An Act To Promote Transparency and Accountability in Campaigns and Governmental Ethics
Maine Legislature, Session 123, LD 2219
Committee Amendment CA_B_H939 (House)
Amends: 1 MRSA §1012, 1 MRSA §1014, 21-A MRSA §1013-A, 21-A MRSA §1125

COMMITTEE AMENDMENT "6,, to H.P. 1585, L.D. 2219, Bill, "An Act To 
Promote Transparency and Accountability in Campaigns and Governmental Ethics" 
Amend the bill by striking out all of sections 1 and 2. 
Amend the bill by striking out all of sections 6 and 7 and inserting the following: 
'Sec. 6. 1 MRSA §1012, sub-§4, as amended by PL 1995, c. 33, §§1 and 2, is 
further amended to read: 
4. Gift. "Gift" means anything of value, including forgiveness of an obligation or 
debt, given to a person without that person providing equal or greater consideration to the 
giver. "Gift" does not include: 
A. Gifts received from a single source during the reporting period with an aggregate 
value of $300 or less; 
B. A bequest or other form of inheritance; 
C. A gift received from a relative; Hfld 
D. A subscription to a newspaper, news magazine or other news publication,. ; or 
E. Legal services provided in a matter of legislative ethics.' 
Amend the bill in section 9 in § 1013 in subsection 2 by striking out all of paragraphs 
A and B (page 3, lines 16 to 41 and page 4, lines 1 to 16 in L.D.) and inserting the 
following: 
'A. Requests for advisory opinions by members of the Legislature sRaH must be filed 
with the commission in writing, and signed by the Legislator requesting the opinion 
and sRaH must contain such supporting data as the commission shall require requires. 
Commission staff shall inform a Legislator upon that Legislator's request for an 
advisory opinion that written opinions issued by the commission are public and are 
submitted to the Clerk of the House and the Secretary of the Senate and entered into 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT "6" to H.P. 1585, L.D. 2219 
the legislative record. When preparing an advisory opinion on its own motion, the 
commission shall notify the Legislator concerned and allow him the Legislator to 
provide additional information to the commission. In preparing an advisory opinion, 
either upon request or on its own motion, the commission may make such an 
investigation as it deems determines necessary. A copy of the commission's advisory 
opinion shall must be sent to the Legislator concerned and to the presiding officer of 
the Hoose legislative body of which the Legislator is a membert~ 
B. 
A Legislatsr making a esmfllaint shall file the esmfllaint under sath with the 
ehairman. The esmfllaint shall sfleeify the faets sf the alleged esnfiiet sf interest. The 
Legislatsr against v/hsm a esmfllaint is filed shaH immediately be gi'len a eSfl~r sf the 
eomfllaint and the name sf the eomfllainaat. Only thsse esmplaints dealing 'Nith 
alleged esnfliets sf interest related ts the SUFFent Legislature shall be esnsidered by 
the esmmissisn. UfJsn a majsrity vste of the esmmissisn, the esmmissisn shall 
sonduet sueh investigation and hsld sueh heariJ:tgs as it deems neeessary. The 
eommissisn shall issue its findings sf faet together with its spinisn regarding the 
alleged esnfiiet sf interest ts the Hsuse of 'Nhieh the Legislatsr esneemed is a 
member. That Hsuse may take whatever aetion it deems apprepriate, in 6eesrdanee 
with the Csnstitutisn sf the State of Maine. 
B- 1. Any person may file a complaint against a Legislator alleging a violation of 
legislative ethics only as described in section 1014 and 1015. The complaint must be 
filed in writing and signed under oath and must specify the facts of the alleged 
violation citing the specific provisions of sections 1014 and 1015 that are alleged to 
have been violated, the approximate date of the alleged violation and such other 
information as the commission requires. A complainant shall agree in writing not to 
disclose any information about the complaint during the time the commission is 
determining whether or not to pursue the complaint or during the investigation of a 
complaint. A complaint that does not meet the criteria of this paragraph is considered 
incomplete and will not be forwarded to the commission. 
(1) The Legislator against whom a complaint is filed must immediately be given 
a copy ofthe complaint and the name of the complainant. 
(2) The commission shall consider only complaints against Legislators in office 
at the time of the filing of the complaint and only complaints relating to activity 
that occurred or was ongoing within 2 years of the complaint. Upon a majority 
vote of the commission, the commission shall conduct an investigation and hold 
hearings as it determines necessary. 
(3) The commission shall issue its findings of fact together with its opinion 
regarding the alleged violation of legislative ethics to the legislative body of 
which the Legislator concerned is a member. That legislative body may take 
whatever action it determines appropriate, in accordance with the Constitution of 
Maine. 
