An Act Regarding Campaign Finance and Lobbying Disclosure and Enforcement of Income Source Reporting Requirements
Maine Legislature, Session 131, LD 1630
Committee: Veterans and Legal Affairs
Sponsors: HICKMAN
Amends: 1 MRSA §1016-C, 1 MRSA §1016-G, 3 MRSA §319, 3 MRSA §320, 21-A MRSA §1002, 21-A MRSA §1003, 21-A MRSA §1004-B, 21-A MRSA §1014, 21-A MRSA §1015, 21-A MRSA §1019-B, 21-A MRSA §1020-A, 21-A MRSA §1062-A, 21-A MRSA §1125

Legislative Document
No. 1630
S.P. 647
In Senate, April 12, 2023
An Act Regarding Campaign Finance and Lobbying Disclosure and 
Enforcement of Income Source Reporting Requirements
Submitted by the Commission on Governmental Ethics and Election Practices pursuant to 
Joint Rule 204.
Reference to the Committee on Veterans and Legal Affairs suggested and ordered printed.
DAREK M. GRANT
Secretary of the Senate
Presented by Senator HICKMAN of Kennebec.
Be it enacted by the People of the State of Maine as follows:
Sec. 1.  1 MRSA §1016-C, as amended by PL 2021, c. 132, §1, is further amended 
to read:
§1016-C.  Reports by legislative candidates
A candidate, as defined in Title 21‑A, section 1, subsection 5, for the Legislature who 
is not required to file a report under section 1016‑G shall file a report containing the same 
information required of Legislators under section 1016‑G no later than 5 p.m. on August 
15th preceding the general election unless the candidate withdraws from the election in 
accordance with Title 21‑A, section 374‑A by that date. A candidate shall file statements 
electronically as is required of Legislators under section 1016-G, subsection 5. If the 
candidate fails to file the statement by the August 15th, the commission may assess 
penalties in accordance with section 1016-G, subsection 3.
Sec. 2.  1 MRSA §1016-G, sub-§3, as amended by PL 2019, c. 534, §5, is further 
amended to read:
3.  Penalties.  Penalties for violations of this section are as follows.
A.  Failing to file a statement within 15 days of having been notified by the commission 
is subject to a civil violation for which a fine of not more than $100 may be adjudged 
penalty not to exceed $500 payable to the commission.  A statement is not considered 
filed unless it substantially conforms to the requirements of this subchapter and is 
properly signed. The commission shall determine whether a statement substantially 
conforms to the requirements of this subchapter.
B.  The intentional filing of a false statement is a Class E crime. If the commission 
concludes that it appears that a Legislator has willfully filed a false statement, it shall 
refer its findings of fact to the Attorney General.  If the commission determines that a 
Legislator has willfully failed to file a statement required by this subchapter or has 
willfully filed a false statement, the Legislator is presumed to have a conflict of interest 
on every question.
Within 3 business days of a filing deadline, the commission shall mail a notice to a 
Legislator or candidate who has failed to file a statement required under this subchapter. If 
a Legislator or candidate does not file the statement within 15 days of the notice, the 
commission shall mail a notice of a preliminary penalty of $500 pursuant to paragraph A. 
The Legislator or candidate may request a waiver of the penalty within 15 days of the 
penalty notice. If no request is made, the preliminary $500 penalty is final. If the Legislator 
or candidate requests a waiver, the commission shall consider the request at its next meeting 
for a determination of the final penalty, if any. The commission staff shall confirm a final 
penalty in a written determination to the Legislator or candidate who did not file the 
statement on time. The commission's determination 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. Penalties assessed pursuant to this subsection may be enforced in 
accordance with Title 21-A, section 1004-B.
