legislator shall file with the commission by 5:00 p.m. on 
February 15th of each year on the form provided by the commission a statement of those 
interests and positions set forth in this section that were held in the preceding calendar 
year. Prior to the end of the first week in January of each year, the commission shall 
deliver a form to each Senator and member of the House of Representatives. 
The 
statement of interests is a public record. 
1. Disclosure of real property interests. A Legislator filing a statement under this 
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section shall report: 
A. The municipal or township location of each piece of real property in which the 
Legislator holds an interest or interests with a total value of $10,000 or more, the type 
of interest or interests and the value range of the interest or interests; and 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT "A "to S.P. 838, L.D. 2178 
B. For each real property interest or interests with a total value of $10,000 or more 
held by a member of the Legislator's immediate family, the name of the family 
member who holds the interest or interests, the municipal or township location of the 
real property in which the interest or interests are held and the value range of the 
interest or interests. 
2. Disclosure of investment information. A Legislator filing a statement under this 
section shall report: 
A. The value range of each investment interest greater than $10,000 held by the 
Legislator; and 
B. The value range of each type of investment interest greater than $10,000 held by a 
member of the Legislator's immediate family and the name of that member of the 
Legislator's immediate family. 
For purposes of this subsection, "investment interest" includes holdings in publicly traded 
stocks, investment accounts managed by investment advisors or broker-dealers, corporate 
bonds, closely held businesses and other ownership interests. Publicly traded stocks must 
be listed on the disclosure form by the name under which they are traded. Investment 
accounts managed by investment advisors or broker-dealers must be listed on the form 
with the name of the investment advisor and broker-dealer and describe the general 
category of investments included in the account. 
3. Disclosure of officer or director position. A Legislator filing a statement under 
this section shall report: 
A. 
Any offices, trusteeships, directorships or positions of any nature, whether 
compensated or uncompensated, held by the Legislator in the preceding calendar year 
with any for-profit or nonprofit firm, corporation, association, partnership or 
business; and 
B. 
Any offices, trusteeships, directorships or positions of any nature, whether 
compensated or uncompensated, held by a member of the immediate family of the 
Legislator with any for-profit or nonprofit firm, corporation, association, partnership 
or business and the name of that member of the Legislator's immediate family. 
4. Value ranges. Disclosure forms required by this section must list value ranges for 
real property and investments as follows: 
A. $10,000 to $100,000; 
B. $100,001 to $200,000; and 
C. $200,001 or more. 
Sec.3. 1 MRS A §1016-F is enacted to read: 
§1016-F. Internet disclosure 
The commission shall publish on its publicly accessible website the completed forms 
submitted by Legislators pursuant to sections 10 16-A, 10 16-B, 1016-0, 10 16-E and 1018 
and by candidates for the Legislature pursuant to section 10 16-C. 
Sec. 4. 1 MRSA §1017-A, as enacted by PL 2003, c. 268, §4, is amended to read: 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT "A" to S.P. 838, L.D. 2178 
§1017-A. Civil penalties; late and incomplete statements; failure to file 
A Legislator who fails to file a statement in accordance with this subchapter after 
being notified by the commission may be assessed a fine of $1 0 for each business day the 
statement is filed late not to exceed $100. A statement is not considered filed unless it 
substantially conforms to the requirements of this subchapter and is properly signed. The 
commission shall determine whether a statement substantially conforms to the 
requirements of this subchapter. 
Sec. 5. 5 MRSA §19, sub-§2, as amended by PL 1989, c. 608, §3, is further 
amended to read: 
2. Statement of sources of income. Each executive employee shall annually file 
with the Secretary of State Commission on Governmental Ethics and Election Practices a 
sworn and notarized statement of finances for the preceding calendar year. The statement 
sfia.U must indicate: 
A. 
If the executive employee is an employee of another person, firm, corporation, 
association or organization, the name and address of the employer and each other 
source of income of $1 ,000 or more; 
B. 
