An Act To Amend the Maine Clean Election Act and the Enforcement Procedures of the Commission on Governmental Ethics and Election Practices RepOlied by Senator SULLIVAN of York for the Commission on Goverrunental Ethics and . Election Practices pursuant to the Maine Revised Statutes, Title 1, section 1009.
Maine Legislature, Session 124, LD 1451
Amends: 21-A MRSA §1004-A, 21-A MRSA §1004-B, 21-A MRSA §1017, 21-A MRSA §1020-A, 21-A MRSA §1062-A, 21-A MRSA §1125, 21-A MRSA §1127

MAINE STATE LEGISLATURE 
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124thMAINE LEGISLATURE 
FIRST REGULAR SESSIOf'~-2009 
Legislative Document 
No. 1451 
.S.P. 
In Senate, April 8, 2009 
An Act To Amend the Maine Clean Election Act and the 
Enforcement Procedures of the Commission on Governmental 
Ethics and Election Practices 
RepOlied by Senator SULLIVAN of York for the Commission on Goverrunental Ethics and 
. Election Practices pursuant to the Maine Revised Statutes, Title 1, section 1009. 
Reference to the Committee on Legal and V ete~ans Affairs suggested and ordered printed 
pursuant to Joint Rule 218. 
Printed 011 n.!t.:\'cleu paper 
9r8{J~ 
JOY J. O'BRIEN 
. Secretary of the Senate 
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Be it enacted by the People of the State of Maine as follows: 
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Sec. 1. 21-A MRS A §1004-A, last~, as amended by PL 2007, c. 443, Pt. A, §2, 
is further amended to read: 
When the commIssIon has reason to believe that a violation has occurred, the 
commission shall provide written notice to the candidate, party committee, political 
action committee, committee treasurer or other respondent and shall afford them an 
0pp0l1unity to appear before the commission and to request an adjudicatory hearing 
before assessing the commission makes a determination or assesses any penalty. An 
adjudiCatOly hearing must be held if requested. In determining any penalty under 
silbsections 3, 4 and 5, the commission shall consider, among other things, the level of 
intent to mislead, the penalty necessary to deter similar misconduct in the future and the 
harm suffei·ed by the public from the incOlTect disclosure. A final determination by the 
commission may be appealed to the Superior C01ll1 in accordance with Title 5, chapter 
375, subchapter 7 and the Maine Rules of Civil Procedure Rule 80C. 
Sec. 2. 21-A MRSA §1004-A, as amended by PL 2007, c. 443, Pt. A, §2,IS 
further amended by adding at the end a new paragraph to read: 
Penalties assessed pursuant to this section that have not been paid in full within 30 
days after issuance of a notice of the final determination may be enforced in accordance 
with section 1004-B. 
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Sec. 3. 21-A MRSA §1004-B is enacted to read: 
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§1004-B. Enforcement of penalties assess·ed by the commission 
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The assessment of a penalty or order for return of Maine Clean Election Act funds by 
the commission for a violation of the statutes or Tules administered by the commission, 
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. determined after opportunity for hearing and after hearing if one is requested, is 
enforceable by the Superior Court by any suitable process, including execution against 
goods, chattel and real estate. The commission may present cel1ified copies of any final 
determiriation assessing a 'penalty or order for retU\1l of Maine Clean Election Act funds 
to the clerk of co1ll1s for Kennebec County, who shall submit that final determination to 
any Justice of the Superior C01ll1. The Justice of the Superior Court shall render a pro 
forma decision in accordance with the determination and cause all parties to be notified. 
The decision must be for enforcement of the commission's determination. The decision 
has the same effect, and all proceedings in relation to the decision are the same as though 
rendered in an action for judgment duly heard and determined by the co1ll1. 
Sec. 4. 21-A MRSA §1017, sub-§5, as amended by PL 2007, c. 567, § 1, IS 
further amended to read: 
5. Content. A rep0l1 required under this section must contain the itemized accounts 
of contributions received during that report filing period, including the date a contribution 
was received, and the name, address, occupation, principal place of business, if any, and 
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the amount of the contribution of each person who has made a. contribution or 
contributions aggregating in excess of $50. 