Sec. 3.  3 MRSA §319, sub-§1, as repealed and replaced by PL 2011, c. 179, §7, is 
amended to read:
1.  Failure to file registration or report.  Any person who fails to file a registration 
or report as required by this chapter may be assessed a fine is subject to a civil penalty, 
payable to the commission, of $100 for every month the person fails to register or is 
delinquent in filing a report pursuant to section 317.  If a registration or report is filed late, 
the commission shall send a notice of the finding of violation and preliminary penalty.  The 
notice must provide the lobbyist with an opportunity to request a waiver of the preliminary 
penalty.  If a lobbyist files a report required pursuant to section 317 within 24 hours after 
the deadline, the amount of the preliminary penalty is $50.  The preliminary penalty is 
increased by $50 for each successive violation during a lobbying year.  The commission 
may waive the fine or penalty in whole or in part if the commission determines the failure 
to register or report was due to mitigating circumstances or the fine or penalty is 
disproportionate to the level of experience of the lobbyist or the harm suffered by the public 
from the late registration or report.  For purposes of this subsection, "mitigating 
circumstances" means:
A.  A valid emergency determined by the commission, in the interest of the sound 
administration of justice, to warrant the waiver of the fine or penalty in whole or in 
part;
B.  An error by the commission; or
C.  Circumstances determined by the commission to warrant the waiver of the fine or 
penalty in whole or in part, based upon relevant evidence presented that a bona fide 
effort was made to file the report in accordance with this chapter, including, but not 
limited to, unexplained delays in Internet service.
Sec. 4.  3 MRSA §320, first ¶, as amended by PL 2015, c. 267, Pt. F, §3, is further 
amended to read:
Fees collected pursuant to this chapter must be deposited into a special revenue account 
of the commission to be used for the purposes of administering and enforcing the provisions 
of this chapter, including the costs of obtaining, maintaining and upgrading technology to 
facilitate disclosure of lobbying and campaign finance information to the public. 
Notwithstanding any provision of law to the contrary, the commission may deposit 
penalties for late filing under Title 21-A, sections 1060-A and 1062-A into the account to 
be used exclusively on technology costs consistent with this section.
Sec. 5.  21-A MRSA §1002, sub-§2, as amended by PL 2011, c. 389, §2, is 
repealed.
Sec. 6.  21-A MRSA §1002, sub-§4, as amended by PL 2011, c. 389, §2, is 
repealed.
Sec. 7.  21-A MRSA §1003, sub-§3-A, as amended by PL 2019, c. 323, §3, is 
further amended by amending the first blocked paragraph to read:
The commission may disclose investigative working papers or discuss them at a public 
meeting, except for the information or records subject to a privilege against discovery or 
use as evidence, if the information or record is materially relevant to a memorandum or 
interim or final report by the commission staff or a decision by the commission concerning 
an audit, investigation or other enforcement matter.  A memorandum or report on the audit 
or investigation prepared by staff for the commission may be disclosed at the time it is 
submitted to the commission, as long as the subject of the audit or investigation has an 
opportunity to review it first to identify material that the subject of the audit or investigation 
considers privileged or confidential under some other provision of law.
Sec. 8.  21-A MRSA §1004-B, as enacted by PL 2009, c. 302, §3, is amended to 
read:
§1004-B.  Enforcement of penalties assessed by the commission
The commission staff shall collect the full amount of any penalty and the return of 
Maine Clean Election Act funds required by the commission to be returned for a violation 
of the statutes or rules administered by the commission and has all necessary powers to 
carry out these duties. Failure to pay the full amount of any penalty assessed by the 
commission or return of Maine Clean Election Act funds is a civil violation by the 
candidate, treasurer, party committee, political action committee or other person.  Thirty 
days after issuing the notice of penalty or order for the return of funds, the commission 
shall report to the Attorney General the name of any person who has failed to pay the full 
amount of any penalty or to return Maine Clean Election Act funds unless the commission 
has provided an extended deadline for payment. The Attorney General shall enforce the 
violation in a civil action to collect the full outstanding amount of the penalty or order for 
the return of Maine Clean Election Act funds. The Attorney General shall enforce the 
violation in a civil action to collect up to 3 times the outstanding amount of the penalty or 
unreturned Maine Clean Election Act funds. This action must be brought in the Superior 
Court for Kennebec County or the District Court, 7th District, Division of Southern 
Kennebec.
Sec. 9.  21-A MRSA §1014, sub-§5-A is enacted to read:
5-A.  Text messages.  Text messages sent with the assistance of mass distribution 
technology at a cost of more than $100 must clearly and conspicuously state the name of 
the person who made or financed the expenditure if:
A.  The text message expressly advocates the election or defeat of a candidate; or
B.  The text message contains a link to a website that expressly advocates the election 
or defeat of a candidate.
Sec. 10.  21-A MRSA §1015, sub-§3, as amended by PL 2007, c. 443, Pt. A, §12, 
is repealed.