(4) 
If the commission determines that a Legislator has potentially violated 
professional standards set by a licensing board, its opinion and such other 
information as may be appropriate must be referred to the licensing board that 
oversees the Legislator'S professional conduct.' 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT 0" to H.P. 1585, L.D. 2219 
Amend the b iII in section 9 in § 1013 in subsection 2 by striking out all of paragraphs 
G and H (page 5, lines 19 to 40 in L.D.) and inserting the following: 
'G. If the commission determines that a complaint filed under oath is groundless and 
withoHt foundation, frivolous or was filed in bad faith or if the Legislator filing the 
eoml3laint complainant fails to appear at the hearing without being excused by the 
commission, the commission may order the complainant to pay to the Legislator 
against whom the complaint has been filed his that Legislator's costs of investigation 
and defense, including any reasonable attorney's fees. +he This order is considered a 
final agency action, and the complainant may appeal sueh an the order to the House 
of ''''hieh he is a member pursuant to the Maine Administrative Procedure Act. If the 
commission determines that the complaint was filed in bad faith, the commission 
shall refer the case to the Attorney General for investigation. 
Such an order shall does not preclude any other remedy available to the Legislator 
against whom the complaint has been filed, including, but not limited to, an action 
brought in Superior Court against the complainant for damages to his the Legislator's 
reputation. 
H. A copy of the commission's The commission shall file with the Clerk of the 
House and the Secretary of the Senate a copy of written advisory opinions and 
guidelines guidance issued by the commission that were formally requested by a 
Legislator and that were considered by the commission at a public meeting, with such 
deletions and changes as the commission deems considers necessary to protect the 
identity of the person seeking the opinions, or others, shall be filed with the Clerk of 
the House. The elerk Clerk of the House shall keep them a copy of such opinions and 
guidance in a special binder and shall finally publish them in the Legislative Record. 
The commission may exempt an opinion or a part thereof of an opinion from release, 
publication or inspection, if it deems considers such action appropriate for the 
protection of 3rd parties and makes available to the public an explanatory statement 
to that effect.' 
Amend the bill in section 9 in § 1013 by striking out all of subsection 3-A (page 6, 
lines 26 to 39 in L.D.) and inserting the following: 
'3-A. 
Confidentiality of records and proceedings relating to screening 
complaints allea=ing a violation of legislative ethics. Notwithstanding chapter 13, a 
complaint alleging a violation of legislative ethics is confidential and is not a public 
record until after the commission has voted pursuant to subsection 2, paragraph B-1 to 
pursue the complaint, and a commission proceeding to determine whether to pursue a 
complaint must be conducted in executive session. If the commission does not vote to 
pursue the complaint, the complaint and records relating to the investigation of that 
complaint remain confidential and are not public records. This subsection does not 
prohibit a complainant from disclosing information that the complainant provided to the 
commission as part of the complaint or investigation once the commission has determined 
not to pursue the complaint or the investigation of a complaint is complete. 
This 
subsection does not prevent the commission from including general information about 
complaints in any report to the Legislature. Any person who knowingly breaches the 
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COMMITTEE AMENDMENT ,,6 .. to H.P. 1585, L.D. 2219 
confidentiality of a complaint investigation commits a Class D crime. This subsection 
does not prevent commission staff from disclosing information to a person from whom 
the commission is seeking information or evidence relevant to the complaint that is 
necessary to investigate the complaint or prevent the complainant or the Legislator 
against whom the complaint is made from discussing the complaint with an attorney or 
other person assisting them with the complaint. The commission or commission staff 
shall inform any person with whom they communicate of the requirement to keep any 
information regarding the complaint investigation confidential.' 