The report must contain the itemized 
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expenditures made or authorized during the report filing period, 'the date and purpose of 
each expenditure and the name of each payee and creditor. If the payee is a member of 
the candidate's household. or immediate family, the candidate must disclose the faffi.tly 
candidate's relationship to the payee in a manner prescribed by the commission. The 
repOIi must contain a statement of any loan to a candidate. by a financial institution in 
connection with that candidate's candidacy that is made during the period covered by the 
report, whethe.r or not the loan is defined as a contribution under section 1012, subsection 
2, paragraph A. The candidate and the treasurer are jointly and severally responsible for 
the timely and accurate filing of each required report. 
Sec. 5. 21-A MRSA §1020-A, sub-§6, as amended by PL 2007, c.443, Pt. A, 
§23, is repealed and the following enacted in its place: 
6. Request for a commission determination, If the commission staff finds that a 
candidate or political committee has failed to file a repOIi required under this subchapter, 
the commission staff shall mail a notice by certified mail to the candidate or political 
committee within 3 business days following the filing deadline informing the candidate or 
political committee that a report was not received. If a candidate or a political committee 
files a repOIi required under this subchapter late, a notice of preliminalY penalty mllst be 
sent to the candidate or political committee whose registration or campaign financerepOIi 
was not received by 11 :59 p.m. on the deadline date, informiilg the candidate or political 
committee of the staff finding of violation and preliminary penalty calculated under 
subsection 4-A and providing the candidate or political committee with an opportunity to 
request a determination by the commission. The notice must be sent by certified mail. 
Any request for a determination must be made within 14 calendar days of receipt of the 
commission's notice. The 14-day period during which a determination may be requested 
begins on the day a recipient signs for the certified mail notice of the proposed penalty. If 
the celiified letter is refused or left unClaimed at the post office, the 14-day period begins 
on the day the post office indicates it has given first notice of a celiified letter. 
A 
candidate or political committee requesting a determination may either appear in person 
or designate a ~representative to appear on the candidate's or political committee's behalf 
or submit a sworn statement explaining the mitigating circumstances for consideration by 
the commission. A candidate or political committee also may request an adjudicatory 
hearing prior to a determination by the commission, and an adiudicatoryhearing must be 
held if requested. A final determination by the commission may be appealed to the 
Superior Couli in accordance with Title 5, chapter 375, subchapter 7 and the Maine Rules 
of Civil Procedure; Rule 80C. 
Sec. 6. 21-A MRSA §1020-A,. sub-§7, as amended by PL 2007, c . .443, Pt. A, 
§24, is fwiher amended to read: 
7. Final notice of penalty. If a determination has been requested by the candidate or 
political committee and made by the commission, notice of the commission's final 
determination and the penalty, if any, imposed pursuant to this subchapter must be sent to 
the candidate and the treasurer political committee. 
If fiB f! determination is' not requested, the 
prelimin~lIY penalty calculated by' the 
commission staff is final. The commission staff shAll CAlculAte the nenaltv as orescribed 
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.ffi--st!.hsection ,4 A and shall mail final notice of the penalty to the candidate and treasurer. 
A detailed summary of all notices must be provided to the commission. 
Sec. 7.' 21-A MRSA §1020-A, sub-§10, as amended by PL 1999, c. 426, §33, is 
repealed and the following enacted in its place: 
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10. Enforcement. A penalty assessed pursuant to this section that has not been paid 
in full within 30 days .after issuance of a notice of the final determination may be 
enforced in accordance with section 1004-B. 
Sec. 8. 21-A MRSA §1062-A, sub-§5, as amended by PL 2007, c .. 443, Pt. A, 
§40, is repealed and the following enacted in its place: 
31. 
