1.Registration.
A candidate that fails to register the name of a candidate, treasurer or political committee with the commission within
the time allowed by section 1013-A, subsection 1 may be assessed a forfeiture of $10. The commission shall determine whether
a registration satisfies the requirements for timely filing under section 1013-A, subsection 1.
[
1995, c. 483, §15 (NEW)
.]
2.Campaign finance reports.
A campaign finance report is not timely filed unless a properly signed or electronically submitted copy of the report, substantially
conforming to the disclosure requirements of this subchapter, is received by the commission by 11:59 p.m. on the date it is
due. Except as provided in subsection 7, the commission shall determine whether a report satisfies the requirements for timely
filing. The commission may waive a penalty in whole or in part if the commission determines that the penalty is disproportionate to the size of the candidate's campaign, the level of experience
of the candidate, treasurer or campaign staff or the harm suffered by the public from the late disclosure. The commission
may waive the penalty in whole or in part if the commission determines the failure to file a timely report was due to mitigating
circumstances. For purposes of this section, "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 penalty in whole or in part; [1999, c. 729, §5 (AMD).]
B. An error by the commission staff; [1999, c. 729, §5 (AMD).]
C. Failure to receive notice of the filing deadline; or [1999, c. 729, §5 (AMD).]
D. Other circumstances determined by the commission that warrant mitigation of the penalty, based upon relevant evidence presented
that a bona fide effort was made to file the report in accordance with the statutory requirements, including, but not limited
to, unexplained delays in postal service or interruptions in Internet service. [2009, c. 190, Pt. A, §13 (AMD).]
[
2009, c. 190, Pt. A, §13 (AMD)
.]
3.Municipal campaign finance reports.
Municipal campaign finance reports must be filed, subject to all the provisions of this subchapter, with the municipal clerk on forms prescribed by the Commission on Governmental Ethics and Election Practices. The municipal clerk shall send any
notice of lateness required by subsection 6 and shall notify the commission of any late reports subject to a penalty.
[
2011, c. 389, §22 (AMD);
2011, c. 389, §62 (AFF)
.]
4.Basis for penalties.
[
2001, c. 470, §7 (AMD);
MRSA T. 21-A, §1020-A, sub-§4 (RP)
.]
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, 1%; [2001, c. 714, Pt. PP, §1 (NEW); 2001, c. 714, Pt. PP, §2 (AFF).]
B. For the 2nd violation, 3%; and [2001, c. 714, Pt. PP, §1 (NEW); 2001, c. 714, Pt. PP, §2 (AFF).]
C. For the 3rd and subsequent violations, 5%. [2001, c. 714, Pt. PP, §1 (NEW); 2001, c. 714, Pt. PP, §2 (AFF).]
Any penalty of less than $10 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 5 calendar days thereafter.
[
2011, c. 558, §3 (AMD)
.]
5.Maximum penalties.
[
2001, c. 470, §8 (AMD);
MRSA T. 21-A, §1020-A, sub-§5 (RP)
.]
5-A.Maximum penalties.
Penalties assessed under this subchapter may not exceed:
A. Five thousand dollars for reports required under section 1017, subsection 2, paragraph B, C, D, E or H; section 1017, subsection
3-A, paragraph B, C, D, D-1 or F; and section 1017, subsection 4; [2011, c. 389, §23 (AMD).]
A-1. Five thousand dollars for reports required under section 1019-B, subsection 4, except that if the financial activity reported
late exceeds $50,000, the maximum penalty is 1/5 of the amount reported late; [2011, c. 389, §24 (NEW).]
B. Five thousand dollars for state party committee reports required under section 1017-A, subsection 4-A, paragraphs A, B, C
and E, except that if the financial activity reported late exceeds $50,000, the maximum penalty is 1/5 of the amount reported late; [2011, c. 389, §25 (AMD).]
C. One thousand dollars for reports required under section 1017, subsection 2, paragraphs A and F and section 1017, subsection
3-A, paragraphs A and E; or [2011, c. 558, §4 (AMD).]
D. Five hundred dollars for municipal, district and county committees for reports required under section 1017-A, subsection 4-B. [2011, c. 558, §4 (AMD).]
E. [2011, c. 558, §5 (RP).]
[
2011, c. 558, §§4, 5 (AMD)
.]
6.Request for a commission determination.
