Resolve, To Implement Recommendations of the Government Oversight Committee To Strengthen the Ethics Practices and Procedures for Executive Branch Employees
Maine Legislature, Session 127, LD 0006
Committee: State and Local Government

Legislative Document 
No. 6 
H.P. 9 
House of Representatives, January 7, 2015 
Resolve, To Implement Recommendations of the Government 
Oversight Committee To Strengthen the Ethics Practices and 
Procedures for Executive Branch Employees 
Reported by Representative KRUGER of Thomaston for the Government Oversight 
Committee pursuant to the Maine Revised Statutes, Title 3, section 997, subsection 2. 
Reference to the Committee on State and Local Government suggested and ordered printed 
pursuant to Joint Rule 218. 
ROBERT B. HUNT 
Clerk 
Sec. 1.  Consolidation of ethics standards for state employees. Resolved:  
That the Department of Administrative and Financial Services, referred to in this resolve 
as "the department," shall develop a consolidated code of ethics and conduct for state 
employees, referred to in this resolve as "the code," along with legislation required to 
implement the code.  As used in this resolve, "state employee" means any regular 
classified or unclassified officer or employee of the executive branch. 
In developing the code, the department shall incorporate, as appropriate: 
1. Recommendations contained in "Report on Ethics Laws for Executive Branch 
Employees" prepared by the Commission on Governmental Ethics and Election Practices 
and published in December 2009; 
2. Standards of ethics and conduct that exist in statute, executive order, the state 
administrative and accounting manual and state agency policies, including standards for 
information technology use and personnel policies; 
3. Standards to address ethical situations not addressed in the existing standards, 
including but not limited to gifts, personal and business relationships affecting 
impartiality, post-state employment, use of government property and conflicting outside 
employment and activities; 
4. Standards regarding employee ethics and guidance adopted for employees of the 
Federal Government and other states; and 
5. Input from the Commission on Governmental Ethics and Election Practices and 
other relevant organizations with expertise in the development and maintenance of ethics 
policies and standards; and be it further 
Sec. 2.  Code training and communications. Resolved:  That the department 
shall develop and implement a training and communications plan to increase the 
awareness and accountability of state employees regarding the code. The plan must 
provide for clear and regular communications to state employees; accessible formal and 
informal guidance documents, including plain language explanations; and ongoing 
training opportunities for state employees. The department shall consider incorporating in 
the plan a mechanism for periodic confirmation of awareness of the standards in the code 
by individual state employees. The plan must be developed in conformity with the 
applicable recommendations contained in "Report on Ethics Laws for Executive Branch 
Employees" prepared by the Commission on Governmental Ethics and Election Practices 
and published in December 2009; and be it further 
Sec. 3.  Code guidance and reporting avenues. Resolved:  That the 
department shall establish and implement clear avenues and procedures for state 
employees to seek guidance regarding the code and to report potential violations of the 
code. The procedures must include provisions for confidential reporting; and be it further 
Sec. 4.  Report. Resolved:  That the department shall submit an interim report to 
the Government Oversight Committee no later than October 1, 2015 describing the status 
of the work undertaken to that date pursuant to this resolve. The report must include, but 
is not limited to, a timeline that establishes specific dates for completion of work required 
by the resolve. The department shall submit a final report documenting its work pursuant 
to this resolve, together with implementing legislation, to the Government Oversight 
Committee and the Joint Standing Committee on State and Local Government not later 
than December 1, 2015. The Government Oversight Committee is authorized to submit 
legislation related to the report to the Second Regular Session of the 127th Legislature; 
and be it further 
Sec. 5.  Recommendation for legislative branch.  Resolved:  That the 
Government Oversight Committee, based on the final report provided to the committee 
by the department pursuant to section 4, may recommend a similar consolidated code of 
ethics and conduct and related procedures to the Legislative Council for use by the 
Legislature. 
SUMMARY 
This resolve implements the recommendations of the Government Oversight 
Committee stemming from 2 reports of the Office of Program Evaluation and 
Government Accountability: "Public Utilities Commission" and "Healthy Maine 
Partnerships' FY13 Contracts and Funding." The resolve directs the Department of 
Administrative and Financial Services to take certain steps to strengthen the ethics 
standards and practices for executive branch employees by developing a consolidated 
code based in part on recommendations contained in a December 2009 report to the 
Legislature from the Commission on Governmental Ethics and Election Practices entitled 
"Report on Ethics Laws for Executive Branch Employees."  This resolve also requires the 
department to implement procedures for employees to seek guidance on ethics and to 
report potential ethics violations. The committee also is authorized to recommend to the 
Legislative Council a similar code of ethics and conduct for use by the Legislature.