5. Request for a commission determination. If the commission staff finds that a 
political action committee has failed to file a repmi required under this subchapter, the 
commission staff shall mail a notice by certified mail to the treasurer of the political 
action committee within 3 business days following the filing deadline informing the 
treasurer that· a report was not received. If a political action committee files a repmi 
required under this subchapter late, a notice of preliminary penalty must be forwarded to 
the treasurer of the poli'tical.action committee whose repmi is not received by 11 :59 p.m. 
on the deadline date, informing the treasurer of the commission staff finding of violation 
and preliIninary,penalty calculated under subsection 3 and providing the treasurer with an 
oppmiunity to request a determination by the commission. The notice must be sent by 
certified mail. A request for detennination must be made within 14 calendar days of 
receipt of the commission's notice. The 14-day period during which a determination may 
be requested begins on the day a recipient signs for the certified mail notice of the 
proposed penalty. 'If the certified letter is refused or left unclaimed at the post office, the. 
14-day period begins on the day the post office ind icates it has given first notice of a 
celiified letter. A principal officer or treasurer requesting a determination may either 
appear in per:son or designate' a representative to appear on the prillcipal officer's or 
treasurer's behalf or submit a sworn statement explaining the mitigating circumstances for 
consideration by the commission. A principal officer or treasurer also may request an 
adjudicatory hearing prior to a detennination by the commission, and an adjudicatmy 
hearing must be held if requested. ' A final deter)nination by the commission may be 
appealed to the Superior Court in accordance with Title 5, chapter 375, subchapter 7 and 
the Maine Rules of Civil Procedure, Rule 80C. 
Sec. 9. 21-A MRSA §1062-A, sub-§6, as amended by PL 1999, c. 426, §34, is 
further amended to read: 
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6. 
Final notice of penalty. 
After a commission meeting, notice of the final 
determination of the commission and the penalty, if any, imposed pursuant to this 
subchapter must be sent to the principal officer and the treasurer of the political action 
committee. 
If fie f! determination is not requested, the preliminary penalty calculated by the 
commission staff is lilliil. The commissjon staff shall calculate the penalty based on the 
orovision of subsection 3 and shall mail final notice of the penalty to the principal officer 
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and to the treasurer of the political action committee.  A detailed summary of all notices 
must be provided to the commission. 
Sec. 10.  21-A MRSA §1062-A, sub-§9, as amended by PL 1999, c. 426, §34, is 
repealed and the following enacted in its place: 
9.  Enforcement.  A penalty assessed pursuant to this section that has not been paid 
in full within 30 days after issuance of a notice of the final determination may be 
enforced in accordance with section 1004-B. 
Sec. 11.  21-A MRSA §1125, sub-§2-A, ¶C, as enacted by PL 2007, c. 443, Pt. 
B, §6, is amended to read: 
C.  Upon requesting certification, a participating candidate shall file a report of all 
seed money contributions and expenditures.  If the candidate is certified, any unspent 
seed money will be deducted from the amount distributed to the candidate as 
provided in subsection 8 8-A. 
Sec. 12.  21-A MRSA §1125, sub-§6-A, as enacted by PL 2007, c. 443, Pt. B, §6, 
is amended to read: 
6-A.  Assisting a person to become an opponent.  A candidate or a person who later 
becomes a candidate and who is seeking certification under subsection 5, or an agent of 
that candidate, may not assist another person in qualifying as a candidate for the same 
office if such a candidacy would result in the distribution of revenues under subsections 7 
and 8 8-A for certified candidates in a contested election. 
Sec. 13.  21-A MRSA §1125, sub-§6-B, as enacted by PL 2007, c. 567, §2, is 
repealed. 
Sec. 14.  21-A MRSA §1125, sub-§6-C is enacted to read: 
6-C.  Expenditures to the candidate or family or household members.  
Expenditures to the candidate or immediate family member or household member of the 
candidate are governed by this subsection. 
A.  The candidate may not use fund revenues to compensate the candidate or a sole 
proprietorship of the candidate for campaign-related services. 
