An Act To Promote Transparency and Accountability in Campaigns and Governmental Ethics
Maine Legislature, Session 123, LD 2219
Committee Amendment CA_A_H938 (House)
Amends: 1 MRSA §1012, 1 MRSA §1014, 21-A MRSA §1013-A

COMMITTEE AMENDMENT ,A " 
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 $200 or less; 
B. A bequest or other form of inheritance; 
C. A gift received from a relative; aRd 
D. A subscription to a newspaper, news magazine or other news publication~ ~ 
E. Legal services provided in a matter of legislative ethics.' 
Amend the bill in section 9 in § 1 ODin 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 sflal.l must be filed 
with the commission in writing, and signed by the Legislator requesting the opinion 
and shall 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'~ 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 hlm 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 tieem5 determines necessary. A copy of the commission's advisory 
opinion sftall must be sent to the Legislator concerned and to the presiding officer of 
the Hoose legislative body of which the Legislator is a member;~ 
Do A Legislator making a complaint shall file the complaint Hnder oath with the 
chairman. The complaint shall specify the facts of the alleged conflict of interest. The 
Legislator against .""hom a complaint is filed shall immediately be gi'l'efl a copy of the 
complaint and the name of the complainant. Only those complaiflts dealing with 
alleged conflicts of interest related to the CHrrent LegislatHre shall be considered by 
the commission. UpOfl a majority vote of the commission, the commission shall 
condHct SHch iR't'estigation and Hold sHch hearings as it deems Recessary. The 
commission shall issHe its findings of fact together 'Nith its opinioR regarding the 
alleged conflict of interest to tHe HOHse of "'/Hich the Legislator concerned is a 
member. THat HOHse m~' take wHatever action it deems appropriate, in accordance 
with the Constitl:ltion of the State of Maifle. 
B-1. 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 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 of the 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.' 
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COMMITTEE AMENDMENT ,I} "to H.P. 1585, L.D. 2219 
Amend the bill in section 9 in § 1013 in subsection 2 in paragraph G in the last line 
(page 5, line 26 in L.D.) by inserting after the following: "Act." the following: 'If the 
commission determines that the complaint was filed in bad faith, the commission shall 
refer the case to the Attorney General for investigation.' 
Amend the bill in section 9 in § 10 13 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 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-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 
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 regarding the complaint of the 
requirement to keep information regarding the complaint confidential.' 
Amend the bill in section 9 in § 1013 in subsection 5 in the first line (page 7, line 6 in 
L.D.) by inserting after the following: "Communications" the following: 'outside official 
proceedings' 
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, §l, 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 
adopted by the Legislature requires a Legislator to vote or advises the Legislator that the 
Legislator does not have a conflict in accordance with section 1013, subsection 2, 
paragraph K. A conflict of interest SHall include tHe follo,lt'ing includes: 
A. Wflere When a Legislator or a member of hi-s the Legislator'S immediate family 
has or acquires a direct substantial personal financial interest, distinct from that of the 
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COMMITTEE AMENDMENT ,j} .. to H.P. 1585, L.D. 2219 
general public, in an enterprise wJti€.h 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. Where 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 business affected by 
proposed legislation, where it is kAO'NA and the Legislator knows or reasonably 
should be ICAown 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 assistiAg advocating on behalf of another iA respeet 
to a elaim before the Legislature, unless without compensation and for the benefit of 
a citizen~~ 
E. Where When a Legislator or a member of his the Legislator'S immediate family 
accepts or engages in employment whlefl that could impair the Legislator'S judgment, 
or wflere 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 eOAdl:let iA the 
performance of his the Legislator'S official duties, or wflere when the Legislator or a 
member of his the Legislator'S 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. Where 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, ""here 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. UHdue iHfluenee. It is presumed that a eOAfiiet of iRterest eJdsts 'Nhere there are 
eirel:lmstaAees which iAyolye a substaAtial risk of uAdue influeHee by a Legislator, 
iAel\:ldiHg b\:lt Hot limited to the follo\viAg eases. 
A. AppeariRg for, represeAtiAg or assistiAg aAother iH a matter before a state ageAey 
or a\:lthority, \:In less witho\:lt eompeAsatioA aAd for the beRefit ofa cOHstit\:lteAt, exeept 
for attomeys or other professioAal persoAs eHgaged iR the eOAduet of their 
professioHS. 