Sec. 11.  21-A MRSA §1019-B, sub-§1, ¶B, as amended by PL 2021, c. 132, §7, 
is further amended to read:
B.  Unless the person, party committee or political action committee making the 
expenditure demonstrates under subsection 2 that the expenditure was not intended to 
influence did not have a purpose or effect of influencing the nomination, election or 
defeat of the candidate, is made to design, produce or disseminate a communication 
that names or depicts a clearly identified candidate and is disseminated during the 28 
days, including election day, before a primary election; during the 35 days, including 
election day, before a special election; or from Labor Day to a general election day.
Sec. 12.  21-A MRSA §1019-B, sub-§2, as amended by PL 2021, c. 132, §8, is 
further amended to read:
2.  Commission determination.  A person, party committee or political action 
committee may request a determination that an expenditure that otherwise meets the 
definition of an independent expenditure under subsection 1, paragraph B is not an 
independent expenditure by filing a signed written statement with the commission within 
days of disseminating the communication stating that the cost was not incurred with the 
intent to influence a purpose of influencing the nomination, election or defeat of a 
candidate, supported by any additional evidence the person, party committee or political 
action committee chooses to submit.  The commission may gather any additional evidence 
it determines relevant and material and. The commission shall determine by a 
preponderance of the evidence whether the cost was incurred with intent to influence a 
purpose of, or had the effect of, influencing the nomination, election or defeat of a 
candidate. In order to make this determination, the commission shall consider whether the 
language and other elements of the communication would lead a reasonable person to 
conclude that the communication had a purpose of, or had the effect of, influencing an 
election.  The commission may consider other factors, including, but not limited to, the 
timing of the communication or the recipients of the communication.  The commission's 
executive director shall make an initial determination on the request, which must be posted 
on the commission's publicly accessible website.  Any person may appeal the initial 
determination, which must be considered by the commission at the next public meeting that 
is feasible.
Sec. 13.  21-A MRSA §1019-B, sub-§4, ¶B, as amended by PL 2015, c. 350, §6, 
is further amended to read:
B.  A report required by this subsection must contain an itemized account of each 
expenditure in excess of $250 in any one candidate's election, the date and purpose of 
each expenditure and the name of each payee or creditor.  The report must state whether 
the expenditure is in support of or in opposition to the candidate and must include, 
under penalty of perjury unsworn falsification, as provided in Title 17‑A, section 451 
453, a statement under oath or affirmation whether the expenditure is made in 
cooperation, consultation or concert with, or at the request or suggestion of, the 
candidate or an authorized committee or agent of the candidate.
Sec. 14.  21-A MRSA §1019-B, sub-§4, ¶C, as amended by PL 2013, c. 334, §16, 
is further amended to read:
C.  A report required by this subsection must be on a form prescribed and prepared by 
the commission.  A person filing this report may use additional pages if necessary, but 
the pages must be the same size as the pages of the form.  The commission may adopt 
procedures requiring the electronic filing of an independent expenditure report, as long 
as the commission receives the statement made under oath or affirmation set out in 
paragraph B by the filing deadline and the commission adopts an exception for persons 
who lack access to the required technology or the technological ability to file reports 
electronically. The commission may adopt procedures allowing for the signed 
statement to be provisionally filed by facsimile or electronic mail, as long as the report 
is not considered complete without the filing of the original signed statement.
Sec. 15.  21-A MRSA §1020-A, sub-§4-A, as amended by IB 2015, c. 1, §7, is 
further amended to read:
4-A.  Basis for penalties.  The penalty for late filing of a report required under this 
subchapter is a percentage of the total contributions or expenditures for the filing period, 
whichever is greater, multiplied by the number of calendar days late, as follows:
A.  For the first violation, 2%;
B.  For the 2nd violation, 4%; and
C.  For the 3rd and subsequent violations, 6%.
Any penalty of less than $10 $25 is waived.
Violations accumulate on reports with filing deadlines in a 2-year period that begins on 
January 1st of each even-numbered year.  Waiver of a penalty does not nullify the finding 
of a violation.
A report required to be filed under this subchapter that is sent by certified or registered 
United States mail and postmarked at least 2 days before the deadline is not subject to 
penalty.
A registration or report may be provisionally filed by transmission of a facsimile copy of 
the duly executed report to the commission, as long as the facsimile copy is filed by the 
applicable deadline and an original of the same report is received by the commission within 
calendar days thereafter.
