2023 Maine Revised Statutes › TITLE 1: GENERAL PROVISIONS › Chapter 25: GOVERNMENTAL ETHICS › Subchapter 2: LEGISLATIVE ETHICS › 1 §1016-G. Disclosure of specific sources of income, interests and reportable liabilities

§1016-G. Disclosure of specific sources of income, interests and reportable liabilities
Each Legislator shall annually file with the commission a statement identifying the sources of income received, positions held and reportable liabilities incurred during the preceding calendar year by the Legislator or members of the Legislator's immediate family. A Legislator who has completed service in the Legislature shall file the statement within 45 days of the Legislator's last day of service to disclose the sources of income in the Legislator's final calendar year of service.   [PL 2011, c. 634, §11 (NEW).]
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;   [PL 2011, c. 634, §11 (NEW).]
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;   [PL 2011, c. 634, §11 (NEW).]
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 5% of the outstanding equity, whether individually or in the aggregate, that has received revenue of $2,000 or more;   [PL 2013, c. 401, §1 (AMD).]
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;   [PL 2011, c. 634, §11 (NEW).]
E. Each source of income of $2,000 or more received by the Legislator and a description of the nature of the income, such as rental income, dividend income and capital gains;   [PL 2013, c. 401, §1 (AMD).]
F. The specific source of each gift received by the Legislator;   [PL 2011, c. 634, §11 (NEW).]
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;   [PL 2011, c. 634, §11 (NEW).]
H. Each source of honoraria of $2,000 or more that the Legislator accepted;   [PL 2011, c. 634, §11 (NEW).]
I. Each executive branch agency before which the Legislator or any immediate family member has represented or assisted others for compensation;   [PL 2011, c. 634, §11 (NEW).]
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;   [PL 2011, c. 634, §11 (NEW).]
K. Each party as defined in Title 21‑A, section 1, subsection 28, including a party committee, and 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 or a member of the Legislator's immediate family is a treasurer, principal officer or principal fund-raiser or decision maker;   [PL 2013, c. 401, §1 (AMD).]
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   [PL 2011, c. 634, §11 (NEW).]
M. All reportable liabilities incurred by the Legislator or a member of the Legislator's immediate family during the reporting period.   [PL 2011, c. 634, §11 (NEW).]
[PL 2013, c. 401, §1 (AMD).]
2.  Time for filing.
The following provisions govern the time for filing statements.
A. Each Legislator shall file with the commission by 5:00 p.m. on February 15th of each year on the form provided by the commission a statement of the sources of income, interests and reportable liabilities for the preceding calendar year required by subsection 1. Prior to the end of the first week in January of each year, the commission shall deliver a form to each Senator and member of the House of Representatives.   [PL 2011, c. 634, §11 (NEW).]
B. A Legislator shall file an updated statement concerning the current calendar year if the income, reportable liabilities or positions of the Legislator or an immediate family member, except for dependent children, substantially change from those disclosed in the Legislator's most recent statement. Substantial changes include, but are not limited to, a new employer that has paid the Legislator or a member of the Legislator's immediate family $2,000 or more during the current year, another source that has provided the Legislator or a member of the Legislator's immediate family, excluding dependent children, with income that totals $2,000 or more during the current year or the acceptance of a new position with a for-profit or nonprofit firm that is reportable under subsection 1, paragraph L. The Legislator shall file the updated statement within 30 days of the substantial change in income, reportable liabilities or positions.   [PL 2011, c. 634, §11 (NEW).]
[PL 2011, c. 634, §11 (NEW).]
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 penalty not to exceed $250 for a Legislator or $100 for a candidate 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.   [PL 2023, c. 324, §2 (AMD).]
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.   [PL 2019, c. 534, §5 (AMD).]
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 $250 for a Legislator or $100 for a candidate 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 penalty of $250 for a Legislator or $100 for a candidate 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.
4.  Rules, procedures and forms.
The commission may adopt or amend rules to specify the reportable categories or types and the procedures and forms for reporting and to administer this section. Rules adopted pursuant to this subsection are routine technical rules as defined in Title 5, chapter 375, subchapter 2‑A.
[PL 2011, c. 634, §11 (NEW).]
5.  Public record.
Statements filed under this section are public records. The commission shall provide a means for Legislators to file statements in an electronic format that must immediately place the statements on a publicly accessible website. Legislators shall file statements required by this section using the electronic format prescribed by the commission. If a Legislator can attest to an inability to access or use the electronic filing format, the commission may provide assistance to the Legislator to ensure proper and timely placement of the required statements on the publicly accessible website.
[PL 2013, c. 401, §2 (AMD).]
SECTION HISTORY
PL 2011, c. 634, §11 (NEW). PL 2013, c. 401, §§1, 2 (AMD). PL 2019, c. 534, §5 (AMD). PL 2023, c. 324, §2 (AMD).