PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 11:41 a.m. Also in attendance were Vice Chair Thomas J. Sartory, Commissioner R. Marc Kantrowitz, Commissioner Josefina Martinez, and Commissioner Wilbur P. Edwards, Jr. Chair Krokidas, Vice Chair Sartory, Commissioner Kantrowitz, Commissioner Martinez, and Commissioner Edwards participated remotely.
REMOTE PARTICIPATION
Chair Krokidas announced that the meeting would take place remotely pursuant to Governor Baker’s Order Suspending Certain Provisions of the Open Meeting Law, G.L. c. 30A, § 20 dated March 12, 2020. She stated that members of the public had been invited to listen to the public session by teleconference. Chair Krokidas noted that all votes taken at the meeting would be taken by roll call.
APPROVAL OF MEETING MINUTES
On the motion of Commissioner Kantrowitz, seconded by Commissioner Edwards. the Commission voted 5-0 to waive the reading and approve the public session minutes of the February 27, 2020 Commission meeting.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards | Yes |
SFI FILING DEADLINES
Legal Division Deputy Chief/SFI Lauren Duca presented a memorandum dated April 3, 2020 on the CY 2019 Statements of Financial Interests (SFI) filing deadlines. Ms. Duca said that significant concerns had arisen about the ability of appointed public employees to meet the May 1, 2020 filing deadline as a result of the existing COVID-19 crisis and the closing of non-essential businesses until May 4, 2020. She noted that approximately two-thirds of appointed public employees still needed to file. Ms. Duca explained that because the deadline is statutory in nature, the Commission is without the legal authority to extend it. However, even though the Commission may not extend the May 1st filing deadline, it does have the discretion to decline to assess and enforce the civil penalties for late filing if warranted by the circumstances.
The SFI Team requested the Commission consider the following action regarding appointed public employees. First, the SFI Team recommended that the Commission forego assessment of any civil penalty or pursuit of any enforcement action against an appointed public employee who files a CY 2019 SFI by May 26th. Second, the SFI Team further recommended that the Commission forego assessment of any civil penalty or pursuit of any enforcement action against an appointed public employee who files a CY 2019 SFI by a date beyond May 26th if deemed necessary as determined by the SFI Team with the approval of the Executive Director and General Counsel.
Third, the SFI Team recommended that the Commission suspend the sending of Formal Notices to any appointed public employee who misses the statutory May 1st filing deadline. Finally, the SFI Team made no recommendation as to the May 26, 2020 filing deadline for elected public officials. Ms. Duca explained that pursuant to the requirements set forth in G.L. c. 53, §§ 9-10, in order to appear on the ballot, candidates for public office, including elected public officials running for re-election, as well as new candidates, must file a receipt from the Commission as proof of their SFI filing with the Secretary of State’s Office by the last Tuesday in May.
On the motion of Chair Krokidas, seconded by Vice Chair Sartory, the Commission voted 5-0 to forego assessment of any civil penalty or pursuit of any enforcement action against an appointed public employee who files a CY 2019 SFI by May 26th or against an appointed public employee who files a CY 2019 SFI by a date beyond May 26th if deemed necessary as determined by the SFI Team with the approval of the Executive Director and General Counsel, and to suspend the sending of Formal Notices to any appointed public employee who misses the statutory May 1st filing deadline.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards | Yes |
EXECUTIVE DIRECTOR’S REPORT
Executive Director David A. Wilson presented his monthly report.
Personnel
Mr. Wilson reported that all Commission employees were able to work safely from home after Public Education and Communications Division Chief David Giannotti and Information Technology Specialist Tony Webb spent many hours to make this possible through modern technology. He stated that, with the staff working from home, the Commission office is closed to visitors. He said that notices of the closing have been posted on the office front door and on the Commission website and that the telephone answering message has been changed to inform the public that the office is closed and the staff is working from home.
Mr. Wilson stated that Special Investigator Tim Gravel went on military leave on April 1, 2020 and is not expected to return until October 1, 2020. He said that with the recent departure of Special Investigator Kevin Mazza on March 6, 2020, the Enforcement Division is currently down by two investigators, and noted that the vacancy left by Mr. Mazza will not likely be filled any time soon due to the current state of emergency.
Budget
Mr. Wilson said that his testimony before the Joint Committee on Ways and Means on March 16, 2020 to present the Commission’s request for Fiscal Year 2021 funding did not occur due to the state of emergency. While the budget for the next fiscal year remains uncertain, Mr. Wilson said that he and Government Affairs Officer Robert Milt will continue to track the budget process and provide updates at the next Commission meeting.
