March 21, 2011


On March 10, 2011, the parties filed a Joint Motion to Suspend Proceedings, Accept Proposed Settlement and Dismiss the Case ("Joint Motion"), along with a proposed Disposition Agreement. The parties request that the Commission approve the Disposition Agreement in settlement of this matter and dismiss this adjudicatory proceeding. The full Commission considered the Joint Motion in deliberations on March 18, 2011.

In the proposed Disposition Agreement, the parties agree to findings of fact and conclusions of law. The Disposition Agreement states that, in his position as Director of Planning and Control at the Executive Office of Health and Human Services, Respondent William Schmidt was a state employee as defined in G.L. c. 268A, § 1 for more than 30 days in 2009, and that he held a major policymaking position as defined in G.L. c. 268B and 930 CMR 2.00. As such, Schmidt was required to file a Statement of Financial Interests ("SFI") for calendar year 2009 by May 17, 2010. He failed to do so.

Schmidt received a Formal Notice of Lateness on June 14, 2010, which advised him that failure to file his 2009 SFI within 10 days of receipt of such Notice would result in the imposition of civil penalties. Taking into account three additional days for receipt of the Notice by first class mail, Schmidt would incur no penalty if the SFI was filed by June 27, 2010. Schmidt missed this deadline. Failure to file by this date was a violation of G.L. c. 268B, § 5.

Schmidt filed his 2009 SFI on July 26, 2010, twenty-nine days after the deadline. At the time, the schedule of penalties for first-time late submission of an SFI listed a $400 civil penalty for filing 21 - 30 days late.

In the Disposition Agreement, Schmidt agrees to pay a civil penalty of $400. This is the amount that Petitioner demanded in the Order to Show Cause. Respondent has tendered the payment of the $400 civil penalty. In addition, Respondent further agrees to waive all rights to contest the findings of fact, conclusions of law and terms and conditions contained in the Disposition Agreement in this or any other administrative or judicial proceeding to which the Commission is or may be a party.

In support of the Joint Motion, the parties assert that settlement of this matter would be in the interests of justice, the parties and the Commission.

WHEREFORE, the Commission hereby ALLOWS the Joint Motion. The Disposition Agreement is APPROVED. Respondent's tendered payment of the $400 civil penalty for violating G.L. c. 268B, § 5 is accepted. Commission Adjudicatory Docket No. 11-0002, In the Matter of William Schmidt, is DISMISSED.

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Charles B. Swartwood, III David L. Veator

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Patrick J. King Paula Finley Mangum

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Martin F. Murphy

DATE AUTHORIZED: March 18, 2011

DATE ISSUED: March 21, 2011