An Act To Improve the Legislative Ethics Laws
Maine Legislature, Session 123, LD 1008
Committee: Legal and Veterans Affairs
Sponsors: EDMONDS, CUMMINGS, BARTLETT, CANAVAN
Amends: 1 MRSA §1008, 1 MRSA §1012, 1 MRSA §1013, 1 MRSA §1014, 1 MRSA §1015

Legislative Document 
No.IOOS 
S.P.325 
March 6, 2007 
An Act To Improve the Legislative Ethics Laws 
Reference to the Committee on Legal and Veterans Affairs suggested and ordered printed. 
Presented by President EDMONDS of Cumberland. 
JOY J. O'BRIEN 
Secretary of the Senate 
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Cosponsored by Speaker CUMMINGS of Portland and Senator: BARTLETT of Cumberland, 
Representative: CANAVAN of Waterville. 
Printed on recycled paper 
Be it enacted by the People of the State of Maine as follows: 
Sec. 1. 1 MRS A §1003, sub-§2, as enacted by PL 1975, c. 621, §1, is amended to 
read: 
2. Records. Except as provided in section 1013, subsection 2, paragraph J, all 
records of the commission, including business records, reports made to or by the 
commission, findings of fact and opinions, sfla.I.l must be made available to any interested 
member of the public who may wish to review them. Any member of the public may 
request copies of any record held by the commission wlHOO that is available for public 
inspection. The commission shall furnish these copies upon payment of a fee covering the 
cost of reproducing them. 
Sec. 2. 1 MRS A §1005, as amended by PL 2001, c. 430, §3, is further amended to 
read: 
§1005. Open meetings 
Notwithstanding chapter 13, all meetings, hearings or sessions of the commission are 
open to the general public except as provided in section 1013, subsection 4 and unless, by 
an affirmative vote of at least 3 members, the commission requires the exclusion of the 
public. 
Sec. 3. 1 MRSA §1008, sub-§l, as enacted by PL 1975, c. 621, § 1, is further 
amended to read: 
1. Legislative ethics. To investigate and make advisory recommendations to the 
appropriate body of any apparent violations of the ethical standards set by the Legislature 
legislative ethics; 
Sec. 4. 1 MRSA §1012, sub-§l, as repealed and replaced by PL 1989, c. 561, §4, 
is amended to read: 
1. Close economic associate. "Close economic association associate" means the 
employers, employees, partners or clients of the Legislator or a member of the 
Legislator's immediate family; corporations entities in which the Legislator or a member 
of the Legislator's immediate family is an officer, director or agent or owns 10% or more 
of the outstanding capital stock; a business wJ:He.h that is a significant unsecured creditor 
of the Legislator or a member of the Legislator'S immediate family; or a business of 
which the Legislator or a member of the Legislator'S immediate family is a significant 
unsecured creditor. 
Sec. 5. 1 MRSA §1012, sub-§10 is enacted to read: 
10. Violation of legislative ethics. "Violation of legislative ethics" means a violation 
of the prohibitions in section 10 14 and 10 15. 
Sec. 6. 1 MRSA §1013, as amended by PL 1989, c. 561, §§5 and 6, is further 
amended to read: 
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§1013. Authority; procedures 
1. Authority. The commission shall have the has authority: 
A. 
To issue, on request of any Legislator on an issue involving himself that 
Legislator, or on its own motion, written advisory opinions and guidelines guidance 
on problems or questions involving possible conflicts of interest in matters under 
consideration by, or pertaining to, the Legislature violations of legislative ethics; 
B. To investigate complaints filed by Legislators, or on its ovm motion, alleging 
conflict of interest a violation of legislative ethics against any Legislator, to hold 
hearings thereon on those complaints if the commission 6eerns determines it 
appropriate and to issue publicly findings of fact together with its opinion; and 
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C. To administer the disclosure of sources of income by Legislators as required by 
this subchapter. 
2. Procedures. The following procedures sfla.l.l apply~" 
A. Requests for advisory opinions by members of the Legislature sfla.l.l must be filed 
with the commission in writing, and signed by the Legislator requesting the opinion 
and sfla.l.l must contain such supporting data as the commission shall require requires. 