Audit
Mr. Wilson reported that the State Auditor’s Office was continuing its audit of the Commission.
Ongoing Projects
Mr. Wilson discussed ongoing projects to replace the Commission’s case management system, to replace the Commission’s conflict of interest law online training program, and to move the Commission’s computer servers to a new server room. He said that the first two projects are nearly entirely dependent on the availability of state bond funding, and the information technology bond bill had not yet been passed. He also said that the pending relocation of network servers from the Commission’s office to a new server room has been postponed.
Mr. Wilson stated the Commission recently submitted an RFP for a consultant with expertise in electronic learning and learning management systems to help define functional and technical requirements for the conflict of interest law online training replacement project. However, since the Commission did not receive a sufficient amount of responses amid the public health crisis, he said that a new RFP will be issued at a later time to seek more responses.
Next Meeting
Following discussion, the Commission scheduled its next meetings for May 21, 2020 at 9:30 a.m.
PERSONNEL MANUAL
Mr. Wilson stated that in response to the state of emergency, he exercised his power as Executive Director to temporarily waive the requirements of the Commission’s Personnel Manual that Commission employees perform their work between the hours of 7:00 a.m. and 7:00 p.m. and only on weekdays for all staff, excluding receptionists. He temporarily waived most restrictions on flextime to allow staff working at home more flexibility in dealing with the challenges of working at home. He also temporarily waived the requirement of the Commission’s Personnel Manual that an employee telecommuting not be a primary caregiver for children, elders, and others who require a provider’s care while working.
Mr. Wilson explained that the Executive Director may seek the Commission’s approval to change provisions of the Personnel Manual by presenting proposed changes to the Audit, Finance and Human Resources Committee of the Commission. Thereafter, the Commission will decide whether to approve any such proposed changes. He said that, when necessary to serve the best interests of the Commission and its employees and to address specific needs and circumstances, the Executive Director may waive provisions of the Personnel Manual, subject to the Commission’s subsequent review and approval or disapproval at the next scheduled Commission meeting.
On the motion of Chair Krokidas, seconded by Commissioner Martinez, the Commission voted 5-0 to approve, pursuant to Section 1.3 of the Commission’s Personnel Manual, the Executive Director’s waiver and modification of the following sections of the Manual for the duration of the current coronavirus/COVID 19 state of emergency: Sections 2.1 Attendance; 2.2 Alterative Work Schedules; 2.3 Timesheets; 2.4 Flextime; 2.5 Compressed Workweek; 2.6 Part Time Work; and 2.7 Telecommuting.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards | Yes |
PUBLIC EDUCATION AND COMMUNICATIONS DIVISION MATTERS
Public Education and Communications Division Chief David Giannotti presented the monthly Public Education and Communications Division Report for February and March.
Mr. Giannotti reported that he and Mr. Webb provided extensive technical support to enable staff to work from home due to the public health emergency. He stated that staff were assisted to access work e-mail via Outlook Web Access, while he and Mr. Webb ensured that all office phones were provisioned to forward work calls directly to staff cell phones. He also said that staff were provisioned to use the Commonwealth’s virtual private network (VPN) platform to access the Commission’s secure network from home. Mr. Giannotti reported that new laptops were purchased by Chief Financial Officer/Director of Budget & Administration Alice Wu and Mr. Webb that will enable staff currently using a home computer or laptop to work from home the option to instead use a Commission laptop.
Mr. Giannotti said that he conducted five public education seminars in February and two public education seminars in March. He noted that six seminars scheduled for March and three for April were canceled and will be rescheduled as soon as possible. Mr. Giannotti stated that the Inspector General’s Office moved their certification programs to a remote classroom set-up using the Blackboard learning management application, and he is scheduled to present a conflict of interest law seminar as part of a certified public purchasing officer program by remote classroom.
Mr. Giannotti also reported that he and Public Information Officer Gerry Tuoti responded to 8 press calls and 30 non-press calls in February and 7 press calls and 20 non-press calls in March. He said that Program Coordinator Arthur Xia has been processing compliance records, responding to any questions about the education requirements, and updating content on the Commission website.
The Commission had no questions.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Legal Division Metrics for February 2020
Ms. Slattery presented the following Legal Division metrics for February 2020.
