In 1975, the Legislature enacted ethics laws regarding standards of conduct for legislators (1 MRSA §§1011-1023).
That legislation recognizes that the increasing complexity of State Government makes conflicts of interest almost
inevitable for part-time public officials, particularly for legislators who vote on measures affecting almost every
resident of the State. In the statement of purpose accompanying the statutory provisions dealing with legislative
ethics, the Legislature declared:
If public confidence in government is to be maintained and enhanced, it is not enough that public officers avoid acts of misconduct. They must also scrupulously avoid acts which may create an appearance of misconduct. The Legislature cannot legislate morals and the resolution of ethical problems must indeed rest largely in the individual conscience. The Legislature may and should, however, define ethical standards, as most professions have done, to chart the areas of real or apparent impropriety.
Each legislator should carefully review the statutory provisions and not rely exclusively on the following summary.
1. Income Reporting
The law (1 MRSA §1016-A) requires legislators to report their sources of income (excluding duly-reported
campaign contributions) by February 15th of each year. Candidates for the Legislature must report income sources
by the first Monday in August preceding the general election. Each source exceeding $1000 in the aggregate must
be reported by category or economic activity. Any change to a legislator’s filed financial report must be reported
by the legislator to the Secretary of State within 30 days. Intentionally filing a false statement is a Class
E crime.
2. Conflict of Interest
Title 1 MRSA §1014 lists several ac-tivities constituting a conflict of interest to help define ethical standards
and to identify areas of real or apparent impropriety that are to be avoided. These are examples and should not
be considered an exhaustive list. The section also identifies various situations of apparent “undue influence”
and “abuse of office or position” where a conflict of interest is presumed.
The law defines a conflict of interest to exist where a legislator or a member of that legislator's immediate
family:
· Has or acquires a strong and direct financial interest in a business, or derives a direct financial benefit from an association with a person with a direct financial interest in a business that the legislator knows will be benefited by a proposed law;
· Accepts gifts (excluding duly-reported campaign contributions) from someone whose personal or business interests are likely to be affected by a proposed law, if the legislator knows or should know that the reason for the gift was to influence the legislator’s vote or to reward the legislator’s action;
· Receives compensation not authorized by law for the legislator's assistance and services as a legislator, or for appearing on behalf of someone with a claim pending before the Legislature;
· Takes a job where there is a strong possibility that the job was given to the legislator or a family member to influence the legislator’s vote; or
· Would receive special benefit in the legislator's business or profession under proposed legislation.
Under the law, a conflict of interest is presumed when a legislator:
· Receives compensation for representing someone before a state agency (except as a lawyer or other professional, acting within the scope of that legislator's employment);
· Represents someone selling goods or services to the State when the sales did not occur according to competitive bidding practices; or the legislator or a family member has a direct financial interest in a contract for goods and services with the State that was not subject to competitive bidding;
· Grants or obtains a special privilege for self or family by use of his or her position as a legislator; or
· Uses or discloses confidential information obtained because of office or position for the benefit of that legislator or someone else.
If a conflict of interest exists, State law explicitly declares that the legislator “shall not vote on any questions in connection with the conflict in committee or in either branch of the Legislature, and shall not attempt to influence the outcome of that question.” (1 MRSA §1015, sub-§1)
3. Solicitation and Acceptance of Campaign Contributions
Title 1 MRSA §1015, subsection 3 prohibits legislators and their staff from soliciting or accepting contributions
from a lobbyist, lobbyist associate or employer between the time the Legislature convenes each year and the time
it adjourns in the first session or the deadline for filing as a candidate under state election law in the second
session. The law also applies to the Governor and the constitutional officers and their staffs.
4. Commission on Governmental Ethics and Election Practices
To ensure adherence to the ethical standards it incorporated into law, the Legislature also created the Commission
on Governmental Ethics and Election Practices. The general duties of the commission are to investigate and report
on any apparent violations of the ethical standards set by the Legislature and to investigate any violations of
the requirements for campaign reports, financing and practices. The commission also has the authority to issue
advisory opinions and guidelines on problems or questions involving possible legislative conflicts of interest,
to investigate complaints filed by legislators alleging conflict of interest against any other legislator and to
administer the financial disclosure requirements imposed on legislators.
If the commission finds that a legislator has voted or acted in conflict of interest, it is required to report
its findings in writing to the chamber of which the legislator is a member for appropriate action.
Legislators seeking further clarification of the provisions governing conflict of interest and income reporting
may consult their respective presiding officers, the Attorney General’s Office, or the Commission on Governmental
Ethics and Election Practices.