If the commission staff finds that a candidate or political committee has failed to file a report required under this subchapter,
the commission staff shall mail a notice by certified mail to the candidate or political committee within 3 business days
following the filing deadline informing the candidate or political committee that a report was not received. If a candidate
or a political committee files a report required under this subchapter late, a notice of preliminary penalty must be sent
to the candidate or political committee whose registration or campaign finance report was not received by 11:59 p.m. on the
deadline date, informing the candidate or political committee of the staff finding of violation and preliminary penalty calculated
under subsection 4-A and providing the candidate or political committee with an opportunity to request a determination by
the commission. The notice must be sent by certified mail. Any request for a determination must be made within 14 calendar
days of receipt of the commission's notice. The 14-day period during which a determination may be requested begins on the
day a recipient signs for the certified mail notice of the proposed penalty. If the certified letter is refused or left unclaimed
at the post office, the 14-day period begins on the day the post office indicates it has given first notice of a certified
letter. A candidate or political committee requesting a determination may either appear in person or designate a representative
to appear on the candidate's or political committee's behalf or submit a sworn statement explaining the mitigating circumstances
for consideration by the commission. A final determination by the commission 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.
[
2009, c. 302, §5 (RPR)
.]
7.Final notice of penalty.
If a determination has been requested by the candidate or political committee and made by the commission, notice of the commission's final determination and the penalty, if any, imposed pursuant to this
subchapter must be sent to the candidate and the political committee.
If a determination is not requested, the preliminary penalty calculated by the commission staff is final. The commission staff shall mail final notice of the penalty to the candidate and treasurer. A detailed summary of all notices must be provided
to the commission.
[
2009, c. 302, §6 (AMD)
.]
8.Failure to file report.
The commission shall notify a candidate who has failed to file a report required by this subchapter, in writing, informing
the candidate of the requirement to file a report. The notice must be sent by certified mail. If a candidate fails to file a report after 2 notices have been sent by the commission, the commission shall send a final notice by certified mail informing the candidate of the requirement to file and that the matter may be referred to the Attorney
General for criminal prosecution. A candidate who fails to file a report as required by this subchapter after the commission
has sent the notices required by this subsection is guilty of a Class E crime.
[
2007, c. 443, Pt. A, §25 (AMD)
.]
8-A.Penalties for failure to file report.
The penalty for failure to file a report required under this subchapter may not exceed the maximum penalties as provided
in subsection 5-A.
[
2003, c. 628, Pt. A, §6 (NEW)
.]
9.List of late-filing candidates.
The commission shall prepare a list of the names of candidates who are late in filing a report required under section 1017,
subsection 2, paragraph C or D or section 1017, subsection 3-A, paragraph B or C within 30 days of the date of the election
and shall make that list available for public inspection.
[
1995, c. 483, §15 (NEW)
.]
10.Enforcement.
A penalty assessed pursuant to this section that has not been paid in full within 30 days after issuance of a notice of
the final determination may be enforced in accordance with section 1004-B.
[
2009, c. 302, §7 (RPR)
.]
SECTION HISTORY
RR 1995, c. 1, §10 (COR).
IB 1995, c. 1, §15 (AMD).
RR 1995, c. 2, §38 (COR).
1995, c. 483, §15 (NEW).
1995, c. 625, §B5 (AMD).
1999, c. 426, §§32,33 (AMD).
1999, c. 729, §5 (AMD).
2001, c. 470, §§7,8 (AMD).
2001, c. 470, §11 (AFF).
2001, c. 714, §PP1 (AMD).
2001, c. 714, §PP2 (AFF).
RR 2003, c. 1, §14 (COR).
2003, c. 302, §4 (AMD).
2003, c. 448, §4 (AMD).
2003, c. 628, §§A3-6 (AMD).
2007, c. 443, Pt. A, §§21-25 (AMD).
2009, c. 190, Pt. A, §§13, 14 (AMD).
2009, c. 302, §§5-7 (AMD).
2009, c. 366, §12 (AFF).
2009, c. 366, §6 (AMD).
2011, c. 389, §§22-25 (AMD).
2011, c. 389, §62 (AFF).
2011, c. 558, §§3-5 (AMD).
MRSA T. 21-A, §1020-A, sub-§4 (AMD).
MRSA T. 21-A, §1020-A, sub-§5 (AMD).
Data for this page extracted on 10/16/2012 08:26:59.