When preparing an advisory opinion on its own motion, the commission shall notify 
the Legislator concerned and allow htm 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 6eerns 
determines necessary. A copy of the commission's advisory opinion sfla.l.l must be 
sent to the Legislator concerned and to the presiding officer of the Hffi:tse legislative 
body of which the Legislator is a member~" 
B. /\ Legislator making a complaint shall file the complaint under oath '+'lith the 
chairman. The complaint shall specify the facts of the alleged conflict of interest. The 
Legislator against whom a complaint is filed shall immediately be given a copy of the 
complaint and the name of the complainant. Only those complaints dealing 'Nith 
alleged conflicts of interest related to the current Legislature shall be considered by 
the commission. Upon a majority vote of the commission, the commission shall 
conduct such inyestigation and hold such hearings as it deems necessal)'. The 
commission shall issue its findings of fact together with its opinion regarding the 
alleged conflict of interest to the House of ''''hich the Legislator concerned is a 
member. That House may take '",hateyer action it deems appropriate, in accordance 
'Nith the Constitution of the State of Maine. Any person may file a complaint against 
a Legislator alleging a violation of legislative ethics. The complaint must be filed in 
writing and signed under oath and must specify the facts of the alleged violation and 
such other information as the commission requires. 
(I) The Legislator against whom a complaint is filed must immediately be given 
a copy of the complaint and the name of the complainant. 
(2) The commission shaH 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 such an investigation and 
hold such hearings as it determines necessary. 
If one or more seats on the 
commission are vacant, the vote of 2 commissioners is sufficient to order an 
investigation and hearings. 
(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. 
C. When the conduct of a particular Legislator is under inquiry and a hearing is to be 
held, the Legislator sfla.I.l must be given written notification of the time and place at 
which the hearing is to be held. Such notification sfla.I.l must be given not less than 10 
days prior to the date set for the hearing. 
D. The commission shall haye the has authority, through its chairman chair or any 
member designated by him the chair, to administer oaths, subpoena witnesses and 
compel the production of books, records, papers, documents, correspondence and 
other material and records wfl.K7h the committee deems commission determines 
relevant. The commission shall subpoena such witnesses as the complainant 
Legislator or the Legislator against 'Hhom the complaint has been filed may request to 
be subpoenaed. The State, its agencies and instrumentalities shall furnish to the 
commission any information, records or documents wfl.K7h the commission designates 
as being necessary for the exercise of its functions and duties. In the case of refusal of 
any person to obey an order or subpoena of the commission, the Superior Court, upon 
application of the commission, shall have has jurisdiction and authority to require 
compliance with the order or subpoena. Any failure of any person to obey an order of 
the Superior Court may be punished by that court as a contempt thereof. 
E. Any person whose conduct is under inquiry shall be accorded due process and, if 
requested, the right to a hearing. All witnesses shall be subject to cross 
examination.The commission shall adopt rules consistent with due process for the 
conduct of investigations and hearings under this subchapter. Rules adopted pursuant 
to this paragraph are routine technical rules pursuant to Title 5, chapter 375, 
subchapter 2-A. 
Any person ..,,,hose name is mentioned in an investigation or hearing and 'Hho belieyes 
that testimony has been gi·.'en which adyersely affects him shall haye the right to 
testify, or at the discretion of the commission atld Hnder sHch circHmstances as the 
commission shall determine to protect the rights of the. Legislator under inquil)', to 
file a statement of facts Hnder oath relating solely to the material relevant to the 
testimony of which he complains. Any witness at an investigation or hearing, subject 
to rules and regulations promulgated b)' the commission, shall be entitled to a copy of 
sHch testimon)' when the same becomes relevant to a criminal proceeding or 
subsequent investigation or hearings. 
All 'Hitnesses shall be s..,,,orn. The commission may sequester witnesses as it deems 
necessal)'. The commission shall net be is not bound by the strict rules of evidence, 
but its findings and opinions must be based upon competent and substantial evidence. 
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Time periods and notices may be waived by agreement of the commission and the 
person whose conduct is under inquiry. 