- Written advice. The Legal Division answered by letter or email 49 written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 3 pertained to SFI.
| February 2019 (same month last year): | 58 |
| January 2020 (previous month) (total/SFI): | 53/10 |
- Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 435 requests for advice from state, county and municipal officials. Of these requests, 15 pertained to SFIs.
| February 2019 (same month last year): | 398 |
| January 2020 (previous month) (total/SFI): | 566/57 |
- Review of municipal letters. Division staff reviewed 2 letters issued by city solicitors/town counsel pursuant to G.L. c. 268A, § 22 and 930 CMR 1.03.
| February 2019 (same month last year): | 0 |
| January 2020 (previous month): | 0 |
- Backlog. As of March 10, 2020, the Division had 8 pending requests for written advice that are more than 30 days old. There was a total of 22 pending requests for written advice.
Legal Division Metrics for March 2020
Ms. Slattery presented the following Legal Division metrics for March 2020.
- Written advice. The Legal Division answered by letter or email 57 written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 9 pertained to SFIs.
| March 2019 (same month last year): | 63 |
| February 2020 (previous month) (total/SFI): | 49/3 |
- Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 356 requests for advice from state, county and municipal officials. Of these requests, 60 pertained to SFIs.
| March 2019 (same month last year): | 506 |
| February 2020 (previous month) (total/SFI): | 435/15 |
- 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.
| March 2019 (same month last year): | 1 |
| February 2020 (previous month): | 2 |
- Backlog. As of April 3, 2020, the Division had 2 pending requests for written advice that are more than 30 days old. There was a total of 6 pending requests for written advice.
SFI Summary
Ms. Duca provided an update on the CY 2019 Statements of Financial Interests (SFI) filing season. She said that the SFI Team continued to provide assistance by phone and e-mail to individuals who need to file a CY 2019 SFI. She reported that the SFI Team is working with the vendor under the existing contract for the support and maintenance of the SFI system, to use the Commission’s 45 enhancement hours to make updates and/or changes to the system.
Status of Unpaid Fines
Ms. Slattery presented a chart of Commission matters from 2008 to 2020 with unpaid civil penalties greater than $500. She recommended that the Commission consider using the services of a debt collection agency which has an existing contract with the Commonwealth. She is in the process of gathering information from those agencies.
Internal Control Plan
Vice Chair Sartory disconnected from the meeting at 12:40 p.m. and reconnected at 12:41 p.m.
Ms. Slattery presented the draft internal control plan for review by the Commission. She stated that all state agencies are required by law to have internal control plans established in accordance with guidelines prepared by the Office of the Comptroller. She explained that the plan includes standards, policies, and procedures to minimize risk as the Commission seeks to fulfill its mission. She said that the plan is a living document that will be reviewed and revised, at least annually, to address any new or changing risk and to ensure adequate policies and procedures are in place to mitigate for that risk.
On the motion of Chair Krokidas, seconded by Commissioner Martinez, the Commission voted 5-0 to approve the draft Internal Control Plan as presented to the Commission at its April 9, 2020 meeting.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards | Yes |
ENFORCEMENT DIVISION MATTERS
Enforcement Division Chief Monica Brookman presented the Enforcement Intake Metrics. Ms. Brookman reported that, as of March 16, 2020, all Enforcement Division staff have been working remotely due to the COVID-19 state of emergency. She said that all attorneys and investigators have access to case files and are able to conduct phone interviews, review documents, conduct research, and draft reports.
Ms. Brookman said that the Enforcement Division is currently postponing all sworn interviews but will look to develop a protocol to conduct such interviews remotely in a manner consistent with the practices of other law enforcement agencies. She reported that while the Division has received fewer complaints in the last few weeks than usual, there is still a significant backlog of complaints that the staff will focus on investigating.
EXECUTIVE SESSION
At 12:44 p.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 adjudicatory matters.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards, Jr. | Yes |
Chair Krokidas stated that the Commission would not reconvene in public session following the executive session.
The meeting recessed at 12:45 p.m. and reconvened at 12:54 p.m.
LIST OF DOCUMENTS USED AT THIS MEETING
- Agenda for the Commission Meeting of April 9, 2020
- Minutes of the State Ethics Commission Meeting of February 27, 2020 Public Session
- Memorandum dated April 3, 2020 from Legal Division Deputy Chief/SFI Lauren Duca to the Commission concerning the CY 2019 SFI Filing Deadlines
- Memorandum dated March 12, 2020 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 3, 2020 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 March 10, 2020 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
- Chart of State Ethics Commission matters from 2008 to 2020 with unpaid civil penalties greater than $500
- Draft Internal Control Plan updated March 19, 2020
- Memorandum dated April 3, 2020 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
- Enforcement Intake Metrics
Respectfully submitted,
Arthur Xia
Program Coordinator