October 18, 2018 State Ethics Commission Meeting Minutes - Public Session

MEETING CONVENED

Chair Maria J. Krokidas called the meeting to order at 9:01 a.m. Also in attendance were Commissioner Thomas J. Sartory, Commissioner R. Marc Kantrowitz, and Commissioner Josefina Martinez. Commissioner David Mills participated remotely.

REMOTE PARTICIPATION

Chair Krokidas announced that the Commission previously voted to authorize remote participation on December 16, 2011; that Commissioner Mills would participate remotely; and that the reason for Commissioner Mills’ remote participation was geographic distance, which is a permissible basis under 940 CMR 29.10(5).

Chair Krokidas noted that all votes taken at the meeting would be by roll call.

APPROVAL OF MEETING MINUTES

On the motion of Commissioner Kantrowitz, seconded by Commissioner Sartory, the Commission voted 5-0 to waive the reading and approve the public session, executive session and executive session - adjudicatory minutes of the September 20, 2018 Commission meeting.

VOTE:  Chair Krokidas                    yes    
             Commissioner Mills            yes  
             Commissioner Sartory        yes  
             Commissioner Kantrowitz  yes
             Commissioner Martinez      yes

Chair Krokidas introduced newly appointed Commissioner Martinez, who was participating in her first Commission meeting.

EXECUTIVE DIRECTOR’S REPORT

Executive Director David A. Wilson presented his monthly report. Mr. Wilson said he looked forward to working with Chair Krokidas in her new capacity as Commission Chair, and with Commissioner Martinez.

Personnel

Mr. Wilson provided an update regarding vacant staff positions.

Mr. Wilson said there was a large response to the posted opening for the investigator position that was left open after former Investigations Director Paul Murray left the Commission. Mr. Wilson said first-round interviews would be conducted October 22-24, followed by second-round interviews, with a goal of extending an offer to a candidate by early November.

Mr. Wilson said there was also a strong response to postings for two attorney positions: a Legal Division attorney position left open following former Senior Assistant General Counsel Pauline Nguyen’s departure from the Commission, and an Enforcement Division attorney position that is newly funded in the Fiscal 2019 budget. The positions were advertised on the Commission’s website, the MassCareers website, in Lawyers Weekly for four weeks, with career services departments at six Boston-area law schools, and with eight women’s or minority bar associations. Mr. Wilson said 16 first-round interviews were already completed or would be completed within the next week, and second-round interviews were expected to be completed by the end of October. He said the goal was to fill the positions by the end of October.

Mr. Wilson said there has also been a good response to a posted opening for a part-time contract receptionist.

Budget

Mr. Wilson said Chief Financial Officer Alice Wu and Government Affairs Officer Robert Milt have been working on budget matters recently. He invited Mr. Milt to provide an update.

Commissioner Kantrowitz asked what the funding source was for the new part-time receptionist position. Mr. Milt said the funding came from the Commission’s operating budget. He said that when seeking funding each fiscal year, the Commission requests funding for a full staff of 25 positions. Mr. Milt said that when positions are vacant, the associated savings can be allocated in other areas. He said the Commission’s budget team works hard all year to develop budgets and spending plans and to spend funds responsibly and effectively.

Mr. Milt said the Commission’s budget team submitted its Fiscal Year 2019 spending plan just after Labor Day. He said the spending plan includes a fourth Enforcement Attorney position, restoring the Enforcement Division to what was the established staffing level prior to Fiscal Year 2014. Mr. Milt said that the Commission is very pleased to have received funding for that position.

Mr. Milt said that on October 19, the Commission submitted its Fiscal Year 2020 maintenance budget request to the Executive Office of Administration and Finance. He explained that each fall, Administration and Finance asks for an estimate of how much funding will be needed in the next fiscal year. Mr. Milt said the Commission is requesting approximately $87,000 in maintenance funding in Fiscal Year 2020 to provide the same level of service. In Fiscal Year 2019, the Commission will receive a total of $2,239,280.

Upcoming Events

Mr. Wilson said a volunteer staff committee will plan an event, likely in late November, to celebrate the service of former Commission Chair Dortch-Okara, whose five-year term on the Commission recently ended.

Mr. Wilson said the Council on Governmental Ethics Laws, or COGEL, is holding its annual conference from December 9-12 in Philadelphia. Mr. Wilson, Mr. Milt, General Counsel Eve Slattery, Legal Division Staff Counsel Amy Bressler Nee, and Legal Division Staff Counsel Norah Mallam will attend. Mr. Wilson said the per person cost is approximately $1,500, and that staff worked to find the most inexpensive practical travel arrangements.

Next Meeting

After discussion, the Commission scheduled the next Commission meeting for Thursday, November 15 at 9:30 a.m.

PUBLIC EDUCATION DIVISION REPORT

Public Education and Communications Division Chief David Giannotti presented the monthly Public Education Division Report.