Sec. 16.  21-A MRSA §1062-A, sub-§3, as amended by IB 2015, c. 1, §9, is further 
amended to read:
3.  Basis for penalties.  The penalty for late filing of a report required under this 
subchapter is a percentage of the total contributions or expenditures for the filing period, 
whichever is greater, multiplied by the number of calendar days late, as follows:
A.  For the first violation, 2%;
B.  For the 2nd violation, 4%; and
C.  For the 3rd and subsequent violations, 6%.
Any penalty of less than $10 $25 is waived.
Violations accumulate on reports with filing deadlines in a 2-year period that begins on 
January 1st of each even-numbered calendar year.  Waiver of a penalty does not nullify the 
finding of a violation.
A report required to be filed under this subchapter that is sent by certified or registered 
United States mail and postmarked at least 2 days before the deadline is not subject to 
penalty.
A required report may be provisionally filed by transmission of a facsimile copy of the duly 
executed report to the commission, as long as an original of the same report is received by 
the commission within 5 calendar days thereafter.
Sec. 17.  21-A MRSA §1125, sub-§3, ¶J, as enacted by PL 2019, c. 323, §29, is 
amended to read:
J.  A payment, gift or anything of value may not be given in exchange for a qualifying 
contribution.  It is a violation of this chapter for a participating candidate or an agent 
of the participating candidate to misrepresent the purpose of soliciting qualifying 
contributions and obtaining the contributor's signed acknowledgment or submit any 
fraudulent contributions to the commission, as defined by the rules of the commission.
Sec. 18.  21-A MRSA §1125, sub-§12-A, ¶C, as amended by PL 2013, c. 334, 
§34, is further amended to read:
C.  A record proving that a vendor received payment for every expenditure in excess 
of $50 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
Sec. 19.  21-A MRSA §1125, sub-§12-A, ¶E, as amended by PL 2013, c. 334, 
§34, is further amended to read:
E.  A contemporaneous document such as an invoice, contract or timesheet that 
specifies in detail the services provided by a vendor who was paid in excess of $500 
for the election cycle for providing campaign staff or consulting services to a 
candidate.; and
Sec. 20.  21-A MRSA §1125, sub-§12-A, ¶F is enacted to read:
F.  If a candidate for the Legislature pays at least $1,000 to a member of the campaign 
staff, records for the number of hours and type of work performed by the member each 
day.  The candidate or treasurer shall submit those records to the campaign at least once 
per month.
SUMMARY
This bill amends the administration of campaign finance and lobbyist disclosure laws 
by the Commission on Governmental Ethics and Election Practices and the enforcement of 
income reporting requirements by:
1.  Providing for a preliminary penalty of $500 when a legislative candidate or a 
Legislator does not file a statement of sources of income on time, which may be waived by 
the commission;
2.  Increasing penalties by $50 per report when a lobbyist repeatedly files monthly 
reports late during a lobbying year;
3.  Authorizing the commission to deposit penalties for late filing by political action 
committees and ballot question committees in an existing special revenue account to pay 
for improvements to the commission's electronic filing systems;
4.  Eliminating authority for the commission to meet by telephone and the requirement 
for the commission to be open during the last weekend before elections;
5.  Amending the standard by which the commission may disclose financial or 
campaign information in a commission decision or investigative report by staff;
6.  Authorizing the Office of the Attorney General to collect 3 times the amount owed 
when a court action is necessary to collect an unpaid penalty or repayment of Maine Clean 
Election Act funds;
7.  Requiring text messages costing more than $100 that advocate for the election or 
defeat of a candidate and are transmitted through mass distribution technology to disclose 
the person that paid for the messages;
8.  Directing the commission to consider the text and other objective elements of a 
communication distributed close to an election when deciding whether the costs of the 
communication qualify as independent expenditures;
9.  Eliminating the $25,000 limit an individual may contribute in aggregate to state 
candidates in a calendar year;
10.  Allowing a person filing an independent expenditure report to make an online 
affirmation that the expense was not coordinated with the candidate named in the report 
rather than submitting a statement made under oath or affirmation;
11.  Authorizing the automatic waiver of penalties of less than $25 for filing a campaign 
finance report late;
12.  Eliminating the authorization for candidates and political committees to file a 
campaign finance report after a deadline if a faxed version is submitted before the deadline;
13.  Confirming that a candidate's submission of fraudulent qualifying contributions is 
a violation of the Maine Clean Election Act; and
14.  Requiring a Maine Clean Election Act candidate to obtain and keep a record of 
labor performed by any member of campaign staff each day the member of the campaign 
staff is compensated more than $1,000.