(1) EYeR in the exeepted eases, aA attorney or otHer professioHal perSOA must 
refraiH from refereAees to His legislative eapaeit)', from eomml:lAieatioAs OA 
legislative statioAery aAd from threats or implieations relatiHg to legislatiye 
aetie&.-
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COMMITTEE AMENDMENT ,,/}. to H.P. 1585. L.D. 2219 
B. RepreseHtiflg or assisting aHother iH the sale of goods or services to the State, a 
state ageHcy or authority, uHless the traHsactioH occurs after public Hotice 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 person 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 authority on legislative stationery or makes threats 
or implications relating to legislative action; 
B. Appearing for, representing or advocating for another person in a matter before a 
state agency or authority if the Legislator is a member of legislative leadership or the 
Legislator oversees the policies of the agency or authority as a result of the 
Legislator'S committee responsibilities, unless: 
(1) 
The appearance, 
representation 
or advocacy 
is 
provided 
without 
compensation and for the benefit of a constituent; 
(2) The Legislator is engaged in the conduct of the Legislator's profession and is 
in good standing with a licensing board that oversees the Legislator'S profession; 
(3) The appearance, representation or advocacy is provided before a court or 
office of the judicial branch; or 
(4) The representation consists of filing records or reports or performing other 
routine tasks that do not involve the exercise of discretion on the part of the 
agency or authority; and 
C. Representing or assisting another person in the sale of goods or services to the 
State, a state agency or a state authority, unless the transaction occurs after public 
notice and competitive bidding. 
3. Abuse of office or position. It is presumed that a cOHflict of interest exists 'Nhere 
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 tfle 
following cases.~ 
A. Where 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 in a transaction not covered by public Hotice aHd competitive biddiHg 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 professional association or organization.~ 
B. Granting or obtaining special privilege, exemption or preferential treatment to or 
for oneself or another, which privilege, exemption or treatment is not readily 
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COMMITTEE AMENDMENT '4" to H.P. 1585, L.D. 2219 
available to members of the general community or class to which the beneficiary 
belongs-;-; 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 
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 10 II, 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. 
(I) 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 sections 16 and 17 and inserting the following: 
'Sec. 16. 21-A MRS A §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 15, 2010 to the joint standing committee of the 
COMMITTEE AMENDMENT 
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COMMITTEE AMENDMENT 'A" to H.P. 1585, L.D. 2219 
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. 
Sec. 18. Commission on Governmental Ethics and Election Practices to 
provide report and analysis of possible revisions to legislative conflict of 
interest statute. The Commission on Governmental Ethics and Election Practices shall 
provide to the joint standing committee of the Legislature having jurisdiction over legal 
and veterans affairs a report with detailed analysis on the legal consequences and 
potential benefits and drawbacks of changes made in this Act to the Maine Revised 
Statutes, Title I, section 10 I 4. The commission shall consider in its analysis the balance 
between serving in a citizen legislature and the need to prevent conflicts of interest. It 
shall also consider the relationship between citizen legislators and employers and the 
relationship between legislative duties and the direct purview of the Legislator's work 
responsibilities as well as the extent to which a Legislator is able to interpret the 
definition of "conflict of interest." The report must make a recommendation on proposed 
changes. The executive director of the commission shall submit this report by February 
15, 2009, including any proposed legislation. 
The joint standing committee of the 
Legislature having jurisdiction over legal and veterans affairs is authorized to submit 
legislation to the First Regular Session of the 124th Legislature based on the information 
included in the report.' 
Amend the bill by relettering or renumbering any nonconsecutive Part letter or 
section number to read consecutively. 
SUMMARY 
This amendment is the majority report of the committee. This amendment: 
I. 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 and reduces the threshold 
from $300 to $200 of aggregate gifts received from a single source when a Legislator 
must report gifts from that source; 
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; 
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COMMITTEE AMENDMENT" 4, to H.P. 1585, L.D. 2219 
6. 
Clarifies confidentiality provisions with regard to complaints filed against 
legislators alleging a vio lation 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 may 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. Does not make changes regarding conflict of interest as proposed by the bill but 
directs the Commission on Governmental Ethics and Election Practices to conduct an 
analysis of certain proposals for changes to the definition considering the balance 
between serving as a citizen legislator with outside employment and the duty to avoid 
conflicts of interest; 
9. 
Clarifies the provisions regarding undue influence to include members of 
legislative leadership; 
0. 
Strikes changes to lobbying registration requirements that are addressed in 
another bill; 
11. 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; 
12. 
Changes the $10,000 contribution limitation that applies to political action 
committees; and 
13. 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 bill. 
FISCAL NOTE REQUIRED 
(See attached) 
COMMITTEE AMENDMENT 
Approved: 03/26/08 frae 
LD 2219 
LR 2853(03) 
An Act To Promote Transparency and Accountability in Campaigns and Governmental Ethics 
Fiscal Note for Bill as Amended by Committee Amendment 'ft" 
Committee: Legal and Veterans Affairs 
Fiscal Note Required: Yes 
Fiscal Note 
Minor cost increase - General Fund 
Fiscal Detail and Notes 
Additional costs to the Commission on Governmental Ethics and Election Practices can be absorbed within existing 
budgeted resources. 
LR2853(03) - Fiscal Note - Page 1 of 1