Amend the bill by striking out all of section 10 and inserting the following: 
'Sec. 10. 1 MRSA §1014, as enacted by PL 1975, c. 621, §I, is amended to read: 
§1014. Violations of legislative ethics 
1. Situations involving conflict of interest. A Legislator engages in a violation of 
legislative ethics if that Legislator votes on a question in connection with a conflict of 
interest in committee or in either body of the Legislature or attempts to influence the 
outcome of that question unless a presiding officer in accordance with the Joint Rules of 
the Legislature requires a Legislator to vote or advises the Legislator that there is no 
conflict in accordance with section 1013, subsection 2, paragraph K. A conflict of interest 
shall inelude tlle follawing includes: 
A. Whefe When a Legislator or a member of his the Legislator's immediate family 
has or acquires a direct substantial personal financial interest, distinct from that of the 
general public, in an enterprise whleR that would be financially benefited by proposed 
legislation, or derives a direct substantial personal financial benefit from close 
economic association with a person known by the Legislator to have a direct financial 
interest in an enterprise affected by proposed legislation':"~ 
B. Whefe When a Legislator or a member of his the Legislator's immediate family 
accepts gifts, other than campaign contributions duly recorded as required by law, 
from persons affected by legislation or who have an interest in a busiRess an entity 
affected by proposed legislation, where it is knawR and the Legislator knows or 
reasonably should be lrnowR know that the purpose of the donor in making the gift is 
to influence the Legislator in the performance of his the Legislator's official duties or 
vote, or is intended as a reward for action on his the Legislator's part':"~ 
C. Receiving compensation or reimbursement not authorized by law for services, 
advice or assistance as a Legislator':"~ 
D. Appearing for, representing or assisting advocating on behalf of another iR respeet 
ta a elaim before the Legislature, unless without compensation and for the benefit of 
a citizen':"~ 
E. Whefe When a Legislator or a member of his the Legislator's immediate family 
accepts or engages in employment whleR that could impair the Legislator's judgment, 
or where when the Legislator knows that there is a substantial possibility that an 
opportunity for employment is being afforded him the Legislator or a member of his 
the Legislator's immediate family with intent to influence his eaRdu6t iR the 
performance of his the Legislator'S official duties, or where when the Legislator or a 
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COMMITTEE AMENDMENT ,,0, to H.P. 1585, L.n. 2219 
member of his immediate family stands to derive a personal private gain or loss from 
employment, because of legislative action, distinct from the gain or losses of other 
employees or the general community-:-; and 
F. Whefe When a Legislator or a member of his the Legislator's immediate family 
has an interest in legislation relating to a profession, trade, business or employment in 
which the Legislator or a member of his the Legislator's immediate family is 
engaged, where and the benefit derived by the Legislator or a member of his the 
Legislator's immediate family is unique and distinct from that of the general public or 
persons engaged in similar professions, trades, businesses or employment. 
2. Undue influence. It is presumed that a conflict of interest exists whefe when there 
are circumstances wlHeh that involve a substantial risk of undue influence by a Legislator, 
including but not limited to the following cases. 
A. Appearing for, representing or assisting another in a matter before a state agency 
or authority, unless without compensation and for the benefit of a eORstiMeRt 
constituent, except for attorneys or other professional persons engaged in the conduct 
of their professions. 
(1) Even in the excepted cases, an attorney or other professional person must 
refrain from references to his that attorney or professional person's legislative 
capacity, from communications on legislative stationery and from threats or 
implications relating to legislative action. 
B. Representing or assisting another in the sale of goods or services to the State, a 
state agency or authority, unless the transaction occurs after public notice and 
competitive bidding. 
3. Abuse of office or position. It is presumed that a eORfliet of iRterest eJdsts where 
a Legislator abuses his a violation of legislative ethics for a Legislator to engage in 
conduct that constitutes an abuse of office or position, including but not limited to the 
followiRg eases.~ 
A. Whefe When a Legislator or a member of his the Legislator's immediate family 
has a direct financial interest or an interest through a close economic assoeiatioR 
associate in a contract for goods or services with the State, a state agency or state 
authority iR a traasaetioR Rot eO'fered b~' publie Rotiee aad eompetiti'le biddiRg or by~ 
unless the contract is awarded through competitive bidding or is exempt from 
competitive bidding pursuant to state purchasing laws or the payment provisions are 
based on uniform rates established by the State, a state agency, a state authority or 
other governmental entity or by a pmfessioHal assoeiatioH Of ofgaHi:latioH.~ 
B. Granting or obtaining special privilege, exemption or preferential treatment to or 
for oneself or another, which privilege, exemption or treatment is not readily 
available to members of the general community or class to which the beneficiary 
belongs7; and 
C. 
Use or disclosure of confidential information obtained because of office or 
position for the benefit of self or another. 
4. Contract with state governmental agency. It is a violation of legislative ethics 
for a Legislator or an associated organization to enter with a state agency into any 
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COMMITTEE AMENDMENT ·13 .. to H.P. 1585, L.D. 2219 
contract that is to be paid in whole or in part out of governmental funds unless the 
contract has been awarded through a process of public notice and competitive bidding or 
is exempt from competitive bidding pursuant to state purchasing laws.' 
Amend the bill by striking out all of sections 12 to 14 and inserting the following: 
'Sec.12. 21-A MRSA §1013-A, sub-§I, ~A, as corrected by RR 1995, c. 2, §35, 
is amended to read: 
A. 
No later than 10 days after becoming a candidate and before accepting 
contributions, making expenditures or incurring obligations, a candidate for state or 
county office or a candidate for municipal office who has not filed a written notice in 
accordance with section 1011, subsection 2, paragraph A shall appoint a treasurer. 