F. 
If the commission concludes that it appears that a Legislator has violated a 
criminal law, a copy of its findings of fact, its opinion and such other information as 
may be appropriate shall must be referred to the Attorney General. Any determination 
by the commission or by a House of the Legislature legislative body that a conflict of 
interest violation of legislative ethics has occurred does not preclude any criminal 
action relating to the conflict which violation that may be brought against the 
Legislator. 
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G. If the commission determines that a complaint filed under oath is groundless and 
without foundation frivolous or was filed in bad faith, or if the Legislator filing the 
complaint 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. The Such an order is deemed a 
final agency action and the complainant may appeal such an order to the House of 
'""hich he is a member pursuant to the Maine Administrative Procedure Act. 
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. /\ 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, 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 slerk 
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. 
I. A copy of the commission's findings of fact and opinions regarding complaints 
against Legislators shall must also be filed with the Clerk of the House and the 
Secretary of the Senate. The slerk Clerk of the House shall keep them in a special 
binder and shall finally publish them in the Legislative Record. 
J. The records of the commission and all information rec~iv~d by the commission 
acting under this subchapter in the course-ef.. its investigation and conduct of its 
affairs shal! be confidential, except that Legislators' statements of sources of iflCome, 
evidence or information disclosed at public hearings, the commission's findings of 
filct and its opinions and guidelines are public records. 
K. When a Legislator has a question or problem of an emergency nature about a 
possible conflict of interest violation of legislative ethics or an issue involving 
himself which that Legislator that arises during the course of legislative action, he th~ 
Legislator may request an advisory opinion from the presiding officer of the 
legislative body of which fie the Legislator is a member. The presiding officer may,--at 
his diseretion, issue an advisory opinion, which shall. An advisory opinion issued by 
the presiding officer must be in accordance with the principles of this subchapter, 
which shall be in writing, and 'which shall be reported to the commission. The 
commission may then issue a further opinion on the matter. The presiding officer 
may refer such ~ question or problem directly to the commission, which shall meet as 
soon as possible to consider the question or problem. 
L. The commission shall make reasonable efforts to resolve a complaint within 90 
days of its filing. 
3. Confidentiality. 
The subject of any investigation b)' the commission shall be 
informed promptly of the existence of the investigation and the nature of the charges or 
allegations. Othenvise, notwithstanding chapter 13, all complaints shall be confidential 
until the investigation is completed and a hearing ordered or until the nature of the 
investigation becomes public kno>wledge. 
Any person, except the subject of the 
investigation, who kno','t'ingly breaches the confidentiality of the investigation is guilty of 
a Class D crime. 
4. Confidentiality of records and proceedings relating to screening complaints 
alleging 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 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 prevent the 
commission from including general information about complaints in any report to the 
Legislature. 
Any person who knowingly breaches the confidentiality of a complaint 
investigation commits a Class 0 crime. This subsection does not prevent commission 
staff from disclosing information that is necessary to investigate a complaint. 
5. Confidentiality of records other than complaints. Commission records other 
than complaints are governed by this subsection. 
A. Investigative records relating to complaints that the commission has voted to 
pursue are confidential unless they are provided to commission members or otherwise 
distributed at a public hearing of the commission. 
B. 
Legislators' statements of sources of income are public records. 
C. 
Findings of fact and recommendations of the commission on complaints alleging 
violation of legislative ethics are public records. 
D. 
Advisory opinions of the commission and requests for advisory opinions from 
the commission are public records, except as provided in subsection 2, paragraph H. 
6. 
Prohibited communications. Communications concerning a complaint filed 
under this section between commission members and a complainant or between 
commission members and the subject of a complaint are prohibited until after the 
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commission has voted not to pursue a complaint or the commission has taken final action 
onJhe complaint. 
Sec. 7. 1 MRSA §1014, as enacted by PL 1975, c. 621, §1, 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. A conflict of interest shall include includes the following: 
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A. 