If the executive employee is self-employed, the name and address of the 
executive employee's business and the name of each source of income derived from 
self-employment that represents more than 10% of the employee's gross income or 
$1,000, whichever is greater, provided except that, if this form of disclosure is 
prohibited by statute, rule, or an established code of professional ethics, the employee 
shall specify the principal type of economic activity from which the income is 
derived. 
With respect to all other sources of income, a self-employed executive 
employee shall name each source of income of $1 ,000 or more. The employee shall 
also indicate major areas of economic activity and, if associated with a partnership, 
firm, professional association, or similar business entity, the major areas of economic 
activity of that entity; 
C. 
The specific source of each gift received; 
D. 
The type of economic activity representing each source of income of $1,000 or 
more, a range of income derived from each source that any member of the immediate 
family of the executive employee received and the name of the spouse or domestic 
partner of the executive employee. The disclosure must include the job title of the 
executive employee and immediate family members if the source of income IS 
derived from employment or compensation; 
E. 
The name of each source of honoraria that the executive employee accepted; 
F. 
Each executive branch agency before which the executive employee or any 
immediate family member has represented or assisted others for compensation; and 
G. 
Each executive branch agency to which the executive employee or the 
employee's immediate family has sold goods or services with a value in excess of 
$1,000. 
In identifying the source of income, it shall be i.§. sufficient to identify the name and 
address and principal type of economic activity of the corporation, professional 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT "A "to S.P. 838, L.D. 2178 
association, partnership, financial institution, nonprofit organization or other entity or 
person directly providing the income to the individual. 
With respect to income from a law practice, it shall be ~ sufficient for attorneys-at-law to 
indicate their major areas of practice and, if associated with a law firm, the major areas of 
practice of the firm. 
Sec. 6. 5 MRSA §19, sub-§2-A is enacted to read: 
2-A. Statement of interests. Beginning in 2010, each executive employee shall 
annually file with the Secretary of State a sworn and notarized statement of those interests 
and positions set forth in this subsection for the preceding calendar year. The statement 
must include: 
A. The municipal or township location of each piece of real property in which the 
executive employee holds an interest or interests with a total value of $10,000 or 
more, the type of interest or interests and the value range of the interest or interests; 
B. For each real property interest or interests with a-total value of $10,000 or more 
held by a member of the executive employee's immediate family, the name of the 
family member who holds the interest or interests, the municipal or township location 
of the real property in which the interest or interests are held and the value range of 
the interest or interests; 
C. 
Any offices, trusteeships, directorships or positions of any nature, whether 
compensated or uncompensated, held by the executive employee with any for-profit 
or nonprofit firm, corporation, association, partnership or business; 
D. 
Any offices, trusteeships, directorships or positions of any nature, whether 
compensated or uncompensated, held by a member of the immediate family of the 
executive employee with any for-profit or nonprofit firm, corporation, association, 
partnership or business and the name of that member of the executive employee's 
immediate family; 
E. The value range of each investment interest greater than $10,000 held by the 
executive employee; and 
F. 
The value range of each investment interest greater than $10,000 held by a 
member of the executive employee's immediate family and the name of that member 
of the executive employee's immediate family. 
For purposes of this subsection, "investment interest" includes holdings in publicly traded 
stocks, investment accounts managed by investment advisors or broker-dealers, corporate 
bonds, closely held businesses and other ownership interests. Publicly traded stocks must 
be listed on the disclosure form by the name under which they are traded. Investment 
accounts managed by investment advisors or broker-dealers must be listed on the form 
with the name of the investment advisor and broker-dealer and describe the general 
category of investments included in the account. 