The candidate may serve as treasurer, except that a candidate certified in accordance 
with section 1125 may not serve as treasurer. The candidate may have only one 
treasurer, who is responsible for the filing of campaign finance reports under this 
chapter. A candidate shall register the candidate's name and address and the name 
and address of the treasurer appointed under this section no later than 10 days after 
the appointment of the treasurer. A candidate may accept contributions personally or 
make or authorize expenditures personally, as long as the candidate reports all 
contributions and expenditures to the treasurer. 
The treasurer shall make a 
consolidated report of all income and expenditures and provide this report to the 
commission. 
(1) A candidate may appoint a deputy treasurer to act in the absence of the 
treasurer. The deputy treasurer, when acting in the absence of the treasurer, has 
the same powers and responsibilities as the treasurer. A candidate certified in 
accordance with section 1125 may not serve as deputy treasurer. When a 
treasurer dies or resigns, the deputy treasurer may not assume the position of 
treasurer unless the candidate appoints the deputy treasurer to the position of 
treasurer. The candidate shall report the name and address of the deputy treasurer 
to the commission no later than 10 days after the deputy treasurer has been 
appointed. ' 
Amend the bill by striking out all of section 16 and inserting the following: 
'Sec. 16. 21-A MRSA §1125, sub-§5-B is enacted to read: 
5-B. Restrictions on serving as treasurer. A certified candidate may not serve as a 
treasurer or deputy treasurer for that candidate's campaign. 
Sec. 17. Report. The Commission on Governmental Ethics and Election Practices 
shall report no later than January IS, 2010 to the joint standing committee of the 
Legislature having jurisdiction over legal and veterans affairs on the effects of the 
legislative ethics and elections changes to the Maine Revised Statutes, Title 1, subchapter 
and Title 21-A made by this Act. The joint standing committee of the Legislature 
having jurisdiction over legal and veterans affairs may submit legislation concerning 
legislative ethics and elections to the Second Regular Session of the 124th Legislature.' 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT 8" to H.P. 1585, L.D. 2219 
Amend the bill by relettering or renumbering any nonconsecutive Part letter or 
section number to read consecutively. 
SUMMARY 
This amendment is the minority report of the committee. This amendment: 
1. Removes sections that addressed qualifications and removal of members of the 
Commission on Governmental Ethics and Election Practices that were addressed in 
another bill; 
2. Changes the definition of "gift" within the laws governing legislative ethics to 
exclude legal services provided in a matter of legislative ethics; 
3. Clarifies that written advisory opinions issued and considered at a public meeting 
by the Commission on Governmental Ethics and Election Practices are submitted to the 
Clerk of the House and the Secretary of the Senate and are entered into the legislative 
record; 
4. Strikes language that allows a vote of 2 commissioners on the Commission on 
Governmental Ethics and Election Practices to be sufficient to order an investigation and 
hearings on matters of legislative ethics; 
5. Specifies that complainants who file a complaint alleging violation of legislative 
ethics in bad faith will be referred to the Attorney General for investigation; 
6. 
Clarifies confidentiality provisions with regard to complaints filed against 
Legislators alleging a violation of legislative ethics; 
7. Clarifies language in current law that provides that a presiding officer may require 
a member to vote on a matter in which the Legislator might have a conflict of interest in 
accordance with the Joint Rules of the Legislature or if the presiding officer advises that 
no conflict exists; 
8. Strikes the changes made by the bill regarding contlict of interest and undue 
influence; 
9. Strikes changes to lobbying registration requirements that are addressed in another 
bill; 
10. Removes the provision that a candidate and the candidate's spouse may not serve 
as treasurer or deputy treasurer of that candidate's campaign and replaces it with a 
provision that a Maine Clean Election Act candidate may not serve as that candidate's 
treasurer or deputy treasurer; 
11. Strikes the $10,000 contribution limitation for political action committees and 
ballot measure committees; and 
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COMMITTEE AMENDMENT ,f!;., to H.P. 1585, L.D. 2219 
12. Adds a reporting requirement directing the Commission on Governmental Ethics 
and Election Practices to report in 2010 the impact of the changes made by the amended 
version of the hill. 
FISCAL NOTE REQUIRED 
(See attached) 
COMMITTEE AMENDMENT 
Approved: 03/26/08 
~ac::.. 
LD 2219 
LR 2853(02) 
An Act To Promote Transparency and Accountability in Campaigns and Governmental Ethics 
Fiscal Detail and Notes 
Fiscal Note for Bill as Amended by Committee Amendment 13 " 
Committee: Legal and Veterans Affairs 
Fiscal Note Required: Yes 
Fiscal Note 
Minor cost increase - General Fund 
Additional costs to the Commission on Governmental Ethics and Election Practices can be absorbed within existing 
budgeted resources. 
LR2853(02) - Fiscal Note - Page 1 of 1