Overview
The State Ethics Commission (SEC) was established in 1978, under Section 2 of Chapter 268B of the Massachusetts General Laws. SEC consists of five members: three, including the chair, are appointed by the Governor; one is appointed by the Secretary of the Commonwealth; and one is appointed by the Attorney General. Commissioners serve staggered five-year terms, so that SEC always has five members, with no empty seats or overlapping terms. Each commissioner is allowed to serve only one full five-year term.
According to SEC’s website,
The State Ethics Commission serves the public by fostering integrity in government. The independent agency provides free advice to all public employees on the conflict-of-interest law and civilly enforces this law. You can contact the Commission to obtain legal advice, file a complaint, obtain a statement of financial interest or conflict of interest law disclosure form, or complete statutory conflict of interest law requirements.
SEC employs an executive director to oversee its administrative operations. As of June 30, 2024, SEC employed 28 full-time and three part-time employees. State appropriations for SEC were $2,666,373, $2,954,468, and $3,485,031 in fiscal years 2022, 2023, and 2024, respectively. SEC’s office is located at Room 619 on the sixth floor of One Ashburton Place in Boston.
Filing of Statements of Financial Interests
SEC is responsible for ensuring that all designated state and county employees file Statements of Financial Interests (SFIs) in accordance with Chapter 268B of the General Laws. SFIs include the filer’s salary (reported within a range), business holdings, government securities, stocks, bonds, other financial investments, real estate holdings and mortgages, gifts, honoraria, and reimbursements from certain sources exceeding $100 in a calendar year. Filing deadlines differ based on the type of filer:
- designated state and county public employees who held their position for at least 30 days in the previous year must file by May 1 of the filing year;
- public officials are required to file by the last Tuesday in May;
- former public officials who served at least 30 days in the prior year must file by the last Tuesday in May; and
- state and county candidates must file their SFIs before submitting their nomination papers to the Secretary of the Commonwealth.
According to SEC officials, every year agencies must submit a list of all designated public employees and public officials who are required to file SFIs with SEC under Sections 3(f), 5(a)–(c), and 5(g)(10) of Chapter 268B of the General Laws. Each agency designates an SFI liaison (usually a Human Resources employee). SEC then grants the designated SFI liaison access to the SFI filing system. After they receive access to the system, the designated SFI liaison enters each filer’s contact and employment details into the SFI filing system. Based on this information, the SFI system sends electronic notifications and automated reminders to all designated public employees and public officials in the agency before the deadline. Filers can then submit their SFIs to SEC using the SFI filing system or by hard copy. If a filer does not submit their SFI by the deadline, the SFI filing system issues a notice of lateness, informing the filer of the 10-day grace period. Filers who still fail to comply can face civil penalties ranging from $100 to $10,000. If a filer does not respond to standard notices, SEC may use alternative methods such as direct phone calls, emails, mailed notices, agency liaison outreach, or social media searches to contact the filer. Extensions may be granted for valid reasons and are tracked in the SFI filing system.
Candidates must file their SFIs independently before submitting their nominations. They may file their SFIs in person or online.
The SFI filing system enforces the completeness of electronic filings by requiring filers to complete all mandatory fields before an SFI can be submitted. For hardcopy submissions to SEC, the SFI team reviews the SFI for completeness, then date-stamps, scans, redacts, and uploads the SFI for public access in the SFI filing system, while SEC retains the original version internally. For instances where amendments to an SFI are needed, the filer can make the changes electronically if they filed electronically and by hand if filed by paper.
SEC’s Enforcement Division manages all complaints and investigations. An investigation can start when former public officials or employees fail to file their SFIs. SEC staff members record all communications related to late and failed SFI filings in SEC’s case management system.
SEC’s Investigations of Conflicts of Interest and Financial Disclosure
Section 4 of Chapter 268B of the General Laws requires SEC to investigate conflicts of interest and financial disclosure violations that are outlined in Chapters 268A and 268B of the General Laws.
According to SEC officials, SEC’s Enforcement Division investigates all complaints that it believes contain credible allegations of violations of Chapters 268A or 268B of the General Laws. SEC receives complaints through multiple sources, including electronic submissions, telephone inquiries, walk-ins, and referrals from other agencies. SEC reviews complaints in two phases: informal and formal.
During the informal complaint phase, SEC staff members assess complaints for credibility and determine whether they fall within SEC’s jurisdiction. If a complaint is deemed not credible or outside of SEC’s jurisdiction, it is referred to the Enforcement Division chief or another attorney for closure, and the Enforcement Division sends a closing letter to the complainant, unless the complainant is anonymous. If a complaint is deemed credible and within SEC’s jurisdiction, the complaint is assigned to an investigator for review. The investigator gathers evidence through phone interviews and may request additional documentation from the complainant, the subject of the complaint, or relevant third parties who may have records tied to the allegations. If the investigator finds sufficient evidence of a violation to address the complaint, they may recommend issuing a private letter to the complainant or initiating the formal phase of the investigation. The Enforcement Division Chief or a reviewing attorney reviews the recommendation. SEC has set an internal goal of completing informal reviews, also known as initial staff reviews, within three months of receiving a complaint.
If SEC authorizes a formal investigation, also known as a preliminary inquiry, SEC may also authorize the issuance of summonses by the Enforcement Division to obtain testimony or documents from the complainant, the subject of the complaint, and other witnesses or third parties with knowledge of the matter. After this investigation is complete, the Enforcement Division submits a preliminary inquiry report with recommendations to SEC’s commissioners for resolution. SEC commissioners vote to resolve the preliminary inquiry through a confidential compliance letter, a private education letter, by initiating a public adjudicatory hearing, or by terminating it.
SEC commissioners conduct a public adjudicatory hearing in which the Enforcement Division presents evidence of the alleged violation and allows the subject of the complaint to defend themselves. If SEC commissioners rule that the subject violated the law, they may impose a civil penalty of up to $10,000 per violation, except for violations where the subject accepts a bribe, which is subject to a civil fine of up to $25,000 per violation.
Advisory Opinions
Section 3(g) of Chapter 268B of the General Laws authorizes individuals who are subject to Massachusetts conflict of interest or financial disclosure laws to request written advisory opinions from SEC regarding the application of those laws. Section 10 of Chapter 268A of the General Laws states, “The State Ethics Commission shall issue opinions interpreting the requirements of this chapter in accordance with clause (g) of section three of chapter two hundred and sixty-eight B.”
SEC officials stated that individuals seeking guidance can submit their requests through various channels, including telephone, email, fax, or SEC’s website. For telephone inquiries, receptionists at SEC answer calls and log each request in SEC’s case management system. All calls are assigned to the attorney of the day, who is responsible for providing immediate assistance to requestors. Inquiries submitted online, through fax, or through email are entered by an administrative assistant into SEC’s case management system and assigned to SEC attorneys for review.
SEC receptionists, administrative assistants, and attorneys are responsible for handling all requests and associated communications and must ensure that advice given is properly documented in SEC’s case management system. SEC stated that its goal is to respond to written inquiries within 30 days; however, SEC reports that it typically answers most telephone inquiries on the same day or by the next business day.
| Date published: | December 24, 2025 |
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