B.  A candidate may not make expenditures using fund revenues to pay a member of 
the candidate’s immediate family or household, a business entity in which the 
candidate or a member of the candidate’s immediate family or household holds a 
significant proprietary or financial interest or a nonprofit entity in which the 
candidate or a member of the candidate’s immediate family or household is a 
director, officer, executive director or chief financial officer, unless the expenditure is 
made: 
(1)  For a legitimate campaign-related purpose; 
(2)  To an individual or business that provides the goods or services being 
purchased in the normal course of the individual's occupation or the business; and 
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(3 Y In an amoun{ that 'is reasonable taking into consideration current market 
value and other factors the commission may choose to consider. ' 
For the purpose of this paragraph, "business entity" means a corporation, limited 
liability company, limited partnership, limited liability partnership and general 
partnership. 
If a candidate uses fund revenues for an expenditure covered by this paragraph, the 
.candidate shall submit evidence demonstrating that the expenditure complies with the 
requirements of this paragraph if requested by the commission. 
This subsection does not prohibit reimbursement to the candidate or a member of a 
candidate's household or immediate family when made in accordance with this chapter 
. and rules adopted by the commission. 
Sec. 15. 21-A MRSA §1125, sub-§7, as amended by PL 2007, c. 443, Pt. B, §6, 
is further amended to read: . 
7. 
Timing of fund distribution. 
The commission shall distribute to certified 
candidates revenues from the fund in amounts determined unoer subsection & 8-A in the 
following manner. 
A. Within 3 days after certification, for candidates certified prior to March 15th of 
the election year, revenues from the fund must be distributed as if the candidates are 
in an uncontested primary election .. 
B. Within 3 days after certification, for all candidates certified between March 15th 
and April 15th of the election year, revenues from the fund must be distributed 
according to whether the candidate is in a contested or uncontested primary election. 
B-1. For candidates in contested primary eleCtions receiving a distribution under 
paragraph A, additional revenues from the fund must be distributed within 3 days of 
March 15th of the election year. 
C. No later than 3 days after the primary election results are certified, for general 
election certified candidates, revenues from the fund must be distributed according to 
whether the candidate is in a contested or uncontested general:election. 
Funds may be distributed to certified candidates under this section by any mechanism that 
is expeditious, ensures accountability and safeguards the integrity of the fund. 
Sec. 16. 21-A MRSA §1125, sub-§8, as amended by PL 2007,c. 443, Pt. B, §6, 
is repealed. 
Sec. 17. 21-A MRSA §1125, sub-§8-A is enacted to read: 
8-A. Amount of fund distribution. By September 1, 2011, and at least every 2 
years after that date, the commission shall determine the amount of funds to be 
distributed to participatin'g candidates in legislative elections based on the type of election 
and office. In making; this determination, the commission may take into consideration 
any relevant information, including but not limited to: . 
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A. The range of campaign spending by candidates for that office in the Z·preceding .. 
elections; . 
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B. The Consumer Price Index published monthly by the United States Department of 
Labor, Bureau of Labor Statistics and any other significant changes in the costs of 
campaigning such as postage or fuel; and 
c:. The impact of independent expenditures on the payment of matching funds. 
Before making any determination, the commission shall provide notice of the 
determination and an opportunity to comment to the President of the Senate, the Speaker 
of the House of Representatives, all floor leaders, the members of the joint standing 
committee of the Legislature having jurisdiction over legal affairs and persons who have 
expressed interest in receiving notices of opportunities to comment on the commission's 
rules and policies. The commission shall present at a public meeting the basis for the 
commission's final determination. 
For gubernatorial primary elections, the amount of revenues distributed is $200,000 per 
candidate in the primary election. For gubernatorial general elections, the amount of 
revenues distributed is $600,000 per candidate inthe general election. 
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Sec. 18. 21-A MRSA §1125, sub-§9, as amended by PL 2007, c. 443, Pt. B, §6, 
. is further amended to read: 
9. Matching funds. When any report required under this chapter 'or chapter 13 
shows that the sum of a candidate's expenditures or obligations, contributions and loans, 
or fund revenues received, whichever is greater, in conjunction with independent 
expenditures reported under section 10 19-B, exceeds the sum· of an opposing certified 
candidate's fund revenues, in conjunction with' independent expenditures, the commission 
shall issue immediately to the opposing certified- candidate an additional amount 
equivalent to the difference. Matching funds for certified candidates for the Legislature 
are limited to 2 times the amount originally distributed under subsection 8, paragraph A 
or C, whichever is applicable 8-A. Matching funds for certified gubernatorial candidates 
in a primary election are limited to 2 times the amount originally distributed under 
subsection 8, paragraph E $400,000. 