Sec. 7. 5 MRSA §19, sub-§2-B is enacted to read: 
2-B. Value ranges. Disclosure forms required by this section must list value ranges 
for real property and investments as follows: 
COMMITTEE AMENDMENT 
COMMITTEE AMENDMENT 'A" to S.P. 838, L.D. 2178 
A. $10,000 to $100,000; 
B. $100,001 to $200,000; and 
C. $200,001 or more. 
Sec. 8. 5 MRSA §19, sub-§4, as enacted by PL 1979, c. 734, §2, is amended to 
read: 
4. Penalties. Failing to file the statement, within 15 days of having been notified by 
the Secretary of State Commission on Governmental Ethics and Election Practices of 
failing to meet the requirements of subsection 2, is a civil violation for which a forfeiture 
fine of not more than $100 may be adjudged. 
Sec. 9. 5 MRS A §19, sub-§5, as enacted by PL 1979, c. 734, §2, is amended to 
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read: 
5. Rules. The Secretary of State Commission on Governmental Ethics and Election 
Practices may adopt or amend rules to specify the reportable categories or types and the 
procedures and forms for reporting and to administer this section. 
Sec. 10. 5 MRSA §19, sub-§6, as enacted by PL 1979, c. 734, §2, is amended to 
read: 
6. 
Public record. Statements filed under this section are public records. The 
Commission on Governmental Ethics and Election Practices shall publish on a publicly 
accessible website the completed forms of executive employees filed under this section. 
Sec. 11. 
Disclosure form design and review. 
The Commission on 
Governmental Ethics and Election Practices is directed to design a form to facilitate 
disclosure of real property and investment interests as required by this Act by December 
I, 2008 for review by the joint standing committee of the Legislature having jurisdiction 
over governmental ethics matters. The committee is authorized to submit legislation 
related to the form to the First Regular Session of the 124th Legislature. 
Sec. 12. Appropriations and allocations. The following appropriations and 
allocations are made. 
ETHICS AND ELECTION PRACTICES, COMMISSION ON GOVERNMENTAL 
Governmental Ethics and Election Practices - Commission on 0414 
Initiative: Provides an allocation to develop an online system for publication of executive 
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employee disclosure forms. 
OTHER SPECIAL REVENUE FUNDS 
2007-08 
2008-09 
All Other 
$0 
$35,000 
OTHER SPECIAL REVENUE FUNDS TOTAL 
$0 
$35,000 
COMMITTEE AMENDMENT 
COMMITTEE AMENDMENT" A" to S.P. 838, L.D. 2178 
SUMMARY 
This amendment is the majority report. This amendment adds to the list of things to 
be disclosed as proposed in the bill. 
New disclosures regarding real property and 
investment interests will begin to be reported in 2010 after the reporting form designed by 
the Commission on Governmental Ethics and Election Practices is reviewed by the joint 
standing committee of the Legislature having jurisdiction over governmental ethics 
matters. It adds a requirement that job titles be disclosed for each reportable source of 
income for Legislators, executive employees and members of their immediate families. 
The amendment specifies that the value of real property and investments is disclosed by 
indicating a range of value. It also clarifies that when reporting the location of reportable 
real property, the township or municipality where the property is located is sufficient. 
FISCAL NOTE REQUIRED 
(See attached) 
COMMITTEE AMENDMENT 
Approved: 03/20108 frac:. 
LD 2178 
LR 3294(02) 
An Act To Increase Public Confidence in Government by Expanding Public Disclosure 
Fiscal Note for Bill as Amended by Committee Amendment 'A. " 
Committee: Legal and Veterans Affairs 
Appropriations/Allocations 
Other Special Revenue Funds 
Fiscal Detail and Notes 
Fiscal Note Required: Yes 
Fiscal Note 
2007-08 
$0 
2008-09 
$35,000 
Projections 
2009-10 
$0 
Projections 
2010-11 
$0 
The Commission on Governmental Ethics and Election Practice will require a one-time Other Special Revenue funds 
allocation of $35,000 in fiscal year 2008-09 to develop an online system for publication of executive employee 
disclosure forms. Funding for this allocation would come from existing funds within the Maine Clean Election Fund. 
LR3294(02) - Fiscal Note - Page 1 of 1