Mr. Giannotti congratulated Chair Krokidas on her new designation and congratulated Commissioner Martinez on her appointment. He provided a brief overview of the Public Education and Communications Division functions and areas of responsibility.

Mr. Giannotti reported that a problem with online forms on the Commission’s website has recently been resolved. He said staff would meet with engineers from Adobe to resolve a remaining issue with online forms. Mr. Giannotti also said that an issue with website statistics that arose after the Commission moved to a new website platform has been resolved, and that website data will now be more useful.

LEGAL DIVISION MATTERS

General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.

Legal Division Metrics for September 2018

Ms. Slattery presented the following Legal Division metrics for September 2018. 

• Written advice.  The Legal Division answered by letter or email 38 written requests for advisory opinions under G.L. c. 268A and c. 268B.

          For comparison:  September 2017 (same month last year):                    43    
                                        August 2018 (previous month):                                    46

• Oral advice.  The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 338 requests for advice from state, county and municipal officials.

          For comparison:  September 2017 (same month last year):                    407         
                                        August 2018 (previous month):                                    453

• Review of municipal letters.  Division staff reviewed 0 letters issued by city solicitors/town counsel pursuant to G.L. c. 268A, § 22 and 930 CMR 1.03.

          For comparison:  September 2017 (same month last year):                   4 
                                        August 2018 (previous month):                                   6                     

• Backlog:  As of today, the Division has 1 pending request for written advice that is more than 30 days old.  There is a total of 17 pending requests for written advice.

Adjudicatory Matters

Ms. Slattery presented the hearing and pre-hearing conference schedule.

Litigation Matters

McGovern v. State Ethics Commission:  Hampden Superior Court Civil Action No. 1679CV00082.  Edward McGovern sought judicial review pursuant to G.L. c. 30A of the Commission’s finding of violation against him.  On May 2, 2018, the court issued a decision and order denying McGovern’s motion for judgment on the pleadings and affirming the Commission’s decision.  On May 25, 2018, McGovern filed a Notice of Appeal from the Superior Court’s decision.  On July 3, 2018, McGovern filed a Notice pursuant to Mass. R. App. P. 9(c)(2)(iii) certifying that he does not intend to order the transcript regarding the judgment in this case.  McGovern then filed a Civil Appeal Entry Form and Civil Docketing Statement. 

Appeals Court Docket No. 2018-P-1060.  The Commission received notice of entry of the case in the Appeals Court on July 24, 2018.  On September 4, 2018, McGovern filed a Motion for Enlargement of Time Within Which to File His Brief and Record Appendix, which the Commission assented to.  On September 5, 2018, the Appeals Court granted McGovern’s Motion to extend the date for filing his brief and appendix to October 11, 2018.  

ENFORCEMENT DIVISION MATTERS

Investigations Unit Metrics Report

Enforcement Division Chief Monica Brookman welcomed Commissioner Martinez and presented the Enforcement Case Metrics and Enforcement Intake Metrics for September 2018.

Ms. Brookman stated that the Commission closed an above-average number of cases in September, due in large part to the efforts of former Investigations Director Paul Murray to reduce his docket before leaving his position on September 14. Ms. Brookman said she anticipates the backlog will increase until a new investigator has been hired and trained, as Special Investigator Tim Gravel has taken a leave from to attend Air Force National Guard Basic Training and Technical School.

EXECUTIVE SESSION

At 9:34 a.m., on the motion of Chair Krokidas, seconded by Commissioner Sartory, the Commission voted 5-0 to enter executive session to discuss matters subject to the provisions of G.L. c. 30A, § 21, subparagraph (a)(7), and § 18, and G.L. c. 268B, §§ 3 and 4, including investigatory matters, cases deferred, a report on preliminary inquiries, an amended preliminary inquiry recommendation, preliminary inquiry recommendations, summons authorizations,  advisory opinions, and deliberations on an adjudicatory proceeding.”

Chair Krokidas stated that the Commission would not reconvene in public session following the executive session.

VOTE:  Chair Krokidas                    yes    
             Commissioner Mills            yes  
             Commissioner Sartory        yes  
             Commissioner Kantrowitz  yes
             Commissioner Martinez      yes   

LIST OF DOCUMENTS USED AT THIS MEETING

1. Agenda for the Commission Meeting of October 18, 2018

2. Minutes of the State Ethics Commission Meeting of September 20, 2018 Public, Executive, and Executive – Adjudicatory Matters Sessions
    
3. Memorandum dated October 10, 2018 from Public Education and Communications Division Chief David Giannotti to the Commission concerning the Public Education and Communications Division report for the meeting
    
4. Memorandum dated October 11, 2018 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the October 18, 2018 meeting
    
5. Calendar of Legal Division Activities
    
6. Report on Enforcement Case Metrics

7. Report of Enforcement Division Intake Metrics

Respectfully submitted,

Gerry Tuoti

Public Information Officer