Matching funds for certified gubernatorial 
candidates in a general election are limited to the amount oris:inallv distributed under 
subsection 8. nara!!fanh F $600,000. 
Sec. 19. 21-A MRSA §1125, sub-§10, as amended by PL 2007, c. 443, Pt. B, §6, 
is further amended to read: 
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10. Candidate not enrolled in a party. An unenrolled candidate who submits the 
required number of qualifYing contributions and other required documents under 
subsection 4 by 5 :00 p.m. on April. 15th preceding the primary election and who is 
certified is eligible for revenues from the fund in the same amounts and at the same time 
as an uncontested primary election candidate and a general election candidate as specified 
in subsections 7 and g 8-A. Otherwise, an unenrolled candidate must submit the required 
number of qualifYing contributions and the other required documents under subsection 4 
by 5:00 p.m, on June 2nd preceding the general election. If certified, the candidate is 
eligible for revenues from the fund in the same amounts as a general election candidate, 
as specified in subsection 8 8-A.  Revenues for the general election must be distributed to 
the candidate no later than 3 days after certification. 
Sec. 20.  21-A MRSA §1125, sub-§12, as amended by PL 2007, c. 571, §12, is 
further amended to read: 
12.  Reporting; unspent revenue.  Notwithstanding any other provision of law, 
participating and certified candidates shall report any money collected, all campaign 
expenditures, obligations and related activities to the commission according to procedures 
developed by the commission.  If a certified candidate pays fund revenues to a member of 
the candidate's immediate family or household or a business or nonprofit entity affiliated 
with a member of the candidate's immediate family 
or household, the candidate must 
disclose the family
 candidate's relationship to the payee in a manner prescribed by the 
commission. Upon the filing of a final report for any primary election in which the 
candidate was defeated and for all general elections that candidate shall return all unspent 
fund revenues to the commission.  In developing these procedures, the commission shall 
utilize existing campaign reporting procedures whenever practicable.  The commission 
shall ensure timely public access to campaign finance data and may utilize electronic 
means of reporting and storing information. 
Sec. 21.  21-A MRSA §1125, sub-§12-A, as amended by PL 2007, c. 443, Pt. B, 
§6, is further amended to read: 
12-A.  Required records.  The treasurer shall obtain and keep: 
A.  Bank or other account statements for the campaign account covering the duration 
of the campaign; 
B.  A vendor invoice stating the particular goods or services purchased for every 
expenditure of $50 or more; and 
C.  A record proving that a vendor received payment for every expenditure of $50 or 
more in the form of a cancelled check, cash receipt from the vendor or bank or credit 
card statement identifying the vendor as the payee.; and 
D.  For any services provided to the campaign by a vendor for which the candidate 
paid $500 or more for the election cycle, invoices, timesheets or other documentation 
specifying in detail the services the vendor provided, the amount paid and the basis 
for the compensation paid by the campaign. 
The treasurer shall preserve the records for 2 3 years following the candidate's final 
campaign finance report for the election cycle.  The candidate and treasurer shall submit 
photocopies of the records to the commission upon its request. 
Sec. 22.  21-A MRSA §1125, sub-§13, as enacted by IB 1995, c. 1, §17, is 
amended to read: 
13.  Distributions not to exceed amount in fund.  The commission may not 
distribute revenues to certified candidates in excess of the total amount of money 
deposited in the fund as set forth in section 1124.  Notwithstanding any other provisions 
of this chapter, if the commission determines that the revenues in the fund are insufficient 
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to meet distributions under subsections & 8-A or 9, the commission may permit certified 
. candidates to accept and spend contributions, reduced by any seed money contributions, 
aggregating no more than $500 per donor per election for gubernatorial candidates and 
$250 per donor per. election for State Senate and State House candidates, up to the 
applicableamoUllts set fOl1h in subsections & 8-A and 9 according to rules adopted by the 
commIssIon. 