Wflere When a Legislator ef, a member of fl.ts the Legislator'S immediate family 
has or acquires a direct substantial personal financial interest, distinct from that of the 
general public, in an enterprise .",'hich would be financially benefited b)' proposed 
legislation, or derives a direct substantial personal financial benefit from close 
economic association 'with a person known b)' the Legislator to have a direct financial 
interest in an enterprise afrected by proposed legislation. or a close economic 
associate of the Legislator will derive a benefit from, or be harmed by, proposed 
legislation to a significantly greater extent than others in the same enterprise, 
profession, trade, business or type of employment; 
A-I. When a Legislator, a member of the Legislator'S immediate family or a close 
economic associate of the Legislator is a member of a small group of persons or 
entities that will derive a significant benefit or harm from proposed legislation; 
B. 
Wflere When a Legislator or a member of fl.ts 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 business an entity 
affected by proposed legislation, where when it is known or reasonably should be 
known that the purpose of the donor in making the gift is to influence the Legislator 
in the performance of fl.ts the Legislator'S official duties or vote, or is intended as a 
reward for action on fl.ts the Legislator'S parh~ 
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 in respect 
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to a claim before the Legislature, unless without compensation and for the benefit of 
a citizen~; and 
E. Where When a Legislator or a member of fl.ts the Legislator'S immediate family 
accepts or engages in employment wffic.h 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 hlm the Legislator or a member of fl.ts 
the Legislator'S immediate family with intent to influence his conduct in the 
performance of fl.ts the Legislator'S official duties, or where the Legislator or a 
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. 
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F. 
Where a Legislator or a member of his immediate family has aA iAterest iA 
legislatioA relatiAg to a professioA, trade, busiAess or employmeAt iA which the 
Legislator or a member of his immediate family is eAgaged, '""here the beAefit derived 
by the Legislator or a member of his immediate family is uAique aAd distiAct from 
that of the geAeral public or persoAs eAgaged iA similar professioAs, trades, 
busiAesses or employmeAt. 
2. Undue influenee. It is presumed that a conflict of interest exists where there are 
circumstances which 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 ,,,,,ithout compensation and for the beAefit of a constitutent, 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 perSOA must 
refrain from references to his legislative capacity, from communications on 
legislative stationery and from threats or implications relating to legislative 
aetiefl., 
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. 
2-A. 
Undue influence. It is a violation of legislative ethics for a Legislator to 
engage In conduct that constitutes the exertion of undue influence, including but not 
limited to: 
A. Appearing for, representing or advocating for another in a matter before a state 
agency or authority, for compensation other than compensation as a Legislator, if the 
Legislator makes reference to that Legislator'S legislative capacity, communicates 
with the agency or authOI!!LQn legislative stationery or makes threats or implications 
relating to legislative action; 
B. Appearing for, representating or advocating for another in a matter before a state 
agency or authority if the Legislator oversees th..uolicies of the agency or authority 
as a result ofthe Legislator'S committee responsibilities, unless: 
(1) 
The appearance, representation or 
advocac~_Qi.Qvided without 
compensation and for the benefit of a constituent; 
(2) The appearance, representation or advocacy is provided before a court or 
office of the Judicial Branch; or 
~he representation consists of filing records, reports or performing other 
routine tasks that do not inv.olve the exercise of discretion on the part of the 
agency or authority; and 
C. Representing or assisting another in the sale of goods or services to the State, a 
state agency or state authority, unless the transaction occurs after public notice and 
competitive bidding. 
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3. Abuse of office or position. It is presumed that a conflict of interest eKists 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 
following caseS7~ 
A. Wftere When a Legislator or a member of hls the Legislator's immediate family 
has a direct financial interest or an interest through a close economic association 
associate in a contract for goods or services with the State, a state agency or state 
authority ifl a traflsactiofl flOt cO'l'ered by public flotice afld competitive bidding or b)' 
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, state authority or 
other governmental entity or by a professioflal associatiofl or orgaflization.~ 
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 governmental agency 
into any 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. 
Sec. 8. 1 MRSA §1015, as amended by PL 2005, c. 301, §3, is further amended to 
read: 
§1015. Prohibited campaign contributions and solicitations 
1. Aetions preeluded. When a member of the Legislature has a conflict of interest, 
that member has an affirmative duty not to vote on aflY questiofl ifl cOflnectiofl with the 
conflict ifl committee or in either branch of the Legislature, and shall not attempt to 
influence the outcome of that question. 
