An Act To Strengthen Financial Disclosure Laws for the Legislative and Executive Branches of State Government
Maine Legislature, Session 126, LD 0069
Committee: Veterans and Legal Affairs
Sponsors: GOODE, RUSSELL
Amends: 1 MRSA §1012, 1 MRSA §1016-G, 5 MRSA §18, 5 MRSA §19

Legislative Document 
No. 69 
H.P. 72 
House of Representatives, January 22, 2013 
An Act To Strengthen Financial Disclosure Laws for the Legislative 
and Executive Branches of State Government 
Reference to the Committee on Veterans and Legal Affairs suggested and ordered printed. 
MILLICENT M. MacFARLAND 
Clerk 
Presented by Representative GOODE of Bangor. 
Cosponsored by Representative: RUSSELL of Portland. 
Be it enacted by the People of the State of Maine as follows: 
Sec. 1.  1 MRSA §1012, sub-§4, ¶A, as enacted by PL 1989, c. 561, §4, is 
amended to read: 
A.  Gifts received from a single source during the reporting period with an aggregate 
value of $300 $200 or less; 
Sec. 2.  1 MRSA §1016-G, sub-§1, as enacted by PL 2011, c. 634, §11, is 
amended to read: 
1.  Content of statement.  The name and, where applicable, the job title of the 
individual earning or receiving the income must be disclosed, unless otherwise noted.  
Each source of income must be identified by name, address and principal type of 
economic or business activity.  If disclosure of this type is prohibited by statute, rule or an 
established code of professional ethics, it is sufficient for the Legislator to specify the 
principal type of economic or business activity from which the income is derived. 
The statement must identify: 
A.  If the Legislator is an employee of another person, firm, corporation, association 
or organization that has provided the Legislator with compensation of $2,000 or 
more, the name and address of the employer.  The Legislator shall identify the title 
and position held by the Legislator; 
B.  If the Legislator is self-employed, the name and address of the Legislator's 
business and each source of income derived from self-employment that represents 
more than 10% of the Legislator's gross income from self-employment or $2,000, 
whichever is greater; 
C.  The name, address and principal economic or business activity of any corporation, 
partnership, limited liability company or other business in which the Legislator or 
members of the Legislator's immediate family own or control, directly or indirectly, 
more than 50% of the outstanding equity, whether individually or in the aggregate, 
that has received revenue of $2,000 or more; 
D.  Each source of income of $2,000 or more the Legislator derived from providing 
services as an attorney, the major areas of law practiced by the Legislator and, if 
associated with a law firm, the major areas of practice of the firm; 
E.  Each source of income of $2,000 or more received by the Legislator; 
F.  The specific source of each gift received by the Legislator and the annual total 
value of all gifts received from each source; 
G.  Each source of income of $2,000 or more received by any member of the 
immediate family of the Legislator, except that the Legislator is not required to 
identify the names of dependent children.  If the member of the Legislator's 
immediate family received income of $2,000 or more in compensation, the Legislator 
shall identify the source of the compensation, the type of the economic activity and 
the title of the position held by the immediate family member; 
H.  Each source of honoraria of $2,000 or more that the Legislator accepted and the 
annual total value of all of those honoraria received from each source; 
I.  Each executive branch agency before which the Legislator or any immediate 
family member has represented or assisted others for compensation; 
J.  Each state governmental agency, board or commission to which the Legislator, a 
member of the Legislator's immediate family or an associated organization has sold, 
rented or leased goods or services with a value of $10,000 or more during the 
preceding calendar year and a description of the goods or services sold, rented or 
leased and the annual total value of all of those goods or services sold, rented or 
leased to each agency, board or commission; 
K.  Each organization that is required under Title 21-A, chapter 13 to register with the 
commission as a political action committee or ballot question committee for which 
the Legislator is a treasurer, principal officer or principal fund-raiser or decision 
maker; 
L.  Any offices, trusteeships, directorships or positions of any nature, whether 
compensated or uncompensated, held by the Legislator or a member of the 
Legislator's immediate family with any for-profit or nonprofit firm, corporation, 
association, limited liability company, partnership or business.  For the purposes of 
this paragraph, service as a clerk of a corporation or as a registered agent authorized 
to receive service of any process, notice or other demand for a business entity is not 
considered a position with the corporation or business entity; and 
M.  All reportable liabilities incurred by the Legislator or a member of the 
Legislator's immediate family during the reporting period. 
For each source of income required to be reported under this subsection, the statement 
must identify whether the amount of income exceeds the minimum required for reporting 
purposes but is less than $5,000, the amount of income equals or exceeds $5,000 but is 
less than $25,000, the amount of income equals or exceeds $25,000 but is less than 
$100,000 or the amount of income equals or exceeds $100,000. 
Sec. 3.  5 MRSA §18, sub-§3-A is enacted to read: 
3-A.  Restriction on employment of former executive employee.  A former 
executive employee in a major policy-influencing position listed in chapter 71 commits a 
civil violation if the former executive employee, during the 12-month period immediately 
following termination of employment as an executive employee, accepts compensation 
for employment with, or under a contract to provide services during that period to, a 
person that is engaged in a business activity that is regulated by the state or quasi-state 
agency by which the former executive employee was employed. 