Sec. 23~ 21-A MRSA §1127, sub-§l, as amended by PL 2005, c. 542,§6, IS 
further amended to read: 
1. Civil fine. In addition to any other penalties that may be applicable, a person who 
violates any provision of this chapter or I'ules of the commission adopted pursuant to 
section 1126 is subject to a fine not to exceed $10,000 per violation payable to the fund. 
The ,commission may assess a fine of up to $10,000 for a violation of the repOl1ing 
requirements of sections 1017 and 10 19-B if it determines' that the failure to file a timely 
and accurate repOl1 resulted in the late payment of matching fund.s. 
This fine is 
recoverable in a civil action. In addition to any fine, for good cause shown, a candidate, 
treasurer; consultant or other agent of the candidate or the political committee authorized 
by the candidate pursuant to section 10 13-A, subsection 1 found in violation of this 
chapter or rules of the' comrnission may be required to return to t1H~ fund all amounts 
distributed to the candidate from the fund or any funds not used for campaign-related 
purposes. If the commission makes a determination that a violation of this chapter or 
rules of the commission has occurred, the commission shall assess a fine or transmit the 
finding to the Attorney General for prosecution. Before making any determination or 
assessment or ordering the return of funds, the commission shall provide an 0ppOl1unity 
for the candidate, treasurer, consultant or other agent of the candidate or the political 
committee to appear before the commission and must conduct an adjudicatory hearing if 
one is requested. A final detelmination by the commission may be appealed to Superior 
Court in accordance with Title 5, chapter 375, subchapter 7 and the Maine Rules of Civil 
Procedure, Rule 80C. 
Fines assessed or orders for return of funds issued by the 
commission pursuant to this subsection that are not paid in full within 30 days after 
issuance of a notice of the final detennination may be enforced in accordance with 
section 1004-B. Fines paid under this section must be deposited in the fund. 
In 
determining whether or not a candidate is in violation of the expenditure limits of this 
chapter, the commission may consider as a mitigating factor any circumstances out of the 
candidate's control. 
Sec. 24. Effective date. Those sections of this Act that repeal the Maine Revised 
Statutes, Title 21-A, section 1125, subsection 8 and enact Title 21-A, section 1125, 
subsection 8-A take effect September 1, 2011. Those sections of this Act that amend 
Title 21-A, section '1125, subsection 2-A, paragraph C and Title 21-A, section 1125, 
subsections 6-A, 7, 9,10 and 13 take effect September 1,2011. 
SUMMARY 
The bill makes changes to the enforcement procedures of the Maine Commission on 
Governmental Ethics and Election Practices with respect to candidates, political action 
committees and political committees. 
If the commission is considering' finding the 
candidate or committee in violation or assessing a penalty, the candidate or committee 
may request that the commission conduct a formal adjudicatory hearing in accordance' 
with the Maine Administrative Procedure Act. The bill also clarifies that a candidate or 
political committee who has been found in violation may appeal the commission's 
determination to the Superior Court. If the candidate or committee does not appeal the 
commission's determination and does not pay a penalty assessed by the commission or 
return Maine Clean Election Act funds, the commission may enforce the penalty or order 
to return funds by submitting the commission's detennination to the clerk of courts for 
Kennebec County, rather than by proving the violation through the initiation of a civil 
lawsuit. 
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The bill also amends the commission's calculation of the initial public funds payment 
made to legislative candidates pal1icipating in the Maine Clean Election Act. Currently, 
those paymen,ts are based solely on average spending by all candidates in the preceding 2 
elections. 
The bill would permit the commission begInning September 1, 2011 to 
consider other factors, such as increases in the cost of campaigning, after seeking 
comment from the commission's legislative oversight committee, legislative leadership 
and other interested persons. 
The bill also amends current requirements. on candidates who pay campaign funds to 
members of the candidate's household or immediate family. 
It clarifies that the 
requirements apply to payees who are members of the candidate's household or who are 
members of the candidate's immediate family. 
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