2. 
Reports. When the commission finds that a Legislator has voted or acted in 
conflict of interest, the commission shall report its findings in writing to the house of 
',..,hich the Legislator is a member. 
3. 
Campaign contributions and solicitations prohibited. 
The following 
provisions prohibit certain campaign contributions and solicitation of campaIgn 
contributions during a legislative session. 
A. 
As used in this subsection, the terms "employer," "lobbyist" and "lobbyist 
associate" have the same meanings as in Title 3, section 312-A, and the term 
"contribution" has the same meaning as in Title 21-A, section 1012. 
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B. The Governor, a member of the Legislature or any constitutional officer or the 
staff or agent of the Governor, a member of the Legislature or any constitutional 
officer may not intentionally solicit or accept a contribution from a lobbyist, lobbyist 
associate or employer during any period of time in which the Legislature is convened 
before final adjournment, except for a qualifying contribution as defined under Title 
21-A, section 1 122, subsection 7. A lobbyist, lobbyist associate or employer may not 
intentionally give, offer or promise a contribution, other than a qualifying 
contribution, to the Governor, a member of the Legislature or any constitutional 
officer or the staff or agent of the Governor, a member of the Legislature or any 
constitutional officer during any time in which the Legislature is convened before 
final adjournment. 
These prohibitions apply to direct and indirect solicitation, 
acceptance, giving, offering and promising, whether through a political action 
committee, political committee, political party or otherwise. 
C. This subsection does not apply to: 
(1) 
Solicitations or contributions for bona fide social events hosted for 
nonpartisan, charitable purposes; 
(2) Solicitations or contributions relating to a special election to fill a vacancy 
from the time of announcement of the election until the election; 
(3) Solicitations or contributions after the deadline for filing as a candidate as 
provided in Title 21-A, section 335; and 
(4) 
Solicitations or contributions accepted by a member of the Legislature 
supporting that member's campaign for federal office. 
C-I. This subsection does not prohibit the attendance of the Governor, a member of 
the Legislature or any constitutional officer or the staff or agent of the Governor, a 
member of the Legislature or any constitutional officer at fund-raising events held by 
a municipal, county, state or national political party organized pursuant to Title 2 I -A, 
chapter 5, nor the advertisement of the expected presence of any such official at any 
such event, as long as any such official has no involvement in soliciting attendance at 
the event and all proceeds are paid directly to the political party organization hosting 
the event or a nonprofit charitable organization. 
D. A person who intentionally violates this subsection is subject to a civil penalty not 
to exceed $1,000, payable to the State and recoverable in a civil action. 
4. 
Centnlet with state geveFnmental ogene)'. 
A Legislator or an associated 
organization may not enter 'with a state governmental agency into any contract that is to 
be paid in ",,'hole or in part out of governmental funds, v,'hen such a contract is normally 
awarded through a process of public notice and competitive bidding, unless the contract 
has been a't't'arded through a process of public notice and competitive bidding. 
Sec. 9. Application. Notwithstanding the Maine Revised Statutes, Title 1, section 
1013, subsection 2, paragraph H as amended by this Act, a complaint filed under Title I, 
chapter 25, subchapter 2 prior to the effective date of this Act and subjected to a vote of 
the commission may not be refiled, and the conduct at issue in that complaint may not be 
challenged in any other complaint. 
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SUMMARY 
This bill amends the legislative ethics laws, as recommended by a 15-member study 
group created during the Second Regular Session of the 122nd Legislature: the Presiding 
Officers' Advisory Committee on Legislative Ethics. 
It broadens the definition of 
"conflict of interest" and increases protection against possible undue influence by 
Legislators. It also changes the workings of the Commission on Governmental Ethics 
and Election Practices to require that most commission proceedings on legislative ethics 
be conducted in public and to allow members of the public to file complaints regarding 
possible violations of legislative ethics laws. Finally, the bill rearranges, rewrites and 
edits several provisions of the law to make it easier to read and understand. 
