PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 9:30 a.m. Also in attendance were Vice Chair David A. Mills, Commissioner Thomas J. Sartory, Commissioner R. Marc Kantrowitz and Commissioner Josefina Martinez.
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 minutes of the March 21, 2019 Commission meeting.
EXECUTIVE DIRECTOR’S REPORT
Executive Director David A. Wilson presented his monthly report.
Personnel
Mr. Wilson introduced Assistant General Counsel Ting Chiu to the Commission. The Commissioners welcomed Ms. Chiu, who started work at the Commission on April 8. Mr. Wilson said Ms. Chiu is the Commission’s 25th employee and that all existing staff positions are now filled.
Budget
Mr. Wilson invited Government Affairs Officer Robert Milt to provide an update on the Fiscal Year 2020 budget. Mr. Milt reported that the Commission requested $2,391,848 for Fiscal Year 2020, which is approximately $152,000 more than the amount received in the Fiscal 2019 general appropriation. The requested increase includes an additional approximately $87,000 to support office functions and $65,000 to fund a new program coordinator position in the Public Education and Communications Division. Mr. Milt said the Governor’s budget proposal provided approximately $44,000 in additional funding, an increase of almost 2% over the Commission’s Fiscal Year 2019 funding level. Mr. Milt said the Commission appreciates the Governor’s budget recommendation, however, additional funding is still needed to maintain and improve Commission services due to increasing costs.
Mr. Milt reported that on April 10, the House Committee on Ways and Means released a budget recommendation that included an increase of approximately $87,000, the full amount the Commission requested to sustain current operations, but did not include the requested $65,000 in funding for the program coordinator position. Mr. Milt said that on April 12, Rep. Christopher Markey, Chair of the House Committee on Ethics, sponsored an amendment which would add $65,000 to the House Committee on Ways and Means recommended budget and would fully meet the Commission’s Fiscal Year 2020 request for funding. Mr. Milt said the amendment was cosponsored by Rep. Danielle Gregoire, the House Co-Chair of the Joint Committee on State Administration and Regulatory Oversight. Mr. Milt said the House is expected to debate and pass its version of the budget in the coming week, and that the Senate Committee on Ways and Means would likely release its budget recommendation in May. Mr. Milt said the Senate would then debate and pass its version of the Fiscal Year 2020 budget before the budget bill is sent to a conference committee, and then to the Governor. Mr. Milt said a final Fiscal Year 2020 budget is expected to be signed in late June or early July.
Office Improvements
Mr. Wilson reported that, in the previous week, the Commission awarded a nearly $43,000 contract to install carpet throughout its office space. He said that, to minimize the impact on Commission operations and inconvenience to the staff, the work would be done Friday through Sunday over the course of approximately two weekends. Mr. Wilson stated that the work is expected to be completed by the end of June. Chair Krokidas asked if plans to paint office interiors are on hold. Mr. Wilson replied that those plans are on hold, but that he and Chief Financial Officer Alice Wu are exploring the possibility of painting individual offices one at a time, and that Ms. Chiu’s office was recently painted.
SFI
Mr. Wilson reminded the Commission that May 1 is the deadline to file Statements of Financial Interests.
Next Meeting
Mr. Wilson reminded the Commission that the next Commission meeting is scheduled for May 16 at 9:30 a.m.
PUBLIC EDUCATION AND COMMUNICATIONS DIVISION REPORT
Public Education and Communications Division Chief David Giannotti presented the monthly Public Education and Communications Division Report. He said that he conducted 11 educational seminars during March. One municipal seminar was cancelled due to a low number of registered attendees. Mr. Giannotti explained that the Commission provides educational seminars free of charge but requires that seminar hosts guarantee a minimum of 30 attendees to justify the travel expense and Mr. Giannotti’s time out of the office.
Mr. Giannotti said that monthly Public Education and Communications Division reports will now include some samples of press and non-press calls the Division handled. Chair Krokidas asked how it is decided whether a call is referred to the Public Education and Communications Division. Mr. Giannotti said that calls from the press, as well as calls from the general public that do not constitute a request for advice or a complaint are referred to Public Information Officer Gerry Tuoti. Mr. Giannotti said that calls about conflict of interest law education requirements are referred to himself.
Mr. Giannotti provided an update on the current compliance period for the education requirements. He said that the current year’s compliance cycle ran from January through April 5, 2019. All public agencies were required to distribute a summary of the conflict of interest law to all employees, and all public employees were required to complete an online training program. Mr. Giannotti explained that the Commission is the keeper of the records for conflict of interest law education records for elected state and county officials. He said that since the first notices of the training requirements were distributed in January, he processed 260 email requests through March 25. Since March 25, Mr. Giannotti has processed 403 emails related to the training requirements. Mr. Giannotti said that as of the time of the meeting, all but 12 of 280 elected state officials and all but 5 of 59 elected county officials had sent him their compliance records.
Chair Krokidas asked if it would be possible to automate portions of the compliance record-keeping through new software. Mr. Giannotti replied that the Commission would need to have a third-party database to manage such a large volume of compliance records, and that it would be a significant undertaking. Mr. Giannotti said that if a public agency has its own third-party learning management application, the Commission has shared its training program files. He said that individual public agencies have traditionally been responsible for managing compliance by their employees.