Sec. 4.  5 MRSA §19, sub-§1, ¶E, as amended by PL 2009, c. 524, §1, is further 
amended to read: 
E.  "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: 
(1) Gifts received from a single source during the reporting period with an 
aggregate value of $300 $200 or less; 
(2) A bequest or other form of inheritance; and 
(3)  A gift received from a relative or from an individual on the basis of a 
personal friendship as long as that individual is not a registered lobbyist or 
lobbyist associate under Title 3, section 313, unless the employee has reason to 
believe that the gift was provided because of the employee’s official position and 
not because of a personal friendship. 
Sec. 5.  5 MRSA §19, sub-§2, as repealed and replaced by PL 2011, c. 634, §19, 
is amended to read: 
2.  Content of statement.  Each executive employee shall annually file with the 
Commission on Governmental Ethics and Election Practices a statement identifying the 
sources of income received, positions held and reportable liabilities incurred during the 
preceding calendar year by the executive employee or members of the executive 
employee's immediate family.  The name and, where applicable, the job title of the 
individual earning or receiving the income must be disclosed, unless otherwise noted.  
Each source of income must be identified by name, address and principal type of 
economic or business activity.  If disclosure of this type is prohibited by statute, rule or an 
established code of professional ethics, it is sufficient for the executive employee to 
specify the principal type of economic or business activity from which the income is 
derived. 
The statement must identify: 
A.  If the executive employee is an employee of another person, firm, corporation, 
association or organization that has provided the executive employee with 
compensation of $2,000 or more, the name and address of the employer; 
B.  If the executive employee is self-employed, the name and address of the executive 
employee's business and each source of income derived from self-employment that 
represents more than 10% of the employee's gross income from self-employment or 
$2,000, whichever is greater; 
H.  The name, address and principal economic or business activity of any 
corporation, partnership, limited liability company or other business in which the 
executive employee or members of the employee's immediate family own or control, 
directly or indirectly, more than 50% of the outstanding equity, whether individually 
or in the aggregate, that has received revenue of $2,000 or more; 
I.  Each source of income of $2,000 or more the executive employee derived from 
providing services as an attorney, the major areas of law practiced by the executive 
employee and, if associated with a law firm, the major areas of practice of the firm; 
J.  Each additional source of income of $2,000 or more received by the executive 
employee; 
K.  The specific source of each gift received by the executive employee and the 
annual total value of all gifts received from each source; 
L.  Each source of income of $2,000 or more received by any member of the 
immediate family of the executive employee, except that the employee is not required 
to identify the names of dependent children.  If the member of the executive 
employee's immediate family received income of $2,000 or more in compensation, 
the executive employee shall identify the source of the compensation, the type of the 
economic activity and the title of the position held by the immediate family member; 
M.  Each source of honoraria of $2,000 or more that the executive employee accepted 
and the annual total value of all of those honoraria received from each source; 
N.  Each executive branch agency before which the executive employee or a member 
of the employee's immediate family has represented or assisted others for 
compensation; 
O.  Each state governmental agency, board or commission to which the executive 
employee, a member of the employee's immediate family or an associated 
organization has sold, rented or leased goods or services with a value of $10,000 or 
more during the preceding calendar year and a description of the goods or services 
sold, rented or leased and the annual total value of all of those goods or services sold, 
rented or leased to each agency, board or commission; 
P.  Each organization that is required under Title 21-A, chapter 13 to register with the 
commission as a political action committee or ballot question committee for which 
the executive employee is a treasurer, principal officer or principal fund-raiser or 
decision maker of the organization; 
Q.  Any offices, trusteeships, directorships or positions of any nature, whether 
compensated or uncompensated, held by the executive employee or a member of the 
employee's immediate family with any for-profit or nonprofit firm, corporation, 
association, limited liability company, partnership or business.  For the purposes of 
this paragraph, service as a clerk of a corporation or as a registered agent authorized 
to receive service of any process, notice or other demand for a business entity is not 
considered a position with the corporation or business entity; and 
R.  All reportable liabilities incurred by the executive employee or members of the 
employee's immediate family during the reporting period. 
For each source of income required to be reported under this subsection, the statement 
must identify whether the amount of income exceeds the minimum required for reporting 
purposes but is less than $5,000, the amount of income equals or exceeds $5,000 but is 
less than $25,000, the amount of income equals or exceeds $25,000 but is less than 
$100,000 or the amount of income equals or exceeds $100,000. 
SUMMARY 
This bill strengthens financial disclosure laws for Legislators and certain executive 
branch employees with regard to annual disclosure statements by reducing the minimum 
value of gifts that must be disclosed from $300 to $200, by requiring the disclosure of the 
annual total value of gifts, honoraria over $2,000 and income received over $10,000 for 
the sale, rental or lease of goods and services and by requiring that reportable income be 
identified as falling within specified ranges of income.   The bill also provides that a 
former executive employee in a major policy-influencing position may not accept 
compensation for employment during the 12-month period immediately following 
termination of employment as an executive employee with, or under a contract to provide 
services during that period to, a person that is engaged in a business activity that is 
regulated by the state or quasi-state agency by which the former executive employee was 
employed.