Under current law and rules of the Legislature, a Legislator is prohibited from voting 
on legislation on the grounds of conflict of interest only if the Legislator or certain family 
members or business associates would derive a unique and distinct benefit from the 
legislation. This bill proposes that a Legislator faces a conflict of interest in voting if the 
Legislator or an immediate family member or close economic associate of the Legislator 
would be benefited or harmed by the legislation to a degree that is significantly greater 
than similarly situated persons or entities or the Legislator, a member of the Legislator'S 
immediate family or a close economic associate is a member of a small group of persons 
or entities that derive a significant benefit or harm from the proposed legislation. 
The bill revises the limits on Legislators appearing before state agencies. Current law 
allows Legislators who are lawyers or other professional persons to represent clients 
before state agencies as long as they do not refer to their legislative capacity, but prohibits 
other Legislators from doing so. This bill prohibits a Legislator from representing a 
client before a state agency if the Legislator is a member of the joint standing committee 
with jurisdiction over that state agency. In such instances, a department and its staff 
would be more likely to know the identity of the Legislator and be influenced in their 
decision making by the Legislator'S influence over the agency's policies and budget. 
Exceptions to the prohibition are made for representation before courts, uncompensated 
representation for a constituent and representation involving only the agency's 
ministerial, nondiscretionary functions. 
The intent of the bill is that the committee 
jurisdiction be determined by definition of the Legislature, including matters such as 
jurisdiction for purposes of referencing bills or for budget review by a policy committee. 
The bill allows members of the public to file complaints alleging a violation of 
legislative ethics with the Commission on Governmental Ethics and Election Practices. A 
complaint must relate to a sitting Legislator but may refer to conduct that occurred within 
years prior to the complaint. The bill requires the commission to conduct an initial 
review of all complaints in executive session to screen out frivolous or bad-faith 
accusations. If the commission does not have its full complement of 5 members, the bill 
proposes that a vote of 2 members would be sufficient to pursue a complaint. Once the 
commission votes to pursue a complaint, all commission meetings on the complaint must 
be conducted in public. Current law allows the commission to order a complainant to 
reimburse the subject of a complaint for costs incurred if the commission finds the 
complaint to be "groundless and without foundation." The bill changes the standard to 
"frivolous" complaints and those "filed in bad faith." 
These standards are more 
Pa~(; 10 - 113LRI}49Z(OI)-I 
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commonly used in courts and other situations. The bill allows a person to appeal a 
commission order under this provision pursuant to the Maine Administrative Procedure 
Act. 
The bill provides that a complaint and most investigative records relating to the 
complaint are public records once the commission votes to pursue the complaint. If the 
commission votes not to pursue the complaint, the complaint and investigative records 
remain confidential. 
As under current law, the commission's findings of fact and 
recommendations are public records. The bill prohibits communication between 
commission members and a complainant or the subject of a complaint while a complaint 
lOis pending before the commission. It also requires the commission to make reasonable 
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efforts to resolve a complaint within 90 days of its filing and replaces current process 
provisions with a requirement that the commission adopt rules regarding the conduct of 
its investigations and hearings. 
The bill revises the structure of the legislative ethics laws to create a definition of 
"violation of legislative ethics" and to designate the term "conflict of interest" as referring 
specifically to conflicts regarding voting or advocating on legislation. Other violations of 
legislative ethics are specifically set out as under current law, such as "undue influence" 
and "abuse of position." Rather than referring to these as "conflicts of interest," the bill 
classifies them as violations of legislative ethics. The law specifically authorizes the 
commission to hear complaints and make recommendations to the Senate and the House 
of Representatives regarding these violations of legislative ethics statutes. 
The Presiding Officers' Advisory Committee on Legislative Ethics also proposed a 
number of changes to the Legislature's Joint Rules and the rules of the Senate and the 
House of Representatives relating to ethics and the process for addressing concerns about 
ethics. Recommendations for amendments to the rules, which are matters of internal 
procedure reserved for the House and Senate, will be presented separately from this bill 
to the Joint Select Committee on Joint Rules for their consideration. 
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