Mr. Wilson said the amount of staff time devoted to managing training and education compliance demonstrates the need for additional funding and administrative support for the Public Education and Communications Division. He said the Commission is awaiting a response to its capital request to fund a new online training program. Mr. Wilson stated that it is possible that a new program could support automation of some functions, but that it is too early in the process to know whether the Commission will receive capital funding or what features a new online training program would include.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division. Ms. Slattery said the Legal Division staff has conducted training for Ms. Chiu on the provisions of G.L. c. 268A and that Deputy Legal Division Chief/SFI Lauren E. Duca recently spoke to new Trial Court judges in a judicial ethics program.
Legal Division Metrics for March 2019
Ms. Slattery presented the following Legal Division metrics for March 2019.
- Written advice. The Legal Division answered by letter or email 63 written requests for advisory opinions under G.L. c. 268A and c. 268B.
For comparison: March 2018 (same month last year): 79
February 2019 (previous month): 58
- Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 506 requests for advice from state, county and municipal officials.
For comparison: March 2018 (same month last year): 486
February 2019 (previous month): 398
- Review of municipal letters. Division staff reviewed 1 letter issued by city solicitors/town counsel pursuant to G.L. c. 268A, § 22 and 930 CMR 1.03.
For comparison: March 2018 (same month last year): 2
February 2019 (previous month): 0
- Backlog. As of today, the Division has 4 pending requests for written advice that are more than 30 days old. There is a total of 26 pending requests for written advice.
SFI Summary
Ms. Duca provided an update on Statements of Financial Interests.
Ms. Duca said that the deadline for appointed public officials to file their SFIs is May 1 and that a two-week notice was sent on April 17. She said the SFI Team has fielded numerous phone calls and emails from filers with questions or requests for assistance. She said that the SFI Team has developed a list of proposed enhancements to the SFI system and that those enhancements would be covered under the existing maintenance and support agreement the Commission has with its vendor.
Ms. Duca provided an update on a problem that came to the SFI Team’s attention as the result of a recent press inquiry. Ms. Duca said that there appear to be 161 instances in which public employees did not file required SFIs for 2015, 2016, or 2017. Ms. Duca said the public employees affected by the issue are off-season filers who came into a designated filing position during a year and were required to file an SFI for the preceding calendar year. Ms. Duca said the SFI Team was working with its vendor to identify and resolve the issue. She said that the review is still in a preliminary stage. Ms. Duca said there appear to be some data anomalies and technical glitches affecting filing notices. She said that in some instances, filers received defective filing notices with no due date. Ms. Duca said it appears none of the affected filers received automated formal notices of lateness. She said the SFI Team has been reaching out to affected filers to offer assistance and address any concerns or questions they have. She said the SFI Team is also working with its vendor to develop internal controls to prevent the problem from happening again. Ms. Duca said she expects any work to be performed under the existing maintenance and service agreement at no additional cost.
Chair Krokidas said she was curious about how a reporter would have discovered the issue. Ms. Duca invited Mr. Tuoti, who fielded the press inquiry, to provide information about the inquiry. Mr. Tuoti explained that the reporter initially reached out several weeks earlier with some general questions regarding SFIs and filing requirements, and that he directed the reporter to the Public Inspection Module. Some weeks later, the reporter found that when searching by filing status and year on the Public Inspection Module while leaving other search fields blank, the search results showed a list of state employees who had not filed SFIs for certain years. Mr. Tuoti said it was his understanding that those non-filers who appeared in the public search did not show up to the SFI Team in internal reports as having not filed.
Chair Krokidas asked if the Commission has any discretion in assessing or waiving penalties for failing to file an SFI. Ms. Duca said she feels it is premature to address the topic and that, when contacted, the affected filers have shown an interest and willingness to file their missing SFIs. Ms. Duca said that SFIs are an important tool and are meant to be available for the public to see.
Adjudicatory Matters
In the Matter of Stephen Comtois: Commissioner Sartory volunteered to serve as presiding officer. Assistant General Counsel T. Michael McDonald and Ms. Duca will serve as legal advisors.
Litigation Matters
McGovern v. State Ethics Commission: Appeals Court Docket No. 2018-P-1060. The Commission is awaiting the Court’s decision.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Metrics
Enforcement Division Chief Monica Brookman presented the quarterly Fiscal Year 2019 Enforcement case metrics and the Enforcement intake metrics for March 2019. Ms. Brookman said the case backload continues to slowly decrease.
EXECUTIVE SESSION
At 10:31 a.m., on the motion of Chair Krokidas, seconded by Commissioner Kantrowitz, 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, preliminary inquiries, summons authorization requests, and advisory opinions.
VOTE: Chair Krokidas yes
Commissioner Mills yes
Commissioner Sartory yes
Commissioner Kantrowitz yes
Commissioner Martinez yes
Chair Krokidas stated that the Commission would not reconvene in public session following the executive session.
LIST OF DOCUMENTS USED AT THIS MEETING
- Agenda for the Commission Meeting of April 18, 2019
- Minutes of the State Ethics Commission Meeting of March 21, 2019 Public Session
- Memorandum dated April 11, 2019 from Public Education and Communications Division Chief David Giannotti to the Commission concerning the Public Education and Communications Division report for the meeting
- Memorandum dated April 10, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the April 18, 2019 meeting
- Memorandum dated April 10, 2019 from Deputy Legal division Chief/SFI Lauren E. Duca to the Commission concerning new public employees who failed to file SFIs for calendar years 2015-2017
- Legal Division Calendar
- Report of Enforcement Case Metrics
- Report of Enforcement Division Intake Metrics
Respectfully submitted,
Gerry Tuoti
Public Information Officer